SELECT COMMITTEE ON
INTELLIGENCE

UNITED STATES SENATE

Additional Prehearing Questions
for

Mr. Christopher Sharpley
upon his nomination to be
the Inspector General of the
Central Intelligence Agency

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CIA IG Access to Information
QUESTION 1

By statute, the CIA IG "shall have access to any employee or any employee of a
contractor of the Agency whose testimony is needed for the performance of his duties. In
addition, [he] shall have direct access to all records, reports, audits, reviews, documents, papers,
recommendations, or other material which relate to the programs and operations with respect to
which the Inspector General has responsibilities under this section."

a.

What is your understanding of the reach of this provision?

The statute is clear in its intent: the CIA Office of the Inspector General (GIG),
consistent with its mission, has access to all CIA staff and contractors, reports,
documents and data. This requirement is also spelled out in Agency regulations.
This has been the practice since my arrival in July 2012, and if confirmed, I will
continue to enforce it.

h.

Please describe how you would resolve, including what remedies you would
pursue, if you were refused such access.

I have requested periodically that the Office of General Counsel send an email to

its representatives across the CIA mission, outlining these requirements. I have
advised my staff to refer to Agency regulations and these emails if they receive
any push-back regarding production. In any case, I would have my senior staff
speak with the appropriate leadership in such an occurrence and if problems
persisted I would intervene. In the highly unlikely event I was unable to resolve
the issue I would notify the Director and the congressional intelligence
committees of the matter.

c.

What is your view of the appropriate use of subpoena authority?
The OIG issues subpoenas when seeking information from non-govemment, but
affiliated, entities and persons in support of mission-related audit, inspection and
investigative activities.

d.

What is your view of how the OIG balances independent confirmation of
information, for example through document review, and accepting CIA
representations to OIG personnel? To what extent should IG reports include
caveats with regard to information the IG has not independently confirmed?
The OIG conducts oversight work in conformance with standards and bestpractices issued by the Council of Inspectors General (CIGIE), of which we are a
member. These standards are written into our procedures and practices. Each

discipline, i.e. audits, inspections and investigations, undergoes a periodic peerreview by another CIGIE member Offices of Inspector General to ensure
compliance with these standards. CIGEE standards require that our work is
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independent, objective and lacks bias, undergoes due professional care and is
thorough. Although anecdotal evidence assists our work in identifying issues,
our practice is to require independent verification in order for a conclusion to rise
to the level of a finding.

Sources of Complaints and Protection of Whistleblowers
QUESTION 2

By statute, the CIA IG "is authorized to receive and investigate complaints or information
from any person concerning the existence of an activity constituting a violation of laws, rules, or
regulations, or mismanagement, gross waste of funds, abuse of authority, or a substantial and
specific danger to the pubhc health and safety."
a.

If confirmed, what steps would you take to inform individuals, within or
outside of the U.S. Government, of their opportunity to provide such
complaints or information to the CIA IG?

The CIA OIG has developed and maintains a robust complaints Hotline, where
whistleblowers and others can report concerns regarding fraud, waste, abuse and

mismanagement in an anonymous, confidential or open manner. I define a
whistleblower in the broadest sense of the term and meaning. This is a top
priority at CIA OIG, as whistleblowers are a critical source of information that
keeps our government honest, efficient, and accountable.
1 believe
whistleblowing is essential to the national security and intelligence mission of the

CIA. Federal laws. Executive Directives, and Agency Regulations strongly
encourage Agency employees to disclose allegations of fraud, waste, and abuse to

appropriate authorities. Federal laws and Agency Regulations also protect
whistleblowers from retaliation for reporting allegations of wrongdoing.

If I am confirmed as CIA IG, as 1 have as Acting and Deputy CIA Inspector
General, I will manage the CIA OIG Hotline, through which whistleblowers—
employees, contractors, and others, can report concerns regarding fraud, waste,
abuse and mismanagement involving Agency programs and operations. Within
our Hotline program, 1 have developed a Complaint Coordination Committee
(CCC), made up of senior GIG managers, that assesses all complaints and
allegations received by the GIG. The CCC reviews each matter to determine how
it should be handled, i.e., referred for consideration as an investigation, audit, or
inspection, or whether the issue should be raised to component management for
informational puiposes or further action. Any allegations of possible retaliation
against a whistleblower are handled as a priority. The CIA GIG Investigations
Gffice has developed specific whistleblower retaliation training for investigators,
and whistleblower retaliation complaints are given a dedicated reporting track on
the GIG Hotline web site.
1 regard whistleblower retaliation as a separate

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program from our Hotline, even though related concerns ai"e typically received
through our Hotline.

