U.S. DEPARTMENT OF HOMELAND SECURITY 

Progress Report 2011 

I M P L E M E N T I N G 

C O M M I S S I O N 

9/11 

R E C O M M E N D A T I O N S 
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Table of Contents

Table of Contents ........................................................................................................................... 1

Executive Summary........................................................................................................................ 3

September 11 Chronology ............................................................................................................. 7

Introduction: Strengthening the Homeland Security Enterprise to Address Evolving Threats .. 9

Expanding Information Sharing .................................................................................................. 11

RECOMMENDATION: Provide Incentives for Information Sharing.........................................................11

Developing and Implementing Risk-Based Transportation Security Strategies........................ 16

RECOMMENDATION: Develop a Risk-Based Plan for Transportation Security ......................................16

Strengthening Airline Passenger Pre-Screening and Targeting Terrorist Travel ...................... 22

RECOMMENDATIONS: Improve airline passenger pre-screening and target terrorist travel ................22

Enhancing Screening for Explosives ............................................................................................ 28

RECOMMENDATION: Improve aviation security through enhanced explosive screening .....................28

Strengthening Efforts to Detect and Report Biological, Radiological and Nuclear Threats...... 31

RECOMMENDATION: Strengthen counterproliferation efforts to prevent radiological/nuclear 

terrorism .................................................................................................................................................31

Protecting Cyber Networks and Critical Physical Infrastructure............................................... 35

RECOMMENDATION: Assess critical infrastructure and readiness.........................................................35

RECOMMENDATION: Allocate homeland security funds based on risk .................................................42

RECOMMENDATION: Track and disrupt terrorist financing ...................................................................43

RECOMMENDATION: Improve interoperable communications at all levels of government .................44

RECOMMENDATION: Establish a unified incident command system.....................................................48

RECOMMENDATION: Prioritize private sector preparedness ................................................................49

Bolstering the Security of U.S Borders and Identification Documents...................................... 51
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RECOMMENDATION: Standardize secure identification ........................................................................51

RECOMMENDATION: Integrate border security into larger network of screening points that includes 

the transportation system and access to vital facilities..........................................................................57

Ensuring Robust Privacy and Civil Rights and Civil Liberties Safeguards.................................. 63

RECOMMENDATIONS: Safeguard Individual Privacy When Sharing Information and Maintain Civil 

Liberties While Protecting Security.........................................................................................................63

Conclusion.................................................................................................................................... 64

Acronym Listing ........................................................................................................................... 65
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Executive Summary

Overview

The United States has made significant progress in securing the nation from terrorism since the 

September 11, 2001 attacks. Nevertheless, work remains as the terrorist threats facing the country 

have evolved in the last ten years, and continue to change.

Following 9/11, the federal government moved quickly to develop a security framework to 

protect our country from large-scale attacks directed from abroad, while enhancing federal, state, 

and local capabilities to prepare for, respond to, and recover from threats and disasters at home. A 

key element of this framework included the creation of the Department of Homeland Security 

(DHS) in March, 2003, bringing together 22 separate agencies and offices into a single, Cabinetlevel department1.

Created with the founding principle of protecting the American people from terrorist and other 

threats, DHS and its many partners across the Federal government, public and private sectors, and 

communities throughout the country have strengthened the homeland security enterprise to better 

mitigate and defend against dynamic threats.

Many of the features of this new, more robust enterprise align with – and respond to –

recommendations contained in the 9/11 Commission Report, released in July 2004 to assess the 

circumstances surrounding 9/11 and to identify ways to guard against future terrorist attacks.

In recognition of the 9/11 Commission Report and the tenth anniversary of 9/11, this report 

describes how DHS has addressed specific 9/11 Commission recommendations over the past ten 

years, making America stronger and more resilient. While challenges remain, the Department 

continues to focus on minimizing risks while maximizing the ability to respond and recover from 

attacks and disasters of all kinds. This is a challenge that the men and women of DHS commit 

themselves to everyday.

Progress Addressing Key Recommendations of the 9/11 Commission

Expanding Information Sharing 

The United States‘ strengthened homeland security enterprise includes a number of critical 

features to expand and enhance information sharing that did not exist on 9/11. These include:

72 recognized fusion centers throughout the country, which serve as focal points for the 

receipt, analysis, gathering, and sharing of threat-related information between the federal 

government and state, local, tribal, territorial and private sector partners; 

 

1 Initiated by the passage of the Homeland Security Act of 2002 (Public Law 107-296).
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The Nationwide Suspicious Activity Reporting Initiative, which trains state and local law 

enforcement to recognize behaviors and indicators related to terrorism, crime and other 

threats and standardizes how those observations are documented, analyzed and shared 

with the federal government and other communities throughout the country; 

The National Terrorism Advisory System, which provides timely, detailed information 

about terrorist threats and recommended security measures to the public, government 

agencies, first responders, transportation hubs, and the private sector;

The ―If You See Something Say SomethingTM‖ campaign—a program to raise public 

awareness of indicators of terrorism and crime, and emphasize the importance of reporting 

suspicious activity to the proper law enforcement authorities; and

Robust information sharing with international partners, facilitating the exchange of 

information about terrorists and criminals.

Developing and Implementing Risk-based Transportation Security Strategies

DHS has made significant advances in risk-based security since 9/11, focusing on intelligencedriven, layered security across all transportation modes. This approach emphasizes pre-screening 

for passengers and cargo, while focusing resources on those who pose the greatest threat to the 

nation‘s transportation networks. Advances include: 

Conducting baseline security assessments across aviation, maritime, surface transportation 

sectors; 

Forging international consensus on historic new global aviation standards; 

Strengthening the security of the global supply chain;

Collecting and analyzing advanced passenger and cargo information; and 

Supporting risk-based state and local prevention efforts. 

Strengthening Airline Passenger Pre-screening and Targeting Terrorist Travel

Ten years ago, screening of passengers coming to the United States was limited to the visa process 

and inspection of a person by an immigration officer at the port of entry. Provision of Advance 

Passenger Information was voluntary. In response to both 9/11 and evolving threats, and with 

the help and support of Congress, DHS has significantly adapted and enhanced its ability to detect 

threats through a multi-layered, risk-based system. Today, DHS requires all airlines flying to the 

United States from foreign countries to provide Advance Passenger Information and Passenger 

Name Records prior to departure; checks 100 percent of passengers on flights flying to, from, or 

within the United States against government watchlists through its Secure Flight program; and has 
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expanded trusted traveler programs, expediting travel for passengers who provide biometric 

identification and pass rigorous, recurrent security checks.

Enhancing Screening for Explosives 

Prior to 9/11, limited federal security requirements existed for cargo or baggage screening. 

Today all checked and carry-on baggage is screened for explosives. The capacity of frontline 

security personnel and new technologies also has significantly expanded. In March 2002, TSA‘s 

first cadre of federal screeners totaled 80 individuals; today more than 52,000 TSA personnel serve 

on the frontlines at over 450 U.S. airports. Through the Recovery Act and annual appropriations, 

TSA has accelerated the deployment of new technologies to detect the next generation of threats. 

Additionally, TSA continues to work closely with state and local law enforcement to support 

surface transportation security through the deployment of Visible Intermodal Prevention and 

Response Teams, which provide deterrent and detection capabilities across all modes of 

transportation to prevent or disrupt potential attacks. 

Protecting Cyber Networks and Critical Physical Infrastructure

DHS has made significant strides to enhance the security of the nation‘s critical physical 

infrastructure as well as its cyber infrastructure and networks. Current tools include the National 

Cybersecurity Protection System, of which the EINSTEIN cyber intrusion detection system is a key 

component; the National Cybersecurity and Communications Integration Center, which serves as 

the nation‘s principal hub for organizing cyber response efforts; a 2010 landmark agreement 

between DHS and the Department of Defense to align and enhance America‘s capabilities to 

protect against threats to critical civilian and military computer systems and networks; the National 

Infrastructure Protection Plan, a comprehensive risk management framework for all levels of 

government, private industry, nongovernmental entities and tribal partners; and implementation 

of the Chemical Facility Anti-Terrorism Standards to regulate security at high-risk chemical 

facilities. Additionally, in February 2011, President Obama announced the Wireless Innovation 

and Infrastructure Initiative to develop and deploy a nationwide, interoperable wireless network 

for public safety. None of these tools existed prior to 9/11.

Bolstering the Security of U.S. Borders and Identification Documents

Protecting the nation‘s borders—land, air, and sea—from the illegal entry of people, weapons, 

drugs, and contraband is vital to homeland security, as well as the nation‘s economic prosperity. 

Over the past several years, DHS has deployed unprecedented levels of personnel, technology, and 

resources to the Southwest border, and made critical security improvements along the Northern 

and maritime borders. Additionally, DHS has taken significant steps to strengthen the security, 

reliability and accuracy of personal identification documents and reduce identity fraud while 

enhancing privacy safeguards, including fundamentally transforming the way travelers enter the 

country through the Western Hemisphere Travel Initiative and preventing potential terrorist and 

criminal threats from coming to the United States through the Visa Security Program, Visa Waiver 

Program and other pre-departure measures.
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Ensuring Robust Privacy and Civil Rights and Civil Liberties Safeguards

DHS has the first statutorily required privacy office of any federal agency, and the Department 

builds privacy and civil rights and civil liberties protections into its operations, policies, programs, 

and technology deployments from the outset of their development. The DHS Privacy Office 

partners with every DHS component to assess policies, programs, systems, technologies, and rulemakings for privacy risks, and recommends privacy protections and methods for handling 

personally identifiable information. DHS‘s Office for Civil Rights and Civil Liberties plays a key 

role in the Department‘s mission to secure the nation while preserving individual freedoms 

through the Civil Rights and Civil Liberties Impact Assessment process. It also engages with 

communities across the country on civil rights and civil liberties issues.

Challenges that Remain

While DHS has made great progress in securing the nation since the September 11, 2001 attacks, 

challenges remain in implementing key recommendations in the 9/11 Commission Report. 

Despite significant efforts, including the proposed PASS ID legislation to enhance the security of 

driver‘s licenses, many states are still unable to fulfill the congressionally mandated REAL ID 

requirements. The Department also continues to undertake new steps to increase the use of riskbased security screening; develop strategies to guard against an increasing volume of cyber attacks; 

partner with first responders to address interoperability challenges; determine a cost-effective 

means to implement a biometric exit solution; and guard against potential spillover effects of drug 

cartel violence in Northern Mexico. 

While the demands on DHS have never been greater, the current fiscal climate requires the 

Department to continue to maximize every security dollar. In order to preserve front line security 

operations, DHS has identified over $1 billion in cost avoidances and cuts under this 

Administration. In addition, the Department‘s fiscal year 2012 budget request included more than 

$800 million in further reductions associated with administrative savings and efficiency initiatives 

currently underway, from efforts to reform acquisition, asset and real property management to 

cuts to professional services contracts, supplies and materials, printing, and travel. 

Conclusion

While America is stronger and more resilient as a result of these efforts to strengthen the 

homeland security enterprise, threats from terrorism persist and continue to evolve. Today‘s 

threats do not come from any one individual or group. They may originate in distant lands or 

local neighborhoods. They may be as simple as a homemade bomb or as sophisticated as a 

biological threat or coordinated cyber attack.

More and more, state, local, and tribal law enforcement officers, as well as citizens, businesses, 

and communities are on the frontlines of detection and prevention. Protecting the nation is a 

shared responsibility and everyone can contribute by staying informed and aware of the threats 

the country faces. Homeland security starts with hometown security—and we all have a role to 

play.
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September 11 Chronology

September 11, 2001 Today

In early 1999, Osama Bin Laden summoned 

operatives to Afghanistan to discuss using 

commercial aircraft as weapons and developed a list 

of potential targets in the United States. 

Today, in concert with public and private sector partners as well as 

international allies, this Administration has developed a multilayered information sharing security strategy to target and identify 

both known and unknown individuals that may pose a threat to 

the United States wherever the operational planning might occur 

with the goal of preventing such persons from entering the 

country.

In April of 1999, the hijackers began to obtain 

passports and visas for travel to the United States.

DHS and other federal partners have built a capacity to more 

extensively vet those individuals applying for visas or travel to the 

U.S. For example, through the Visa Security Program, which did 

not exist on 9/11 and is now operational at 19 posts in 15 

countries, Immigration and Customs Enforcement, in conjunction 

with the State Department, deploys trained special agents overseas 

to high-risk visa activity posts to conduct targeted, in-depth 

reviews of particular visa applications and applicants before they 

reach the United States. 

Between 1999 and 2001, many of the hijackers 

prepared for the 9/11 attack while living in 

Germany.

The Department of Homeland Security (DHS), in collaboration 

with the Departments of Justice and State, has signed Preventing 

and Combating Serious Crime Agreements with 18 countries, 

including Germany, to share information about terrorists and 

criminals.

The hijackers began arriving in the U.S. in late April 

2001 on tourist visas with cash and travelers checks 

acquired in the Middle East.

DHS partners with the Terrorist Screening Center, the National 

Counterterrorism Center and other federal entities to analyze 

travel-related data in order to better understand and anticipate the 

travel patterns of known or suspected terrorists. Today‘s travel 

related databases along with threat-related intelligence have been 

essential in identifying, targeting, and interdicting known and 

suspected terrorists as well as suspicious cargo before it enters the 

United States. 

Prior to 9/11, the hijackers enrolled in flight schools

and conducted cross-country surveillance flights in 

order to identify aircraft that would produce their 

desired impact. 

The Transportation Security Administration (TSA) has 

responsibility for ensuring that foreign students seeking training at 

flight schools do not pose a threat to aviation or national security. 

TSA performs background checks, including government watchlist 

matching, a criminal history check, and an immigration status 

check.

