Aviation Security
Improvement still Needed in Federal Aviation Security Efforts Gao ID: GAO-04-592T March 30, 2004The security of the nation's commercial aviation system has been a long-standing concern. Following the events of September 11, 2001, Congress enacted numerous aviation security improvements designed to strengthen aviation security, including the development of a passenger prescreening system and the federalization of airport screeners. Despite these changes, challenges continue to face the Department of Homeland Security (DHS) and the Transportation Security Administration (TSA) efforts to improve aviation security. GAO was asked to summarize the results of previous and ongoing aviation security work. These include: (1) the development of CAPPS II to assist in identifying high-risk passengers, (2) the management of passenger and baggage screening programs, (3) the operations of the Federal Air Marshal Service, and (4) other aviations security related efforts, such as cargo, that remain a concern.
Numerous challenges continue to face TSA in its efforts to improve the nation's aviation security system. First, key activities in the development of CAPPS II have been delayed and TSA has not yet completed important system planning activities. TSA is behind schedule in testing and developing initial increments of CAPPS II due to delays in obtaining needed passenger data for testing from air carriers because of privacy concerns and has not established a complete plan identifying specific system functionality to be delivered, the schedule for delivery, and estimated costs. TSA also has not fully addressed seven of eight issues identified by Congress as key elements related to the development, operation, and public acceptance of CAPPS II. Additionally, three other major challenges--international cooperation, program mission expansion, and identity theft--need to be adequately addressed to ensure CAPPS II's successful implementation. Second, TSA continues to face challenges in hiring, deploying, and training its screener workforce. Staffing shortages and TSA's hiring process continue to hinder its ability to fully staff screening checkpoints without using additional measures, such as mandatory overtime. Further, TSA continues to have difficulty deploying and leveraging screening equipment and technologies because of competing priorities in a tight budget environment. Third, the rapid expansion of the Federal Air Marshal Service has encountered a number of operational and management problems. To accommodate the expansion, the Service revised and abbreviated its training curriculum. The Service developed an advanced training course for newly hired marshals to provide additional skills but funding cutbacks have delayed completion of this training for all air marshals. Most recently, budget constraints have not permitted the Service to reach its target staffing levels and are delaying efforts to develop its field location infrastructure and its automated system to schedule air marshal missions. Fourth, DHS and TSA face other challenges as they continue to address threats to the nation's aviation system. Significant challenges include developing measures to counter the growing concerns over portable surface-to-air missiles, improving airport perimeter and access controls, and addressing security concerns related to air cargo and general aviation.
GAO-04-592T, Aviation Security: Improvement still Needed in Federal Aviation Security Efforts
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Testimony:
Before the Subcommittee on Aviation, Committee on Commerce, Science and
Transportation, U.S. Senate:
United States General Accounting Office:
GAO:
For Release on Delivery Expected at 9:30 a.m. EST:
Tuesday, March 30, 2004:
AVIATION SECURITY:
Improvement Still Needed in Federal Aviation Security Efforts:
Statement of Norman J. Rabkin, Managing Director, Homeland Security and
Justice Issues:
GAO-04-592T:
GAO Highlights:
Highlights of GAO-04-592T, a testimony before the Subcommittee on
Aviation, Committee on Commerce, Science and Transportation, U.S.
Senate
Why GAO Did This Study:
The security of the nation‘s commercial aviation system has been a
long-standing concern. Following the events of September 11, 2001,
Congress enacted numerous aviation security improvements designed to
strengthen aviation security, including the development of a passenger
prescreening system and the federalization of airport screeners.
Despite these changes, challenges continue to face the Department of
Homeland Security (DHS) and the Transportation Security Administration
(TSA) efforts to improve aviation security. GAO was asked to summarize
the results of previous and ongoing aviation security work. These
include: (1) the development of CAPPS II to assist in identifying high-
risk passengers, (2) the management of passenger and baggage screening
programs, (3) the operations of the Federal Air Marshal Service, and
(4) other aviations security related efforts, such as cargo, that
remain a concern.
What GAO Found:
Numerous challenges continue to face TSA in its efforts to improve the
nation‘s aviation security system. First, key activities in the
development of CAPPS II have been delayed and TSA has not yet completed
important system planning activities. TSA is behind schedule in testing
and developing initial increments of CAPPS II due to delays in
obtaining needed passenger data for testing from air carriers because
of privacy concerns and has not established a complete plan identifying
specific system functionality to be delivered, the schedule for
delivery, and estimated costs. TSA also has not fully addressed seven
of eight issues identified by Congress as key elements related to the
development, operation, and public acceptance of CAPPS II.
Additionally, three other major challenges”international cooperation,
program mission expansion, and identity theft”need to be adequately
addressed to ensure CAPPS II‘s successful implementation.
Second, TSA continues to face challenges in hiring, deploying, and
training its screener workforce. Staffing shortages and TSA‘s hiring
process continue to hinder its ability to fully staff screening
checkpoints without using additional measures, such as mandatory
overtime. Further, TSA continues to have difficulty deploying and
leveraging screening equipment and technologies because of competing
priorities in a tight budget environment.
Third, the rapid expansion of the Federal Air Marshal Service has
encountered a number of operational and management problems. To
accommodate the expansion, the Service revised and abbreviated its
training curriculum. The Service developed an advanced training course
for newly hired marshals to provide additional skills but funding
cutbacks have delayed completion of this training for all air marshals.
Most recently, budget constraints have not permitted the Service to
reach its target staffing levels and are delaying efforts to develop
its field location infrastructure and its automated system to schedule
air marshal missions.
Fourth, DHS and TSA face other challenges as they continue to address
threats to the nation‘s aviation system. Significant challenges include
developing measures to counter the growing concerns over portable
surface-to-air missiles, improving airport perimeter and access
controls, and addressing security concerns related to air cargo and
general aviation.
What GAO Recommends:
In prior reports and testimonies, listed at the end of this statement,
GAO has made recommendations to improve aviation security and to
strengthen various security efforts underway. We also have several
ongoing reviews assessing certain issues addressed in this testimony
that will be published under separate reports at a later date.
www.gao.gov/cgi-bin/getrpt?GAO-04-592T.
