DHS Has Made Progress in Harmonizing International Aviation Security and Facilitating Compliance through Foreign Airport Assessments, but Can Further Strengthen Assessment Efforts

		DHS Has Made Progress in Its Efforts to Harmonize International Aviation Security Standards and Practices

DHS has increased its global outreach efforts. Historically, DHS and  its components, working with State, have coordinated with foreign  partners on an ongoing basis to promote aviation security enhancements  through ICAO and other multilateral and bilateral outreach efforts. For  example, DHS and TSA have coordinated through multilateral groups such  as the European Commission and the Quadrilateral Group—comprising  the United States, the EU, Canada, and Australia—to establish agreements  to develop commensurate air cargo security systems. On a bilateral basis,  the United States has participated in various working groups to facilitate  coordination on aviation security issues with several nations, such as  those that make up the EU, Canada, and Japan. The United States has also  established bilateral cooperative agreements to share information on  security technology with the United Kingdom, Germany, France, and  Israel, among others. In addition, TSA has finalized agreements with  ICAO to provide technical expertise and assistance to ICAO in the areas of  capacity building and security audits, and serves as the United States’  technical representative on ICAO’s Aviation Security Panel and the panel’s  various Working Groups.
In the wake of the December 2009 incident, DHS increased its outreach  efforts. For example, to address security gaps highlighted by the  December incident, DHS has coordinated with Nigeria to deploy Federal  Air Marshals on flights operated by U.S. carriers bound for the United  States from Nigeria. Further, in early 2010, the Secretary of Homeland  Security participated in five regional summits—Africa, the Asia/Pacific  region, Europe, the Middle East, and the Western Hemisphere—with the  Secretary General of ICAO, foreign ministers and aviation officials, and  international industry representatives to discuss current aviation security  threats and develop an international consensus on the steps needed to  address remaining gaps in the international aviation security system.  Each of these summits resulted in a Joint Declaration on Aviation Security  in which, generally, the parties committed to work through ICAO and on  an individual basis to enhance aviation security. Subsequently, during the  September 2010 ICAO Assembly, the 190 member states adopted a  Declaration on Aviation Security, which encompassed the principles of the  Joint Declarations produced by the five regional summits. Through the  declaration, member states recognized the need to strengthen aviation  security worldwide and agreed to take nine actions to enhance  international cooperation to counter threats to civil aviation, which  include, among other things    strengthening and promoting the effective application of ICAO Standards  and Recommended Practices, with particular focus on Annex 17, and  developing strategies to address current and emerging threats;    strengthening security screening procedures, enhancing human factors,  and utilizing modern technologies to detect prohibited articles and support  research and development of technology for the detection of explosives,  weapons, and prohibited articles in order to prevent acts of unlawful  interference;    developing and implementing strengthened and harmonized measures and  best practices for air cargo security, taking into account the need to  protect the entire air cargo supply chain; and    providing technical assistance to states in need, including funding,  capacity building, and technology transfer to effectively address security  threats to civil aviation, in cooperation with other states, international  organizations and industry partners.
TSA has increased coordination with foreign partners to enhance  security standards and practices. In response to the August 2006 plot to  detonate liquid explosives on board commercial air carriers bound for the  United States, TSA initially banned all liquids, gels, and aerosols from  being carried through the checkpoint and, in September 2006, began  allowing passengers to carry on small, travel-size liquids and gels (3 fluid  ounces or less) using a single quart-size, clear plastic, zip-top bag. In  November 2006, in an effort to harmonize its liquid-screening standards  with those of other countries, TSA revised its procedures to match those  of other select nations. Specifically, TSA began allowing 3.4 fluid ounces  of liquids, gels, and aerosols onboard aircraft, which is equivalent to 100  milliliters—the amount permitted by the EU and other countries such as  Canada and Australia. This harmonization effort was perceived to be a  success and ICAO later adopted the liquid, gels, and aerosol screening  standards and procedures implemented by TSA and other nations as a  recommended practice.
TSA has also worked with foreign governments to draft international air  cargo security standards. According to TSA officials, the agency has  worked with foreign counterparts over the last 3 years to draft  Amendment 12 to ICAO’s Annex 17, and to generate support for its  adoption by ICAO members. The amendment, which was adopted by the  ICAO Council in November 2010, will set forth new standards related to air  cargo such as requiring members to establish a system to secure the air  cargo supply chain (the flow of goods from manufacturers to retailers).  TSA has also supported the International Air Transport Association’s  (IATA) efforts to establish a secure supply chain approach to screening  cargo for its member airlines and to have these standards recognized  internationally. Moreover, following the October 2010 bomb attempt in  cargo originating in Yemen, DHS and TSA, among other things, reached  out to international partners, IATA, and the international shipping industry  to emphasize the global nature of transportation security threats and the  need to strengthen air cargo security through enhanced screening and  preventative measures. TSA also deployed a team of security inspectors to  Yemen to provide that country’s government with assistance and guidance  on their air cargo screening procedures.