During the spring and summer of 2001, several of 

the hijackers were apprehended by U.S. law 

Today, 72 recognized fusion centers throughout the country serve 

as focal points at the state and local level for the receipt, analysis, 
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enforcement for various traffic violations. gathering, and sharing of threat and vulnerability-related 

information. In addition, the Nationwide Suspicious Activity 

Reporting Initiative helps to train state and local law enforcement 

to recognize behaviors and indicators related to terrorism, crime 

and other threats while standardizing how those observations are 

analyzed and disseminated. Finally, state and local law 

enforcement officers can determine whether an individual is on a 

watchlist through the National Crime Information Center.

On the morning of 9/11, hijackers passed through 

security checkpoints at four U.S. airports, allegedly 

carrying knives, box cutters and concealed weapons 

on their person or in carry-on luggage. 

Multilayered security measures are now in place to enhance 

aviation security including the prescreening of passengers; the 

deployment of new technologies; and training of airport security 

and law enforcement personnel to better detect behaviors 

associated with terrorism. Since 9/11, the capacity of frontline 

security personnel and new technologies has significantly 

expanded. Through Secure Flight, DHS now prescreens 100% of 

the 14 million passengers flying weekly to, from, and within the 

U.S. against government watchlists. In addition, all checked and 

carry-on baggage is now screened for metallic and non-metallic 

threats by new technologies as well as over 52,000 transportation 

security officers at more than 450 airports across the country.

Although eight of the hijackers were randomly 

selected for additional screening and a gate agent 

flagged two as suspicious, none were prevented from 

boarding their flights on 9/11. 

Today, TSA‘s Behavior Detection Officers utilize non-intrusive 

behavior observation and analysis techniques to identify 

potentially high-risk passengers who exhibit behaviors that 

indicate they may be a threat to aviation and/or transportation 

security and refer them for additional screening. TSA also 

conducts screening of passengers at boarding gates based on 

current intelligence and passengers of interest.

At 8:19 AM, flight attendants and passengers began 

reporting hijackings of the aircraft via airphone. 

Following 9/11, all commercial aircraft have been secured 

through the hardening of cockpit doors. In addition, the riskbased deployment of Federal Air Marshals, the Federal Flight Deck 

Officer program, in which eligible flight crewmembers are 

authorized by TSA to use firearms to defend against violence, and 

the crewmember behavior recognition and response training 

program, all provide additional layers of aviation security.

Throughout the morning of September 11, 2011, air 

traffic control operators, military personnel and first 

responders on the ground lacked situational 

awareness of what other agencies were doing to 

address the developing crisis. 

Through the use of mobile and fixed site technologies, voice radio 

systems used by first responders are more interoperable than ever 

before. Since 9/11, the federal government has made significant 

organizational changes and investments in training and technical 

assistance to improve emergency communications capabilities. 

Moreover, the National Emergency Communications Plan and 

Incident Command System have established standardized plans, 

protocols, and procedures to improve command, control, and 

communications. 
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Introduction: Strengthening the Homeland Security 

Enterprise to Address Evolving Threats

The United States has made important progress in securing the nation from terrorism since the 

September 11, 2001 attacks. 

After 9/11, the federal government moved quickly to develop a security framework to protect the 

country from the kind of large-scale attack, directed from abroad, that struck the nation nearly ten 

years ago. This framework has led to considerable success in both preventing this kind of attack 

and limiting, though not eliminating, the operational ability of the core al-Qa ̳ida group. 

Nevertheless, work remains as threats from terrorism persist and continue to evolve. While 

Osama bin Laden is now dead, the United States continues to face threats from al-Qa ̳ida and other 

terrorist groups inspired by al-Qa ̳ida or other extremist ideology. In addition, the nation must 

address threats that are homegrown as well as those that emanate from abroad.

Over the past several years, the Department of Homeland Security (DHS) and our partners have 

worked to strengthen and evolve the homeland security enterprise to better defend against 

evolving terrorist threats. This new approach contains several dimensions.

Within the federal government, many departments and agencies contribute to the homeland 

security mission. The nation‘s armed forces, while often stationed thousands of miles away, are 

on the frontlines of homeland security by helping to significantly degrade al-Qa ̳ida capabilities to 

attack the United States and targets throughout the world. The Director of National Intelligence, 

the Central Intelligence Agency, and the entire Intelligence Community, of which DHS is a 

member, is producing more and better streams of intelligence than before. Multiple federal 

departments and agencies, including the Terrorist Screening Center (TSC) and the National 

Counterterrorism Center (NCTC) have made critical enhancements to the federal watchlisting 

systems and to the coordination of the federal government‘s counterterrorism efforts. The federal 

homeland security enterprise also includes the strong presence of the Department of Justice (DOJ) 

and the Federal Bureau of Investigation (FBI), whose role in leading terrorism investigations has 

led to the arrest of more than two-dozen Americans on terrorism-related charges since 2009.

The homeland security enterprise extends far beyond DHS and the federal government. A key part 

of the enterprise includes working directly with law enforcement, state and local leaders, 

community-based organizations, and private sector partners to counter violent extremism at its 

source, using many of the same techniques and strategies that have proven successful for decades 

in combating violent crime in American communities.

Further, DHS has focused on getting resources and information out of Washington, D.C. and into 

the hands of state and local law enforcement2, to provide them with the tools they need to identify 

 

2 ―Local‖ law enforcement in this Report includes all law enforcement at the municipal, tribal and territorial levels.
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and address threats in their communities. Because state and local law enforcement are often in the 

best position to notice the first signs of a planned attack, homeland security efforts must be 

integrated into the police work that they do every day, providing officers on the front lines with a 

clear understanding of the tactics, behaviors, and other indicators that could point to terrorist 

activity. 

DHS supports these efforts through robust information sharing with public and private sector 

partners; fusion centers to build analytical capability at the state and local level; participation in the 

Nationwide Suspicious Activity Reporting Initiative (NSI) and FBI-led Joint Terrorism Task Forces 

(JTTF); and grants, training, and technical assistance that DHS provides to its state and local 

partners.

The public also plays a key role in this new homeland security enterprise. Through the 

nationwide expansion of the ―If You See Something, Say SomethingTM‖ campaign, DHS is raising 

public awareness of indicators of terrorism, crime and other threats while emphasizing the 

importance of reporting suspicious activity to the proper law enforcement authorities. Recently, 

DHS replaced the color-coded alert system, created shortly after the 9/11 attacks, with the new 

National Terrorism Advisory System (NTAS)—a robust terrorism advisory system that provides 

timely information to the public and the private sector, as well as to state, local, and tribal 

governments about credible terrorist threats and recommended security measures. 

DHS also works closely with international partners, including major multilateral organizations and 

global businesses to strengthen the security of the networks of global trade and travel upon which 

the nation‘s economy and communities rely. DHS has enhanced the security of the aviation 

system, not only in airports throughout the United States, but also in airports abroad, by working 

directly with foreign governments, international organizations, and the aviation industry to raise 

aviation security standards. The Administration‘s global supply chain initiative is building on 

many of these partnerships, including work with International Civil Aviation Organization 

(ICAO), World Customs Organization (WCO) and International Maritime Organization (IMO). 

Taken together, these multi-layered efforts provide a strong foundation that DHS, the public, 

federal, state, local, private sector, and international partners can all use to protect communities 

from terrorism and other threats. The homeland security enterprise is further strengthened by 

continuing efforts to better understand the risks confronting the homeland, and to engage the 

international community, while protecting the fundamental rights of all Americans.
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Expanding Information Sharing

RECOMMENDATION: Provide Incentives for Information 

Sharing3

Over the past several years, DHS has strengthened and evolved our homeland security 

enterprise to better mitigate and defend against dynamic threats. This approach is based on 

the simple premise that homeland security begins with hometown security. Through close 

partnerships with federal, state and local governments, community-based organizations, and 

private sector partners, DHS works to ensure that resources and information are available to 

state and local law enforcement, giving those on the frontlines the tools they need to protect 

local communities. This approach includes a number of critical features that did not exist 

prior to 9/11. Simply put, DHS is focused on assembling information and sharing it across 

the country in a way best designed to protect the homeland.

National Terrorism Advisory System

In April 2011, DHS announced the implementation of the new NTAS, replacing the former colorcoded alert system, which had become obsolete. NTAS is designed to more effectively 

communicate information about terrorist threats by providing timely, detailed information and 

recommended security measures to the public, government agencies, first responders, airports and 

other transportation hubs, and the private sector.

Under NTAS, DHS will coordinate with other federal entities to issue detailed alerts to the public 

when the federal government receives information about a specific, credible terrorist threat to the 

United States. NTAS alerts provide a concise summary of the potential threat, which may include 

a geographic region, mode of transportation, or critical infrastructure potentially affected by the 

threat; actions being taken to ensure public safety; and recommended steps that individuals, 

communities, business and governments can take to help prevent, mitigate or respond to a threat. 

NTAS Alerts contain a sunset provision indicating a specific date when the alert expires. 

Information Sharing 

In the ten years since 9/11, the federal government has strengthened the connection between 

collection and analysis on transnational organizations and threats. Terrorism-related information 

sharing across the intelligence community has greatly improved, and through the establishment of 

the DHS Office of Intelligence & Analysis (I&A), we have strengthened the ability to convey 

intelligence on threats to the homeland in a context that is useful and relevant to law enforcement 

and homeland security officials at the state and local level.

 

3 9/11 Commission Report, pg. 417
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DHS, working closely with the FBI, has re-focused its information sharing and production efforts 

to better address the needs of state and local governments and private sector partners. DHS consults 

with law enforcement officials from major metropolitan areas, the directors of fusion centers, and 

State Homeland Security Advisors to tailor the Department‘s products and briefings to better 

support state and local law enforcement. 

Consistent with the direction the President has set for a robust information sharing environment, 

DHS provides, in coordination with the FBI, regular training programs for local law enforcement 

to help them identify indicators of terrorist activity. In addition, DHS continues to improve and 

expand the information-sharing mechanisms by which officers are made aware of the threat 

picture, vulnerabilities, and what it means for their local communities.

Countering Violent Extremism

One example of the Department‘s efforts to work with state and local officials, as well as 

community groups, is focused on Countering Violent Extremism (CVE). Over the past year, DHS 

has worked with its partners to develop a training curriculum for state and local law enforcement 

that is focused on community-oriented policing to help frontline personnel identify activities that 

are indicators of potential terrorist activity and violence. In conjunction with local communities 

and DOJ, DHS has published guidance on best practices for community partnerships to prevent 

and mitigate homegrown threats. DHS has also participated in dozens of community roundtable 

discussions and trained more than 2,300 state and local personnel on CVE related topics.

Fusion Centers

DHS also supports state and major urban area fusion centers, which interact regularly with JTTFs 

and serve as focal points within the state and local environment for the receipt, analysis, gathering, 

and sharing of threat-related information including classified intelligence. Fusion centers are 

uniquely situated to empower front-line law enforcement, public safety, fire service, emergency 

response, public health, critical infrastructure protection, and private sector security personnel to 

understand local implications of national intelligence, thus enabling local officials to better protect 

their communities.

While fusion centers did not exist ten years ago, today there are 72 recognized fusion centers 

throughout the country that receive support from the federal government through personnel, 

training, technical assistance, security clearances, connectivity to federal systems, technology, and 

grant funding. DHS has deployed Homeland Secure Data Network systems to fusion centers, 

enabling the federal government to share information and intelligence—including classified 

terrorism-related threat information—with state, local, tribal, territorial, and private sector 

partners. DHS has also placed federal intelligence officers at fusion centers, who act as the primary 

liaison between the federal governments and its partners.
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Federal Partners

DHS works closely with its partners across the federal government on various information sharing 

initiatives to support law enforcement operations and protect the country from terrorists and other 

threats. 

A critical partner for DHS, JTTFs are led by the FBI and coordinate resources and expertise from 

across the federal government to investigate terrorism cases. DHS has provided hundreds of 

personnel, including U.S. Immigration and Custom Enforcement (ICE) special agents, U.S. Secret 

Service (USSS) agents, Federal Air Marshals, U.S. Customs and Border Protection (CBP) officers, 

U.S. Citizenship and Immigration Services (USCIS) officers and representatives from the Federal 

Emergency Management Agency (FEMA) and the U.S. Coast Guard (USCG), to support the 104 

JTTFs across the country. JTTFs have been critical to many recent terrorism investigations, 

including the arrests of Najibullah Zazi and Faisal Shahzad for terrorist plots to attack the New 

York transit system and Times Square, respectively. 

Tribal Partners

The Obama Administration has focused on building strong relationships with Tribal governments 

and law enforcement across the nation. In 2009, DHS designated Tribal liaisons in every 

operational component to work directly with tribal communities, and in 2011, DHS announced a 

new DHS Tribal Consultation Policy outlining the guiding principles under which all elements of 

the Department are to engage with sovereign tribal governments. 

Private Sector Partners

The private sector is an integral component of the homeland security enterprise, and through the 

Department‘s private sector office, DHS has worked to improve coordination of private sector 

engagement across the Department, facilitating more effective and rapid communication with key 

organizations and bolstering regionally-focused information sharing efforts. 

International Engagement

The Administration has also expanded information sharing with its international partners. DHS, in 

collaboration with DOJ and the Department of State (DOS), has signed Preventing and Combating 

Serious Crime (PCSC) Agreements with 17 Visa Waiver Program (VWP) countries and one nonVWP country to share information about terrorists and criminals. Working closely with Australia, 

Canada, New Zealand, and the United Kingdom, DHS participates in biographic and biometric 

data exchange, which enables each country to query each other‘s fingerprint databases and 

voluntarily provide data about criminals and terrorists. These efforts, and the collection of 

Electronic System for Travel Authorization (ESTA) data required prior to VWP travel, allow DHS to 

identify and stop those who seek to defraud or exploit the legitimate systems of trade and travel. 

In addition, DHS has signed 12 international agreements to foster collaboration in science and 

technology, including research and development in cutting-edge technologies to ensure our 
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mutual security. At the multilateral level, DHS has worked via ICAO to raise global aviation 

security standards and has partnered with ICAO, IMO, and the WCO to strengthen the standards 

for cargo security worldwide. 