To view the full product, including the scope and methodology, click on
the link above. For more information, contact Norman J. Rabkin at
(202) 512-8777 or rabkinn@gao.gov.
[End of section]
Mr. Chairman and Members of the Subcommittee:
I appreciate the opportunity to participate in today's hearing to
discuss the security of our nation's aviation system and the numerous
efforts under way to improve it. Protecting the nation's air
transportation system is an evolving process that requires continuously
adjusting protective measures to meet the ever-changing nature of
terrorist threats. Since the late 1960s and early 1970 when passenger
screening was first initiated, increasing and improving aviation
security has been a learning experience. Each incremental increase in
security was usually the result of some catastrophic event, the most
recent being the September 11, 2001, attacks. Following that tragic
event, aviation security efforts have been refocused and reorganized
through the creation of the Department of Homeland Security (DHS) and
the Transportation Security Administration (TSA), the strengthening of
federal leadership and responsibility for aviation security, and the
funding of billions of dollars each year for programs and initiatives
to maintain and enhance aviation security. Yet despite this large and
focused effort, concerns over the security of our aviation system
remain.
My testimony today focuses on DHS's and TSA's aviation security efforts
in four areas: (1) the development of the new Computer-Assisted
Passenger Prescreening System (CAPPS II) to help identify high-risk
passengers prior to arriving at the airport, (2) the management by TSA
of its passenger and baggage screening programs, (3) the operation of
the Federal Air Marshal Service, and (4) other aviation security-
related efforts that remain a concern. This testimony is based on our
prior and ongoing work and review of recent literature. A listing of
our prior reports is contained in appendix I.
In summary, we found that:
* Key activities in the development of CAPPS II have been delayed and
TSA has not completed important system planning activities. TSA is
behind schedule in testing and developing the system's initial
increments due to delays in obtaining passenger data needed for testing
from air carriers because of privacy concerns, and it has not
established an overall plan identifying specific system functionality
that will be delivered, the schedule for delivery, and estimated costs.
TSA also has not completely addressed seven of the eight issues
identified by the Congress as key areas of interest related to the
development, operation, and public acceptance of CAPPS II.
Additionally, there are three major challenges--international
cooperation, program mission expansion, and identity theft--that could
prevent the successful implementation of CAPPS II if not adequately
resolved by TSA.
* TSA continues to face challenges in hiring, deploying, and training
its screener workforce even though it met the mandate to establish a
federal screener workforce by November 2002. Staffing shortages and
TSA's hiring process continue to hinder its ability to fully staff
screening checkpoints without using additional measures, such as
mandatory overtime. Additionally, TSA has taken steps to enhance its
screener training programs, but staffing shortages and lack of high-
speed connectivity at many airport training facilities have made it
difficult for screeners to fully utilize these programs. Further, TSA
continues to face challenges in deploying and leveraging screening
equipment and technologies because of competing priorities in a tight
budget environment.
* The rapid expansion of the Federal Air Marshal Service has
encountered a number of operational and management problems. In order
to deploy its expanded workforce by July 1, 2002, the Service developed
an advanced training course to provide additional training for newly
hired air marshals, but funding cutbacks have delayed expected
completion of this training by all air marshals until mid-2004. More
recently, because of budget constraints, Service officials said that
the number of air marshals has not reached target levels and may be
declining, equipment and facilities for field locations cannot be
obtained, and the development of systems to schedule and manage air
marshal missions have been delayed.
* DHS and TSA face a number of other challenges as they continue to
address threats to the nation's aviation system. Significant challenges
include developing measures to counter the growing concerns over
portable shoulder-launched surface-to-air missiles, improving airport
perimeter and access controls, and addressing broad security concerns
related to air cargo and general aviation. We have work in progress
that is examining these issues.
Background:
The security of the U.S. commercial aviation system has been a long-
standing concern. Over the years, numerous initiatives have been
implemented to strengthen aviation security. However, as we and others
have documented in numerous reports and studies, weaknesses continue to
exist. It was due in part to these weaknesses that terrorists were able
to hijack four commercial aircraft on September 11, 2001, with tragic
results. Concerns continue to exist regarding the security of the
aviation system, as evidenced by the cancellations of several, mostly
transatlantic flights to and from the United States in response to
intelligence information regarding specific threats to those flights.
With hundreds of commercial airports, thousands of commercial aircraft,
tens of thousands of daily flights, and millions of passengers using
the system daily, providing security to the nation's commercial
aviation system is a daunting task. In an effort to strengthen the
security of commercial aviation, the President signed into law the
Aviation and Transportation Security Act (ATSA) on November 19,
2001.[Footnote 1] ATSA created TSA and mandated actions designed to
strengthen aviation security, including the federalization of passenger
and baggage screening at over 440 commercial airports in the United
States by November 19, 2002, and the screening of all checked baggage
using explosive detection systems. On March 1, 2003, pursuant to the
Homeland Security Act of 2002,[Footnote 2] TSA was transferred from the
Department of Transportation to the newly created Department of
Homeland Security.
Virtually all aviation security responsibilities now reside within DHS,
and most of these are with TSA, including conducting passenger and
baggage screening, and overseeing security measures for airports,
commercial aircraft, air cargo, and general aviation. Only the Federal
Air Marshal Service, which was recently moved from TSA to DHS's Bureau
of Immigration and Customs Enforcement, is not within the
responsibilities of TSA. Taken together, these programs are intended to
form a layered system that maximizes the security of passengers,
aircraft, and other elements of the aviation infrastructure.
Significant Challenges Face Implementation Of Computer-Assisted
Passenger Prescreening System:
One effort under way to strengthen aviation security is TSA's
development of a Computer-Assisted Passenger Prescreening System, known
as CAPPS II, to replace the current prescreening system now in use.
