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Strategic Goal 2: Homeland Security

Secure the Homeland by Strengthening Arrangements that Govern the Flows of People, Goods, and Services Between the United States and the Rest of the World

Public Benefit

The events of 9/11 proved how susceptible the United States and its allies are to those who would do them harm. The Department, together with the newly established Department of Homeland Security (DHS) and other USG agencies, is addressing U.S vulnerabilities to terrorist attacks within the United States. The strengthening of U.S. physical and cyber borders against people who threaten U.S. security requires the security of the global networks of commerce, travel, and communications that enable the vital free flow of bona fide travelers and goods. At the same time, the Department is combating the ability of terrorists to travel, finance their activities, plan and conduct attacks, and recruit and train new adherents.

The United States cannot protect its borders unless it works closely with its neighbors - Canada, Mexico, and the nations of the Caribbean - as well as America's friends and allies around the world. Shared elements of physical infrastructure require coordination for effective protection. The cyber system is global and therefore requires a global response. Bilateral and multilateral responses to terrorism must create a global network that can prevent terrorists and their tools from reaching America's borders.

The Department remains committed to the protection of America's people, institutions, land, economy, and infrastructure, as well as that of America's allies.

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Performance Goal 1

Denial Of Visas To Foreign Citizens Who Would Abuse or Threaten The United States, While Facilitating Entry of Legitimate Applicants

Summary: Projected FY 2004 Performance

The Department seeks to use the visa process and to deny entry to travelers who pose a national security threat. More effective information sharing and more careful screening of applicants, will result in improved national security measures that both protect U.S. border security and promote legitimate international travel. Since the events of 9/11, the Department has been engaged with other USG agencies in an extensive and ongoing review of visa-issuing practices as they relate to the security of U.S. borders and the United State itself.

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Example of an FY 2002 Achievement:
Visa Denials --
The Department recommended that forty aliens, several of whom sought to conduct cutting-edge medical research in the United States, be found ineligible for visas under INA section 212(a)(3)(A) due to technology transfer concerns. The interviewing consular officers developed information linking the applicants to foreign institutions known to be developing biological or chemical weapons, thereby preventing them from entering the United States.

The deployment of standardized consular systems and other changes such as improved communications infrastructure have made it more practical to have standard practices worldwide. The interests of homeland security now make standard practices absolutely essential. In 2003, the Department initiated a series of consular standard operating procedures (SOPs) - formal, documented procedures that will provide repeatable, consistent and predictable results. By documenting uniform, standard aspects of consular operations, we will improve overall security and the integrity of the visa process. Carefully following SOPs will also provide consular officers with assurance that they have done things right and in accordance with Department policy. Some SOPs will be useful summaries of existing guidance; others will establish new procedures.

The initial SOPs addressed student and exchange visitor visa processing, security advisory opinion procedures, and cases requiring non-security advisory opinions. Outreach will be crucial in explaining the changed procedures to governments and visa applicants abroad. The Department is committed to ensuring that consular officers have the tools needed to meet today's challenges, from language and consular training to technical resources. Since the events of 9/11, the Department has made numerous changes and additions to the Foreign Service Institute's consular training courses to improve interviewing techniques, name checking, and accountability. More changes are planned regarding counter-terrorism and security issues. As a result of these efforts, by the end of FY 2004, consular officers will be better equipped to face the challenge of identifying visa applicants who could pose a threat to U.S. security and the visa process should be more transparent and predictable for the average visa applicant who poses no danger.

The Department is participating in the development and implementation of the National Security Entry-Exit System (NSEERS), an integrated entry and exit data system for ports of entry (POES), required by the Immigration and Naturalization Service (INS) Data Management Improvement Act of 2000 (PL 106-215) and section 302 of the Enhanced Border Security and Visa Entry Reform Act. The Department will work to implement the Entry-Exit Project Charter, drafted jointly with the Department of Homeland Security (DHS) and the Department of Transportation, which will lead to an automated system to record the arrivals, departures, and related activities (extension of stay, adjustment of status, application for employment authorization, etc.) of foreigners in the United States. In addition to providing the USG with better tools to record and monitor the entry of aliens into the United States, this exit-entry system will provide a means of continual review and validation of visa issuance procedures.