Our Hotline and Whistleblower programs include an outreach component. At
CIA, all new Agency employees receive a briefing by senior CIA GIG staff
explaining the Hotline program, how concerns and complaints are handled by the
GIG, and how they can report concerns in an anonymous, confidential or open
manner. The briefing includes an explanation on whistleblower protections, and
why such protections are important. Senior GIG staff attend senior Agency staff
conferences where Hotline and Whistleblower retaliation program information is
presented. In order to expand access to reporting channels, CIA GIG has
developed an internal web-based system—referenced above, that allows those
with access to CIA systems—worldwide, the ability to report concerns and
complaints anonymously, confidentially or openly. While visiting stations and

bases, I conduct All-Hands meetings with CIA staff where I convey my
philosophy in this area, and conduct open-door visits with management and line
staff.

At CIA buildings within the Washington Metropolitan Area, posters advising all
staff of their obligations to report fraud, waste, abuse and mismanagement to the
GIG are displayed. Agency sponsored training that includes instructions on how
to report fraud, waste, abuse and mismanagement, either anonymously,
confidentially or openly, as well as an explanation of the protections that are
afforded them, is required to be taken by CIA staff.

b.

What formal policies and processes are in place to inform employees of their
right to provide information to the CIA IG and to detect and protect against
reprisal for making complaints or disclosing information to the CIA IG?
In addition to the processes described above. Agency Regulations designate CIA
GIG as the point of contact for employees to report allegations of reprisal for
making protected disclosures to appropriate authorities under relevant
whistleblower laws and regulations. As stated, the GIG is also responsible for
reviewing and investigating allegations of whistleblower reprisal for the
CIA. The GIG reviews allegations of reprisal in compliance with applicable laws,
directives, and regulations, such as Presidential Policy Directive 19 (PPD-I9).

c.

Do you see any need for additional actions, policies, or processes to protect
whistlehlowers?

Although the CIA GIG Hotline and whistleblower retaliation programs are strong,
we are always seeking to strengthen our mission capabilities. To this end we ai'e
in the process of having an independent expert examine our Hotline and
whistleblower retaliation programs and make recommendations for possible
improvements.

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CIA IG Review of Covert Actions
QUESTION 3

Under an arrangement between the CIA IG and the congressional intelligence committees
begun in 2001, the CIA IG conducts a detailed review on each authorized covert action program
every three years, which has been extremely helpful for our congressional oversight.
a.

Do you plan to continue this practice? If not, why not?

Yes. I believe this continuing work is important to ensure accountability and
promote efficiency.

b.

Are there other CIA programs that should have the same kind of regular,
periodic, oversight from the CIA IG's Office?

GIG conducts the following regular, periodic work:
1.

Covert Action Reviews

2. Independent Audit of the CIA's Financial Statements.

3. Independent Evaluation of CIA's Information Security Program and Practices
required by the Federal Information Security Modernization Act (FISMA).
4. Review of the CIA's compliance with the Improper Payments Elimination and
Recovery Act (IPERA).

5. Risk assessment of purchase and travel card programs.
6. Independent Audit of the DNI's Financial Statements.

7. Independent Attestation of CIA's Assertions Concerning Security and
Availability of the Commercial Cloud Services System.

Intelligence Authorization Actfor Fiscal Year 2017
QUESTION 4

On May 24, 2016, this Committee passed its Intelligence Authorization Act for Fiscal

Year 2017, S. 3017. The bill includes two provisions that affect the CIA IG: section 309 requires
the IG for each Intelligence Community element to implement a policy that places limitations on
certain employees of IG offices, and section 412 amends the Central Intelligence Agency Act of
1949 to authorize the CIA IG to consider certain positions as law enforcement officers for
purposes of calculating retirement eligibility and entitlements.
a.