In addition, TSA has focused on harmonizing air cargo security standards  and practices in support of its statutory mandate to establish a system to  physically screen 100 percent of cargo on passenger aircraft—including  the domestic and inbound flights of United States and foreign passenger  operations—by August 2010. In June 2010 we reported that TSA has  made progress in meeting this mandate as it applies to domestic cargo, but  faces several challenges in meeting the screening mandate as it applies to  inbound cargo, related, in part, to TSA’s limited ability to regulate foreign  entities. As a result, TSA officials stated that the agency would not be  able to meet the mandate as it applies to inbound cargo by the August 2010  deadline. We recommended that TSA develop a plan, with milestones, for  how and when the agency intends to meet the mandate as it applies to  inbound cargo. TSA concurred with this recommendation and, in June  2010, stated that agency officials were drafting milestones as part of a plan  that would generally require air carriers to conduct 100 percent screening  by a specific date. At a November 2010 hearing before the Senate  Committee on Commerce, Science, and Transportation, the TSA  Administrator testified that TSA aims to meet the 100 percent screening  mandate as it applies to inbound air cargo by 2013.
In November 2010 TSA officials stated that the agency is coordinating with  foreign countries to evaluate the comparability of their air cargo security  requirements with those of the United States, including the mandated  screening requirements for inbound air cargo on passenger aircraft.  According to TSA officials, the agency has begun to develop a program  that would recognize the air cargo security programs of foreign countries  if TSA deems those programs provide a level of security commensurate  with TSA’s programs. In total, TSA plans to coordinate with about 20  countries, which, according to TSA officials, were selected in part because  they export about 90 percent of the air cargo transported to the United  States on passenger aircraft. According to officials, TSA has completed a  6-month review of France’s air cargo security program and is evaluating  the comparability of France’s requirements with those of the United  States. TSA officials also said that, as of November 2010, the agency has  begun to evaluate the comparability of air cargo security programs for the  United Kingdom, Israel, Japan, Singapore, New Zealand, and Australia, and  plans to work with Canada and several EU countries in early 2011. TSA  expects to work with the remaining countries through 2013.
TSA is working with foreign governments to encourage the  development and deployment of enhanced screening technologies.  TSA has also coordinated with foreign governments to develop enhanced  screening technologies that will detect explosive materials on passengers.  According to TSA officials, the agency frequently exchanges information  with its international partners on progress in testing and evaluating  various screening technologies, such as bottled-liquid scanner systems and  advanced imaging technology (AIT). In response to the December 2009  incident, the Secretary of Homeland Security has emphasized through  outreach efforts the need for nations to develop and deploy enhanced  security technologies.
Following TSA’s decision to accelerate the deployment of AIT in the  United States, the Secretary has encouraged other nations to consider  using AIT units to enhance the effectiveness of passenger screening  globally. As a result, several nations, including Australia, Canada, Finland,  France, the Netherlands, Nigeria, Germany, Poland, Japan, Ukraine,  Russia, Republic of Korea, and the UK, have begun to test or deploy AIT  units or have committed to deploying AITs at their airports. For example,  the Australian Government has committed to introducing AIT at  international terminals in 2011. Other nations, such as Argentina, Chile,  Fiji, Hong Kong, India, Israel, Kenya, New Zealand, Singapore, and Spain  are considering deploying AIT units at their airports. In addition, TSA  hosted an international summit in November 2010 that brought together  approximately 30 countries that are deploying or considering deploying  AITs at their airports to discuss AIT policy, protocols, best practices, as  well as safety and privacy concerns.
However, as discussed in our March 2010 testimony, TSA’s use of AIT has  highlighted several challenges relating to privacy, costs, and effectiveness  that remain to be addressed. For example, because the AIT presents a  full-body image of a person during the screening process, concerns have  been expressed that the image is an invasion of privacy. Furthermore, as  noted in our March 2010 testimony, it remains unclear whether the AIT  would have been able to detect the weapon used in the December 2009  incident based on the preliminary TSA information we have received. We  will continue to explore these issues as part of our ongoing review of  TSA’s AIT deployment, and expect the final report to be issued in the  summer of 2011.