At the same time, the Department is enhancing its database systems, including the Consular Consolidated Database (CCD) of all U.S. visa applications, to monitor visa issuance more effectively. The Consular Lookout and Support System (CLASS) is the centerpiece of the consular border security program. It is on-line for all U.S. consular operations overseas and now contains over 13 million visa lookouts on individuals of concern to the U.S. law enforcement and intelligence communities, records of inadmissible aliens, and data on lost and stolen passports. TIPOFF, a database of suspected foreign terrorists, incorporates all-source diplomatic, law enforcement, and intelligence reporting data, and feeds into CLASS and other USG watchlists. Both CLASS and TIPOFF have grown extensively, more than doubling since the events of 9/11, when total visa lookouts numbered approximately 5.7 million. Additional resources and, where appropriate, a reevaluation of processes and software systems will be required to handle the dramatically increased workload. The border security act requires an interagency, interoperable electronic bio-data lookout system that will contain information relevant to visa determinations. The Department is committed to continued support of both CLASS and TIPOFF and will address both systems and bureaucratic issues involved in ensuring that these tools contain all possible name-retrievable threat information available within the USG to enhance the monitoring of those who enter the United States.

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Performance Trend: FY 2000 - FY 2004 --
Number of Other USG Agencies With Access to CCD Database:
2000 (Result): 0
2001 (Result): 0
2002 (Result): 1
2003 (Target): 4
2004 (Target): 6

The Department is also working on the technical improvement of its processes and systems and is deploying the hardware and software necessary to scan records and capture documents digitally. This effort will replace paper files with digitized image storage and retrieval and improve real-time access to information resulting in higher quality decisions by adjudicating consular officers. These efforts are also needed to comply with recent legislative requirements for lengthier storage of visa applications. In addition to meeting this legislative mandate, this imaging strategy positions the Department to share an even broader range of documents and data with interested USG agencies to promote intelligence coordination and threat assessment.

Along with DHS and other USG agencies, the Department is working on a number of programs with Canada and Mexico as part of the 30-point U.S.-Canada Smart Border Action Plan and 22-point U.S.-Mexico Border Partnership. The Department is working on agreements that would permit the sharing of Advance Passenger Information/Passenger Name Records for airline passengers entering the United States, Canada, or Mexico. The Department is also working with both of these countries to expand frequent travelers programs (NEXUS with Canada, SENTRI with Mexico) to allow faster crossings for bona fide travelers. These programs will increase security, facilitate law enforcement screening of illegal or dangerous movements, aid trade and tourism, and address Canadian and Mexican concerns.

The Department will confront a major challenge in establishing processes to collect biometrics from overseas visa applicants. The existing Border Crossing Card (BCC) program in Mexico has provided valuable experience in this area. The BCC program already processes more than 2 million visa applicants each year, collecting index finger fingerprints and digital photographs. Implementation of a worldwide biometric enrollment program will require considerable software development and a phased deployment over the next several years. The Department will apply the lessons learned from the BCC project and will rely upon a public-private partnership, featuring on-site management by its personnel to help ensure the integrity of the system.

Under the "Third Border Initiative" for the Caribbean region, the Department will enhance the policy and legislative frameworks of regional governments to improve the management and control of migration, as well as enhance the operational capacities of Caribbean countries to inspect travelers, their documents, and possessions.

The Department is currently developing a comprehensive regional plan to address security issues, including the exchange of information about legitimate travelers and undocumented migrants from third countries, to facilitate the flow of these bona fide visitors, and to detect and deter potential threats to U.S. and regional security. The Department's Bureau of International Narcotics and Law Enforcement Affairs (INL) is funding a $2.2-million project to improve Jamaica's migration management process and establish an automated lookout system at its major international ports of entry. INL is also developing potential programs for more secure machine-readable passports for Central American countries.

Finally, the Department along with the Department of Justice and other USG agencies, will create an interagency Migrant Smuggling and Trafficking in Persons Coordination Center to improve operations against organized criminal efforts to bring persons into the United States illegally.

Summary: Indicators, Results, and Targets

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Baseline

Results

Targets

2000

2001

2002

2003

2004

Indicator #1: Number of Other Agencies With Access to the

Consular Consolidated Database (CCD).

0

0

1

4

6

Indicator #2: Percentage of Files Stored Electronically in Accordance With the Requirements of Enhanced Border Security and Visa Entry Reform Act (PL 107‑173).

0

0

All paper files were retained. Preparations for electronic storage began.

Retention of paper files continues. Begin to phase in electronic storage. Start back-scanning files on ineligible applicants and begin scanning of select applications.

Electronic retention of all applications in cases of concern. Transfer of archives to electronic media of all serious refusal files and 40 percent of other archival material.


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Baseline

Results

Targets

2000

2001

2002

2003

2004

Indicator #3: Development of a Biometrics Collection Program for U.S. Visas.