What are your views of these provisions?

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My understanding of Section 309 language is that it is intended to preclude OIG
staff from possible conflicts of interest and to be free from impairments to
independence. I believe current Agency and OIG policies achieve these
objectives. Agency ethics requirements address the prevention of personal and
external impairments for all CIA officers. At CIA OIG, career staff rotational

assignments are not mandated, and Agency staff on rotation to CIA OIG are
prevented from conducting oversight work associated with offices, missions, and

projects, to which they have materially contributed to during the previous three
years. CIGIE standards are clear in this regard, that staff are to remain clear from
conflicts and impairments, in fact or perceived. During my tenure at CIA OIG, I
have found no deviations from this standard by OIG staff.
My understanding of Section 412 is that it is intended to afford FERS Special
Law Enforcement pay and retirement authorities to qualified criminal
investigators at CIA OIG. I support this authority, as it enables CIA OIG to
attract trained criminal investigators in support of the critical investigative
mission at CIA. Absent this authority, criminal investigators working for other
Offices of Inspector General and other law enforcement agencies would lose such
retirement coverages if they came to work at CIA OIG, and newly trained CIA
OIG criminal investigators would be incentivized to leave CIA OIG to work for
other agencies in order to obtain such retirement coverages.
b.

How would a limitation on employee's activities impact your duties and
responsibilities, and execution thereof, if confirmed as CIA IG?

With respect to Section 309,1 believe current practices may satisfy the intent of
the Section and would minimally impact my duties and responsibilities.
Regarding Section 412, this language would significantly and positively impact
my ability to attract and retain criminal investigative talent at all levels of the
career service, which is essential for maintaining a robust and healthy
investigative cadre
c.

Do you have an opinion on whether CIA OIG officers should he armed as
law enforcement officers? Does this provision provide the relief you need to
hire law enforcement officers as investigators?

First, I sincerely appreciate the support of the Committee in providing legislative
language that serves to strengthen the CIA OIG investigative mission.
As a law enforcement officer with near 35 years of experience, during 30 of
which I carried a fu-earm, I believe criminal investigators should be sufficiently
trained and equipped to defend themselves and those around them from imminent
harm. In the criminal investigative profession, despite best efforts to control the
working environment, officers are never certain of the circumstances they will
encounter—what is believed to be a benign witness interview could evolve into a
confrontation with an armed and dangerous criminal.

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Personnel and Budgetary Resources
QUESTION 5

By statute, the CIA IG has "final approval of .. . the selection of internal and external

candidates for employment with the Office of Inspector General; and ... all other personnel
decisions concerning personnel permanently assigned to the Office of Inspector General,
including selection and appointment to the Senior Intelligence Service, but excluding all
security-based determinations that are not within the authority of a head of other Central
Intelligence Agency offices." In addition, the CIA IG "shall transmit a budget estimate and
request through the Director to the Director of National Intelligence" specifying certain amounts
requested for each fiscal year.

a.

If confirmed, what changes (if any) would you consider or make in the

present CIA OIG, with respect to organization, staff qualifications, training,
budget, or other features relevant to the effective performance of the Office?

The CIA OIG team of professional auditors, inspectors, investigators and support
staff are among the best in public service, and I anticipate that they will continue
to produce world class work. The CIA OIG budget has remained flat for years
despite growth in the CIA's mission and corresponding budget. CIA OIG budget
requests have been submitted through FY 2019. If confirmed, I would initiate a
review of the structure of the CIA OIG and determine staff requirements in order
to perform optimal oversight.

b.

Under what circumstances, if any, do you believe that the use of contractors
to perform such functions is appropriate?

CIA OIG staff recruiting and vacancy levels are to a large extent affected by an
onerous recruiting process at CIA. Despite efforts by CIA to improve this
process, onboarding times can take many months, with only one out of every
three Conditional Offers of Employment resulting in actual employment. I
believe contractors are best used in support areas such as IT, research and report
production, when onboarding fails to provide required personnel, and critical
support related vacancies must be filled in order to meet mission requirements.