CAPPS II will evaluate each passenger's level of risk before they reach
the check-in counter at the airport by accessing commercial and
government databases to authenticate the passenger's identity and
generate a risk score. The risk scores will be used to determine if
passengers need additional security measures or, if warranted, be
denied boarding and/or detained by law enforcement.
However, as we recently reported, TSA faces numerous challenges that
could affect CAPPS II's successful development and
implementation.[Footnote 3] Key activities in the development of CAPPS
II are behind schedule and TSA has not developed critical system plans;
numerous developmental, operational, and privacy issues of concern to
the Congress remain unresolved by TSA; and other significant challenges
exist that could affect the successful implementation of CAPPS II. As a
result, the potential for CAPPS II to improve aviation security remains
questionable until TSA addresses the numerous concerns raised and
challenges facing the program.
Program Delays and Critical Plans Incomplete:
Key activities in the development of CAPPS II have been delayed and TSA
has not yet completed critical system planning activities. TSA is
developing CAPPS II in nine increments, with each increment providing
increased functionality. As each increment reached completion, TSA
planned to conduct tests that would ensure the system meets the
objectives of that increment before proceeding to the next increment.
The development of CAPPS II began in March 2003 with increments 1 and 2
being completed in August and October 2003, respectively. However, TSA
has not completely tested these initial two increments because it was
unable to obtain the necessary passenger data for testing from air
carriers. Air carriers have been reluctant to provide passenger data
due to privacy concerns. As a result, TSA deferred completing these
tests until increment 3.
Completion of increment 3, however, has been delayed. Due to the
continued inability to secure passenger data for testing, TSA delayed
the completion of increment 3 from October 2003 until the end of March
2004. Moreover, the functionality that this increment was expected to
achieve has been reduced. Increment 3 was originally intended to
provide a functioning system that could handle live passenger data from
one air carrier in a test environment to demonstrate that the system
can satisfy operational and functional requirements. However, TSA
officials reported that they recently modified increment 3 to instead
provide a functional application of the system in a simulated test
environment that is not actively connected to an airline reservation
system, and they are uncertain when testing that was deferred from
increments 1 and 2 to increment 3 will be completed. As a result, all
succeeding increments of CAPPS II have been delayed.
Further, TSA has not yet developed critical elements associated with
sound project planning, including a plan for what specific
functionality will be delivered, by when, and at what cost throughout
the development of the system. For example, although TSA established
plans for the initial increments of the system, it lacks a
comprehensive plan identifying the specific functions that will be
delivered during the remaining increments; such as, which government
and commercial databases will be incorporated, the date when these
functions will be delivered, and an estimated cost of the functions. In
addition, TSA officials are uncertain when CAPPS II will achieve
initial operating capability--the point at which the system will be
ready to operate with one airline. Project officials also said that
because of testing delays, they are unable to plan for future
increments with any certainty. Until project officials develop a plan
that includes scheduled milestones and cost estimates for key
deliverables, CAPPS II is at increased risk of not providing the
promised functionality, not being fielded when planned, and being
fielded at an increased cost.
Issues Identified by Congress Remain Unresolved:
TSA has not fully addressed seven of eight issues identified by the
Congress as key areas of interest related to the development and
implementation of CAPPS II. At this time, only one issue--the
establishment of an internal oversight board to review the development
of major systems that includes CAPPS II--has been addressed. DHS and
TSA are taking steps to address the remaining seven issues; however,
they have not yet:
* determined and verified the accuracy of the databases to be used by
CAPPS II,
* stress tested and demonstrated the accuracy and effectiveness of all
search tools to be used by CAPPS II,
* developed sufficient operational safeguards to reduce the
opportunities for abuse,
* established substantial security measures to protect CAPPS II from
unauthorized access by hackers and other intruders,
* adopted policies to establish effective oversight of the use and
operation of the system,
* identified and addressed all privacy concerns, and:
* developed and documented a process under which passengers impacted by
CAPPS II can appeal decisions and correct erroneous data.
Although TSA is in various stages of progress to address each of these
issues, TSA has not established milestones for some and delayed others
without estimating a new completion date. For example, TSA planned to
conduct stress and system tests by August 2003; however, stress testing
was delayed several times due to TSA's inability to obtain the
passenger data needed to test the system. Completion of stress testing
was moved to March 31, 2004, but this testing has been postponed again
and currently no estimate exists for when these tests will be
conducted. Although TSA program officials contend that their ongoing
efforts will ultimately address each issue, program officials were
unable to identify a time frame for when all remaining issues will be
fully addressed.
Other Challenges Could Affect Successful Implementation of CAPPS II:
CAPPS II faces three other challenges that, if not adequately resolved,
pose major risks to its successful development, implementation, and
operation. First, for CAPPS II to operate fully and effectively, it
needs data not only on U.S. citizens but also on foreign nationals on
all international flights coming to, or departing from, the United
States as well as all domestic flights. However, obtaining
international cooperation for access to these data remains a
substantial challenge. The European Union, in particular, has objected
to its citizens' data being used by CAPPS II, whether a citizen of a
European Union country flies on a U.S. carrier or an air carrier under
another country's flag, because it may violate the civil liberties and
privacy rights of its citizens. According to a December 2003 report
from the Commission of European Communities, the European Union will
not be in a position to agree to the use of its citizens' passenger
data for CAPPS II until internal U.S. processes have been completed and
it is clear that the U.S. Congress's privacy concerns have been
resolved. Discussions with the European Union on this issue are
ongoing.
Second, the original purpose of CAPPS II may be expanded and this
expansion may in turn affect program objectives and public acceptance
of the system. The primary objective of CAPPS II was to protect the
commercial aviation system from the risk of foreign terrorism by
screening for high-risk or potentially high-risk passengers. However,
TSA has said that the system would seek to identify domestic terrorists
as well as foreign terrorists and that the system could be expanded to
identify persons who are subject to outstanding federal or state arrest
warrants for violent crimes and those individuals who are in the United
States illegally or who have overstayed their visas. DHS officials
contend that such changes are not an expansion of the system's mission
because they believe these additional objectives will improve aviation
security and are consistent with CAPPS II's mission. However, concerns
exist that expanding CAPPS II's mission could also lead to an erosion
of public confidence in the system, increase the costs of passenger
screening and the number of passengers erroneously identified as
needing additional security attention, and put TSA at risk of diverting
attention from the program's fundamental purpose.