Biometric indicators (photo and two fingerprints) were included in nonimmigrant Border Crossing Card (BCC). All posts in Mexico collected biometric indicators from applicants, both on- and off-site, and transmitted data electronically to INS.

Biometric BCC program continued. Facial recognition technology was used to disqualify duplicate entries in Diversity Visa lottery.

Biometric BCC program continued. Production of BCCs at U.S. Embassy in Mexico supplemented BCC production by INS in periods of great demand. Use of facial recognition (FR) technology expanded.

Biometric BCC program and practical application of FR technology continue. Working with DHS and NIST, set a biometrics-based standard for the documentation of the visa process.

Development work begins on worldwide biometrics collection.

Continue implementation of biometric collection program at forty posts.

Indicator #4: Passenger Manifest Requirements.

Voluntary program to provide USCS and INS with passenger information.

Passenger manifest information taken from visas and passports made mandatory by U.S. Customs Service (USCS).

The Department assisted foreign carriers, particularly air carriers to meet the high performance requirements of 97 percent accuracy. Program expanded to cruise vessels.

Program extended to land, rail and ferry passenger manifests. 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.

The Department will continue to assist foreign carriers and public authorities in the implementation of these programs, which will be tied to the Entry-Exit program to track visitors to the United States. Entry-Exit will be established at all airport entry points; land borders will have implementation programs on a trial basis. Reach PNR access agreement with the EU.

Means and Strategies by Target

Access by six other agencies to CCD

• The Department is negotiating MOUs with law enforcement and intelligence agencies to standardize and institutionalize this exchange of data. Systems development and formal database interface documents are developed in each case.

Retain all current applications electronically; continue the transfer of archives to electronic media.

• Software and hardware to support the scanning and indexing of visa documents developed and sent to all posts. Given resource implications of global scanning, the Department's Bureau of Consular Affairs (CA) identifies most critical supporting documents first. CA envisions capturing serious refusal information, followed by applications in cases requiring special screening, visa referral cases, other refusals and, eventually if the benefit can be shown, all visa applications.

Have operational biometrics collection programs at forty posts.

• Based upon decisions to be made by the USG interagency community, CA will play a role in developing software, deploying software and hardware to the first tranche of collection posts, and designing and implementing new procedures to allow secure and efficient collection of biometric information.

Expand Electronic Passenger Manifest Systems

• The Advanced Passenger Information/Passenger Name Record (API-PNR) program with Canada was in place in early 2003. The associated program with Mexico is being partially supported under the $25-million U.S./Mexico Border Partnership, directed by INL. The Mexican Government will implement an API by the end of 2003. By 2004, fifty U.S. and foreign carriers will be participating in the program.


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Performance Goal 2

Implemented International Agreements Stop the Entry of Materials that could Harm the United States, while Ensuring the Transfer of Bona Fide Materials.

Summary: Projected FY 2004 Performance

In conjunction with efforts to monitor the flow of visitors into the United States in order to target more effectively those who are of concern, the Department is also working with DHS and other USG agencies to strengthen the controls over goods that enter the United States. In line with the travelers programs, the goal is to target those containers or other packages that are potentially harmful, thus preventing them from entering the United States or its environs. With this in mind, the Department is working on initiatives to improve border security with Canada, Mexico, and the Caribbean region. In addition, the Department is working with all its allies to have better control over the global transportation of potentially harmful goods and materials. The goal is to create a system that can stop harmful materials before they begin their journey to the United States or its allies, and to create redundancies that provide multiple layers of protection.

U.S.-Canada Smart Border Action Plan

In December 2001, the United States and Canada signed the 30-point Smart Border Accord to improve security along the common border while facilitating the legitimate flow of goods and people. Its four goals are the secure flow of people, the secure flow of goods, secure infrastructure, and enhanced information sharing. Other areas of activity include biosecurity and science and technology. The long-term goal of the accord is to create a more secure and efficient border with Canada and greater U.S. and Canadian coordination on information sharing, visa policies, border infrastructure, and critical infrastructure protection, in order to protect both nations better. Over the past year the Department has worked closely with DHS to implement this accord. There has been substantial progress in making the U.S.-Canadian border safer and more efficient. The Department has concluded agreements on information and fingerprint sharing, coordinated expansion of overseas personnel, and expanded programs for movement of known travelers and goods. Efforts in the area of transfer of goods include the exchange of customs officers with Canada to help screen incoming container shipments. Several information-sharing agreements and an air pre-clearance agreement are nearing conclusion.

