printable banner

U.S. Department of State - Great Seal

U.S. Department of State

Diplomacy in Action

Strategic Goal 3: Homeland Security


FY 2005 Performance Summary (The Plan)
Bureau of Resource Management
February 2004
Report
Share

Strategic Goal 3: 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

I. Strategic Goal 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 and other transnational threats. The Department is protecting our homeland by strengthening the visa process as a tool to identify potential terrorists and others who should not receive visas and prevent those people from entering 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.

II. Resource Summary ($ in Millions)

  FY 2003 Actual FY 2004 Estimate FY 2005 Request Change from FY 2004
Amount %
Staff 638 730 795 65 8.2%
Funds $89 $94 $200 $106 112.4%

III. Strategic Goal Context
Shown below are the three performance goals, initiatives/programs, resources, bureaus and partners that contribute to accomplishment of the "Homeland Security" strategic goal. Acronyms are defined in the glossary at the back of this publication.
Strategic Goal Performance Goal
(Short Title)
Initiative/Program Major Resources Lead Bureaus External Partners
Homeland Security Proper Visa Adjudication Visa and Consular Services D&CP CA DHS, DOJ, DOL, FBI, CIA, NARA, DOD, SSA
  U.S.-EU Cooperation on Border Security D&CP CA, EB DHS
Border Agreements U.S. Canada Smart Border Action Plan
U.S.-Mexico Boarder Partnership
D&CP EB DHS
  Container Security Initiative D&CP EB DHS
Infrastructure Network Protection Cyber Security D&CP PM, EB DHS
  Protect Transportation Infrastructure D&CP CA, EB DHS, ICAO
  Maritime Security D&CP CA, EB DHS, IMO

IV. Performance Summary
For each Initiative/Program that supports accomplishment of this strategic goal, the most critical FY 2005 performance indicators and targets are shown below.

Annual Performance Goal #1
DENIAL OF VISAS TO FOREIGN CITIZENS WHO WOULD ABUSE OR THREATEN THE UNITED STATES, WHILE FACILITATING ENTRY OF LEGITIMATE APPLICANTS

I/P #1: Visa and Consular Services
Improve ability to process visas and other services while maintaining the ability to detect when it is appropriate to deny a visa.
Results Targets
2000 & 2001 2002 2003 2004 2005
Input Indicator
Indicator #1: Number of Other Agencies With Access to the Consular Consolidated Database (CCD).
2000:


0
2001:


0

1 2 3 Expand data sharing internationally.
Outcome Indicator
(P) Indicator #2: Development of a Biometrics Collection Program for U.S. Visas.
2000:

Biometric indicators (photo and two fingerprints) were included in non-immigrant Border Crossing Card (BCC).

All posts in Mexico collected biometric indicators from applicants, both on- and off-site, and transmitted data electronically to Immigration and Naturalization Service.

2001:

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.

Developed recommendations on biometric standards for visas.

Used Facial Recognition (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. Began worldwide deployment of biometric NIV software, with Brussels as the first pilot post, going live with fingerprint collection on September 22, 2003. Fingerprint capture equipment and new software for NIV production was also deployed at Frankfurt, Guatemala City, and San Salvador.

Deployment of biometric collection capability to consular posts worldwide.


All posts collect biometrics from visa applicants by October 2004.

I/P #2: U.S.-EU Cooperation on Border Security
Enhance cooperation with our European and Eurasian partners to support our systems to identify and interdict terrorists and terrorist threats before they reach our borders.
Results Targets
2000 & 2001 2002 2003 2004 2005
Output Indicator
Indicator #3: Passenger Name Record (PNR) and Advanced Passenger Information (APIS) Requirements
2000:

Voluntary program to provide the U.S. Customs Service (USCS) and the Immigration and Naturalization Service with passenger information.


2001:

Passenger manifest information taken from visas and passports made mandatory by the USCS.

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

APIS program expanded to cruise vessels.

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.
Assist in the implementation of programs tied to the Entry-Exit program to track visitors to the United States.

Work with DHS to negotiate an agreement with the EU that gives CBP and TSA permanent access to PNR data.

Opinions by the public and political leadership in Europe and Eurasia soften on USG use of PNR.

Ensure access to PNR data for border and passenger screening on a global basis.

Border Security
(PART Program Efficiency Measure)
Results Targets
2000 & 2001 2002 2003 2004 2005
Efficiency Indicator
(P) Indicator #4: Number of Posts Assessed by Consular Management Assistance Teams (CMAT) to Ensure Proper Visa Practices.
2000:
N/A

2001:
N/A

N/A Baseline:

16 assessments of high-priority or special-needs posts

30 assessments
30 assessments

Means for Achieving FY 2005 Targets
Expand datasharing/access to the Consular Consolidated Database (CCD) internationally.