Third, the successful operation of CAPPS II depends on the system's
ability to effectively identify passengers who assume the identity of
another individual. TSA officials said that CAPPS II should detect
situations in which a passenger submits fictitious information such as
a false address. These instances would likely be detected since the
data being provided would either not be validated or would be
inconsistent with information in the databases used by CAPPS II.
However, the officials acknowledge that some identity theft is
difficult to spot, particularly if the identity theft is unreported or
if collusion, where someone permits his or her identity to be assumed
by another person, is involved. TSA officials said that there should
not be an expectation that CAPPS II will be 100 percent accurate in
identifying all cases of identity theft, and that although not
foolproof, CAPPS II represents an improvement in identity
authentication over the current system.
Efforts to Improve Screening Face Challenges:
One of the critical layers of our nation's aviation security system is
passenger and baggage screening. All passengers on commercial airliners
must pass through airport screening checkpoints and have their carry on
and checked baggage screened. TSA manages the screening operations and
uses electronic searches, manual searches, and other measures to
determine if threat objects, including explosives, are in the
possession of the passengers or in their baggage. Following the events
of September 11, 2001, airline passenger and baggage screening became a
federal responsibility and is now carried out by TSA employees or, in
the case of five airports, by private screening companies under the
direction of TSA.[Footnote 4]
Our recent work on screening has found that numerous challenges impede
TSA's progress in improving screening.[Footnote 5] Four key areas of
concern include TSA's efforts to (1) hire and deploy passenger and
baggage screeners, (2) train the screening workforce, (3) measure
screener performance in detecting threat objects, and (4) leverage and
deploy screening equipment and technologies.
Concerns Remain Regarding Hiring and Deploying the Screener Workforce:
TSA accomplished a significant goal by hiring and deploying more than
55,000 screeners by November 19, 2002. However, its initial staffing
efforts created imbalances in the screener workforce. While some
airports had too many screeners, others had too few. To address these
imbalances, as well as congressional concerns regarding overall
screener-staffing levels, TSA began attempting to right-size its
screener workforce. Specifically, TSA established a goal to reduce its
screener workforce by 3,000 screeners by June 1, 2003, and an
additional 3,000 screeners by September 30, 2003. These reductions were
achieved through attrition, voluntary transfers from full to part-time,
and involuntary transfers to part-time or terminations based on
screeners' scores on competency-based examinations.
However, TSA continues to struggle to achieve the right number of
screeners at airport passenger and baggage checkpoints and has not yet
achieved a stable screener workforce. To accomplish its security
mission, TSA needs a sufficient number of screeners trained and
certified in TSA security procedures and technologies. Currently, TSA's
screener staffing level is below a congressionally imposed staffing cap
of 45,000 full-time equivalents.[Footnote 6] According to TSA
officials, TSA has experienced an average annual attrition rate of 14
percent for screeners, with some of the larger airports reportedly
experiencing annual attrition rates ranging from 15 to 36 percent. TSA
has also experienced difficulties in hiring new staff. TSA's hiring
process is designed to ensure that its hiring practices are
standardized and consistent throughout all airports. However, this
process has hindered the ability of some Federal Security Directors
(FSD)[Footnote 7] to adequately staff passenger and baggage screening
checkpoints. In addition, TSA has also experienced challenges in
attracting needed part-time screeners. As a result, FSDs at some of the
larger airports we visited had to frequently require mandatory
overtime, particularly during the holiday season, to accomplish
screening functions.
To help right-size and stabilize its screener workforce, TSA hired a
consultant in September 2003 to conduct a study of screener staffing
levels at the nation's commercial airports. Specifically, the
consultant was tasked with, among other things, evaluating TSA's
current staffing methodology and systems to establish a baseline,
developing a comprehensive modeling approach that accounts for the
considerable variability that occurs among airports,[Footnote 8]
integrating modeling parameters into TSA's screener scheduling system,
and delivering user friendly simulation software that will determine
optimum screener staffing levels for each of the more than 440
commercial airports with federal screeners. TSA expects the
consultant's study to be completed in April 2004.
TSA is also trying to compensate for screener shortages and to enable
operational flexibility to respond to changes in risk and threat. In
October 2003, TSA established a National Screening Force to provide
screening support to all airports in times of emergency, seasonal
demands, or under other special circumstances that require a greater
number of screeners than regularly available to FSDs. The National
Screening Force currently consists of over 700 full-time passenger and
baggage screeners, of which about 10 percent are screening supervisors.
TSA officials said that they determine where to deploy members of the
National Screening Force based on priorities. For example, the highest
priority is given to those airports that need additional screeners in
order to be able to screen 100 percent of checked baggage using
Explosive Detection Systems (EDS) and Explosive Trace Detection (ETD)
systems. TSA is also currently drafting standard operating procedures
for the National Screening Force. We have ongoing work that will
examine TSA's use of the National Screening Force and other staffing
issues.
Screener Training Programs Enhanced, but Access to Programs Is
Sometimes Limited:
TSA has taken steps to enhance its training programs for screeners.
However, staffing shortages and lack of high-speed connectivity at
airport training facilities have made it difficult for screeners to
fully utilize these programs. Specifically, TSA recently revamped its
screener training program to include three main components: (1)
training all screeners in the skills necessary for both passenger and
baggage screening (replaces basic screener training); (2) recurrent
(skills refresher) screener training; and (3) technical screener
training/certification for EDS. In addition to strengthening its basic
and recurrent training programs, TSA is enhancing and standardizing
remedial training for screeners who fail testing conducted by TSA's
Office of Internal Affairs and Program Review. TSA has also established
leadership and technical training programs for screening supervisors.
