Additional Details on FY 2003 Performance Results - Strategic Goal 3: Homeland Security

FY 2003 Performance and Accountability Report
Bureau of Resource Management
December 2003
Report

Performance Goal 1: Proper Visa Adjudication

Initiative/Program #1: Visa and Consular Services

PERFORMANCE INDICATOR #1: NUMBER OF OTHER AGENCIES WITH ACCESS
TO THE CONSULAR CONSOLIDATED DATABASE (CCD)
Initial FY 2003 Target Revised Target FY 2003 Result FY 2003 Performance Ratings
Four Two Two On Target
Details of 2003 Results
  • Reason for Target Revision: The creation of DHS merged a number of border security agencies with which there were agreements into a single entity.
  • Data Reliability: Based on MOU's signed, data connections and user access programs established. 100% reliable.
  • Data Validation: Data used to measure performance results is appropriate as it is directly related to the number of external agencies that have acquired access to the CCD. Access to the CCD allows other Homeland/Border security agencies to have access to visa data that is relevant to border security initiatives.
  • Partners: Extensive coordination with DHS and other agencies required to negotiate, implement and manage ongoing data relationships.
PERFORMANCE INDICATOR #2: PERCENTAGE OF FILES STORED ELECTRONICALLY IN ACCORDANCE WITH THE REQUIREMENTS OF ENHANCED BORDER SECURITY AND VISA ENTRY REFORM ACT (PL 107-173)
Initial FY 2003 Target Revised Target FY 2003 Result FY 2003 Performance Ratings
Begin to phase in electronic storage. Begin to scan files on ineligible applicants and begin scanning of select applications. N/A Software is being developed to support Kentucky Consular Center scanning of archival material. On Target
Details of 2003 Results
  • Data Reliability: 100%. Imaging activities reflect program initiatives. Scanned documents can be counted in the CCD.
  • Data Validation: Data used to measure performance results is appropriate as it represents all of the data used to process and adjudicate non-immigrant visa applications.
  • Partners: National Archives for record storage. Other agencies as users of scanned information.
  • Other Issues: Due to the forensic value of paper records, CA has made arrangements to archive paper records. Scanning and electronic storage activities are therefore restricted to records for which electronic sharing and rapid retrieval provides significant value.
PERFORMANCE INDICATOR #3: DEVELOPMENT OF A BIOMETRICS COLLECTION PROGRAM FOR U.S. VISAS
Initial FY 2003 Target Revised Target FY 2003 Result FY 2003 Performance Ratings
1. Continue Biometric BCC program and practical application of FR technology. 
 
1. N/A 1. Used FR technology to disqualify over 20,000 from the annual Diversity Visa Lottery for filing duplicate entries. To evaluate FR's full potential for combating visa and passport fraud, launched a facial recognition pilot for nonimmigrant visas. Significantly Above Target
2. Work with DHS and National Institute of Standards and Technology (NIST) to set a biometrics-based standard for the documentation of the visa process. 2. N/A 2. Developed recommendations on biometric standards for visas. Significantly Above Target
3. Begin development work on worldwide biometrics collection. 3. N/A 3. Began worldwide deployment of biometric NIV software, with four posts going live with fingerprint collection in September 2003. Significantly Above Target
Details of 2003 Results
  • Reason for Significantly Exceeding Performance Target: Section 303 of the Enhanced Border Security and Visa Entry Reform Act of 2002 requires that "not later than October 26, 2004, the Attorney General and the Secretary of State shall issue to aliens only machine-readable, tamper-resistant visas and travel and entry documents that use biometric identifiers." The results achieved during FY 2003 were necessary to lay the groundwork for a global biometric enrollment program meeting the requirement of the law.
  • Data Reliability: The data is reliable and confirmed by publication of DOS and DHS plans.
  • Data Validation: This data confirms the accomplishment of necessary steps in the process that will result in the U.S. issuing biometric-enhanced visas meeting the requirements of U.S. law and international standards, thereby enhancing U.S. security.
  • Partners: DHS, DOJ, NIST. DOS coordinated efforts with other agencies to set the standards for visa biometrics, initiate the process of modifying the U.S. visa to include the specified technological enhancements, and ensure interagency interoperability.

 

Initiative/Program #2: U.S.-EU Cooperation on Border Security

PERFORMANCE INDICATOR #4: PASSENGER NAME RECORD (PNR) AND ADVANCED
PASSENGER INFORMATION (APIS) REQUIREMENTS
Initial FY 2003 Target Revised Target FY 2003 Result FY 2003 Performance Ratings
DHS upgrades software acceptance capability to include required passenger information. The Department works with foreigners and foreign governments to harmonize legal requirements for electronic data.
  • DHS develops software filters to comply with privacy-related undertakings of the European Union.
  • The Department works with foreign governments to gain acceptance/ support for data access requirements.
Reached a provisional agreement with EU, allowing European carriers to provide PNR data beginning in March 2003. The Department of Homeland Security offered a number of proposals to meet EU privacy requirements; negotiations have yielded some concessions from the Europeans, but differences remain. Slightly Below Target
Details of 2003 Results
  • Reason for Target Revisions: Initial text was incorrect. Revised target represents the Department's correct policies and tarrgets.
  • Data Validation: Existence of an EU-US agreement on PNR will pave the way for PNR agreements with other countries and reduce risk to airlines of privacy-related litigation.
  • Partners: Worked very closely with Department of Homeland Security (Including BTS, TSA, and CBP), as well as DOJ. DHS has lead in negotiations and its cooperation and willingness to compromise is crucial to reaching an agreement.
  • Other Issues: The U.S. is significantly closer to reaching an agreement with the EU Commission that would allow access to PNR data to DHS without being in violation of EU data privacy laws.