Nationwide Suspicious Activity Reporting Initiative 

DHS has worked with its federal, state, local and private sector partners, to expand the Nationwide 

Suspicious Activity Reporting Initiative (NSI) —an administration effort to train state and local law 

enforcement to recognize behaviors and indicators related to terrorism, crime and other threats; 

standardize how those observations are documented and analyzed; and enhance the sharing of 

those reports with law enforcement and communities throughout the country. While NSI type 

capabilities did not exist on 9/11, the program is currently active in 25 states,4 13 major cities,5

and with Amtrak. 

To date, more than 46,000 frontline law enforcement personnel have received Suspicious Activity 

Reporting (SAR) training, with all frontline law enforcement personnel in the United States 

expected to receive this training by fall 2011, thanks to partnerships with the International 

Association of Chiefs of Police, the Major Cities Chiefs Association, the Major County Sheriffs‘ 

Association, and the National Sheriffs‘ Association. As part of Nationwide Suspicious Activity 

Reporting Initiative, specially trained DHS analysts review suspicious activity reporting and 

provide SAR-related intelligence products to fusion centers, JTTFs, and DHS operational 

components. In conjunction with the NSI, DHS is also working to provide reporting capability 

directly to owners and operators of critical infrastructure.

―If You See Something, Say SomethingTM‖ Campaign

The public also plays a role in homeland security through the expansion of the ―If You See 

Something, Say SomethingTM‖ campaign—a simple and effective initiative, originally 

implemented by New York City‘s Metropolitan Transportation Authority, to raise public awareness 

of indicators of terrorism and crime, and emphasize the importance of reporting suspicious 

activity to law enforcement authorities. This campaign is being expanded to places where NSI is 

being implemented, to ensure that calls to authorities will be handled appropriately, in an 

environment where privacy and civil liberties protections are in place. 

The "If You See Something, Say SomethingTM" campaign has been launched in partnership with 

the National Collegiate Athletic Association, National Basketball Association, National Football 

League, Pentagon Force Protection Agency, Wal-Mart, Mall of America, American Hotel & Lodging 

 

4 Alabama, Arizona, Colorado, Delaware, Florida, Georgia, Indiana, Louisiana, Maryland, Massachusetts, Minnesota, 

Mississippi, Missouri, Nebraska, New Jersey, New York, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Utah, 

Virginia, Washington, and Wisconsin

5 Boston, Chicago, Dallas, District of Columbia, Houston, Kansas City, MO, Las Vegas, Los Angeles, Miami,

Milwaukee, Orlando, Phoenix, and San Francisco 
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Association, Amtrak, and the general aviation industry, as well as in more than 9,000 federal 

buildings, venues and stadiums, and state and local fusion centers across the country. 

In collaboration with the ―If You See Something, Say SomethingTM‖ campaign, the Transportation 

Security Administration (TSA) also provides suspicious behavior observation, assessment, and 

reporting training through its First ObserverTM initiative, launched in 2008, which has trained 

thousands of state and local law enforcement personnel and private sector employees to observe, 

detect and report suspicious behavior at transportation and critical infrastructure sites and facilities 

across the country.

Additionally, the USCG operates the America‘s Waterway Watch (AWW) Program, launched in 

2005, to educate citizens about threats around America's waterfront areas, and provide a means for 

reporting suspicious activity to responsible authorities. Under AWW, USCG personnel work with 

maritime businesses, ports and government agencies and build educational awareness among the 

recreational boating public and marina operators. 
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Developing and Implementing Risk-Based 

Transportation Security Strategies

RECOMMENDATION: Develop a Risk-Based Plan for 

Transportation Security6

DHS focuses on risk-based, intelligence-driven security across all modes of transportation. 

This approach emphasizes pre-screening for passengers and cargo to expedite travel for 

individuals that law enforcement knows the most about, while focusing limited resources on 

those who pose the greatest threat to the nation’s transportation networks. Significant 

advances in risk-based security include baseline security assessments across aviation, 

maritime, and surface transportation sectors; historic global aviation standards; advanced 

passenger and cargo information; and enhanced information sharing with international and 

private sector partners. In June 2010, TSA provided to Congress the Transportation Sector 

Security Risk Assessment report, a nationwide risk assessment that examines the potential 

threats, vulnerabilities, and consequences of a terrorist attack involving the nation’s 

transportation system, including the aviation and surface domains. This report has informed 

the development of risk mitigation strategies, security standards, countermeasures, and 

resource allocations. 

Aviation Security 

International Engagement

After the attempted terrorist attack against Northwest Airlines Flight #253 on December 25, 2009, 

DHS worked with ICAO on an unprecedented initiative to strengthen global aviation against 

threats posed by terrorists, working in multilateral and bilateral contexts with governments as well 

as industry. Secretary Napolitano participated in regional aviation security summits around the 

world, bringing about consensus within the international community to strengthen the civil 

aviation system through enhanced information analysis and sharing, cooperation on technological 

development, and modernized aviation security standards. 

These efforts culminated at the ICAO Triennial Assembly in October 2010, where nearly 190 

countries of the Assembly adopted the Declaration on Aviation Security, which forges a historic 

new foundation for aviation security to better protect the entire global aviation system and make 

air travel safer and more secure than ever before. The Declaration is implemented through two 

agreements:

The ICAO Comprehensive Aviation Security Strategy sets the course for ICAO‘s aviation 

security efforts over the next six years. This strategy promotes innovative, effective, and 

 

6 9/11 Commission Report, pg. 391
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efficient aviation security approaches that focus on information sharing, compliance, and 

oversight, and stresses the importance of security among all of ICAO‘s members and 

stakeholders; and 

The amendment to the ICAO security standards and recommended practices calls for the 

deployment of advanced security technology, the incorporation of random and 

unpredictable aviation security measures, and the implementation of enhanced screening 

and security measures for cargo, mail and the entire global supply chain. 

While TSA does not conduct passenger screening abroad, it requires airports that serve as the last 

point of departure to the U.S. to meet stringent security standards. TSA also conducts international 

aviation security training for countries around the world, focusing on risk-based security 

strategies, including cargo security, screening techniques, vulnerability assessments and airport 

security management, among other topics. Finally, TSA has formalized 60 agreements with 

foreign governments permitting Federal Air Marshals on international U.S. carrier flights and more 

are currently underway. 

Private Sector Engagement

Immediately following the thwarted terrorist plot to conceal and ship explosive devices on aircraft 

bound for the United States in October 2010, DHS worked with industry to implement additional 

precautionary security measures for international inbound flights. Today, DHS continues to work 

with leaders from global shipping companies and the International Air Transport Association 

(IATA) on developing preventative measures, including terrorism awareness training for 

employees and vetting personnel with access to cargo.

In December 2010, CBP, TSA, and the air cargo industry launched the Air Cargo Advance 

Screening Pilot to share electronic shipping information for international flights to the United 

States prior to departure to improve the identification of high-risk shipments. DHS also 

established a high level working group comprised of leaders in the express cargo and passenger 

airline industries, the U.S. Postal Service (USPS), IATA and the American Transport Association to 

develop new industry and government-wide best practices to secure cargo while ensuring the 

timely flow of cargo and mail. 

To strengthen passenger safety, DHS has also worked with the airlines and flight attendant 

associations to develop a behavior recognition and response training program to teach flight crews 

how to detect, respond to, and report common indicators of suspicious activity. Initially 

developed in 2010, this course has been incorporated into the voluntary Crew Member Self 

Defense Training Program.

Additionally, in 2011, TSA began taking additional steps to streamline security screening for U.S. 

air carrier pilots through a program that verifies pilots‘ identity for expedited screening at airport 

checkpoints nationwide. TSA continues to explore ways to accelerate and field risk-based, 

intelligence-driven approaches to aviation and transportation security. This approach will place 

additional emphasis on pre-screening passengers to strengthen security and improve the passenger 

experience, building on its multi-layered approach to transportation security.
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Surface Transportation Security

The transit sector, due to its open access architecture, has a fundamentally different operational 

environment than aviation. Accordingly, DHS helps secure surface transportation infrastructure 

through risk-based security assessments, critical infrastructure hardening, and close partnerships 

with state and local law enforcement partners.

Risk-Based Assessments

Recognizing that the risk from terrorism and other hazards to surface transportation requires a 

coordinated approach involving all sector partners and stakeholders, the Obama Administration 

initiated a comprehensive review of U.S. surface transportation security efforts across all modes in 

2009. The resulting Surface Transportation Security Priority Assessment (STSPA), released in April 

2010, identified interagency priorities for the next four years and provided concrete 

recommendations on how to enhance security efforts and maximize the use of partnerships to 

optimize public safety, facilitate commerce, and strengthen the resiliency of the country‘s surface 

transportation system. 

DHS has completed risk-based implementation plans for each of the 20 consensus 

recommendations of the STSPA, addressing the potential risks to the surface transportation system 

and its four subsectors (mass transit and passenger rail, highways and motor carriers, freight rail, 

and pipelines). These plans focus on improving information sharing, increasing coordination 

among federal agencies involved in the transportation sector, and improving the effectiveness and 

efficiency of the grants process. As of July 2011, 10 recommendations have been fully 

implemented and implementation of the others is underway.

Since 2006, TSA has completed more than 190 Baseline Assessments for Security Enhancement for 

mass transit, which provides a comprehensive assessment of security programs in critical transit 

systems around the country. The results of these assessments inform the development of risk 

mitigation priorities, security enhancement programs, and resource allocations—notably transit 

security grants. As a result, significant progress has been achieved in the areas of critical 

infrastructure hardening; technology development and implementation; training, drills and 

exercises; emergency management and planning; and background investigations. 

Additionally, DHS‘s Science and Technology Directorate (S&T) has conducted detailed 

vulnerability analyses for all U.S. underwater mass transit tunnels, the results of which have 

enabled transit agencies to better evaluate potential risk to their tunnels. These evaluations were 

also incorporated into TSA risk assessments for tunnels and are currently guiding efforts to develop 

protective countermeasures for mass transit infrastructure. 

In an effort to further harden critical surface transportation infrastructure, in 2010, TSA, in 

coordination with the U.S. Department of Transportation (DOT), the U.S. Army Corp of 

Engineers, and other DHS offices, developed and implemented the ―National Strategy for Highway 

Bridge Security,‖ to conduct comprehensive structural security assessments on the nation‘s most 

significant highway structures, including bridges, tunnels and terminals. To date, TSA has 

completed 30 of these structural security assessments.
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Supporting State and Local Efforts

Additionally, TSA has various programs designed to support state and local efforts to bolster 

surface transportation security. Through its 25 multi-modal Visible Intermodal Prevention and 

Response (VIPR) Teams, which are comprised of Federal Air Marshals, surface/aviation 

transportation security inspectors, Behavioral Detection Officers, Transportation Security Officers 

(TSO), and canine teams, TSA helps provide state and local law enforcement with deterrent and 

detection capabilities to prevent or disrupt potential terrorist planning activities. Since the VIPR 

program was created in 2008, there have been over 17,700 operations performed.

In addition, since 2006, DHS has awarded over $1.6 billion in Surface Transportation Security 

Grants to help protect the public and nation‘s critical transportation infrastructure against acts of 

terrorism and other large-scale events. These grants support high-impact security projects, such as 

operational deterrence and critical transit infrastructure hardening that have a high efficacy in 

reducing the risk to the nation‘s transportation systems. In 2011, DHS announced a new model 

for the Transit Security Grant Program, which focuses limited resources on hardening the highest 

risk ―shovel ready‖ transit infrastructure, while prioritizing operational deterrence activities such 

as training, exercises, canine and mobile screening teams.

Maritime Transportation Security

DHS is focused on strengthening maritime transportation security through a risk- and technologybased approach by evaluating vulnerabilities and mitigating threats across all potential pathways.

To this end, the USCG has published a series of regulations to increase the security of U.S. ports, 

ships, and facilities. These regulations extend maritime domain awareness through long-range 

tracking, promote information sharing through Notice of Arrivals/Automatic Identification 

Systems, and standardize crew identification documents.

To support state and local efforts to strengthen maritime security, since fiscal year 2003, DHS has 

provided more than $2 billion in grants for the Port Security Grant Program (PSGP)—awarded 

based on risk—to protect critical port infrastructure from terrorism, enhance maritime domain 

awareness and risk management capabilities, and support the implementation of the 

Transportation Worker Identification Credential (TWIC).

Risk-Based Assessments of Maritime Transportation Security

Since 2006, the USCG has used the Maritime Security Risk Analysis Model (MSRAM) to conduct 

anti-terrorism risk assessments at the nation‘s ports in order to assess threat, vulnerability, and 

consequence factors for various potential terrorist attack scenarios. 

The USCG has also established the International Port Security (IPS) Program to assess antiterrorism measures in foreign ports that conduct maritime trade with the United States. In cases 

where the USCG finds that effective anti-terrorism measures are not in place, vessels arriving to the 

United States from those ports are required to implement additional security measures. To date, 

the IPS Program has assessed over 900 port facilities in more than 150 countries.
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In addition, the USCG conducts intelligence-informed, risk-based Security Boardings to verify the 

identity of crew members and to ascertain if a vessel poses a threat to the port and whether it 

should be permitted or denied entry. 

Maritime Transportation Security Operations and Training

USCG‘s Maritime Security and Response Operations include waterborne and aerial patrols as well 

as armed escorts of hazardous cargos and passenger vessels in order to reduce the risk of terrorism 

to the U.S. Marine Transportation System and critical infrastructure and key resources (CIKR). The 

USCG also utilizes advanced interdiction capabilities to interdict identified threats—including 

chemical, biological, radiological, nuclear, and explosives threats—before they reach the United 

States. 