Along with the expansion of the NEXUS frequent travelers program (see Performance Goal 1), the Department is augmenting the Free and Secure Trade (FAST) Program to improve the security of cross-border shipments while speeding the movement of truck traffic. Integrated Border Enforcement Teams (IBETs) are coordinating enforcement efforts that will result in greater efficiency and coherency, and more effective protection.

U.S.-Mexico Border Partnership

The U.S.-Mexico Border Partnership, signed in March 2002, commits the United States and Mexico to implement border policies that embrace technology and enhance bilateral cooperation to ensure safe, humane, efficient, and modernized management of the border. The Border Partnership action plan focuses on infrastructure development at POEs, the secure flow of people (one million crossings/day, and the secure flow of goods ($233 billion in trade in 2001). The plan calls for the use of infrastructure to diminish delays and facilitate the movement of goods and people. Under the plan, goods will be subjected to non-intrusive inspection systems at POEs. Portable x-ray machines will screen vehicles and help detect smuggling. Additionally, various security devices to combat smuggling are being tested. INL is providing $25 million in FY 2002 Terrorism Supplemental Appropriation international law enforcement assistance to Mexico to help Mexican authorities better carry out their responsibilities in support of the Border Partnership. The Department is seeking future-year funding to continue this assistance. Once fully operational, the Partnership will result in increased security and improved efficiency demonstrating that these goals are not exclusive but rather mutually obtainable.

INL's Mexico Border Security assistance program will enable U.S. and Mexican law enforcement authorities to focus more effectively on screening out illegal or dangerous movements of people and goods as bona fide commerce and travel flow more efficiently.

Third Border Initiative

The Third Border Initiative (TBI) is an ongoing, broad-based effort to channel USG assistance to meet key challenges in the Caribbean region. In the border security area in FY 2002, TBI began funding of $900,000 to help Caribbean airports bring their safety and security enforcement and regulations up to FAA and ICAO standards. INL is also implementing the migration management assistance program detailed in Performance Goal 1.

Container Security Initiative

In 2002, the Department participated in an interagency group that worked to implement the Container Security Initiative (CSI) at the world's twenty largest ports and have foreign carriers submit full passenger and cargo manifest information electronically. By 2004, law enforcement agencies will be able to use digital information for pre-boarding screening and post-arrival tracking of people and goods.

Summary: Indicators, Results, and Targets

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Baseline

Results

Targets

2000

2001

2002

2003

2004

Indicator #1: Achievement of the Border Security Initiatives

N/A

Baseline:

Dialogue started with the Canadian Government to work together on border issues.

The 30-point Canadian plan and the 22-point Mexican plan were launched.

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.

Under the 30-point Canadian program, the API/PNR program is underway and is fully in place by early 2003.

Mexican law enforcement and equipment will be significantly upgraded to assist in screening potentially illegal or dangerous movements of goods and persons to the United States. This will include increased SENTRI access and Non-Intrusive Inspection Equipment (NIIE) being installed along road and track crossings into the United States. Assess needs for further improvements.

In Canada, frequent traveler (NEXUS) and frequent shipper (FAST) programs are in place at all major border crossings; information sharing agreements are fully implemented; visa coordination plans ongoing; plans are developed for infrastructure improvements, joint facilities and critical infrastructure protection.

Indicator #2: Participation in the Container Security Initiative (CSI)

N/A

N/A

Baseline:

Launch of the CSI. Nine countries signed on, encompassing fourteen of the initial twenty megaports.

Expand program to six remaining top twenty ports and to cover 98 percent of EU shipments. Expand program worldwide.

All major ports that ship to the United States will participate in the CSI program.


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Baseline

Results

Targets

2000

2001

2002

2003

2004

Indicator #3: Cargo Manifest requirements.

Paper manifests sent to United States Customs Service (USCS) sometimes arriving a month after being sent.

USCS began electronic manifest programs with U.S. exporters.

USCS expanded electronic manifesting to Canadian and Mexican borders to speed clearance.

CBP (formerly USCS) requires air, sea, land, and rail freight to be manifested electronically and sent to BCPB before departure. The Department works with foreign carriers and industries to produce viable final regulations.

CBP continues implementation and screening. The Department works with overseas operators to create a seamless and safe door-to-door delivery system. Air cargo manifest screening will be in place at all ports of departure overseas. Sea and land freight trial screening programs will be in place at POEs.

Means and Strategies by Target

Screen cargo bound for the United States before departure.

Have declarations of principles signed for containerized freight. By regulation, screen all other cargo and visitors before they enter the United States.

All information on passengers and freight will be transmitted and stored electronically so that it can be organized and sent to the appropriate agencies.

