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U.S. Department of State

Diplomacy in Action

Strategic Goal 3: Homeland Security

FY 2006 Performance and Accountability Highlights
Bureau of Resource Management
November 2006



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. Public Benefit

Photo showing Secretary Rice and Homeland Security Secretary Michael Chertoff announcing the Secure Borders and Open Doors in the Information Age Initiative, January 2006.

Secretary Rice and Homeland Security Secretary Michael Chertoff announce the Secure Borders and Open Doors in the Information Age Initiative, January 2006. Department of State photograph

The Department is committed to protecting America's homeland. Together with the Department of Homeland Security (DHS) and other government agencies, the Department is addressing U.S. vulnerabilities to terrorist attacks and other transnational threats. In 2006, the Department and DHS announced a joint vision for protecting U.S. borders and expanding the use of technology to ensure that strategies strike the most effective balance between stronger security and facilitating travel and exchange for the many legitimate visitors that contribute to America's social and economic well-being. This shared vision includes: improved technology and efficiency at ports of entry and in visa processing; more secure travel documents for the 21st century; and smarter screening technology for government officials to use at home and abroad. Along with our international allies, the U.S. Government is bolstering the security of U.S. physical and cyber infrastructures, which are critical to the reliable functioning of global networks of commerce, travel, and communications upon which the free flow of travelers, goods, and information depends. With these programs, the Department is reducing risk to U.S. national security by combating the ability of terrorists to travel, plan and finance their activities, conduct attacks and train new recruits.

II. Performance Summary

The table below summarizes Department performance ratings for the Homeland Security strategic goal.

Strategic Goal Results Achieved for FY 2006
  Significantly Below Target Below Target On Target Above Target Significantly Above Target Totals
Number of Results 0 0 4 0 0 4
Percent of Total 0% 0% 100% 0% 0% 100%


III. Resources Invested


Human Resources
(Direct Funded Positions)
Performance Goal FY 2005 FY 2006
Proper Visa Adjudication 449 454
Border Agreements 47 48
Infrastructure Network Protection 71 71
Total 567 573
Budget Authority
(Dollars in Millions)
Performance Goal FY 2005 FY 2006
Proper Visa Adjudication $227 $102
Border Agreements $14 $39
Infrastructure Network Protection $21 $22
Total $262 $163


IV. Performance Analysis

Performance Trends. There have been a number of significant trends under the Department's Homeland Security goal. One trend has been the significant increase of 19 ports under the Container Security Initiative in FY 2003 to 50 under the program in FY 2006. Additionally, the Department has made great strides since FY 2003 in the development of systems to capture and share biometric data for U.S. visas. The program has added in FY 2006 a facial recognition component for high fraud and high risk applicants.

Key Initiatives and Programs. The Department of State's key programs in this strategic goal include the biometrics collection program for U.S. visas, the Security and Prosperity Partnership with Canada and Mexico, and the Container Security Initiative, implemented jointly with the Department of Homeland Security.


Biometric Visa Program

Photo showing a passenger arriving at John F. Kennedy International Airport using a machine that takes inkless fingerprints, which will be checked instantly against the national digital database for criminal backgrounds and any terrorist lists.Under the Biometric Visa Program, fingerprints are collected from visa applicants at U.S. Embassies and Consulates abroad. The fingerprints are then cleared against a watchlist containing fingerprints of known or suspected terrorists and criminals, and the biometric data is stored in the Department of Homeland Security's IDENT fingerprint system. Upon arrival at a port of entry in the United States, travelers have their fingerprints matched with those stored in the IDENT database to prevent terrorists or other inadmissible aliens from entering the United States using false identities. In FY 2006, State developed and tested new software to capture all ten fingerprints from visa applicants.

A passenger arriving at John F. Kennedy International Airport uses a machine that takes inkless fingerprints, which will be checked instantly against the national digital database for criminal backgrounds and any terrorist lists. AP/Wide World


V. FY 2006 Performance Results


INDICATOR: Development of a Biometrics Collection Program for U.S. Visas
Department of State seal PART Outcome
JUSTIFICATION: This indicator tracks whether systems related to the biometrics collection program work as intended and are successfully incorporating biometric data into visas using agreed upon technology standards.
Facial recognition checks expanded to include all visa applicants, including applicants who have had a fingerprint biometric collected. Effectiveness will be measured by an increase in the number of mala fide applicants identified through the program and by a reduction in the number of false positives.
Phase II of facial recognition program launched in October 2005, expanding the program to high-fraud and high-risk applicants. Ad-hoc facial recognition checks deployed to posts. Photo quality and photo comparison training for posts developed in 2006. Facial recognition collaboration expanded to DHS and DoD.
Rating On Target
The Biometric Visa Program is helping to prevent ineligible applicants from obtaining visas and ensure the integrity of the U.S. visa by verifying visa bearers at U.S. ports of entry through use of biometric data.