USCG has increased the presence and capabilities of maritime forces to address high risk threats 

through the establishment of the Deployable Operations Group, which can respond rapidly to 

terrorist and weapons of mass destruction threats as well as Maritime Safety and Security Teams at 

critical U.S. ports, which focus on domestic maritime threats and post-incident response. 

The USCG utilizes United States Visitor and Immigrant Status Indicator Technology (US-VISIT) to 

provide mobile biometrics collection and analysis capability at sea, along with other remote areas 

where DHS operates. The USCG is actively working to expand its at-sea biometric capability to 

assist in the prosecution of persons engaged in illegal maritime activity including illegal migration, 

smuggling, and drug transportation.

The Federal Law Enforcement Training Center, which provides training to 90 federal agencies and 

more than 67,000 federal, state, and local law enforcement personnel each year, has also 

developed and enhanced maritime security training programs focused on physical security and 

antiterrorism techniques for port security, including the development of a first-of-its-kind 

maritime law enforcement training center in Los Angeles to train state and local law enforcement 

personnel in various maritime counterterrorism operations.

Maritime Cargo Security

Agencies throughout the Obama Administration are working collaboratively to develop a unified 

vision for global supply chain security across air, land, and sea modes of transportation. The 

implementation of this strategy, which the Administration anticipates completing in 2011, will 

more comprehensively address risk than ever before. As this effort progresses, DHS continues its 

ongoing research and development work to address some of the limitations inherent in available 

technology and to explore innovative next-generation capabilities. For example, DHS is working 

to develop mobile scanning systems and technologies with enhanced penetration capabilities to 

strengthen the ability to detect illicit materials in very dense cargo. DHS is also working to 

develop technologies that can automatically detect and analyze suspicious anomalies within cargo 

containers, mitigating the need for more time-consuming and challenging approaches. 

CBP has also implemented the Container Security Initiative (CSI) to ensure that U.S.-bound 

maritime containers that pose a potential risk are identified and inspected before they are placed 
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on vessels destined for the U.S. CSI, which was first announced in January 2002, is currently 

operational in 58 foreign seaports in 32 countries. 

Finally, in January 2010, CBP began enforcement of the Importer Security Filing and Additional 

Carrier Requirements interim final rule—also known as the ―10 + 2 rule‖—increasing the scope 

and accuracy of information gathered on cargo shipments arriving by sea into the United States 

and bolstering DHS's layered enforcement strategy to protect against terrorism and other crimes at 

U.S. ports of entry.
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Strengthening Airline Passenger Pre-Screening and 

Targeting Terrorist Travel

RECOMMENDATIONS: Improve airline passenger pre-screening7

and target terrorist travel8

Prior to 9/11, screening of passengers coming to the United States was limited to the DOS visa 

process and the inspection of a person by an immigration officer at the port of entry. 

Provision of advance passenger information (API) by airlines was voluntary and often 

inconsistent. Over the past ten years, DHS has significantly adapted and enhanced its ability to 

detect threats, building a layered, risk-based system that includes a full range of identification 

verification measures – from visa application checks and biometric identification to the 

receipt of advanced passenger information and the full implementation of Secure Flight, a 

program that enables DHS to prescreen 100 percent of passengers on flights flying to, from, or 

within the United States against government watchlists. DHS has also increased enrollment in 

its trusted traveler programs—which expedite travel for members who pass rigorous, 

recurrent security checks— to over one million members. With support from international 

partners and the aviation industry, DHS has implemented pre-departure programs for U.S. 

bound flights as well as enhanced security measures to strengthen the safety and security of all 

passengers. These new measures, which cover 100 percent of passengers traveling by air to the 

United States, utilize real-time, threat-based intelligence along with multiple layers of 

security, both seen and unseen, to more effectively mitigate evolving terrorist threats. 

Pre-Departure Identification

DHS has worked closely with the intelligence and law enforcement communities to develop new 

mechanisms that identify high-risk travelers prior to departure. The U.S. Government has 

reformed the criteria and nomination processes for the terrorist watchlist and enhanced its 

information sharing capabilities to more comprehensively connect available pieces of intelligence 

to identify individuals who are known to be of security concern as well as people and connections 

that would otherwise remain unknown. Collectively, these enhancements help prevent dangerous

individuals from entering the United States and support enforcement efforts if derogatory 

information develops after an individual of concern has already been admitted.

The U.S. Government reviews travelers‘ identity information and travel practices through five 

reinforcing systems: 

The visa application process, through which DHS provides support to DOS;

 

7 9/11 Commission Report, pg. 393

8 9/11 Commission Report, pg. 385
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ESTA, which determines eligibility of a person for travel under the VWP;

The API System, which allows CBP to compare the traveler manifest of commercial and private 

aircraft, as well as commercial vessels, against law enforcement databases, including the 

Terrorist Screening Database (TSDB);

Passenger Name Records (PNR) data, which analyzes information from the carriers‘ 

reservation systems to detect links to known or suspected terrorists or patterns of criminal or 

terrorist activity; and

Secure Flight, which compares passenger information against government watchlists. 

Improved Analysis of Travel-Related Data

While watchlists existed prior to 9/11, they were neither coordinated nor consolidated to the 

degree and depth commensurate with what exists today. Today, four centers across the federal 

government provide information regarding potential terrorist travel: TSC, NCTC, the National 

Targeting Center, and the Human Smuggling and Trafficking Center, all of whom work together, 

leveraging threat-related intelligence and travel-related data which is essential in identifying, 

targeting, and interdicting known and suspected terrorists as well as suspicious cargo prior to 

entering the United States or boarding a flight bound for the United States. In addition, watchlist 

data that previously had been retained at entry points in the United States has now been pushed 

overseas, so that suspect travelers do not board an airplane for the U.S. without, at a minimum, 

additional screening. In fiscal year 2010, DHS identified more than 1,500 passengers on 

watchlists who had booked international flights. These passengers were denied boarding, received 

enhanced security screening, or were removed from the watchlists after it was determined that 

they did not pose a threat. 

Visa Waiver Program/ Electronic System for Travel Authorization

VWP enables nationals of 36 participating countries to travel to the United States for stays of 90 

days or less without obtaining a visa. Prior to 9/11, there was no advance screening of passengers 

seeking admission under the VWP. In 2008, DHS implemented ESTA to screen prospective VWP 

travelers against several databases, including the terrorist watchlist; lost and stolen passports; visa 

revocations; previous VWP refusals; and public health records. Since January 2009, nationals from 

all VWP countries, regardless of their port of embarkation, have been required to obtain an 

approved travel authorization via ESTA prior to boarding a carrier to travel by air or sea to the 

United States under the VWP. 

DHS—in cooperation with DOS and DOJ—has made substantial progress in bringing VWP 

countries into compliance with the information sharing requirements of the 9/11 Act. The 9/11 

Act requires VWP countries to enter into an agreement with the United States to report, or make 

available to the United States, lost and stolen passport data so that it can be screened against 

INTERPOL‘s Stolen and Lost Travel Document database, which contains lost and stolen passport 
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records of more than 150 countries. This requirement has contributed to the overall decline of 

fraudulent VWP passport intercepts at the border, from 712 in FY2004 to 36 in FY2010. 

Visa Security

Through the Visa Security Program (VSP), with DOS concurrence, ICE deploys trained special 

agents overseas to high-risk visa activity posts in order to identify potential terrorist and criminal 

threats before they reach the United States. ICE special agents conduct targeted, in-depth reviews 

of individual visa applications and applicants prior to issuance, and make recommendations to 

consular officers regarding refusal or revocation of applications when warranted. The VSP is 

currently deployed to 19 posts in 15 countries. 

DHS has also worked closely with federal partners to improve and expand procedures for vetting 

immigrant and nonimmigrant visa applicants, asylees, and refugees. The interagency vetting 

process in place today is more robust and considers a far broader range of information than it did 

in past years. Visa applicants, those seeking to enter the U.S. at a port of entry, refugee, and 

asylum applicants are subject to rigorous background vetting, biographic and biometric checks—

including checks against records obtained by the Department of Defense (DOD) in Iraq and 

Afghanistan. These enhancements are a reflection of the commitment of DHS and other agencies 

to conduct the most thorough checks possible to prevent dangerous individuals from gaining 

access to the United States through the immigration process.

Since March 2010, CBP has utilized their Advanced Targeting System (ATS) platform in 

partnership with DOS to conduct recurrent vetting of approved visa applications. CBP utilizes ATS 

to recurrently vet the approved visa applications against the TSDB and other government 

watchlists. Since the program was implemented, CBP has referred over 1,200 recurrent vetting 

matches to DOS resulting in over 1,000 visa revocations.

Advance Passenger Information and Passenger Name Records

To identify high-risk travelers and facilitate legitimate travel, DHS requires airlines flying to the 

United States from foreign countries to provide API, which includes basic information such as 

name, date of birth, citizenship/nationality and passport number, and PNR, which includes 

information that travelers provide to airlines when booking their flights, such as itinerary, address, 

and check-in information, up to 72 hours prior to departure. Since the creation of the 

Department, DHS has improved its ability to use this and other information to target and identify 

both known and unknown individuals that are either a threat to aviation or the United States, and 

to prevent them from either flying to or entering the United States.

During 2008 and 2009, PNR helped the United States identify individuals with potential ties to 

terrorism in more than 3,000 cases, and in fiscal year 2010, approximately one quarter of those 

individuals denied entry to the United States for having ties to terrorism were initially identified 

through the analysis of PNR. PNR analysis also played a critical role in the investigations of 

Najibullah Zazi, who pled guilty to plotting to bomb New York subways; David Headley, who 

pled guilty for his role in the 2008 Mumbai terrorist attacks and was suspected of planning attacks 
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in Europe; and Faisal Shahzad, who pled guilty in the 2010 bombing attempt against Times Square 

in New York. 

DHS and the European Union (EU) are completing a new U.S.-EU PNR agreement that improves 

the privacy protection and security benefits of the 2007 U.S.-EU PNR Agreement currently in 

effect. The new PNR Agreement, which requires approval by the Council of the European Union 

and ratification by the European Parliament, will underscore the United States and the European 

Union‘s continuing commitment to combat terrorism and serious transnational crime, while 

respecting privacy. 

Secure Flight

Fulfilling a key 9/11 Commission recommendation, DHS fully implemented Secure Flight in 

November 2010. Under Secure Flight, DHS prescreens 100 percent of passengers on flights flying 

to, from, or within the United States against government watchlists using passenger names, dates 

of birth, gender and, if applicable, redress numbers before travelers receive their boarding passes. 

In addition to facilitating secure travel for all passengers, this program helps prevent the 

misidentification of passengers who have names similar to individuals on government watchlists.

Prior to Secure Flight, airlines were responsible for checking passengers against watchlists. 

Through Secure Flight, TSA now vets over 14 million passengers weekly.

In addition to facilitating secure travel for all passengers, this program helps prevent the 

misidentification of passengers who have names similar to individuals on government watchlists 

and provides the consistent application of an integrated redress process for misidentified 

individuals through the Department of Homeland Security's Travel Redress Inquiry Program (DHS 

TRIP). Launched in 2007, DHS TRIP provides a single point of contact for individuals who have 

inquiries or seek resolution regarding difficulties experienced during travel screening at 

transportation hubs or crossing U.S. borders.

Pre-Departure Program

Complementing these efforts, CBP has strengthened its in-bound targeting operations to enable 

CBP to identify high-risk travelers who are likely to be inadmissible into the United States and to 

recommend to commercial carriers with direct flights to the United States that those individuals 

not be permitted to board a commercial aircraft through its Pre-Departure program. Since the 

inception of the Pre-Departure program 2010, CBP has identified over 2,800 passengers who 

would likely have been found inadmissible upon arrival to the United States.

Pre-clearance Agreements

Pre-clearance agreements are in place with Aruba, Bahamas, Bermuda, Canada and Ireland, 

allowing DHS to screen travelers and their baggage before takeoff through the same process a 

traveler would undergo upon arrival at a U.S. port of entry to better target and prevent threats 

while streamlining legitimate travel. In fiscal year 2010, CBP Officers identified more than 250 

positive TSDB matches at pre-clearance locations attempting to travel to the United States. 

Through collaboration with foreign law enforcement partners, DHS was able to conduct 
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interviews of these individuals, recommend additional screening, and when appropriate, refuse 

admissions to the U.S. Pre-clearance supports the Department‘s overall risk-based strategy to 

identify potential threats prior to travel, while expediting processing at arrival ports of entry. 

Immigration Advisory Program

DHS currently has eight Immigration Advisory Program arrangements in six countries, which 

enable CBP officers posted at foreign airports to use advanced targeting and passenger analysis 

information to identify high-risk travelers at foreign airports before they board U.S.-bound flights. 

This program has enabled CBP Officers to identify positive TSDB matches, recommend additional 

screening, and when appropriate, notify the air carrier that the individual would likely be refused 

admissions to the U.S.

Trusted Traveler Programs and Enhancing the Traveling Experience 

In order to facilitate legitimate travel and effectively deploy screening and security resources, CBP 

has increased enrollment in its trusted traveler programs from approximately 80,000 members in 

2003 to over one million today. CBP currently manages three Trusted Traveler Programs for the 

passenger environment: NEXUS, the Secure Electronic Network for Travelers Rapid Inspection, and 

Global Entry, and plans to offer a single application for all modes of travel in the near future.

These programs expedite travel for members who voluntarily apply, pay a fee, provide biometric 

identification, pass a rigorous background check, and undergo recurrent security checks.

In July 2011, TSA released details on a plan to conduct a pilot program in the coming months to 

enhance TSA‘s identity-based, pre-flight screening capabilities and provide trusted travelers with 

expedited screening. During the first phase of testing, certain frequent fliers and all members of 

CBP‘s Trusted Traveler programs who are U.S. citizens will be eligible to participate in this pilot, 

which could qualify them for expedited screening at select checkpoints at certain airports. 