		DHS Has Made Progress in Its Efforts to Facilitate Compliance with ICAO Standards through Foreign Airport Assessments but Can Further Strengthen Its Efforts

TSA conducts foreign airport assessments. TSA efforts to assess  security at foreign airports—airports served by U.S. aircraft operators and  those from which foreign air carriers operate service to the United  States—also serve to strengthen international aviation security. Through  TSA’s foreign airport assessment program, TSA utilizes select ICAO  standards to assess the security measures used at foreign airports to  determine if they maintain and carry out effective security practices. TSA  also uses the foreign airport assessment program to help identify the need  for, and secure, aviation security training and technical assistance for  foreign countries. In addition, during assessments, TSA provides on-site  consultations and makes recommendations to airport officials or the host  government to immediately address identified deficiencies. In our 2007  review of TSA’s foreign airport assessment program, we reported that of  the 128 foreign airports that TSA assessed during fiscal year 2005, TSA  found that 46 (about 36 percent) complied with all ICAO standards,  whereas 82 (about 64 percent) did not meet at least one ICAO standard.
In our 2007 review we also reported that TSA had not yet conducted its  own analysis of its foreign airport assessment results, and that additional  controls would help strengthen TSA’s oversight of the program. Moreover,  we reported, among other things, that TSA did not have controls in place  to track the status of scheduled foreign airport assessments, which could  make it difficult for TSA to ensure that scheduled assessments are  completed. We also reported that TSA did not consistently track and  document host government progress in addressing security deficiencies  identified during TSA airport assessments. As such, we made several  recommendations to help TSA strengthen oversight of its foreign airport  assessment program, including, among other things, that TSA develop  controls to track the status of foreign airport assessments from initiation  through completion; and develop a standard process for tracking and  documenting host governments’ progress in addressing security  deficiencies identified during TSA assessments. TSA agreed with our  recommendations and provided plans to address them. Near the end of  our 2007 review, TSA had begun work on developing an automated  database to track airport assessment results. In September 2010 TSA  officials told us that they are now exploring ways to streamline and  standardize that automated database, but will continue to use it until a  more effective tracking mechanism can be developed and deployed. We  plan to further evaluate TSA’s implementation of our 2007  recommendations during our ongoing review of TSA’s foreign airport  assessment program, which we plan to issue in the fall of 2011.