Government Accountability Office (GAG)
QUESTION 6

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Pursuant to Section 348 of the Intelligence Authorization Act for Fiscal Year 2010, the

Director of National Intelligence has issued a directive on the access of the Comptroller General
to information in the possession of an element of the Intelligence Community.
a.

Please describe ydlir understanding of the role of GAO in assisting Congress
in oversight that relates to such information.

Both the ODNI and CIA have issued policies regarding cooperation with the
Comptroller General, through the General Accountability Office (GAO).
Accordingly, the Agency provides GAO access to CIA information related to
matters under GAO review to the fullest extent possible, and consistent with

national security and the protection of intelligence sources and methods. GAO
interaction is principally with the Agency directly, which coordinates with
mission components in order to facilitate the GAO's efforts. GAO has minimal

interaction with the CIA OIG, except to ensure avoidance of duplicative oversight
efforts.

h.

Please describe your views on what coordination between the CIA IG and

GAO would he desirable to assure full coverage of oversight requirements
while avoiding conflict or duplication, and while assuring the protection of
classified information from inappropriate disclosure.
Please see 'a.' above.

c.

Please describe any concerns you may have regarding the use of GAO to
assist in the conduct of oversight of the IC.

Beyond coordination with CIA OIG to ensure avoidance of duplication, my
concerns are that appropriate controls are maintained over sensitive national
security information in the possession of GAO, and that GAO work is conducted
at the invitation of the congressional oversight committees. I believe CIA OIG
maintains the capability to address most CIA-related issues of interest to the
Committee.

CIA IG Work Plan

QUESTION 7

If confirmed, how will you determine the investigations and reports that are necessary or
desirable to complete each year?

If confirmed, I will continue to address CIA OIG investigative, audit and
evaluative work in accordance with processes I have established as the Acting
Inspector General. Audit and inspections work will be planned for the following
fiscal year essentially using four considerations: (1) the previous year's OIG
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reporting on CIA's Management Performance Challenges, (2) solicited feedback
from OIG's principle stakeholders—namely CIA senior leadership and the
congressional intelhgence committees, (3) mandated annual and periodic work,
and (4) insights from OIG professional staff based on their cumulative
observations during previous
OIG fieldwork. Within this framework, CIA OIG's work is prioritized, and if
new areas of interest are raised following the conclusion of our planning efforts,
they may be inserted into the work lineup, as appropriate. Investigative work is
predominantly reactive in nature, and is determined by the assessment of
allegations and concerns received by our investigative component from the OIG
Hotline, directly from whistleblowers and others, using established CIGIE
standards. Attorney General Guidelines, and OIG practices and procedures. All
CIA OIG processes have undergone peer-review by other CIGIE member Offices
of Inspector General and have been assessed as comphant with CIGDE standards.
QUESTION 8

'

Would you anticipate developing a work plan for each year in office? Do you plan to
consult with the intelhgence oversight committees in Congress in advance on your work plan?
Why or why not?
)

Yes. I would continue to develop an Annual Workplan and coordinate with the
intelligence committees on the development of each Workplan. Please also see
Question #7.

Consultations about Reports
QUESTION 9

Under what circumstances, if any, do you believe it would be appropriate for the CIA IG to
consult with officials in the CIA, or other officials of an IC element outside an office of an IG,

before issuing a report, regarding the findings and recommendations in the report?
CIA OIG practices and procedures include issuing draft reports to the CIA before
a final report is issued. This allows the CIA to evaluate and fully understand the
findings and recommendations, including CIA OIG support for its positions on
the issues or concerns found. In this sense, CIA sees audit and inspections reports
before they are issued, although I might not characterize it as a consultation. This
practice is used throughout the Inspector General Community, and is not intended
to, nor has it resulted in undermining OIG independence, in my experience.
CIA OIG conducts IT related oversight, such as the Independent Attestation of
CIA's Assertions Concerning Security and Availability of the Commercial Cloud
Services System. Multiple intelligence agencies use the Commercial Cloud. This
work is relied upon by the Offices of Inspector General of the user agencies.
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Before work begins, CIA OIG advises the other OIGs of areas that will he
covered in the audit.