Despite these efforts, however, some FSDs said that ensuring screeners
received required training continued to be a challenge. For example,
FSDs at 5 of the largest airports said that due to staffing shortages,
they were unable to let screeners take training because it would impact
FSDs' ability to provide adequate screener coverage. Consequently,
screeners received an average of only 3 hours of recurrent training per
month, far less than the required 3 hours per week.[Footnote 9] In an
attempt to ensure screeners receive required training, several FSDs
provided training through overtime, or established training relief
teams with the sole purpose of staffing screening checkpoints while
screeners participated in training.
TSA Continues to Strengthen its Efforts to Measure Screener Performance
in Detecting Threat Objects:
TSA has undertaken several initiatives to measure the performance of
passenger screeners in detecting threat objects. However, TSA has
collected limited data related to the performance of baggage screeners.
In July 2003, TSA completed a study of the performance of its passenger
screening system, which identified numerous performance deficiencies,
such as inadequate staffing and poor supervision of screeners. These
deficiencies were in turn caused by a lack of skills and knowledge, low
motivation, ineffective work environment, and wrong or missing
incentives. In response to this study, in October 2003 TSA developed a
short-term action plan that identified key actions TSA plans to take to
strengthen the performance of passenger screeners. These actions built
on several initiatives that TSA already had underway, including
enhancing training for screeners and supervisors, completing
installation of the Threat Image Projection system,[Footnote 10] and
conducting annual recertifications of screeners. TSA is also increasing
covert testing of passenger and baggage screeners in which TSA
undercover agents attempt to pass threat objects through screening
checkpoints to identify systematic problems affecting the performance
of screeners.
While TSA is making progress in each of these areas, it has collected
limited data on the performance of its baggage screening operations.
Officials said that they have collected limited performance data
related to baggage screeners due to their initial focus on passenger
screener performance, but plan to collect additional performance data
in the future.
TSA Faces Challenges in Its Efforts to Deploy and Leverage Screening
Equipment and Technologies:
TSA has made progress in its checked baggage screening operations, but
continues to face operational and funding challenges in screening all
checked baggage using explosive detection systems, as mandated by ATSA.
Although TSA has deployed EDS and ETD equipment to all airports, TSA
has not been able to fully utilize this equipment to screen 100 percent
of checked baggage for explosives by the congressionally mandated
deadline of December 31, 2003, due to screener and equipment shortages
and equipment being out of service for maintenance and/or repairs. When
TSA cannot screen 100 percent of checked baggage using EDS and ETD, TSA
continues to use alternative means, including K-9 teams, manual bag
searches, and positive passenger bag match. TSA has ongoing initiatives
to increase the efficiency of screening checked baggage using EDS,
including the development and construction of in-line baggage screening
systems at larger airports--which streamlines the screening processes.
TSA is also conducting research and development activities to
strengthen passenger and baggage screening. These efforts are designed
to improve detection capability, performance, and efficiency for
current technologies, and to develop the next generation of EDS
equipment. However, progress on this research was delayed in fiscal
year 2003 when TSA used $61 million of its $110 million research and
development funds for other programs that TSA viewed as higher
priorities. As a result, TSA had to delay several key research and
development projects, including developing a device to detect weapons,
liquid explosives, and flammables in containers found in carry-on
baggage or passengers' effects, and further development and testing of
a walk-through chemical trace detection portal for detecting explosives
on passengers.
Expansion of The Federal Air Marshal Service has experienced problems:
Although measures are taken to keep dangerous individuals and items off
aircraft, the possibility still exists that terrorists and dangerous
objects can still get on board aircraft. Consequently, a number of
other layers of security are in place to enhance the security of
commercial aircraft while in transit. One such layer is the Federal Air
Marshal Service, which places specially trained and armed teams of
civil aviation security specialists on board aircraft to protect
passengers, crew, and aircraft from terrorist activities on both
domestic and international flights.
Following the September 11, 2001, terrorist attacks, the Service
rapidly expanded. The organization grew from about 50 air marshals to
1,000s,[Footnote 11] as the Deputy Secretary of the Department of
Transportation--the Service's then parent agency--established a goal of
hiring, training, and deploying the new air marshals by July 2002. The
Service's budget grew commensurately, from $4.4 million in fiscal year
2001 to $545 million in fiscal year 2003. The rapid expansion led to a
number of operational and management control issues for the Service.
These included reviewing nearly 200,000 applications for federal air
marshal positions, initiating thousands of background investigations
for top-secret clearances, training the new workforce, and scheduling
the air marshals for flight duty.
These operational and management control issues have caused a number of
problems. As we discussed in a November 2003 report,[Footnote 12] to
deploy the requisite number of air marshals by July 2002, the Service
revised and abbreviated its training program. It modified the air
marshal training program from 14 weeks to about 5 weeks for candidates
without prior law enforcement experience and to about 1 week for
candidates with such experience. The training curriculum no longer
included airplane cockpit familiarization, visits to airlines, and some
of the instruction on the Service's policies and procedures. Moreover,
air marshal candidates no longer had to pass an advanced marksmanship
test to qualify for employment, although the candidates still had to
pass a basic test. To provide the newly hired air marshals with the
additional skills, the Service developed an advanced training course
that the air marshals were required to complete by January 2004.
However, cutbacks in funds have delayed the expected completion of this
training by all air marshals until mid-2004.
Ongoing work that examines the funding of the Service indicates that
problems may be continuing. Specifically, the number of air marshals
has not reached established target levels and may be declining. The
budget for the Service in fiscal year 2003--the year it was expected to
achieve its target staffing level--was reduced by the department from
$545 million to $450 million as part of a $763 million reprogramming by
TSA to cover a number of funding shortfalls. As a result, the Service
had to forgo the hiring of additional air marshals, further delay
training, and reduce efforts to develop and equip much of its field
operations infrastructure. The limitations on the funding for the
Service, and on its ability to increase the number of air marshals to
target levels, has resulted in the number of air marshals being less at
the end of fiscal year 2003 than anticipated. Officials from the
Service have said that if budget trends continue, they expect that at
the end fiscal year 2004 they will have fewer air marshals than they
had at any point since mid-2002. Additionally, Service officials said
that they do not have sufficient funding to develop the facilities
needed to provide its field locations with key equipment and
specialized space necessary for training and for providing updates on
tactics and intelligence and to update the Service's automated mission
scheduling system to enable it to schedule and manage all air marshal
missions.