	Challenges Related to the Harmonization Process and TSA’s Foreign Airport Assessment Program May Affect DHS’s Progress

		Challenges Related to Harmonization

A number of key challenges, many of which are outside of DHS’s control,  could impede its ability to enhance international aviation security  standards and practices. Agency officials, foreign country representatives,  and international association stakeholders we interviewed said that these  challenges include, among other things, nations’ voluntary participation in  harmonization efforts, differing views on aviation security threats, varying  global resources, and legal and cultural barriers. According to DHS and  TSA officials, these are long-standing global challenges that are inherent in  diplomatic processes such as harmonization, and will require substantial  and continuous dialogue with international partners. As a result, according  to these officials, the enhancements that are made will likely occur  incrementally, over time.
Harmonization depends on voluntary participation. The framework  for developing and adhering to international aviation standards is based on  voluntary efforts from individual states. While TSA may require that  foreign air carriers with operations to, from, or within the United States  comply with any applicable U.S. emergency amendments to air carrier  security programs, foreign countries, as sovereign nations, generally  cannot be compelled to implement specific aviation security standards or  mutually accept other countries’ security measures. International  representatives have noted that national sovereignty concerns limit the  influence the United States and its foreign partners can have in persuading  any country to participate in international harmonization efforts. As we  reported in 2007 and 2010, participation in ICAO is voluntary. Each  nation must initiate its own involvement in harmonization, and the United  States may have limited influence over its international partners.
Countries view aviation security threats differently. As we reported  in 2007 and 2010, some foreign governments do not share the United  States government’s position that terrorism is an immediate threat to the  security of their aviation systems, and therefore may not view  international aviation security as a priority. For example, TSA identified  the primary threats to inbound air cargo as the introduction of an  explosive device in cargo loaded on a passenger aircraft, and the hijacking  of an all-cargo aircraft for its use as a weapon to inflict mass destruction.  However, not all foreign governments agree that these are the primary  threats to air cargo or believe that there should be a distinction between  the threats to passenger air carriers and those to all-cargo carriers.  According to a prominent industry association as well as foreign  government representatives with whom we spoke, some countries view  aviation security enhancement efforts differently because they have not  been a target of previous aviation-based terrorist incidents, or for other  reasons, such as overseeing a different airport infrastructure with fewer  airports and less air traffic.
Resource availability affects security enhancement efforts. In  contrast to more developed countries, many less developed countries do  not have the infrastructure or financial or human resources necessary to  enhance their aviation security programs. For example, according to DHS  and TSA officials, such countries may find the cost of purchasing and  implementing new aviation security enhancements, such as technology, to  be prohibitive. Additionally, some countries implementing new policies,  practices, and technologies may lack the human resources—for example,  trained staff—to implement enhanced security measures and oversee new  aviation security practices. Some foreign airports may also lack the  infrastructure to support new screening technologies, which can take up a  large amount of space. These limitations are more common in less  developed countries, which may lack the fiscal and human resources  necessary to implement and sustain enhanced aviation security measures.  With regard to air cargo, TSA officials also cautioned that if TSA were to  impose strict cargo screening standards on all inbound cargo, it is likely  many nations would be unable to meet the standards in the near term.  Imposing such screening standards in the near future could result in  increased costs for international passenger travel and for imported goods,  and possible reductions in passenger traffic and foreign imports.  According to TSA officials, strict standards could also undermine TSA’s  ongoing cooperative efforts to develop commensurate security systems  with international partners.
To help address the resource deficit and build management capacity in  other nations, the United States provides aviation security assistance— such as training and technical assistance—to other countries. TSA, for  example, works in various ways with State and international organizations  to provide aviation security assistance to foreign partners. In one such  effort, TSA uses information from the agency’s foreign airport assessments  to identify a nation’s aviation security training needs and provide support.  In addition, TSA’s Aviation Security Sustainable International Standards  Team (ASSIST), comprised of security experts, conducts an assessment of  a country’s aviation security program at both the national and airport level  and, based on the results, suggests action items in collaboration with the  host nation. State also provides aviation security assistance to other  countries, in coordination with TSA and foreign partners through its Anti- Terrorism Assistance (ATA) program. Through this program, State uses a  needs assessment—a snapshot of a country’s antiterrorism capability—to  evaluate prospective program participants and provide needed training,  equipment, and technology in support of aviation security, among other  areas. State and TSA officials have acknowledged the need to develop  joint coordination procedures and criteria to facilitate identification of  global priorities and program recipients. We will further explore TSA and  State efforts to develop mechanisms to facilitate interagency coordination  on capacity building through our ongoing work.
Legal and cultural factors can also affect harmonization. Legal and  cultural differences among nations may hamper DHS’s efforts to  harmonize aviation security standards. For example, some nations,  including the United States, limit, or even prohibit the sharing of sensitive  or classified information on aviation security procedures with other  countries. Canada’s Charter of Rights and Freedoms, which limits the data  it can collect and share with other nations, demonstrates one such  impediment to harmonization. According to TSA officials, the United  States has established agreements to share sensitive and classified  information with some countries; however, without such agreements, TSA  is limited in its ability to share information with its foreign partners.  Additionally, the European Commission reports that several European  countries, by law, limit the exposure of persons to radiation other than for  medical purposes, a potential barrier to acquiring some passenger  screening technologies, such as AIT.
Cultural differences also serve as a challenge in achieving harmonization  because aviation security standards and practices that are acceptable in  one country may not be in another. For example, international aviation  officials explained that the nature of aviation security oversight varies by  country—some countries rely more on trust and established working  relationships to facilitate security standard compliance than direct  government enforcement. Another example of a cultural difference is the  extent to which countries accept the images AIT units produce. AIT units  produce a full-body image of a person during the screening process; to  varying degrees, governments and citizens of some countries, including  the United States, have expressed concern that these images raise privacy  issues. TSA is working to address this issue by evaluating possible display  options that would include a “stick figure” or “cartoon-like” form to  provide enhanced privacy protection to the individual being screened  while still allowing the unit operator or automated detection algorithms to  detect possible threats. Other nations, such as the Netherlands, are also  testing the effectiveness of this technology.
Although DHS has made progress in its efforts to harmonize international  aviation security standards and practices in key areas such as passenger  and air cargo screening, officials we interviewed said that there remain  areas in which security measures vary across nations and would benefit  from harmonization efforts. For example, as we reported in 2007, the  United States requires all passengers on international flights who transfer  to connecting flights at United States airports to be rescreened prior to  boarding their connecting flight. In comparison, according to EU and  ICAO officials, the EU has implemented “one-stop security,” allowing  passengers arriving from EU and select European airports to transfer to  connecting flights without being rescreened. Officials and representatives  told us that although there has been ongoing international discussion on  how to more closely align security measures in these and other areas,  additional dialogue is needed for countries to better understand each  others’ perspectives. According to the DHS officials and foreign  representatives with whom we spoke, these and other issues that could  benefit from harmonization efforts will continue to be explored through  ongoing coordination with ICAO and through other multilateral and  bilateral outreach efforts.