  • Negotiate agreements or MOUs.
  • Establish datasharing arrangements and formal database interface.


All posts collect biometric data from visa applicants by October 26, 2004.

  • Based upon decisions made by the USG interagency community, the Department will play a role in developing software and designing and implementing new procedures to allow secure and efficient collection of biometric information.
  • Procure equipment to capture, store, and transmit biometric data.
  • Provide posts with equipment, staff, guidance, and training to collect biometric data and produce associated visas.


Opinions by the public and political leadership in Europe and Eurasia soften on USG use of PNR.

  • Work with the Department of Homeland Security in negotiations with the European Commission on access to Passenger Name Record (PNR) data, which the USG needs for border and passenger screening purposes.


Ensure access to PNR data on a global basis for border and passenger screening.

  • Use demarches, high-level meetings, conferences, and all other appropriate occasions to disseminate information about the USG's data and privacy protection regimes.
  • Work with DHS to negotiate agreements for access to these data.


Annual 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

I/P #3: U.S.-Canada Smart Border Action Plan/U.S.-Mexico Border Partnership
Strengthen the controls over goods that enter the United States.
Results Targets
2000 & 2001 2002 2003 2004 2005
Outcome Indicator
Indicator #1: Status of the Border Security Initiatives
2000:

N/A


2001:

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.


All programs proceeding largely on schedule.

Slight delay in Advanced Passenger Information/ Passenger Name Record (API/PRN) program with Canada.

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.


Evaluate Border Wizard results/ recommendations; complete SENTRI Lanes; APIS working full force; cooperate with Mexico on visa policy coordination. No incidents of terrorist exploitation of Mexican territory to attack the U.S. or its interests.

Implement the Border Accord in full, and successfully implement any new initiatives developed in FY 2004.


I/P #4: Container Security Initiative
Increase capability of using digital information for pre-boarding screening and post-arrival tracking of people and goods.
Results Targets
2000 & 2001 2002 2003 2004 2005
Outcome Indicator
Indicator #2: Participation in the Container Security Initiative
2000:

N/A


2001:

N/A

Baseline:

Launch of the CSI. Nine countries signed on, encompassing fourteen of the initial twenty large ports. CSI "pilot phase" deployment begins in two countries.

19 of the top 20 (large) ports that ship to the United States have signed Declarations of Principles (DoPs) to participate in the CSI program. Additional "pilot phase" deployments begin at 16 ports.
CSI continues to expand. Previous "pilot phase" deployments become permanent and additional ones are launched as new DoPs are signed. Where appropriate or necessary negotiations are conducted on immunities and other issues.
Additional partner countries deploy teams to the U.S. under the reciprocity aspects of CSI. CSI best practices adopted at non-CSI ports.
Output Indicator
Indicator #3: Cargo Manifest Requirements
2000:

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


2001:

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

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

USCS requires cargo manifest data 24 hours before loading for ocean borne imports.

All vessel cargo manifest information is provided to the Bureau of Customs and Border Protection (CBS, formerly the USCS) either in electronic or paper format at least 24 hours prior to loading unless exempted.

Regulations are being finalized for electronic submission of data for all modes of transport.

Continue implementation and screening. Work with foreign governments and U.S. importers to implement cargo manifest rules for U.S. imports and exports; 100% of U.S.-bound cargo to be covered.


Implement advance manifest data standards.

85% of all container traffic to be covered by CSI.

Means for Achieving FY 2005 Targets
Submit final report by consultant; evaluate Border Wizard results/recommendations; complete SENTRI Lanes; APIS working full force; cooperation with Mexico on visa policy coordination. No incidents of terrorist exploitation of Mexican territory to attack the U.S. or its interests.

  • Complete the installation of equipment and technology for the border/transportation security programs and begin transition to full GOM sustainability. Border cooperation mechanisms (Border Liaison Mechanisms, Bi-national Commission, etc.) in place to provide continual oversight of border programs.


Partner countries deploy teams to the U.S. under the reciprocity aspects of Container Security Initiative.

  • Partner countries deploy teams to the U.S. under the reciprocity aspects of the Container Security Initiative (CSI); 85% of all container traffic to be covered by CSI.


Implement advance cargo manifest requirements for U.S. imports and exports. Promote international standards on advance cargo manifest reporting with major trading partners.