QUESTION 10

To the extent that you believe such consultation is appropriate, what steps, if any, do you
believe the IG should take to keep a record of the consultation and record the results in the text
of the report?

Please see Question #9. These interactions are appropriately recorded in the work
papers of CIA OIG staff.
QUESTION 11

Under what circumstances, if any, do you believe it would he appropriate for senior
officials to request that the CIA IG not investigate or review a particular matter, as provided in
50 U.S.C. § 403q(h)(3)?
Section 17 of The CIA Act of 1949, authorizes the Director of the Central

IntelUgence Agency to prohibit the initiation, carrying out or completion of an
OIG audit, inspection or investigation, if he determines that such prohibition is
necessary to protect vital national security interests of the United States. The law
also requires him to inform the congressional intelligence committees, should he
take such actions. I am not aware of this authority ever having been exercised,
nor can I think of circumstances under which doing so would be appropriate.
QUESTION 12

Under what circumstances, if any, do you believe it would be appropriate for senior
officials to request that the CIA IG not issue a report on a particular matter, as provided in 50
U.S.C. § 403q(b)(3)?
Please see Question #11.
QUESTION 13

Under what circumstances, if any, do you believe it would be appropriate for
senior officials to request that the CIA IG change findings, recommendations, or
other pertinent material in a report on a particular matter?

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Independence is the foundation of an Inspector General's credibility, and to the
best of my knowledge, I have never removed a finding and/or a recommendation
from a report at the request of a senior official.
All CIA OIG reports follow CIGIE Standards, which are validated under an

independent peer-review process. In order to qualify as a finding, each must
contain four elements: Condition, Criteria, Cause and Effect. If these elements

don't exist then a finding cannot be supported. Recommendations are designed to
address the findings. If a finding is determined not to he supported it may he
changed to an 'observation'.
QUESTION 14

Do you commit to working directly with the congressional intelligence committees and
providing information directly to the committees, rather than through the CIA's Office of
Congressional Affairs?

Yes. This has been my practice as Acting Inspector General and will continue to
be, if I am confirmed.

QUESTION 15

What is your position on the role of the CIA IG to monitor CIA adherence to
congressional intent and direction?

Part of the work of CIA OIG has been to examine CIA's compliance with the law,
regulations and guidelines, which include those containing congressional intent
and direction.

QUESTION 16

Do you commit to consult with the intelligence oversight committees in Congress to help
determine CIA adherence to congressional intent and direction? Why or why not?
Yes. A strong relationship between CIA OIG and the congressional intelligence
committees is essential for effective oversight.
QUESTION 17

Please also describe your views on the appropriate relationship between the CIA IG and
the CIA Office of General Counsel with regard to legal issues. Do you commit to independently
analyzing legal issues related to the role, responsibilities and functions of the OIG?

Yes. The role, responsibilities and functions of the CIA OIG with respect to legal
issues are well established. Thus, while it is important that CIA OIG and CIA
General Counsel consult rigorously on matters of joint interest such as working
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with the Department of Justice litigation issues and OIG investigations, I would
rigorously challenge changes to those norms or new interpretations.

Major Challenges, Problems, and Priorities
QUESTION 18

In your view, what are the major challenges, problems, and priorities facing the CIA IG's
Office?

There are two: recruiting and onboarding process, and a flat budget. Recruiting,
and hence, retention at CIA OIG continues to be a challenge and the vacancy rate
varies between 10-15 percent. We use the Agency's recruiting and onboarding
process, which has historically taken months from a COB being made to a
prospective employee, to their entry into the workforce. Principally due to that
lengthy onboarding process we lose two of every three candidates we offer a
COB. CIA is currently taking action to improve the onboarding process, which
should go a long way to addressing this challenge. That said, I have directed an
independent review of this process in order to inform CIA decision-makers of
possible additional areas requiring attention.

Attrition among CIA OIG staff stems from a higher rate of turnover among our
Junior audit staff to positions within the Agency and at higher grades to other
OIGs. Attrition of our newly trained investigators stems primarily from their
desire to acquire FBRS Special law enforcement retirement coverage at other
agencies—coverage we have begun to integrate following the passage of the
Intelligence Authorization Act for the Fiscal Year 2017.