INDICATOR: Implementation of the Security and Prosperity Partnership with Canada and Mexico
Department of State seal Output
JUSTIFICATION: This indicator measures progress in implementing a key border security agreement with countries bordering the continental United States.
  • Complete pilot project of visa lookout information sharing with Canada by December 30, 2006.
  • Complete operational testing of visa lookout information sharing with Mexico by March 30, 2006.

Canada: Targets largely achieved, with Phase One of the Western Hemisphere Travel Initiative on track, announcement of Rice-Chertoff initiative and movement toward development of a border crossing card. Transit time for Detroit-Windsor reduced by more than 25%. No terrorist incidents or exploitation; counterterrorism cooperation continues at a high level. To increase security, USG and the Government of Canada (GOC) completed joint exercises on St. Clair and Detroit Rivers during Super Bowl in February. Completed Cyber storm exercise in February to prepare for potential incidents affecting critical infrastructure. Meeting and discussion are preparing Mutual Assistance Agreements to prepare for cross-border public health emergencies.

Mexico: USG and the Government of Mexico (GOM) aligned regulations to require manifest data be reported 24-hours in advance of loading ship. USG and GOM signed an Action Plan to Combat Violence and Improve Public Safety.

Canada and Mexico (trilateral): Representatives of three governments completed training related to the protection of aircraft from terrorist threats, basic and advanced marksmanship skills, and emergency aircraft procedures. The USG, GOC and GOM cooperated to tighten and verify the security of key nuclear and radiological facilities. The governments established the Avian and Human Pandemic Influenza Coordinating Body to ensure governments act in a coordinated manner to meet a pandemic threat. Representatives of the three countries inaugurated the North American Aviation Trilateral to promote civil aviation security.

Rating On Target
Results as of the end of FY 2006 have furthered Strategic Partnerships Program (SPP) implementation with Canada and Mexico and advanced border security initiatives.


INDICATOR: Full Implementation and Expansion of Container Security Initiative (CSI)
Department of State seal Outcome
JUSTIFICATION: Security screening of containers at foreign ports before ships depart for the U.S. decreases both the appeal to terrorists and the vulnerability of the vital maritime transportation sector and, in the event of an incident, allows more expeditious resumption of maritime commerce.
  • Reduce opportunities for terrorist exploitation of containers traffic by refining the targeting mechanisms and risk management techniques developed as part of CSI; 90% of U.S.-bound container traffic covered.
  • Best practices are promulgated through multilateral fora and other organizations.
  • Eleven ports in nine countries joined the CSI in FY 2006. CSI is now operational at 50 ports, accounting for approximately 82% of all containerized merchandise imported into the United States.
  • Upon the initiative of the United States, the World Customs Organization has established a Framework of Standards to Secure and Facilitate Global Trade that establishes tested U.S. procedures as international standards, including advanced electronic cargo information, common risk management criteria, inspection of high-risk containers at the outgoing port and business incentives for secure supply chains. The U.S. Government is providing technical assistance through the WCO for developing countries to implement the framework. As the next step in the Container Security Initiative, DHS is working with selected foreign ports to set up pilot integrated scanning systems combining radiation detection, non-intrusive inspection and optical imaging of the container exterior, to test for general use.
Rating On Target
Broader coverage of CSI has enhanced global port security and boosted industry and public confidence in the security of maritime container traffic.


A Look to History: Homeland Security

Photo showing several United States passports being held.Prior to 1856, states, cities, and even notaries public in the U.S. could issue passports. However, an Act of Congress of August 18, 1856 gave the Secretary of State the exclusive authority to issue passports to U.S. citizens. Many countries, including the United States and those in Europe, did not require passports of all foreign travelers until the outbreak of World War I in 1914 when European governments began requiring U.S. nationals to bear passports. The spike in demands for passports during World War I compelled the U.S. government to tighten the rules governing passport applications. In December 1914, Secretary of State William Jennings Bryan circulated new regulations that explicitly required U.S. passport applicants to present birth certificates or documentation of naturalization as proof of citizenship. In order to enforce security during wartime, the United States also began demanding proof of citizenship and documentation of entry privileges from all foreign visitors.

AP/Wide World Photo


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