  • Work with CBP on bilateral and multilateral discussions with major trading partners to establish and implement common standards on cargo manifest requirements.
  • Identify resources for technical assistance to developing countries to update customs procedures and to implement advance cargo manifest requirements.


Annual Performance Goal #3
PROTECTION OF CRITICAL PHYSICAL AND CYBER INFRASTRUCTURE NETWORKS THROUGH AGREEMENTS AND ENHANCED COOPERATION

I/P #5: Cyber Security
Strengthening critical physical and cyber infrastructures.
Results Targets
2000 & 2001 2002 2003 2004 2005
Output Indicator
Indicator #1: Number of Countries With
Critical Infrastructure Protection (CIP) Action Plans.
2000:

N/A


2001:

N/A

N/A Baseline:


69
This figure includes countries with whom the U.S. has had bilateral or multilateral cyber and physical security exchanges.

Countries of OECD, APEC, OAS and other significant economies enact a comprehensive set of laws relating to cybersecurity and cybercrime, identify national cybercrime and high-technology assistance points of contact, establish institutions that can exchange threat and vulnerability assessments, and develop national cyber-awareness programs that involve the private sector and users. Through UN initiatives, all economies are aware of need to protect their cyber-infrastructure.
Information sharing arrangements are in place and functioning.


Output Indicator
Indicator #2: Canada, Mexico and U.S. Strategic Allies Implement Critical Physical and Cyber Infrastructure Protection Action Plans.
2000:
N/A

2001:
N/A

N/A Data pending.
Canada and Mexico implement physical and cyber infrastructure protection plans coordinated with U.S. plans.
Canada and Mexico implement appropriate action plans.

I/P #6: Protect Transportation Infrastructure
Create effective transportation security programs.
Results Targets
2000 & 2001 2002 2003 2004 2005
Output Indicator
Indicator #3: More Robust ICAO Security Standards and an Effective Audit Program
2000:
N/A

2001:
Baseline:

After 9/11, ICAO endorsed development of enhanced security provisions and a security audit program.

ICAO accepted U.S. suggestions for development of a security audit program, hardened cockpit doors, adding biometric indicators to travel documents, and upgrading recommended security practices to become required standards.
ICAO selected facial recognition as the globally interoperable biometric for passports and other Machine Readable Travel Documents (MRTDs) and high-capacity, contactless integrated circuit chips to store identification information in MRTDs.


Airports in 45 of 188 countries to be scheduled for security audit by the end of 2004, with all countries scheduled for audit completion by end of 2007. At least some ICAO member states require passenger and crew manifests before boarding. All countries using machine-readable documents; new readers in place to capture all data on travel documents, (including biometrics) in all foreign international airports with service to the U.S.


Virtually all countries require manifests before boarding, have machine-readable passports with biometrics. Countries with poor security audits have received remedial assistance.

I/P #7: Maritime Security
International security standards for maritime security.
Results Targets
2000 & 2001 2002 2003 2004 2005
Output Indicator
Indicator #4: Implementation of International Security Standards for Shipping and Ports
2000:
N/A

2001:
The International Maritime Organization (IMO) starts work on drafting international standards for maritime and port security.

IMO adopts standards for ship and port facility security.

United States passes the Maritime Transport Security Act.

USCG issues national port and vessel security regulations based on the IMO standards and the Maritime Transport Security Act.

International Labor Organization adopts international standards for security features on mariner identification documents.

United States starts testing secure documents for transportation workers.


Start multilateral and bilateral discussions international standards for container sealing and tracking.


Countries representing 90% of all shipping calling on U.S. ports implement IMO standards.

Implement ILO standards for 75% of all mariners calling in U.S. ports. Agreement with Canada and Mexico on background checks of truck drivers operating in each other's countries.

Means for Achieving FY 2005 Targets
Virtually all countries require manifests before boarding, have machine-readable passports with biometrics. Countries with poor security audits have received remedial assistance.

  • Ensure presence of more robust ICAO security standards and an effective audit program in countries with major airports.


Critical physical and cyber infrastructures

  • APEC, OAS, and OECD continue implementation of cyber security plans.


Implement IMO maritime security program. Start discussions on international standards for cargo sealing and tracking.

  • Work with the IMO and foreign governments to implement vessel and port security standards in countries with major ports and ship registers.
  • Provide technical assistance bilaterally and through the IMO to developing countries to establish and enforce standards.
  • Promote adoption of ILO security features on seafarer identity documents by countries that are major sources of maritime labor (China, Philippines, India, etc.)
  • Work through the World Customs Organization and with major trading partners to establish international standards for container tracking and sealing.