CIA OIG budget and staffing levels have remained flat for many years, even as
the Agency's mission and budget has expanded. Additional staffing and
corresponding increases would enable CIA OIG to expand its oversight work
across Agency programs and operations.
QUESTION 19

If confirmed, how do you plan to address those challenges, problems, and priorities?
I have recently hired a recruiting specialist who has already increased CIA OIG
recruiting activities. We have initiated a review of the CIA's onboarding process.
Additionally, if confirmed, I will initiate a comprehensive review of the CIA OIG
organization and its mission requirements. That review will serve to inform a

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dialogue with the Director and with the oversight committees regarding the CIA
OIG Fiscal Year 2020 budget and future mission requirements.

Travel

QUESTION 20

Please list your official foreign travel while serving as the Acting Inspector General
starting in February 2015. Please include dates of travel, location, and specific purpose
including topic of CIA IG activity.
Foreign travel was conducted in conjunction with planned CIA OIG fieldwork,

including audits inspections and investigations. I conducted All-Hands meetings
with local staff to message the role and responsibilities of the CIA OIG, and to
strengthen communications. While visiting, I opened my temporary office to staff
who typically shared operational challenges and issues, complaints and concerns,
engaged in general discussions, and even asked career advice—all while I
expressed appreciation for the their service and sacrifice.

Since 2015,1 have travelled to nine countries, and have spent 41 days in the field.
If confirmed, I will continue to travel to ensure that CIA OIG's mission is
communicated to the field.

I have sent a classified annex containing the locations and dates of my travel.

Staffing
QUESTION 21

You have served as Acting IG for over two years. Please provide your assessment of the
staff levels and performance of the CIA IG staff.
The CIA OIG team is performing admirably, and since February 2015, we have
issued over 100 audit and inspection reports and have made 340 recommendations
to the Agency to improve efficiency and effectiveness in key areas such as Covert
Action, Insider Threat, information security, financial systems and other
operational and program activities. CIA OIG has received, assessed and
processed over 1150 whistleblower complaints through the Hotline and initiated
approximately 115 investigations.

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As stated, if confirmed, I will initiate a comprehensive review of the CIA OIG
organization and its mission related requirements. That review will serve to
inform a dialogue with the Director and the oversight committees regarding the
FY 2020 budget and future mission requirements. More could be accomphshed
with more resources.

QUESTION 22

Do you have enough staff to accomplish your mission?
Please see Questions 5 and 21.
QUESTION 23

Are there areas in which you need additional support?
Yes. As I've discussed in Question #18, CIA OIG budget and staffing levels have
remained flat for many years, even as the Agency's mission and budget has
expanded. Additional staffing and accompanying budget would enable CIA OIG
to expand its oversight work across Agency programs and operations. CIA OIG
could improve its oversight capabilities if given the authority to convert
unobhgated funds designated for staff salary costs to use in acquiring contractor
support in critical mission areas such as IT and report production. The authority
to convert these funds would provide CIA OIG operational flexibility and
strengthen mission capabilities.
QUESTION 24

What policy changes do you need to strengthen the work of the CIA IG?

Please see Question #23. The authority to convert unobligated funds originally
designated for staff salaries, when those positions remain unfilled due to
challenges in CIA's onboarding process. These funds would provide CIA OIG
operational flexibility and strengthen mission capabilities.
QUESTION 25

Do you have sufficiently cleared staff to conduct studies into sensitive and highlycompartmented activities at the CIA? Are there mission areas in which the CIA IG does not
have access, or has been denied access?

My staff maintains sufficient clearances to obtain access to sensitive and highlycompartmented activities.

There are no mission areas, data, documentation or

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staff to which CIA OIG does not have access. My staff and I have not been
denied access to any such information or personnel.