DHS is also currently piloting a number of programs to expedite and enhance the traveling 

experience, including ―OneStop,‖ which is designed to reduce wait times by designating primary 

inspection lanes for international travelers arriving without checked baggage, ―Express 

Connection,‖ which designates customs lanes for travelers who have short time windows between 

connecting flights, and the Model Ports Initiative, which, in partnership with the private sector, is 

working to improve the arrival experience at our top 20 international airports. 

Risk-Based Screening Strategy for the Future

Recognizing that security screening needs to be constantly updated to address evolving threats, the 

Administration continues to focus on the implementation of risk-based measures to strengthen 

aviation security while improving the passenger experience wherever possible. TSA is currently 

working on a variety of identity-based screening measures that would enable travelers to volunteer 

more information about themselves prior to flying in order to expedite screening. This is an 

ongoing, collaborative effort with law enforcement, airport authorities, the aviation industry, and 

the traveling public. As risk-based screening evolves, DHS and TSA will continue to incorporate 
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random security steps as well as other measures both seen and unseen in order to maintain the 

safest and most efficient system for the traveling public.
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Enhancing Screening for Explosives

RECOMMENDATION: Improve aviation security through 

enhanced explosive screening9

In March 2002, TSA’s first cadre of federal screeners included 80 individuals; today more than 

52,000 Transportation Security Officers (TSOs), Transportation Security Inspectors, and 

Behavior Detection Officers serve on the frontlines at more than 450 U.S. airports. Through 

the Recovery Act and annual appropriations, TSA has accelerated the deployment of new 

technologies to detect the next generation of threats, including Advanced Imaging Technology 

(AIT) units, Explosive Detection Systems (EDS), Explosives Trace Detection (ETD) units, 

Advanced Technology (AT) X-Ray systems, and Bottled Liquid Scanners. Prior to 9/11, 

limited federal security requirements existed for cargo and baggage screening. Today, 100 

percent of all checked and carry-on baggage is screened for explosives and TSA continually 

assesses intelligence to develop countermeasures in order to enhance its multiple layers of 

security at airports and onboard aircraft. 

Enhanced Screening Technologies 

Advanced Imaging Technology

TSA began deploying AIT units in 2008, leading to the detection of hundreds of prohibited, illegal 

or dangerous items at checkpoints nationwide. AIT safely screens passengers for metallic and nonmetallic threats, including weapons, explosives and other objects concealed under layers of 

clothing. AIT has been evaluated and determined to be safe for all passengers by the Food and 

Drug Administration, National Institute for Standards and Technology and Johns Hopkins 

University Applied Physics Laboratory. TSA ensures passenger privacy through the anonymity of 

AIT images—a privacy filter is applied to blur facial images; all images examined by TSA at 

airports are permanently deleted immediately once viewed and are not stored, transmitted or 

printed; and the officer viewing the image never sees the passenger and the officer assisting the 

passenger cannot view the image. TSA has begun installing new software on millimeter wave AIT 

units that automatically detect potential threats using a generic outline of a person for all 

passengers—further enhancing the privacy protections in place for AIT screening. 

While TSA does not conduct passenger screening abroad, it requires airports that serve as the last 

point of departure to the U.S. to meet stringent security standards. To date, several countries—

including Canada, Germany, Korea, the Netherlands, Nigeria, Poland, Russia, Ukraine, and the 

United Kingdom—have deployed or piloted AIT units in their major airports. 

 

9 9/11 Commission Report, pg. 393
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Explosives Trace Detection 

ETD units are used by TSOs to screen carry-on articles, checked baggage, and passengers for 

explosive residue. A swab is used to collect samples, which are electronically analyzed for traces 

of explosive residue or vapor. 

Advanced Technology X-Ray 

AT X-Ray machines scan carry-on baggage from multiple angles, providing the operator with a 

clear image regardless of the bag‘s orientation within the machine. 

Bottled Liquid Scanners 

Bottled Liquid Scanners are hand-held or bench-top devices which are capable of detecting 

explosives and flammable liquids.

Explosive Detection Systems

TSA screens 100 percent of all checked baggage for explosives. Through a sophisticated analysis of 

each checked bag, EDS can quickly determine if a bag contains a potential threat. 

Canines

TSA deploys canine teams to screen air cargo at the nation‘s highest cargo volume airports and 

provide explosives detection capabilities in the aviation, mass transit, and maritime transportation 

sectors. The TSA National Explosive Detection Canine Team Program has grown from 200 in 

2001 to 900 teams in 2011. TSA has also developed a Passenger Screening Canine training 

program to enhance a canine‘s ability to detect explosive materials in baggage as well as on 

passengers

Cargo Security

Screening

Prior to 9/11, no federal security requirements existed for cargo screening. Now, 100 percent of 

all cargo transported on passenger aircraft that depart U.S. airports is screened commensurate with 

screening of passenger checked baggage. This was accomplished largely through the Certified 

Cargo Screening Program, which permits entities that have undergone rigorous inspection and 

certification processes throughout the air cargo supply chain to screen cargo. 

In December 2010, TSA implemented requirements for 100 percent screening of high-risk cargo 

on international flights bound for the United States. Following this, Secretary Napolitano and TSA 

Administrator Pistole solicited feedback from passenger carriers on their ability to screen 100 

percent of all air cargo on international inbound passenger aircraft. The Department is currently 

evaluating formal industry comment to this proposal in order to finalize its strategy and timeline 
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for implementing the 100 percent international inbound cargo screening requirement. As part of 

this effort, TSA will work with industry to leverage and enhance ongoing programs such as TSA‘s 

National Cargo Security Program recognition process, which certifies foreign aviation security 

programs that are commensurate with TSA standards. 

Global Supply Chain Security

In January 2011, Secretary Napolitano announced a new partnership with the WCO to enlist other 

nations, international bodies and the private sector in increasing the security of the global supply 

chain—outlining a series of new initiatives to make the system stronger, smarter and more 

resilient. The three main elements of this international effort to strengthen the security of the 

global supply chain include: 

Preventing terrorists from exploiting the global supply chain to plan and execute attacks; 

Protecting the most critical elements of the supply chain system, such as transportation 

hubs and related critical infrastructure, from attacks and disruptions; and 

Building the resilience of the global supply chain to ensure that if something does happen, 

the supply chain can recover quickly. 

As part of the effort to strengthen the global supply chain, ICE, in coordination with the WCO, 

launched Operation Global Shield in 2010, a multilateral law enforcement effort aimed at 

combating the illicit cross-border diversion and trafficking of precursor chemicals for making 

improvised explosive devices (IED) by monitoring their cross-border movements. In March 2011, 

the WCO voted to make Project Global Shield a permanent program.

Additionally, the Customs Trade Partnership Against Terrorism (C-TPAT), a voluntary publicprivate sector partnership program, strengthens cargo security throughout the international supply 

chain by working closely with importers, carriers, consolidators, licensed customs brokers, and 

manufacturers. The C-TPAT program—launched in November 2001 with seven participating 

companies—evaluates trusted shippers through security checks and on site evaluations. As of May 

2011, C-TPAT had more than 10,100 Certified Partners worldwide and has conducted more than 

17,700 on site validations of manufacturing and logistics facilities in 97 countries, representing 

some of the highest risk areas of the world.
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Strengthening Efforts to Detect and Report Biological, 

Radiological and Nuclear Threats

RECOMMENDATION: Strengthen counterproliferation efforts to 

prevent radiological/nuclear terrorism10

Countering nuclear, biological, and radiological threats requires a coordinated, whole-ofgovernment approach. The Domestic Nuclear Detection Office (DNDO)—formed in 2005 as 

part of DHS—works in partnership with agencies across federal, state and local government to 

prevent and deter attacks using nuclear and radiological weapons through nuclear detection 

and forensics programs and activities. The Office of Health Affairs (OHA) coordinates the 

Department’s biological and chemical defense activities, providing medical and scientific 

expertise to support preparedness and response efforts. 

Nuclear Detection

DNDO works to improve the nation‘s capability to detect and report unauthorized attempts to 

import, develop, or transport nuclear or radiological material for use against the U.S.

Working with partners from across the Administration, including DOD, DOS, Department of 

Energy, and DOJ, the intelligence community, and the Nuclear Regulatory Commission, DNDO 

helps integrate interagency efforts to develop nuclear detection capabilities, respond to detection 

alarms, conduct research and development, and coordinate the development of the global nuclear 

detection architecture (GNDA). In December 2010, DNDO submitted to Congress the GNDA 

Strategic Plan, an interagency product designed to guide the nation‘s nuclear terrorism detection 

capacity and capability development over the next five years. 

DNDO develops nuclear detection capabilities and implements the domestic portion of the GNDA 

in coordination with federal, state, local, international, and private sector partners as well as the 

Department‘s operational components. For example, DNDO has worked with CBP to deploy 

Radiation Portal Monitors and other radiation detection technologies to seaports, land border 

ports, and mail facilities around the world. When the Department was formed in 2003, these 

systems scanned only 68 percent of arriving trucks and passenger vehicles along the Northern 

border. No systems were deployed to the Southwest border and only one was deployed to a 

seaport. Today, these systems scan 100 percent of all containerized cargo and personal vehicles 

arriving in the U.S. through land ports of entry, as well as over 99 percent of arriving sea 

containers. Additionally, DHS has procured thousands of Personal Radiation Detectors, 

Radiological Isotope Identification devices, and backpack detectors for CBP, USCG, TSA, and state 

and local law enforcement across the country to scan cars, trucks, and other items and conveyances 

 

10 9/11 Commission Report, pg. 381 
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for the presence of radiological and nuclear materials. DNDO has also made radiological and 

nuclear detection training available to over 15,000 state and local officers and first responders. 

In its fiscal year 2012 budget request, DHS proposed expanding the Securing the Cities (STC) 

initiative, designed to enhance the nation‘s ability to detect and prevent a radiological or nuclear 

attack in the highest risk cities, to include additional urban areas while continuing to support 

efforts in New York. Through STC, nearly 11,000 personnel in the New York City region have 

been trained in preventive radiological and nuclear detection operations and nearly 6,000 pieces 

of radiological detection equipment have been deployed. In April 2011, DNDO and the New York 

Police Department sponsored a full-scale exercise for radiological and nuclear detection capabilities 

in the New York City region to assess the ability of STC partners to detect radiological and nuclear 

materials and deploy personnel, equipment and special units in accordance with established 

protocols and in response to threat-based intelligence.

To fulfill its mandate to develop, acquire, and support the deployment of radiological and nuclear 

detection technologies, DNDO has embarked on ambitious research and development programs. 

Since its inception, DNDO has initiated more than 250 research and development projects with 

national laboratory, academic, and industrial partners to advance detection technologies. DNDO 

has also conducted more than 50 test and evaluation campaigns of detection equipment, which 

have informed federal, state, and local users of the technical and operational performance of 

various radiological and nuclear detection systems. 

Nuclear Forensics

DHS is also responsible for advancing the nation‘s nuclear forensics capability which, in 

conjunction with law enforcement and intelligence information, supports the identification of 

individuals involved in planned or actual attacks using radiological or nuclear weapons or 

materials. 

In fiscal year 2008, DNDO launched the National Nuclear Forensics Expertise Development 

(NNFED) Program—a collaborative effort with DOE and DOD to address the critical human capital 

needs of the technical nuclear forensics community. Through NNFED, DNDO supports nuclear 

forensic education through graduate study and faculty development in the field. 

In February 2010, President Obama signed the Nuclear Forensics and Attribution Act, which established 

the National Technical Nuclear Forensics Center (NTNFC) within DNDO to coordinate centralized 

planning and exercises; provide continual assessment and evaluation; and promote international 

collaboration. The NTNFC has facilitated assessments of national nuclear forensics capabilities 

through collaboration with the National Academy of Sciences.

In April 2010, President Obama signed and sent to Congress the National Strategic Five-Year Plan for 

Improving the Nuclear Forensics and Attribution Capabilities of the United States. This strategic plan—developed 

by DNDO in collaboration with its interagency partners—outlines policy, analytical, and 

budgetary investments to support and improve the nation‘s nuclear forensics and attribution 

capabilities. 
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Counter-Proliferation

One of DHS‘s highest priorities is to prevent terrorist groups and hostile nations from illegally 

obtaining U.S. military products and sensitive technology, including components of weapons of 

mass destruction. ICE‘s Counter-Proliferation Investigations program is responsible for overseeing 

a broad range of investigative activities related to such violations, including the enforcement of 

U.S. laws involving the export of military items and controlled dual-use goods, as well as exports 

to sanctioned or embargoed countries. 

ICE established the National Export Enforcement Coordination Network to better coordinate 

export enforcement efforts among law enforcement agencies and with the intelligence 

community. In addition, through Project Shield America, ICE conducts outreach to manufacturers 

and exporters of strategic commodities that are believed to be targeted for procurement by 

terrorist organizations and the countries that support them, as well as countries identified as 

weapons proliferators. In November 2010, President Obama issued an Executive Order 

authorizing the establishment of the Export Enforcement Coordination Center to coordinate and 

enhance export control enforcement efforts among federal law enforcement agencies, export 

licensing agencies, and the intelligence community. The center will begin operations in late 2011. 

Nuclear/Radiological Preparedness and Response

Through the Federal Radiological Emergency Preparedness Coordination Committee, as part of the 

National Response Framework, FEMA provides detailed information regarding roles, 

responsibilities, and coordinating instructions for a range of radiological and nuclear threats to 

planners across all levels of government, the private sector, and non-governmental organizations.

Recently, FEMA and the Nuclear Regulatory Commission have updated the Radiological 

Emergency Preparedness Program to focus on planning and preparedness for threats that could 

affect the nation‘s commercial nuclear power plants.

Preparing for and Protecting Against Biological Threats

Since the anthrax attacks 10 years ago, the Department has made great strides in protecting the 

nation from, and preparing federal, state, and local governments to respond to biological attacks.