Information sharing arrangements are in place and functioning for countries with Critical Infrastructure Protection Action Plans.

  • Continue to promote incident information and response sharing between national and regional CERTS Consolidate gains made with multilateral organizations in 2004 (APEC, OAS,OECD)
  • Obtain funds to assist multilateral organizations cyber efforts


Canada, Mexico and U.S. Strategic Allies Implement Critical Physical and Cyber Infrastructure Protection Action Plans.

  • Establish procedures with key allies and DHS to share critical cyber incident information and warning (focus on counterterrorism)


Countries representing 90% of all shipping calling on U.S. ports implement IMO standards.

  • Work with the USCG to establish a program to assess security at foreign ports.
  • Ensure that major ship registers have established maritime security programs and have approved vessel security plans.
  • Provide multilateral technical assistance programs through G-8 and APEC.


Implement ILO standards for 75% of all mariners calling in U.S. ports. Agreement with Canada and Mexico on background checks of truck drivers operating in each other's countries.

  • Work with DHS to establish a negotiating mandate on background checks for truck drivers from Mexico and Canada. Open negotiations with Mexico and Canada.
  • Promote adoption of ILO security features on seafarer identity documents by countries that are major sources of maritime labor (China, Philippines, India, etc.)


V: Illustrative Examples of FY 2003 Achievements
Homeland Security
Visa Denials

The Department has expanded the use of facial recognition (FR) technology to detect fraudulent visa applications. The Kentucky Consular Center (KCC) used FR to disqualify 20,000 potential winners in the annual Diversity Visa lottery based on unallowable duplicate entries. Diversity visa lottery registration in November/December 2003 was conducted for the first time electronically, enabling KCC to utilize FR technology against digital photos of all applicants. In April, KCC launched a FR pilot for nonimmigrant visas. Thirteen posts participate, representing a cross-section of geographic bureaus. In addition to identifying possible fraud, the results will assist in developing a policy on FR, the globally interoperable biometric selected by International Civil Aviation Organization for machine-assisted identity confirmation using Machine Readable Travel Documents.

Container Security Initiative

The Department spearheaded global efforts to protect transportation networks through stronger shipping and aviation security rules. Nineteen of the twenty largest world ports committed to participate in the Container Security Initiative (CSI). In addition, the program expanded to other strategic ports including Malaysia and South Africa. CSI is now operational in sixteen ports (as of September 30, 2003) and at least two countries, Canada and Japan, have utilized the reciprocal aspects of the program to have their customers' officials present at U.S. ports to observe cargo bound for their countries.

VI: Data Verification/Validation by Performance Goal

Performance Goal 1
Denial of visas to foreign citizens who would abuse or threaten the U.S., while facilitating entry of legitimate applicants.
  • 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
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.
  • The Department will monitor negotiations for CSI agreements and implementation of CSI targeting of high-risk containers and freight.
Performance Goal 2
Protection of critical physical and cyber infrastructure networks through agreements and enhanced cooperation.
  • 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.

VII. Resource Detail

Table 1: State Appropriations by Bureau ($ Thousands)

Bureau FY 2003 Actual FY 2004 Estimate FY 2005 Request
East Asian and Pacific Affairs $21,680 $22,624 $24,610
European and Eurasian Affairs 18,427 19,168 23,988
Western Hemisphere Affairs 14,008 14,435 15,145
African Affairs 12,094 12,680 13,425
Other Bureaus 20,559 21,732 117,307
Total State Appropriations 86,768 90,639 194,475

Table 2: Foreign Operations by Account ($ Thousands)

Title/Accounts FY 2003 Actual FY 2004 Estimate FY 2005 Request
Title I - Export and Investment Assistance
Export-Import Bank      
Overseas Private Investment Corporation      
Trade and Development Agency 2,258 3,021 3,215
Title II - Bilateral Economic Assistance
USAID      
Other Bilateral Economic Assistance      
Independent Agencies      
Department of State      
Department of Treasury      
Complex Foreign Contingencies      
Title III - Military Assistance
International Military Education and Training 170 230 475
Foreign Military Financing 168 238 1,747
Peacekeeping Operations      
Title IV - Multilateral Economic Assistance
International Financial Institutions      
International Organizations and Programs      
Total Foreign Operations 2,596 3,489 5,437
 
Grand Total $89,364 $94,128 $199,912



Back to Top
Sign-in

Do you already have an account on one of these sites? Click the logo to sign in and create your own customized State Department page. Want to learn more? Check out our FAQ!

OpenID is a service that allows you to sign in to many different websites using a single identity. Find out more about OpenID and how to get an OpenID-enabled account.