		Challenges Related to TSA’s Foreign Airport Assessment Program

Our 2007 review of TSA’s foreign airport assessment program identified  challenges TSA experienced in assessing security at foreign airports  against ICAO standards and recommended practices, including a lack of  available inspector resources and host government concerns, both of  which may affect the agency’s ability to schedule and conduct assessments  for some foreign airports. We reported that TSA deferred 30 percent of  its scheduled foreign airport visits in 2005 due to the lack of available  inspectors, among other reasons. TSA officials said that in such  situations they sometimes used domestic inspectors to conduct scheduled  foreign airport visits, but also stated that the use of domestic inspectors  was undesirable because these inspectors lacked experience conducting  assessments in the international environment. In September 2010 TSA  officials told us that they continue to use domestic inspectors to assist in  conducting foreign airport assessments and air carrier inspections— approximately 50 domestic inspectors have been trained to augment the  efforts of international inspectors. We also previously reported that  representatives of some foreign governments consider TSA’s foreign  airport assessment program an infringement of their authority to regulate  airports and air carriers within their borders. Consequently, foreign  countries have withheld access to certain types of information or denied  TSA access to areas within an airport, limiting the scope of TSA’s  assessments. We plan to further assess this issue, as well as other potential  challenges, as part of our ongoing review of TSA’s foreign airport  assessment program, which we plan to issue in the fall of 2011.
Mr. Chairman, this completes my prepared statement. I look forward to  responding to any questions you or other members of the committee may  have at this time.