In 2003, the Department stood up the BioWatch system—a federally-managed, locally-operated, 

nationwide bio-surveillance system designed to detect the intentional release of aerosolized 

biological agents which is currently operational in approximately 30 cities and states. In 2010, the 

Department began testing the next generation of automated early detection systems, known as 

Gen-3, which is expected to significantly reduce the time between a release of a biothreat agent 

and confirmation of that release. 

To improve state and local biopreparedness, the Department established the first formalized 

sharing of public health and intelligence information with state and local health partners in 2009. 

In 2010, the Department developed and conducted a series of biodefense response exercises, 

including one in each of the 10 FEMA regions, involving more than 1,000 state and local officials. 

The Department has also contributed to the physical safety and security of biological select agent 
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facilities by completing Buffer Zone Plans and Site Assistance Visits, and providing grant funding 

to first responders at these facilities.

Recognizing the critical need to dispense life-saving medical countermeasures to those potentially 

exposed to aerosolized anthrax spores within 48 hours of exposure, the Department‘s Office of 

Health Affairs developed a concept of operations for a rapid federal response to support state and 

local jurisdiction plans. Additionally, DHS stood up a program that ensures the Department‘s 

mission essential functions by distributing medical countermeasures to personnel serving in 

critical roles during an emergency. 
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Protecting Cyber Networks and Critical Physical 

Infrastructure

RECOMMENDATION: Assess critical infrastructure and 

readiness11

Over the past ten years, DHS has made significant strides in enhancing the security of the 

nation’s critical physical infrastructure as well as its cyber infrastructure and networks. Key 

tools include the National Cybersecurity Protection System (NCPS) – of which the EINSTEIN 

cyber intrusion detection system is a key component – and the National Cybersecurity and 

Communications Integration Center (NCCIC), a DHS-led coordinated watch and warning 

center that serves as the nation’s principal hub for organizing cyber response efforts. In 

addition, DHS and DOD signed a landmark memorandum of agreement to align and enhance 

America’s capabilities to protect against threats to critical civilian and military computer 

systems and networks. Further, DHS led the effort to develop the National Infrastructure 

Protection Plan (NIPP), a comprehensive risk management framework for all levels of 

government, private industry, nongovernmental entities and tribal partners, while 

implementing the Chemical Facility Anti-Terrorism Standards (CFATS) to regulate security at 

high-risk chemical facilities. In addition, DHS conducts comprehensive risk-based security, 

vulnerability and capability assessments of critical infrastructures, provides technical 

assistance and grant funding to bolster local capabilities, and facilitates information sharing 

with key sectors. 

Safeguarding Cyber Infrastructure and Networks

The rapid and dispersed rate of change in the cyber sphere presents many challenges. The rising 

volume and virulence of attacks have the potential to degrade economic capacity and threaten 

basic services. Today‘s threats to cybersecurity require the engagement of the entire society—from 

government and law enforcement to the private sector and importantly, members of the public—

to block malicious actors while bolstering defensive capabilities.

DHS is responsible for protecting the federal executive branch civilian agencies and guiding the 

protection of the nation‘s critical infrastructure and connections to cyberspace. This includes the 

―dot-gov‖ world, where the government maintains essential functions that provide services to the 

American people as well as the systems and networks that support the financial services, energy, 

and defense industries.

 

11 9/11 Commission Report, pg. 428
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Collaboration with Public and Private Sectors 

In October 2010, Secretary Napolitano and Secretary of Defense Robert Gates signed a 

Memorandum of Agreement to align and enhance America‘s capabilities to protect against threats 

to critical civilian and military computer systems and networks. The Agreement embeds DOD 

cyber analysts within DHS and sends DHS privacy, civil liberties, and legal personnel to DOD‘s 

National Security Agency to strengthen the nation‘s cybersecurity posture and ensure the 

protection of fundamental rights. 

In November 2010, the Multi-State Information Sharing and Analysis Center, funded in part by 

DHS, opened the Cyber Security Operations Center, a 24-hour watch and warning facility, to 

enhance situational awareness at the state and local level and allow the federal government to 

quickly and efficiently provide critical cyber risk, vulnerability, and mitigation data to state and 

local governments.

In partnership with the private sector, the U.S. Computer Emergency Readiness Team (US-CERT) 

takes proactive measures to stop possible threats from reaching an even broader audience by 

developing and sharing standardized threat indication, prevention, mitigation, and response 

information products with its ―dot-gov‖ partners. In addition, US-CERT hosts the Joint Agency 

Cyber Knowledge Exchange Program, an analyst-to-analyst information sharing forum between 

US-CERT and the rest of the federal government for the exchange of classified and unclassified 

cyber threat information and techniques for mitigating and defending against cyber threats.

Protecting Critical Infrastructure and Its Connections to Cyberspace

Protecting critical infrastructure and its connections to cyberspace—including the systems and 

networks that support the financial services, energy, and defense industries— requires a full range 

of partners, including other government agencies, the private sector and individuals

DHS developed the first-ever National Cyber Incident Response Plan in September 2010 to

coordinate the response of multiple federal agencies, state and local governments, and hundreds of 

private firms, to incidents at all levels. DHS tested this plan during the CyberStorm III national 

exercise, which simulated a large-scale attack on the nation‘s critical information infrastructure 

and included participation from seven cabinet agencies, 11 states, 12 international partners, and 

60 private sector companies.

DHS also works with the private sector, other government agencies and the international

community every day to mitigate risks by leveraging the tools, tradecraft, and techniques 

malicious actors use and converting them into actionable information for all 18 critical 

infrastructure sectors to use against cyber threats. In October 2009, DHS opened the new 

NCCIC—a 24-hour, DHS-led coordinated watch and warning center to serve as the nation‘s 

principal hub for organizing cyber response efforts and maintaining the national cyber and 

communications common operational picture. DHS also implemented the Cybersecurity Partners 

Local Access Plan, which allows security-cleared owners and operators of critical infrastructure and 

key resources, as well as state technology officials and law enforcement officials, to access secretlevel cybersecurity information via local fusion centers.
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Protecting the ―dot-gov‖ World

In close partnership with other federal agencies and the private sector, DHS utilizes NCPS, of 

which the EINSTEIN intrusion detection system is a key component, to protect the dot-gov 

domains. The EINSTEIN system, initially deployed in 2004, helps block malicious actors from 

accessing federal executive branch civilian agencies, while working closely with those agencies to 

bolster their defensive capabilities. Recently, DHS deployed EINSTEIN 2—an automated cyber 

surveillance system that monitors federal internet traffic for malicious intrusions—at 15 

Departments and agencies and four Managed Trusted Internet Protocol Service providers. At full 

operational capability, EINSTEIN 3 will provide DHS with the ability to detect malicious activity 

and disable attempted intrusions automatically, a significant improvement in the Department‘s 

ability to prevent cyber intrusions on federal executive branch civilian networks and systems. 

Once fully deployed, EINSTEIN 2 and EINSTEIN 3 will provide cyber protection capabilities to 

more than 110 federal civilian executive branch departments and agencies. 

Additionally, as part of the Comprehensive National Cybersecurity Initiative, DHS works to reduce 

and consolidate the number of external connections that federal agencies have to the Internet 

through the Trusted Internet Connection (TIC) initiative. This initiative reduces the number of 

potential vulnerabilities to government networks and allows DHS to focus monitoring efforts and 

security capabilities on limited and known avenues for Internet traffic.

Intelligence and Cybersecurity 

The DHS I&A works with the National Protection and Programs Directorate (NPPD) to monitor 

and report on threats and intrusions to federal government departments, as well as state and local 

governments. By embedding intelligence analysts at US-CERT, the Industrial Control Systems 

Cyber Emergency Response Team and the NCCIC, I&A is able to analyze intrusion detection 

information gathered from DHS sensors like EINSTEIN as well as investigative information from 

DHS components to provide a national intelligence perspective to cyber incidents. Analysis is then 

shared with the federal, state, local and tribal government agencies in the form of Homeland 

Intelligence Reports. 

Additionally, I&A integrates all-source intelligence from the intelligence community with 

information provided by private sector owners and operators of CIKR to provide a more 

comprehensive tactical and strategic understanding of cyber threats. I&A disseminates this 

information through regular intelligence products and briefings to the private sector. 

World-class Cybersecurity Professionals

DHS is building a world-class cybersecurity team by hiring a diverse group of cybersecurity 

professionals—computer engineers, scientists, and analysts—to secure the nation‘s digital assets 

and protect against cyber threats to CIKR. Through its Cybersecurity Workforce Initiative, DHS 

has increased its cyber staff by 500 percent while working with universities to build the 

cybersecurity pipeline through competitive scholarship, fellowship, and internship programs to 

continue to attract top talent.
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Research and Development

S&T is leading the federal government‘s efforts to develop and deploy secure internet protocols 

that protect consumers and industry. Major companies throughout the cyber industry are now 

using DHS‘s protocols in their products to better secure their corporate and global infrastructure. 

S&T is also supporting efforts to protect internet infrastructure from attack by creating new tools 

to detect malicious software on networks and new test beds and measurement techniques to help 

develop countermeasures for current and emerging cyber attacks.

Building Public Awareness

DHS is also committed to increasing public awareness about cybersecurity and empowering 

individuals and enterprises across cyber networks to enhance their own security operations. In 

2010, the Department launched the “Stop. Think. Connect.” public cybersecurity awareness campaign 

to increase public understanding of cyber threats and promote simple steps the public can take to 

increase their safety and security online.

Infrastructure Protection

Since fiscal year 2006, DHS has provided more than $3.6 billion in grant funding through the Port 

Security, Transit Security and Buffer Zone Protection grant programs to protect critical 

infrastructure from terrorism. These grants support security plans, facility security upgrades, 

training, exercises, law enforcement anti-terrorism operations, and capital projects for risk 

mitigation of high threat infrastructure.

Risk-Based Infrastructure Protection Plans and Standards

The first NIPP was published in 2006 as a comprehensive risk management framework to define 

critical infrastructure protection roles and responsibilities for all levels of government, private 

industry, and nongovernmental entities. In 2009, DHS revised the NIPP to integrate resilience and 

protection and broaden the focus of NIPP-related programs and activities to an all-hazards 

environment. DHS also developed an annual National Risk Profile that provides a multi-hazard 

assessment of risks facing critical infrastructure, including terrorist threats, cyber risks, and natural 

disasters. 

Since 2007, DHS has implemented the CFATS to regulate security at high-risk chemical facilities. 

To date, the Department has reviewed an estimated 40,000 consequence assessment 

questionnaires submitted by potentially high-risk chemical facilities. Of these, approximately 

4,500 facilities have been preliminarily identified as high-risk, resulting in the development and 

submission of Security Vulnerability Assessments. Of those facilities, nearly all have received final 

high-risk determinations and are in the process of completing Site Security Plans to bolster safety 

and security measures. 
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Risk-Based Assessments and Information Sharing

The Department‘s Office of Infrastructure Protection (IP) has conducted more than 1,900 security 

surveys and more than 2,500 vulnerability assessments of the nation‘s critical infrastructure to 

identify security gaps and potential vulnerabilities and provide protective measures 

recommendations to enhance the protection and resilience of the nation‘s critical infrastructure. 

IP has also conducted more than 1,400 capability assessments of state and local bomb squads, 

explosives detection canine teams, dive teams, and SWAT teams to identify potential gaps and 

provide recommendations to mitigate vulnerabilities. 

In order to enhance local capabilities, IP conducts Regional Resiliency Assessment Programs on 

clusters of high consequence critical infrastructure to coordinate protection efforts in major 

metropolitan areas. IP has also worked with state and local partners to develop 20 MultiJurisdiction IED Security Plans for high-risk urban areas that outline specific bombing prevention 

actions that reduce vulnerabilities and mitigate the risk of IED attacks. 

USCG‘s MSRAM has been used to assess over 28,000 potential terrorist targets, spanning all 18 

critical infrastructure sectors, including waterside commercial nuclear facilities. Under the 

Maritime Transportation Security Act, maritime CIKR are required to have facility security plans 

which the USCG must approve. 

The Federal Protective Service also provides risk assessment and mitigation, physical security, and 

federal law enforcement training and oversight to enhance protection at more than 9,000 federally 

owned and leased facilities in all 50 states and the U.S. territories.

Since 2006, the Critical Infrastructure Key Resources Information Sharing Environment (CIKR ISE) 

has provided over 13,000 products, reaching over 40,000 federal, state, local, territorial, tribal 

and private sector partners. The CIKR ISE also provides the private sector entry into NSI through 

the SAR Reporting Tool for Critical Infrastructure, and is a mechanism for fusion centers to share 

regional infrastructure protection information directly with their private sector partners via the 

Homeland Security Information Network-Critical Sectors.

Protective Security Advisors

The Department has deployed Protective Security Advisors (PSAs) to all 50 states, Puerto Rico, and 

the District of Columbia to support state, local, tribal and territorial officials and the private sector 

with critical infrastructure security efforts; coordinate and conduct vulnerability assessments and 

training; respond to all hazard incidents impacting critical infrastructure; and support effective 

information sharing and situational awareness. Because PSAs are strategically dispersed across the 

United States, they are often the first DHS personnel to respond to incidents that may require 

federal intervention, especially those involving critical infrastructure. 

New Infrastructure Protection Tools

To facilitate the implementation of the NIPP and to support efforts to develop and implement 

critical infrastructure protection and resilience capabilities, the Department‘s Office of 
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Infrastructure Protection has established new technologies and tools for use by DHS and its federal, 

state, local and private sector partners. These capabilities include:

Automated Critical Asset Management System (ACAMS): ACAMs is a secure, web-based portal developed 

in partnership with the State, Local, Tribal, Territorial Government Coordinating Council to 

help local communities build critical infrastructure protection programs in their local 

jurisdictions and implement the NIPP; and

Infrastructure Information Collection System (IICS): IICS allow users to easily access, search, retrieve, 

and export infrastructure data contained within disparate IP systems/datasets and other federal, 

state, and local systems, enabling information sharing across organizations. 