Concerns Exist in Other Aviation Security Areas:
In addition to the concerns with the CAPPS II program, passenger and
baggage screening, and the expansion of the Federal Air Marshal
Service, TSA and DHS face a number of other programmatic and management
concerns in strengthening aviation security. The concerns include
developing measures to counter the Man-Portable Anti-aircraft Defense
Systems (MANPADS) threat against commercial aircraft, implementing
commercial airport perimeter and access controls, developing effective
measures for ensuring the security of air cargo, and strengthening
general aviation security. We have ongoing work that is examining DHS's
and TSA's efforts in all of these areas.
MANPADS:
The threat of terrorists using MANPADS--shoulder-launched surface-to-
air missiles--against commercial aviation has increased in recent
years, as many thousands of these missiles have been produced and are
in national arsenals and black markets throughout the world. In late
2002, terrorists fired surface-to-air missiles at an airliner departing
from an airport in Kenya, marking the first time they had been used to
attack commercial aircraft in a non-combat zone. Following the attack,
the White House convened a task force to develop a strategy to reduce
the MANPADS threat against commercial aircraft, and the Congress
directed DHS to submit a plan to develop and demonstrate a counter-
MANPADS device for commercial aircraft. In January 2004, DHS initiated
a 2-year program to migrate existing military counter-MANPADS systems
to the civil aviation environment and minimize the total lifecycle cost
of such systems.
DHS faces significant challenges in adapting current military counter-
MANPADS systems to commercial aircraft. These challenges include
establishing system requirements, maturing the counter-MANPADS
technology and design, and setting reliable cost estimates. For
example, DHS has to account for a wide variety of aircraft types in
designing and integrating the system. Further, the current generation
of missile warning systems have high false alarm rates and high
maintenance costs. In a January 2004 report,[Footnote 13] we noted the
benefits of following the knowledge-based approach used by leading
developers in industry and government to reduce program risks and
increase the likelihood of success and recommended that the department
adopt this approach to develop a counter-MANPADS system for commercial
aviation. DHS concurred with our recommendation and said that it will
be using knowledge-based evaluations throughout the program.
We are continuing to examine U.S. efforts to control the international
proliferation of MANPADS and DHS's efforts to develop technical
countermeasures to minimize the threat of a MANPADS attack. We expect
to issue a report discussing these issues by late April 2004.
Perimeter and Access Controls:
Prior to September 2001, work performed by us and others highlighted
the vulnerabilities in controls for limiting access to secure airport
areas. In one report, we noted that our special agents were able to use
fictitious law enforcement badges and credentials to gain access to
secure areas, bypass security checkpoints, and walk unescorted to
aircraft departure gates.[Footnote 14] The agents, who had been issued
tickets and boarding passes, could have carried weapons, explosives, or
other dangerous objects onto aircraft. Concerns over the adequacy of
the vetting process for airport workers who have unescorted access to
secure airport areas have also arisen, in part, as a result of federal
agency airport security sweeps that uncovered hundreds of instances in
which airport workers lied about their criminal history, or immigration
status, or provided false or inaccurate Social Security numbers on
their application for security clearances to obtain employment.
ATSA contains provisions to improve perimeter access security at the
nation's airports and strengthen background checks for employees
working in secure airport areas and TSA has made some progress in this
area. For example, TSA issued several security directives to strengthen
airport perimeter security by limiting the number of airport access
points, and they require random screening of individuals, vehicles, and
property before entry at the remaining perimeter access points.
Further, TSA made criminal history checks mandatory for employees with
access to secure or sterile airport areas. To date, TSA has conducted
approximately 1 million of these checks. TSA plans to review security
technologies in the areas of biometrics access control identification
systems (i.e., fingerprints or iris scans), anti-piggybacking
technologies (to prevent more than one employee from entering a secure
area at a time), and video monitoring systems for perimeter security.
Further, TSA plans to solicit commercial airport participation in a
pilot airport security program and is currently reviewing information
from interested airports. TSA plans to select 20 airports for the
program.
Although progress has been made, challenges remain with perimeter
security and access controls. Specifically, ATSA contains numerous
requirements for strengthening perimeter security and access controls,
some of which contained deadlines that TSA is working to meet. A number
of technologies could be used to secure and monitor airport perimeters,
including barriers, motion sensors, and closed-circuit television.
Airport representatives have cautioned that as security enhancements
are made to airport perimeters, it will be important for TSA to
coordinate with the Federal Aviation Administration and the airport
operators to ensure that any enhancements do not pose safety risks for
aircraft. To further examine these threats and challenges, we have
ongoing work assessing TSA's progress in meeting ATSA provisions
related to improving perimeter security, access controls, and
background checks for airport employees and other individuals with
access to secure areas of the airport, as well as the nature and extent
of the threat from shoulder-fired missiles. We expect to report on the
results of this work by May 2004.
Air Cargo Security:
As we and the Department of Transportation's Inspector General have
reported, vulnerabilities exist in ensuring the security of cargo
carried aboard commercial passenger and all-cargo aircraft. The Federal
Aviation Administration has reported that an estimated 12.5 million
tons of cargo are transported each year--9.7 million tons on all-cargo
planes and 2.8 million tons on passenger planes. Potential security
risks are associated with the transport of air cargo--including the
introduction of undetected explosive and incendiary devices in cargo
placed aboard aircraft. To reduce these risks, ATSA requires that all
cargo carried aboard commercial passenger aircraft be screened and that
TSA have a system in place as soon as practicable to screen, inspect,
or otherwise ensure the security of cargo on all-cargo aircraft.