Whistleblower

QUESTION 26

To your knowledge, have you ever been the subject of a whistleblower complaint? If
yes, please provide dates and content of each complaint of which you are aware.
No. I am aware of complaints made against the CIA OIG, the former CIA
Inspector General, and previous OIGs where I was employed, but I am not aware
of any where I was the subject.
QUESTION 27

Please describe your view of the CIA IG's role with regard to whistleblowers. Please
address each of the following and provide specifics on how the OIG has addressed each of the
following during your tenure as Acting IG:
Please see Question #2. I define a whistleblower in the broadest sense of the term

and meaning. Anyone providing allegations and concerns to the CIA OIG is
regarded as a whistleblower, and is afforded all appropriate protections.
•
Outreach and training across the CIA with regard to whistleblower rights
and access to the OIG;

Whistleblower rights and training along with gaining access to the OIG are
addressed by the Agency in mandatory 'No FEAR Act' training requirements,
regulations, and can be viewed on the CIA OIG web site—available to staff and
contractors with staff-like Agency system access. Also, the Agency addresses
Whistleblower Protection under the Equity Assurance section of its Employee
Central website.

•

Timely and thorough investigations of whistleblower complaints;

Timeliness and thoroughness are standards by which all CIA OIG investigations
are conducted, and they are incorporated into our procedures. Anyone providing
allegations and concerns to the CIA OIG is regarded as a whistleblower, and is
afforded all protections from reprisal.

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•

Whistleblower protections and responses to allegations of reprisals; and,
allegations of reprisal;

CIA OIG follows processes based upon PPD-19 and ICD-120 guidance, which
are incorporated into our Investigations Manual and our Whistleblower Reprisal
Investigations Handbook for Investigators. Allegations received are assessed to
determine if the complainant has standing, made a protected disclosure to an
authorized recipient, and suffered an adverse personnel action or action on thensecurity clearance. Investigative activity determines if there is a causal
relationship between the protected disclosure and the adverse personnel or
security clearance action. Reports of findings are issued to the appropriate level
decision-maker(s) for appropriate action.
•

Management of whistleblower caseloads within the OIG;

The Whistleblower caseload is managed similarly to all investigations. Cases are
assigned to criminal investigators who work under Assistant Special Agents in
Charge, and who follow our Investigations Manual and Whistleblower Reprisal
Investigations Handbook for Investigators. All cases are entered into our Case
Management System and the system employs appropriate access controls.
Reports are written in accordance with our procedures and issued to CIA
decision-makers.

•

Notification to Congress regarding, whistleblower complaints.

The CIA OIG notifies the congressional oversight committees of the status of all
of its investigations, including whistleblower retaliation cases, through our Semi
Annual Reports and on an ad hoc basis during discussions between Committee
staff and CIA OIG staff.

QUESTION 28

What is your view of the role of the CIA IG in managing and investigating whistleblower
complaints? How much of a priority will you make managing and investigating whistleblower
complaints if confirmed as the CIA IG?
Please see Question #27.

QUESTION 29

Will you seek to strengthen the CIA IG's role relative to whistleblower protections? If
yes, how will you strengthen the whistleblower protection activities of the CIA IG?
Please see Questions #2 and #27. Additionally, although the CIA OIG Hotline
and whistleblower retaliation programs are strong, more can always be done. As
such, I have initiated an independent review of these programs to identify possible
ways to strengthen them.
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QUESTION 30

To proactively protect CIA employees and contractors from potential retaliation, do you
support providing CIA employees with the same stay authority that is afforded almost every
other federal employee?

The CIA GIG appreciates the Committee's support on the issue of providing 'stay
authorities'. Although we certainly are not opposed to having the authority, we
have never had a need for it.

Independence
QUESTION 31

In general, what would be your approach to ensuring the independence of the Office of
the Inspector General of the CIA, if you are confirmed as the next CIA IG?

Messaging on the importance GIG. independence is a very effective weapon in
deterring any efforts to compromise it. Both the CIA GIG senior staff and I
routinely reference and discuss the importance of IG independence at new
employee briefings, manager conferences, and with senior staff. This message is
reinforced internally among the CIA GIG staff. Independence is the foundation
of an IG's credibility in the eyes of his principal stakeholders. Any efforts to
undermine it should—and will, if I am confirmed—be met with a swift response.