The DHS S&T Directorate also conducts research and development to create new technologies to 

enhance critical infrastructure security. These include:

Integrated Rapid Visual Screening Tool for Tunnels and Mass Transit Stations: Assesses the level of risk for 

buildings and infrastructure from terrorist attacks and natural disasters and helps design 

professionals, building owners, and first responders understand the risk and resilience of 

buildings and infrastructure. The tool is currently used by TSA and local law enforcement 

agencies; 

Resilient Tunnel Project: Develops innovative, feasible, and cost efficient solutions to limit water 

flow in case of a mass transit tunnel breach and is currently evaluating inflatable tunnel plugs.

This project was initiated in 2008 as part of the mass transit risk mitigation partnership led by 

S&T and TSA in collaboration with the DOT;

Blast/Projectile – Protective Measures and Design Tool Project: Develops mitigation schemes for critical 

transit infrastructure such as underwater tunnels, transit stations, and ventilation structures as 

well as towers, cables, suspenders, and other critical bridge components; 

Bridge Vulnerability Project: Collects vintage components from long-span bridges and evaluates 

their vulnerability to an explosive attack in order to refine blast modeling tools;

Unified Blast Analysis Tool Project: Predicts blast pressures in transportation tunnel systems, 

determining possible structural failures; 

Geospatial Location Accountability and Navigation Systems for Emergency Responders (GLANSER): Enables 

incident commanders to locate and track first responder personnel during an incident through 

locators, alarms, communications, and visualizations that can be integrated into Personal 

Protection Equipment; and

Controlled Impact Rescue Tool: Breaches reinforced concrete walls in minutes in order to 

significantly decrease the time needed to perform urban search and rescue operations. FEMA 

plans to deploy this tool in support of its Urban Search and Rescue teams in 2011.
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Each of these projects involves partnerships with stakeholders from all levels of government in 

order to complete comprehensive development, testing, and analysis.

Infrastructure Protection Training and Education

DHS has developed a variety of infrastructure protection training and education tools for its 

partners at the state and local level. In total, more than 35,000 state, local and private sector 

security partners have taken risk mitigation training on a range of topics. DHS training and 

education tools include: 

FEMA Emergency Management Institute (EMI), which currently hosts 12 cross-sector and sectorspecific training courses in the CIKR curriculum, including a resilience course covering the 

NIPP; 

IP Bombing Prevention Training, which develops awareness of terrorist threats to critical 

infrastructure among state, local, and private sector partners, and educates participants on 

strategies for detecting and mitigating these threats. To date, over 35,000 participants have 

been trained;

IP Bomb-making Materials Awareness Training, which has been offered to over 4,000 local law 

enforcement personnel;

TRIPwire, an online information-sharing network for bomb squads, law enforcement, and other 

emergency services personnel, which provides the latest information on terrorist IED tactics, 

techniques, and procedures to over 11,500 registered users; and

Critical Infrastructure Asset Protection Technical Assistance Program, which is a course designed to assist 

state and local law enforcement, first responders, emergency management, and other 

homeland security officials in developing and implementing a comprehensive critical 

infrastructure protection program in their respective jurisdictions. 

In addition to training, DHS is leading a critical infrastructure higher education initiative designed 

to ensure that critical infrastructure is included as an essential element of homeland security and 

other relevant degree and certificate programs. This effort, conducted through George Mason 

University, is designed to help prepare the critical infrastructure protection workforce of the 

future by developing and sharing core critical infrastructure protection courses across the academic 

community. 
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RECOMMENDATION: Allocate homeland security funds based on 

risk12

Since the Department’s creation, DHS has awarded more than $31 billion based on risk to 

build and sustain targeted capabilities and strengthen state and local prevention efforts across 

the homeland security enterprise. 

To support state, local, and tribal governments and the private sector in strengthening 

preparedness for acts of terrorism, major disasters, and other emergencies, since fiscal year 2003, 

DHS has awarded more than $31 billion in preparedness grant funding based on risk to build and 

sustain targeted capabilities to prevent, protect against, respond to, and recover from threats or 

acts of terrorism. 

The highest risk cities in the United States continue to face the most significant threats, and the 

fiscal year 2011 homeland security grants, which were cut by nearly a quarter from fiscal year 

2010, focus the limited resources that were appropriated to prepare for these evolving threats. At 

the same time, all cities sustain some degree of risk. To address this, Congress created the State 

Homeland Security Grant Program (SHSGP), which establishes a minimum level of homeland 

security funding for all states to build preparedness capabilities at the local level. DHS has 

distributed more than $8 billion in SHSGP grants since 2003.

DHS continues to focus grant funding on realizing and sustaining operational priorities. For 

example, the fiscal year 2011 Urban Areas Security Initiative (UASI) grants encourage the 

development and sustainment of baseline capabilities at fusion centers. Further, to address 

homegrown extremism, DHS has prioritized grant-funded prevention activities that directly 

support local homeland security efforts to understand, recognize, prepare for, prevent and respond 

to pre-operational activity and other crimes that are precursors or indicators of terrorist activity, in 

accordance with privacy, civil rights and civil liberties protections.

 

12 9/11 Commission Report, pg. 396
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RECOMMENDATION: Track and disrupt terrorist financing13

Since 9/11, DHS has significantly expanded its ability to track and disrupt terrorist financing, 

through the expansion of USSS’s Electronic Crimes Task Force (ECTF) program as well as ICE 

and CBP initiatives to combat bulk cash smuggling.

Disrupting terrorist financing is one of a number of tools that the U.S. Government employs to 

counter terrorism. USSS has expanded its ECTF program from seven in 2001 to more than thirty 

domestic and international task forces today. These task forces are designed to prevent, detect, and 

investigate various forms of electronic crimes, including potential terrorist attacks against critical 

infrastructure and financial payment systems. 

ICE has a lead role in combating bulk cash smuggling, a common strategy used by criminals 

seeking to move illicit proceeds across transnational borders. In August 2009, ICE established the 

National Bulk Cash Smuggling Center, a 24/7 operations and intelligence facility which supports 

federal, state, local, and foreign law enforcement efforts to identify, investigate, and disrupt bulk 

cash smuggling activities throughout the world. 

ICE‘s Operation Firewall, a bulk-cash smuggling initiative focused on intercepting southbound 

currency smuggling, has led to hundreds of arrests and the seizure of more than $516 million, 

including $277 million seized overseas. ICE‘s Cornerstone Outreach Initiative, which focuses on 

detecting and closing gaps within U.S. financial, trade, and transportation sectors, has resulted in 

more than 400 criminal investigations that have led to approximately 270 arrests, 230 

indictments, more than 180 convictions, and the seizure of nearly $157 million. In addition, ICE 

has provided outreach and training on the interdiction and investigation of bulk currency 

violations to more than 2,500 law enforcement, financial, and government officials in more than 

85 countries.

CBP efforts to disrupt terrorist financing include approximately 1,500 canine teams strategically 

stationed throughout the United States. Under the Southwest Border Initiative, DHS began 

screening 100 percent of southbound rail shipments for illegal weapons, drugs, and cash. In FY 

2009 and 2010, CBP seized over $104 million in illegal currency departing the U.S. at ports of 

entry.

 

13 9/11 Commission Report, pg. 382
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RECOMMENDATION: Improve interoperable communications at 

all levels of government14

Since 9/11, DHS has implemented strategies to transform and strengthen interoperable 

communications across the country. Through the establishment of the Office of Emergency 

Communications, more than $4 billion in dedicated grant funding for state and local 

interoperability efforts, and the development and deployment of new technologies, DHS has 

helped to enhance coordination to ensure that emergency response providers can 

communicate during natural disasters, acts of terrorism, and other catastrophic events. 

Additionally, in 2011, the Administration announced a plan to deploy a nationwide, 

interoperable wireless broadband network for public safety.

Enhancing Interoperability through the Office of Emergency 

Communications

As the Government Accountability Office (GAO) has noted, federal, state, and local governments 

face several major challenges in addressing interoperability in their wireless communications. 

Establishing national interoperability performance goals and standards and balancing them with 

the flexibility needed to address differences in state, regional, and local needs and conditions is 

complicated. Different first responders each have their own professional practices, public safety 

missions, emergency response procedures, communication protocols, and radio frequencies. No 

single group can address interoperability challenges alone; rather, it requires the partnership, 

leadership, and coordinated planning of everyone involved. 

Through the Office of Emergency Communications (OEC), which was established in 2007, DHS 

has partnered with federal, state, and local stakeholders to identify solutions to emergency 

communications challenges. In 2008, OEC developed the National Emergency Communications 

Plan (NECP) in coordination with more than 150 public safety practitioners at all levels of 

government and across responder disciplines. The NECP serves as the nation‘s first nationwide 

strategic plan to improve emergency communications and drive measurable progress at all levels 

of government.

In 2010, OEC worked with 60 urban areas to assess emergency communications during a realworld situation. All 60 urban areas successfully demonstrated response-level emergency 

communications. These demonstrations illustrate how the significant organizational and technical 

investments funded through the Interoperable Emergency Communications and UASI Grants have 

improved their emergency communications capabilities in recent years.

Perhaps most significantly, in February 2011, President Obama announced the Wireless 

Innovation and Infrastructure Initiative to develop and deploy a nationwide, interoperable wireless 

 

14 9/11 Commission Report, pg. 397
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broadband network for public safety. OEC supports the deployment of the network by helping to 

set the broad policy framework and incorporating the views and requirements of the public safety 

community in broadband network planning and implementation efforts. 

In addition, the following accomplishments are a result of DHS efforts to coordinate with 

stakeholders from the federal, state, and local responder communities as well as the private sector, 

to improve interoperability:

Enhanced Statewide Coordination: The creation of Statewide Communication Interoperability Plans 

and appointment of Statewide Interoperability Coordinators has improved coordination of 

emergency communications activities and investments throughout the states and territories; 

Common Plans, Protocols, and Procedures: The development and use of standardized plans, protocols, 

and procedures has strengthened command, control, and communications among emergency 

response agencies in the field. OEC and FEMA have worked with more than 140 jurisdictions to 

develop Tactical Interoperable Communications Plans that document formalized interoperability 

governance groups, standardized policies and procedures, and emergency communications 

equipment inventories. In addition, more than 30 states are implementing plain language 

protocols to simplify and standardize the language used to share information and communicate 

during an emergency; 

Targeted Technical Assistance: As part of the NECP, OEC has implemented a technical assistance 

strategy to ensure that all states and territories can request and receive emergency 

communications assistance, while focusing support on states and urban areas most in need; 

Increased Training Opportunities: To improve emergency responders‘ capabilities, OEC has trained 

more than 3,500 first responders, technicians, and planners to lead communications at 

incidents across the nation. This training has also contributed to recovery efforts outside of the 

United States, such as the response to the 2010 earthquake in Haiti; and

Improved Governance and Coordination: OEC has worked with federal, state, local, territorial, and tribal 

agencies to stand up formal decision-making structures that increase coordination, information 

sharing, and oversight of interoperability including:

Statewide Interoperability Governing Bodies, which include representatives from all levels 

of government to coordinate and support statewide interoperability; 

Regional Emergency Communications Coordination Working Groups, which coordinate 

multi-state emergency communications efforts; and

Emergency Communications Preparedness Center, which DHS established in 2009 to be 

the central federal coordination point for interoperable and operable emergency 

communications. 
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DHS Components’ Efforts to Increase Interoperability 

Integrated Public Alert and Warning System: FEMA is developing the nation‘s next-generation 

infrastructure of alert and warning capabilities, which expands upon the traditional audio-only 

radio and television Emergency Alert System and will provide emergency information to 

people before, during and after a disaster. The initial operating capability for delivery of alerts 

to mobile devices will begin in 2011, allowing emergency managers to send geographicallytargeted alert and warning messages to citizens. Known as the Commercial Mobile Alert 

System, or PLAN (Personal Localized Alerting Network), this new public safety system allows 

customers who own an enabled mobile device to receive geographically-targeted, text-like 

messages alerting them of imminent threats to safety in their area. In addition, federal, state 

and local officials will be able to send alerts and warnings to broadcasters through various 

digital communications paths by 2012. 

Multi-Band Radio Technology: S&T is currently testing and evaluating this portable radio technology 

that enables emergency responders to communicate with partner agencies regardless of the 

radio band on which they operate. 

Geospatial Location Accountability and Navigation Systems for Emergency Responders (GLANSER): Enables 

incident commanders to locate and track first responder personnel during an incident through 

locators, alarms, communications, and visualizations that can be integrated into Personal 

Protection Equipment. 

Virtual USA: Launched in 2009, this information-sharing system links disparate tools and 

technologies at all levels of government to share the location and operational status of critical 

resources through voice, video, geospatial platforms, and imagery with the homeland security 

and emergency management community. Virtual USA was used to assist in the response to the 

BP Deepwater Horizon Oil Spill and was used during the 2011 National Level Exercise (NLE). 

Watchkeeper Information Sharing System: USCG is standardizing local maritime port interoperability 

through the establishment of the Interagency Operations Centers framework at the nation‘s 

major ports. This includes the Watchkeeper Information Sharing System which facilitates joint 

operations planning and monitoring at individual ports. 

International Interoperability

The Department is working with Mexico and Canada to enhance interoperable communications 

along and across the Southern and Northern borders in order to ensure that emergency response 

providers can communicate during natural disasters, acts of terrorism, and other catastrophic 

events. 

The United States and Mexico are establishing a new cross-border communications network, 

which will improve incident response and coordination among participating federal, state, and 

local law enforcement and public safety personnel along the border. Installation is scheduled to 

begin this summer.
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DHS and Public Safety Canada also work together to enhance cross-border interoperable 

communications planning, policy development and operations through the annual Canada-U.S. 

Cross-Border Interoperable Communications Workshops.