	Contacts and Acknowledgments

For additional information about this statement, please contact Stephen  M. Lord at (202) 512-4379 or lords@gao.gov. Contact points for our Offices  of Congressional Relations and Public Affairs may be found on the last  page of this statement.
In addition to the contact named above, staff who made key contributions  to this statement were Steve D. Morris, Assistant Director; Carissa D.
Bryant; Christopher E. Ferencik; Amy M. Frazier; Barbara A. Guffy; Wendy  C. Johnson; Stanley J. Kostyla; Thomas F. Lombardi; Linda S. Miller;  Matthew M. Pahl; Lisa A. Reijula; Rebecca Kuhlmann Taylor; and Margaret  A. Ullengren.
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Summary:
Why GAO Did This Study

The attempted December 25, 2009, terrorist attack and the October 2010 bomb attempt involving air cargo originating in Yemen highlight the ongoing threat to aviation and the need to coordinate security standards and practices to enhance security with foreign partners, a process known as harmonization. This testimony discusses the Department of Homeland Security's (DHS) progress and challenges in harmonizing international aviation security standards and practices and facilitating compliance with international standards. This testimony is based on reports GAO issued from April 2007 through June 2010, and ongoing work examining foreign airport assessments. For this work, GAO obtained information from DHS and the Transportation Security Administration (TSA) and interviewed TSA program officials, foreign aviation officials, representatives from international organizations such as the International Civil Aviation Organization (ICAO), and industry associations, about ongoing harmonization and TSA airport assessment efforts and challenges.

What GAO Found

In the wake of the December 2009 terrorist incident, DHS and TSA have strived to enhance ongoing efforts to harmonize international security standards and practices through increased global outreach, coordination of standards and practices, use of enhanced technology, and assessments of foreign airports. For example, in 2010 the Secretary of Homeland Security participated in five regional summits aimed at developing an international consensus to enhance aviation security. In addition, DHS and TSA have coordinated with foreign governments to harmonize air cargo security practices to address the statutory mandate to screen 100 percent of air cargo transported on U.S.-bound passenger aircraft by August 2010, which TSA aims to meet by 2013. Further, in the wake of the December 2009 incident, the Secretary of Homeland Security has encouraged other nations to consider using advanced imaging technology (AIT), which produces an image of a passenger's body that screeners use to look for anomalies such as explosives. As a result, several nations have begun to test and deploy AIT or have committed to deploying AIT units at their airports. Moreover, following the October 2010 cargo bomb attempt, TSA also implemented additional security requirements to enhance air cargo security. To facilitate compliance with international security standards, TSA assesses the security efforts of foreign airports as defined by ICAO international aviation security standards. In 2007, GAO reported, among other things, that TSA did not always consistently track and document host government progress in addressing security deficiencies identified during foreign airport assessments and recommended that TSA track and document progress in this area. DHS and TSA have made progress in their efforts to enhance international aviation security through these harmonization efforts and related foreign airport assessments; however, a number of key challenges, many of which are beyond DHS's control, exist. For example, harmonization depends on the willingness of sovereign nations to voluntarily coordinate their aviation security standards and practices. In addition, foreign governments may view aviation security threats differently, and therefore may not consider international aviation security a high priority. Resource availability, which is a particular concern for developing countries, as well as legal and cultural factors may also affect nations' security enhancement and harmonization efforts. In addition to challenges facing DHS's harmonization efforts, in 2007 GAO reported that TSA experienced challenges in assessing foreign airport security against international standards and practices, such as a lack of available international inspectors and concerns host governments had about being assessed by TSA, both of which may affect the agency's ability to schedule and conduct assessments for some foreign airports. GAO is exploring these issues as part of an ongoing review of TSA's foreign airport assessment program, which GAO plans to issue in the fall of 2011. In response to prior GAO recommendations that TSA, among other things, track the status of foreign airport assessments, DHS concurred and is working to address the recommendations. TSA provided technical comments on a draft of the information contained in this statement, which GAO incorporated as appropriate.