Duties of the Position
QUESTION 32

Gne of the key statutory responsibilities for the CIA IG is: "to provide policy direction
for, and to plan, conduct, supervise, and coordinate independently, the inspections,
investigations, and audits relating to the programs and operations of the Agency..." Please
explain how you have, as the Acting CIA IG, determined the agenda for the IG's inspections,
investigations, and audits. How will you solicit and incorporate congressional concerns into
your plans?

As Acting Inspector General, I have provided policy direction for, and have
conducted, supervised and coordinated independently, the inspections, audits and
investigations involving the programs and operations if the CIA. I have issued
over 100 classified audits and inspections and have initiated over 100
investigations. These audits and inspections are uncompromising. If confirmed, I
will continue to address CIA GIG investigative, audit and evaluative work in
accordance with processes I have established as the Acting Inspector General.
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Audit and inspections work will be planned for the following fiscal year
essentially using four considerations: (1) the previous year's OIG reporting on
CIA's Management Performance Challenges, (2) solicited feedback from OIG's
principle stakeholders—namely CIA senior leadership and the congressional
oversight committees, (3) mandated annual and periodic work, and (4) insights
from OIG professional staff based on their cumulative observations during
previous OIG fieldwork. The final CIA OIG Workplan has been and will
continue to be, if I am confirmed, a reflection of my independent assessment and
priorities for conducting oversight work of CIA programs and operations.
As I have previously stated, investigative work is predominantly reactive in
nature, and is determined by the assessment of allegations and concerns received
by our investigative component from the OIG Hotline, whistleblowers and others,
using established CIGIE standards. Attorney General Guidelines, and OIG

practices and procedures. All CIA OIG processes have undergone peer-review by
other CIGIE member federal Offices of Inspector General and have been assessed
as compliant with CIGIE standards.
QUESTION 33

What do you believe are the five most important reports completed under your leadership
of the CIA IG since February 2015? Please provide a brief description of why you believe each
of these reports were important.

I have issued over ICQ audit and inspection reports, including nearly 350
recommendations for positive change in the programs and operations of the CIA. I have listed
specific reports in the classified annex to this document.

Relationship of CIA IG and IC IG
QUESTION 34

Please describe any potential overlap or conflict between the CIA IG and the ICIG that

you have experienced in your role as Acting CIA IG or you may anticipate, if confirmed.
There have been no conflicts between the CIA OIG and the IC OIG during my
tenure as Acting Inspector General. In fact, my senior staff and I have supported
and fully participated in the IC IG Forum, including sub working groups such as
Deputy, legal, audit, inspections evaluations, awards and others on an ad hoc
basis.

With respect to overlap, I have authorized the CIA OIG to conduct the
independent attestation of the Financial Statement of the Office of the Director of
National Intelligence (ODNI) under agreement with the ODNI and CIA, and share
the results of that work with the IC IG. Financial systems and certain processes
that support the ODNI are administered by the CIA. Those same systems are
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audited by CIA OIG auditors while also conducting the independent attestation of
CIA's Financial Statement. As such, with efficiency and cost savings in mind, I
have conducted the ODNI audit on a reimbursable basis. I currently have one
highly qualified auditor on a Joint Duty Assignment to the IC IG.

RDI

QUESTION 35

Please describe the legal basis on which you divested the OIG of its sole copy of the
Committee's Study of the CIA's Detention and Interrogation Program.
To the best of my recollection, upon receiving a disk containing the Committee's
RDI Study in December 2014, my predecessor decided to upload the report to the
classified CIA OIG system. Shortly thereafter, we received guidance not to
upload the report pending ongoing Freedom of Information Act litigation in the
DC Circuit Court. My predecessor directed the report be deleted from the CIA
OIG system and the disk preserved. After we deleted the report from our system
we were told by our technical staff that the disk had been destrpyed. In 2016,
almost one year later, we discovered the disk had not been destroyed, but had
remained secure in a safe. On conclusion of the FOIA litigation that determined
the Study was a congressional record, and in response to a request from the
Committee Chair, I made the judgement to return the disk to the Committee. I
understand this was consistent with the actions of other Executive Branch

recipients.
QUESTION 36

Was the OIG's copy of the Committee's Study of the CIA's Detention and Interrogation
Program a federal record under the Federal Records Act? Please explain your reasoning for this
determination.

Please see Question #35.

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