However, according to a September 2003 report by the Congressional
Research Service, less than 5 percent of cargo placed on passenger
airplanes is physically screened.[Footnote 15] TSA's primary approach
to ensuring air cargo security and safety is to ensure compliance with
the "known shipper" program--which allows shippers that have
established business histories with air carriers or freight forwarders
to ship cargo on planes. However, we and the Department of
Transportation's Inspector General have identified weaknesses in the
known shipper program and in TSA's procedures for approving freight
forwarders, such as possible tampering with freight at various handoff
points before it is loaded into an aircraft.
Since September 2001, TSA has taken a number of actions to enhance
cargo security, such as implementing a database of known shippers in
October 2002. The database is the first phase in developing a cargo
profiling system. However, in December 2002, we reported that
additional operational and technological measures, such as checking the
identity of individuals making cargo deliveries, had the potential to
improve air cargo security in the near term.[Footnote 16] We further
reported that TSA lacks a comprehensive plan with long-term goals and
performance targets for cargo security, time frames for completing
security improvements, and risk-based criteria for prioritizing actions
to achieve those goals. Accordingly, we recommended that TSA develop a
comprehensive plan for air cargo security that incorporates a risk
management approach, includes a list of security priorities, and sets
deadlines for completing actions. TSA agreed with this recommendation
and, in November 2003, issued its Air Cargo Strategic Plan. TSA also
introduced a random inspection process for air cargo and outlined steps
to strengthen the known shipper program. We will shortly begin a
comprehensive review of air cargo security procedures, including these
recent actions taken by TSA.
General Aviation Security:
Not only are commercial aircraft a concern, but general aviation
aircraft can be a security concern. TSA has taken limited action to
improve general aviation security, leaving general aviation far more
open and potentially vulnerable than commercial aviation. General
aviation is vulnerable because general aviation pilots and passengers
are not screened before takeoff and the contents of general aviation
planes are not screened at any point. General aviation includes more
than 200,000 privately owned airplanes, which are located in every
state at more than 19,000 airports.[Footnote 17] In the last 5 years,
about 70 aircraft have been stolen from general aviation airports,
indicating a potential weakness that could be exploited by terrorists.
This vulnerability was demonstrated in January 2002, when a teenage
flight student stole and crashed a single-engine airplane into a Tampa,
Florida, skyscraper. Moreover, general aviation aircraft could be used
in other types of terrorist acts. It was reported that the September
11th hijackers researched the use of crop dusters to spread biological
or chemical agents.
We reported in September 2003 that TSA chartered a working group on
general aviation within the existing Aviation Security Advisory
Committee.[Footnote 18] The working group consists of industry
stakeholders and is designed to identify and recommend actions to close
potential security gaps in general aviation. On October 1, 2003, the
working group issued a report that included a number of recommendations
for general aviation airport operators' voluntary use in evaluating
airports' security requirements. These recommendations are both broad
in scope and generic in their application, with the intent that every
general aviation airport and landing facility operators may use them to
evaluate that facility's physical security, procedures,
infrastructure, and resources. TSA will use these recommendations as a
baseline to develop a set of federally endorsed guidelines for
enhancing airport security at general aviation facilities throughout
the nation. TSA is taking some additional action to strengthen security
at general aviation airports, including developing a risk-based self-
assessment tool for general aviation airports to use in identifying
security concerns. We have ongoing work that is examining general
aviation security in further detail; we expect to report on this work
in the fall of 2004.
Mr. Chairman, this concludes my statement. I would be pleased to answer
any questions that you or other members of the Subcommittee may have at
this time.
Contact Information:
For further information on this testimony, please contact Norman J.
Rabkin at (202) 512-8777. Individuals making key contributions to this
testimony include J. Michael Bollinger, Adam Hoffman, and John R.
Schulze.
[End of section]
Appendix I: Related GAO Products:
Aviation Security: Challenges Delay Implementation of Computer-
Assisted Passenger Prescreening System. GAO-04-504T. Washington, D.C.:
March 17, 2004.
Aviation Security: Computer-Assisted Passenger Prescreening System
Faces Significant Implementation Challenges. GAO-04-385. Washington,
D.C.: February 13, 2004.
Aviation Security: Challenges Exist in Stabilizing and Enhancing
Passenger and Baggage Screening Operations. GAO-04-440T. Washington,
D.C.: February 12, 2004.
Aviation Security: Efforts to Measure Effectiveness and Strengthen
Security Programs. GAO-04-285T. Washington, D.C.: November 20, 2003.
Aviation Security: Federal Air Marshal Service Is Addressing Challenges
of Its Expanded Mission and Workforce, but Additional Actions
Needed. GAO-04-242. Washington, D.C.: November 19, 2003.
Aviation Security: Efforts to Measure Effectiveness and Address
Challenges. GAO-04-232T. Washington, D.C.: November 5, 2003.
Airport Passenger Screening: Preliminary Observations on Progress Made
and Challenges Remaining. GAO-03-1173. Washington, D.C.: September 24,
2003.
Aviation Security: Progress since September 11, 2001, and the
Challenges Ahead. GAO-03-1150T. Washington, D.C.: September 9, 2003.
Transportation Security: Federal Action Needed to Help Address Security
Challenges. GAO-03-843. Washington, D.C.: June 30, 2003.
Transportation Security: Post-September 11th Initiatives and Long-Term
Challenges. GAO-03-616T. Washington, D.C.: April 1, 2003.
Aviation Security: Measures Needed to Improve Security of Pilot
Certification Process. GAO-03-248NI. Washington, D.C.: February 3,
2003. (NOT FOR PUBLIC DISSEMINATION).
Aviation Security: Vulnerabilities and Potential Improvements for the
Air Cargo System. GAO-03-286NI. Washington, D.C.: December 20, 2002.
(NOT FOR PUBLIC DISSEMINATION).
Aviation Security: Vulnerabilities and Potential Improvements for the
Air Cargo System. GAO-03-344. Washington, D.C.: December 20, 2002.
Aviation Security: Vulnerability of Commercial Aviation to Attacks by
Terrorists Using Dangerous Goods. GAO-03-30C. Washington, D.C.:
December 3, 2002.