Performance Goal 2: Border Agreements

Initiative/Program #3: U.S.-Canada Smart Border Action Plan and the U.S.-Mexico Border Partnership

PERFORMANCE INDICATOR #1: STATUS OF BORDER SECURITY INITIATIVES
Initial FY 2003 Target Revised Target FY 2003 Result FY 2003 Performance Ratings
1. Delivery begins on U.S. support to Mexican law enforcement in non-intrusive inspection systems, safety and search and rescue training and equipment, border port management tools, Advanced Passenger Information, and facilitating Mexican access to the U.S. SENTRI system and related programs. 1. N/A 1. All programs proceeding largely on schedule. 1. On Target
2. Under the 30-point Canadian program, the API/PNR program is underway and is fully in place by early 2003. 2. N/A 2. Slight delay in Advanced Passenger Information/Passenger Name Record (API/PRN). 2. On Target
Details of 2003 Results
  • Partners: Department of Homeland Security.

 

Initiative/Program #4: Container Security Initiative

PERFORMANCE INDICATOR #2: PARTICIPATION IN THE CONTAINER SECURITY INITIATIVE
Initial FY 2003 Target Revised Target FY 2003 Result FY 2003 Performance Ratings
Expand program to six remaining top twenty ports and to cover 98 percent of EU shipments. Expand program worldwide. Nineteen of the largest 20 ports that ship to the United States sign Declarations of Principles (DoPs) to participate in the CSI program. Additional "pilot phase" deployments begin. CSI expanded to include ports beyond the top 20 and negotiations begin on EU-wide agreement. Discussions continue with the EC and member states on expansion to additional EU ports. Nineteen of the largest 20 ports agreed to participate in the CSI program. CSI was expanded to include additional ports worldwide. CSI "pilot phase" deployments underway at sixteen ports. On Target
Details of 2003 Results
  • Partners: The Bureau of Customs and Border Protection in the Department of Homeland Security is the lead agency for this effort.
  • Reason for Target Revision: Program had expanded beyond initial target.
PERFORMANCE INDICATOR #3: CARGO MANIFEST REQUIREMENTS
Initial FY 2003 Target Revised Target FY 2003 Result FY 2003 Performance Ratings
1. CBP (formerly USCS) requires air, sea, land, and rail freight to be manifested electronically and sent to BCBP before departure. 1. CBP requires 24-hour advance notice prior to lading for all vessel cargo unless exempted. 1. All vessel cargo manifest information is being provided to the Department of Homeland Security's Bureau of Customs and Border Protection (CBP) either in electronic or paper format at least 24 hours prior to loading unless exempted. 1. On Target
2. The Department works with foreign carriers and industries to produce viable final regulations. 2. Regulations are promulgated for electronic transmission for all modes. Paper is currently being accepted for vessel cargo. 2. Regulations are being finalized for electronic submission of data for all modes of transport. 2. On Target
Details of 2003 Results
  • Reason for Target Revisions: CPB was unable to publish the newly mandated regulations until after the new fiscal year due to the necessity for extensive revision and rewriting of the regulations.
  • Data Reliability: Due to the lack of an existing system to accept electronic manifests from trucks, advanced electronic submission of entry data will be accepted.
  • Data Validation: Advanced electronic data receipt will enhance the targeting and screening of high risk cargo while facilitating the flow of legitimate goods.
  • Partners: The Bureau of Customs and Border Protection in the Department of Homeland Security is the lead agency for this effort.

Performance Goal 3: Infrastructure Network Protection

Initiative/Program #5: Cyber Security

PERFORMANCE INDICATOR #1: NUMBER OF COUNTRIES WITH
CRITICAL INFRASTRUCTURE PROTECTION ACTION PLANS
Initial FY 2003 Target Revised Target FY 2003 Result FY 2003 Performance Ratings
Member states of OECD, APEC, and CITEL with significant telecom infrastructures. 22 Baseline: 69 Significantly Above Target
Details of 2003 Results
  • Reason for Significantly Exceeding Performance Target: This result includes countries with which the U.S. has had a bilateral or multilateral cyber and physical security exchange.
  • Reason for Target Revision: Indicator revised from "Number of Multilaterals with Critical Infrastructure Action Plans." Countries are a more relevant measure.
  • Partners: FCC, DOJ, Commerce, DHS.