Coordinate rules and legislation internationally to achieve the highest standards of comprehensive security for the transportation of goods.

• Introduce upgraded border security goals through international organizations such as the UN, International Civil Aviation Organization, the World Customs Organization, the International Maritime Organization, the G-8, OAS, and APEC where the United States can provide leadership and garner support for transportation security.


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Performance Goal 3

Protection of Critical Physical and Cyber Infrastructure Networks Through Agreements and Enhanced Cooperation

Summary: Projected FY 2004 Performance

The smooth operation of national infrastructures - such as energy generation and distribution networks, financial networks, telecommunications networks, dams/waterways, and transportation networks - is a critical aspect of U.S. national strength. The information systems that support these infrastructures are interconnected domestically and internationally, creating complex interdependencies and shared vulnerabilities. Furthermore, the United States shares with Canada and Mexico the responsibility for many of its cross-border physical infrastructure assets. The Department, through bilateral discussions with close allies and with other countries in multilateral fora, will continue to advocate cooperative international actions to enhance physical and cyber security. By 2004, the Department's efforts will have significantly strengthened the protection of shared - and, by extension, U.S. - critical infrastructure.

The Department will raise concerns about infrastructural security concerns with a broader international audience by working through regional fora, such as the Organization of American States (OAS), the Organization for Economic Cooperation and Development (OECD), and the Asia-Pacific Economic Cooperation (APEC) Forum, as well as bilaterally and through regional groupings in Eastern Europe and the Middle East. The United States will continue to push for the adoption of concrete action plans to reduce the risk to critical infrastructure. Where possible, the United States will support education and training activities related to key themes such as modernizing legal frameworks, enforcing laws, creating incident response capabilities, and developing public-private partnerships. With close U.S. allies, particularly Canada and Mexico, the Department will continue to foster cooperative relationships and common solutions to secure shared critical infrastructure vulnerabilities, thereby ensuring a more robust North American infrastructure.

Efforts to prevent attacks on critical infrastructure must be reinforced by their effective criminalization and prosecution. In particular, in many countries existing legal frameworks are an insufficient basis for prosecution of cyber attacks. Through multilateral and bilateral outreach, the Department will help nations develop and modernize domestic legislation and strengthen trans-border law enforcement cooperation by encouraging nations to develop appropriate standards to permit successful investigation and prosecution of cybercrime, and by providing technical assistance to implement the rules. The Department supports the Council of Europe (COE) Cybercrime Convention as a model for legal frameworks and trans-border law enforcement cooperation, and as such supports its speedy activation. Once in force, the Department will seek to encourage accession to the convention by non-COE nations.


Summary: Indicators, Results, and Targets

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Baseline

Results

Targets

2000

2001

2002

2003

2004

Indicator #1: Number of Multilateral Fora With Critical Infrastructure Protection Action Plans
(New Indicator)

N/A

N/A

N/A

N/A

3

Means and Strategies by Target

Multilateral fora have critical infrastructure protection action plans.

• Develop multilateral outreach program materials/tools for dissemination to a wide audience.

• Plan and secure funding for annual multilateral workshops or training devoted to critical infrastructure protection issues.

• Implement the critical infrastructure protection action plans developed with Canada and Mexico under the Smart Border Agreements.

Summary: Verification/Validation and Crosscutting Activities

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Performance Goal 1
Denial of visas to foreign citizens who would abuse or threaten the U.S., while facilitating entry of legitimate applicants.

Verification and Validation

Data on visa applications, issuance, and refusals, including the number of applicants screened by the border security officials and subsequent denials based on national security grounds. The same data will be used to evaluate the efficacy of special clearance procedures.

Crosscutting Activities

Risk assessment and analysis are activities that involve coordination across the breadth of the law enforcement and intelligence communities.

Performance Goal 2

Implemented international agreements stop the entry of goods that could harm the United States, while ensuring the transfer of bona fide materials.

Verification and Validation

The Department will monitor negotiations for CSI agreements and implementation of CSI targeting of high-risk containers and freight.

Crosscutting Activities

The Department will work with DHS, other USG agencies, and industry to promote cargo security programs.

Performance Goal 3

Protection of critical physical and cyber infrastructure networks through agreements and enhanced cooperation.

Verification and Validation

The Department will collect and analyze data on multilateral efforts. The number of multilateral fora with concrete action plans is indicative of international awareness and activity on this issue and will foster a cooperative efforts by member states.

Crosscutting Activities

The Department will seek policy input and program support from USG agencies with specific public sector responsibilities and will cooperate with U.S. private sector representatives in order to advance international public-private partnerships.

Contents

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