Aviation Security: Registered Traveler Program Policy and
Implementation Issues. GAO-03-253. Washington, D.C.: November 22, 2002.
Aviation Security: Transportation Security Administration Faces
Immediate and Long-Term Challenges. GAO-02-971T. Washington, D.C.: July
25, 2002.
Aviation Security: Information Concerning the Arming of Commercial
Pilots. GAO-02-822R. Washington, D.C.: June 28, 2002.
Aviation Security: Deployment and Capabilities of Explosive Detection
Equipment. GAO-02-713C. Washington, D.C.: June 20, 2002. (CLASSIFIED).
Aviation Security: Information on Vulnerabilities in the Nation's Air
Transportation System. GAO-01-1164T. Washington, D.C.: September 26,
2001. (NOT FOR PUBLIC DISSEMINATION).
Aviation Security: Information on the Nation's Air Transportation
System Vulnerabilities. GAO-01-1174T. Washington, D.C.: September 26,
2001. (NOT FOR PUBLIC DISSEMINATION).
Aviation Security: Vulnerabilities in, and Alternatives for, Preboard
Screening Security Operations. GAO-01-1171T. Washington, D.C.:
September 25, 2001.
Aviation Security: Weaknesses in Airport Security and Options for
Assigning Screening Responsibilities. GAO-01-1165T. Washington, D.C.:
September 21, 2001.
Aviation Security: Terrorist Acts Demonstrate Urgent Need to Improve
Security at the Nation's Airports. GAO-01-1162T. Washington, D.C.:
September 20, 2001.
Aviation Security: Terrorist Acts Illustrate Severe Weaknesses in
Aviation Security. GAO-01-1166T. Washington, D.C.: September 20, 2001.
Responses of Federal Agencies and Airports We Surveyed about Access
Security Improvements. GAO-01-1069R. Washington, D.C.: August 31, 2001.
Responses of Federal Agencies and Airports We Surveyed about Access
Security Improvements. GAO-01-1068R. Washington, D.C.: August 31, 2001.
(RESTRICTED).
FAA Computer Security: Recommendations to Address Continuing
Weaknesses. GAO-01-171. Washington, D.C.: December 6, 2000.
Aviation Security: Additional Controls Needed to Address Weaknesses in
Carriage of Weapons Regulations. GAO/RCED-00-181. Washington, D.C.:
September 29, 2000.
FAA Computer Security: Actions Needed to Address Critical Weaknesses
That Jeopardize Aviation Operations. GAO/T-AIMD-00-330. Washington,
D.C.: September 27, 2000.
FAA Computer Security: Concerns Remain Due to Personnel and Other
Continuing Weaknesses. GAO/AIMD-00-252. Washington, D.C.: August 16,
2000.
Aviation Security: Long-Standing Problems Impair Airport Screeners'
Performance. GAO/RCED-00-75. Washington, D.C.: June 28, 2000.
Aviation Security: Screeners Continue to Have Serious Problems
Detecting Dangerous Objects. GAO/RCED-00-159. Washington, D.C.: June
22, 2000. (NOT FOR PUBLIC DISSEMINATION).
Security: Breaches at Federal Agencies and Airports. GAO-OSI-00-10.
Washington, D.C.: May 25, 2000.
FOOTNOTES
[1] Pub. L. No. 107-71, 115 Stat. 597 (2001).
[2] Pub. L. No. 107-296, 116 Stat. 2135.
[3] U.S. General Accounting Office, Aviation Security: Computer-
Assisted Passenger Prescreening System Faces Significant
Implementation Challenges, GAO-04-385 (Washington, D.C.: Feb. 12,
2004).
[4] Consistent with the provisions of ATSA, TSA implemented a pilot
program using contract screeners at five commercial airports. The
purpose of the 2-year pilot program is to determine the feasibility of
using private screening companies rather than federal screeners.
[5] U.S. General Accounting Office, Aviation Security: Challenges Exist
is Stabilizing and Enhancing Passenger and Baggage Screening
Operations, GAO-04-440T (Washington, D.C.: Feb. 12, 2004).
[6] One full-time equivalent is equal to one work year or 2,080 non-
overtime hours.
[7] FSDs are responsible for overseeing security at each of the
nation's commercial airports.
[8] TSA officials said that it required the contractor to validate the
staffing model using statistical samples of all staff and equipment
operations at all category X airports and as many category I, II, III,
and IV airports as necessary.
[9] TSA requires passenger and baggage screeners to participate in 3
hours of recurrent training per week, averaged over each quarter. One
hour is required to be devoted to X-ray image interpretation, and the
other 2 hours on screening techniques or reviews of standard operating
procedures.
[10] The Threat Image Projection system places images of threat objects
on X-ray screens during actual screening operations and records whether
screeners identify the objects.
[11] The number of air marshals is classified.
[12] U.S. General Accounting Office, Aviation Security: Federal Air
Marshal Service Is Addressing Challenges of Its Expanded Mission and
Workforce, but Additional Actions Needed, GAO-04-242 (Washington, D.C.:
Nov. 19, 2003).
[13] U.S. General Accounting Office, The Department of Homeland
Security Needs to Fully Adopt a Knowledge-based Approach to Its
Counter-MANPADS Development Program, GAO-04-341R (Washington, D.C.:
Jan. 30, 2004).
[14] U.S. General Accounting Office, Security: Breaches at Federal
Agencies and Airports, GAO\T-OSI-00-10 (Washington, D.C.: May 25,
2000).
[15] Congressional Research Service, Air Cargo Security, Sept. 11,
2003.
[16] U.S. General Accounting Office, Aviation Security: Vulnerabilities
and Potential Improvements for the Air Cargo System, GAO-03-344
(Washington, D.C.: Dec. 20, 2002).
[17] Of the 19,000 general aviation airports, 5,400 are publicly owned.
TSA is currently focusing its efforts on these publicly owned airports.
[18] U.S. General Accounting Office, Aviation Security: Progress since
September 11th, and the Challenges Ahead, GAO-03-1150T (Washington,
D.C.: Sept. 9, 2003).