In May 2011, DHS awarded $25 million in grant funding under the Border Interoperability 

Demonstration Project—a one-time competitive grant program focused on developing innovative 

solutions to strengthen interoperable emergency communications along the U.S. borders with 

Canada and Mexico. 
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RECOMMENDATION: Establish a unified incident command 

system15

Since 9/11, DHS has made significant progress in establishing and improving a unified 

incident command system to respond to a wide range of threats, from natural disasters to 

coordinated attacks.

The Incident Command System (ICS) provides a flexible mechanism for coordinated and 

collaborative management for many incidents, covering large or small geographical areas, single 

or multiple governments, nongovernmental, and/or private sector organizations.

FEMA‘s disaster response operations are also organized along ICS principles. FEMA has established 

sixteen Incident Management Assistance Teams (IMATs) that utilize the ICS as their core 

organizational management structure. Using the authorities outlined under HSPD 5 and the 

Stafford Act, FEMA leads the federal interagency team in support of state governors. Throughout 

the devastating multi-state flooding and tornado response operations during the Spring of 2011, 

FEMA-led teams successfully implemented the National Incident Management System and ICS to 

achieve fully coordinated interagency and intergovernmental operations to best meet the needs of 

survivors. FEMA, through the establishment of efficient Unified Coordination Groups in each 

impacted state, facilitated the integration of all available resources into these complex multi-state, 

multi-Region events.

As directed by PPD-8, issued in March 2011, DHS is developing a national preparedness system in 

coordination with partners across the federal government that will include enhanced guidance for 

planning, organization, equipment, training, and exercises to build and maintain domestic 

capabilities. The system will provide an all-of-Nation approach for building and sustaining a cycle 

of preparedness activities over time.

 

15 9/11 Commission Report, pg. 397
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RECOMMENDATION: Prioritize private sector preparedness16

Since 9/11, DHS has prioritized private sector preparedness through programs such as the 

Voluntary Private Sector Preparedness Accreditation and Certification Program (PS-PrepTM), 

Ready Business, the development and deployment of new technologies, and by incorporating 

private sector partners from the outset when developing new policies, programs and 

initiatives. 

Private Sector Preparedness 

Fulfilling the 9/11 Commission‘s recommendation to create a program to improve private sector 

preparedness for disasters and emergencies, in June 2010, DHS announced the adoption of the 

final standards for PS-PrepTM—a partnership between DHS and the private sector that enables 

private entities to receive emergency preparedness certification. Since PS-PrepTM began, DHS and 

FEMA have adopted three industry standards to assist organizations in assessing their preparedness 

and resiliency. IP is currently working with critical infrastructure owners and operators across the 

18 CIKR sectors to develop guidance documents that support voluntary participation and further 

implementation of the PS-PrepTM program.

Private Sector Emergency Response

In 2007, FEMA established a Private Sector Division to facilitate full engagement of the private 

sector in emergency management. The Division has made it a priority to create tools, initiatives 

and opportunities to increase preparedness levels and community resilience. In 2010, FEMA 

deployed staff to focus specifically on private sector outreach in each of FEMA‘s 10 regions, 

allowing FEMA to conduct more direct and widespread collaboration with the private sector in 

coordination with states and other levels of government. More recently, the Private Sector 

Division and FEMA‘s National Exercise Division created new opportunities for the private sector to

participate in NLE 2011. Over 3,000 organizations participated as a result—a more than 700 

percent increase from any previous NLE.

FEMA also continues to promote private sector preparedness through its Ready Business campaign, 

a nationwide initiative that provides materials to businesses of all sizes to encourage business 

continuity planning and crisis management. Ready Business is part of larger preparedness 

outreach efforts by FEMA that include the Ready campaign, Citizen Corps, and National 

Preparedness Month, held each September to encourage Americans to prepare for emergencies in 

their homes, businesses, and communities.

 

16 9/11 Commission Report, pg. 398
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Private Sector Partnerships to Develop and Deploy New Technologies

S&T, through its implementation of the Support Anti-Terrorism by Fostering Effective 

Technologies (SAFETY) Act of 2002, has incentivized the development and deployment of 

effective anti-terrorism technologies and services by the private sector throughout the United 

States. Since the first applications were received in 2004, more than 460 qualified anti-terrorism 

technologies have been approved. These technologies have been widely deployed to protect 

commercial facilities, critical infrastructure, transportation hubs, ports, borders, sports venues, and 

commercial aviation.

S&T also works with the private sector through the System Efficacy through Commercialization, 

Utilization, Relevance and Evaluation (SECURE) program, which was launched in 2008. Under 

SECURE, the government provides companies with detailed requirements of a needed technology, 

product, or service, along with an estimate of the potential market. In exchange, companies use 

their own funds to perform research and development to meet those requirements. This saves both 

government and the private sector resources: the government does not spend money on research 

and development while companies do not waste resources trying to determine on their own what 

the government ultimately is going to need. Once the technology, product or service is complete 

and verified through independent third-party testing and evaluation, the technology can be 

certified as having met the SECURE requirements. The first SECURE certified product—a blastresistant video system designed by Visual Defence, Inc. that functions similarly to the ―black box‖ 

found in airplanes—was unveiled in April 2011. 

Private Sector Engagement Across DHS Missions

DHS has also partnered with the private sector to strengthen cargo security, cybersecurity, and 

aviation security as discussed throughout this report. For example, CBP‘s C-TPAT program is a 

voluntary public-private sector partnership to strengthen cargo security throughout the 

international supply chain by working closely with importers, carriers, consolidators, licensed 

customs brokers, and manufacturers. In December 2010, CBP, TSA, and the air cargo industry 

launched the Air Cargo Advance Screening Pilot to share electronic shipping information for 

international flights to the United States prior to departure to improve the identification of highrisk shipments. Further, in 2010, DHS implemented the Cybersecurity Partners Local Access Plan, 

which allows security-cleared private sector owners and operators of CIKR to access secret-level 

cybersecurity information and video teleconference calls via local fusion centers. 

Moreover, the NCCIC works closely with private sector stakeholders from the various sectors 

including financial services and critical infrastructure to share valuable threat data and offer 

support with incident response.
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Bolstering the Security of U.S Borders and Identification 

Documents

RECOMMENDATION: Standardize secure identification17

DHS has taken significant steps to strengthen security, reduce fraud and improve the 

reliability and accuracy of personal identification documents while enhancing privacy 

safeguards, including fundamentally transforming the way travelers enter the United States 

from within the Western Hemisphere through implementation of the Western Hemisphere 

Travel Initiative (WHTI) and from other countries around the world through the Visa Waiver 

Program, Visa Security Program and US-VISIT biometric identity and verification process .

Western Hemisphere Travel Initiative 

In 2009, DHS implemented the Western Hemisphere Travel Initiative (WHTI), a program that 

strengthens border security for land and sea travel to the U.S., while facilitating legitimate travel 

and trade by requiring that U.S., Mexican and Canadian citizens present a passport or other secure 

travel document18 that denotes identity and citizenship when crossing the border. Prior to the 

implementation of WHTI, there was no documentary requirement for U.S. or Canadian citizens to 

enter the United States from within the Western Hemisphere; travelers could present any of 

numerous documents or simply make an oral declaration without presenting any documentation. 

In 2005, DHS checked five percent of all passengers crossing land borders by vehicles against law 

enforcement databases. Today, due to WHTI, the national query rate is over 97 percent. 

To support WHTI, DHS has worked with U.S. governors and Canadian government officials to 

develop state and provincial Enhanced Driver‘s Licenses (EDL) that denote identity and citizenship 

for frequent border crossers, and with DOS to develop a wallet-sized U.S. Passport Card. Both 

documents, as well as others developed for WHTI, can be electronically verified with the issuing 

agency at the port of entry. CBP and Canada Border Services (CBSA) Agency also worked to 

expand enrollment in the NEXUS trusted traveler program. The U.S. has deployed Radio 

Frequency Identification technology readers at ports that cover 99 percent of inbound vehicle 

traffic at the Northern Border and allows the documents to be read as the traveler is approaching 

the inspection booth. 

CBP is also working with tribes across the country on the development of Enhanced Tribal Cards 

(ETCs). To date, CBP has signed Memoranda of Agreement for the development of ETCs with the 

Kootenai Tribe of Idaho, the Pascua Yaqui of Arizona, the Tohono O‘Odham of Arizona, the 

Seneca Nation of New York, the Coquille of Idaho, and the Hydaburg of Alaska. 

 

17 9/11 Commission Report, pg. 390

18 WHTI-compliant documents include passports, U.S. passport cards, military identification cards, trusted traveler 

cards, Enhanced Driver‘s Licenses, and Enhanced Tribal Cards. 
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Visa Waiver Program and Lost and Stolen Passport Screening

As discussed in previous sections, the VWP enables nationals of 36 participating countries to travel 

to the United States for stays of 90 days or less without obtaining a visa. DHS implemented ESTA 

in 2008 to screen VWP applicants prior to travel to the United States and, as a result, has virtually 

eliminated the paper arrival/departure form (Form I-94W) for authorized travelers arriving at 

airports or seaports from nations participating in the VWP.

DHS—in cooperation with DOS and DOJ—has made substantial progress in bringing VWP 

countries into compliance with the information sharing requirements of the 9/11 Act. The 9/11 

Act requires VWP countries to enter into an agreement with the United States to report, or make 

available to the United States, lost and stolen passport data so that it can be screened against 

INTERPOL‘s Stolen and Lost Travel Document database, which contains the lost and stolen 

passport records of more than 150 countries. To date, 34 of the 36 VWP countries have reached 

such agreements. This requirement has contributed to the overall decline of fraudulent VWP 

document intercepts at the border, from 724 in FY2004 to 64 in FY2010. On 9/11, INTERPOL‘s 

Stolen and Lost Travel Document database did not exist. 

Visa Security Program 

Through VSP, which did not exist on 9/11, ICE, with DOS concurrence, deploys trained special 

agents overseas to high-risk visa activity posts to identify potential terrorist and criminal threats 

before they reach the United States. ICE special agents conduct targeted, in-depth reviews of 

individual visa applications and applicants prior to the issuance of a visa and recommend to 

consular officers refusal or revocation of applications, when warranted. The VSP is currently 

deployed to 19 posts in 15 countries.

International Student and Exchange Visitor Program

In addition, ICE manages the International Student and Exchange Visitor Program (SEVP), which 

tracks and monitors the status and activities of nonimmigrant students and exchange visitors to 

ensure that only legitimate foreign students or exchange students gain entry to the United States 

and that they abide by the terms of their visas while here. SEVP also provides timely information 

about foreign students to several partner agencies, including the Department of State, CBP, and 

USCIS.

Entry-Exit Screening System

The US-VISIT biometric identity and verification process involves the collection of digital 

fingerprints and a photograph from international travelers at U.S. visa-issuing posts and ports of 

entry to help immigration officers determine whether a person is eligible to receive a visa or enter 

the United States. This information is screened against the DHS IDENT watchlist and is matched 

with previous biometric data collected from the person, such as during a visa application, to 

confirm the person is using his/her true identity. To date, DHS has achieved ten-fingerprint 
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collection at entry for 99 percent of air and sea points of entry. Prior to 9/11, inbound travelers‘ 

ten-point fingerprints were not collected.

DHS has conducted a number of pilots and studies since 2003 to assess options on how to deploy 

biometric exit capabilities. These pilots have demonstrated that while the technology exists to 

collect biometrics, the necessary costs to achieve effective compliance with biometric air exit 

requirements using currently available technology and processes are high, particularly when 

compared to any potential security gains. 

Accordingly, until a more cost-effective biometric air exit solution becomes available, DHS will 

continue to implement enhancements to existing biographic air exit systems. These enhancements 

will focus on strengthening CBP‘s Advance Passenger Information System information collection 

and carrier compliance auditing; enhancing US-VISIT‘s automated matching of arrival and 

departure records; and posting of ―lookouts‖ for those who have overstayed. 

DHS is also undertaking a Department-wide effort to address the backlog of unvetted potential visa 

overstays, an issue identified by the GAO in its April 2011 report. The goal of this ongoing effort 

is not only to identify which individuals have overstayed their visas, but also to prioritize 

identified overstays for removal that may be a threat to national security. Since this effort began, 

DHS has used automated means to determine that of the 1.6 million potential visa overstays GAO 

reported in April, 843,000 are no longer in the country. The remaining 757,000 are being vetted 

in three ways: 

First, US-VISIT, CBP and ICE are screening the overstay leads against CBP‘s ATS. ATS has 

the ability to automatically check the records of potential overstays against other databases 

that can indicate a change in immigration status or a departure from the United States. This 

information will assist ICE as it prioritizes leads with a potential nexus to national security 

concerns;

Second, DHS is providing overstay leads to NCTC to identify additional derogatory 

information held by the Intelligence Community;

Third, DHS is leveraging an existing data-sharing arrangement with the Intelligence 

Community to provide ICE with any additional matches of overstay leads with derogatory 

information. 

This effort has helped to bring about a higher standard of review of overstay leads than previously 

existed, and at little cost, while enabling ICE to better prioritize targets for investigation and 

removal. It is a key example of how coordination across the federal government can strengthen 

frontline operations and national security.

National Security Entry-Exit Registration System

In April 2011, DHS announced the end of the National Security Entry-Exit Registration System 

(NSEERS) registration process—a critical step forward in the Department‘s ongoing efforts to 

eliminate redundancies; streamline the collection of data for individuals entering or exiting the 
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United States, regardless of nationality; and enhance the capabilities of security personnel working 

to secure the nation from threats. Since NSEERS was first implemented in 2002, DHS has 

implemented more robust, risk-based, and intelligence-driven targeting processes. When NSEERS 

began, DHS received most of its information about an individual when he or she arrived at a port 

of entry. Today, NSEERS no longer provides a unique security value, as DHS has the ability to 

obtain information about most individuals before they depart for the United States. Improvements 

to information collection and analysis capabilities, combined with more robust screening 

measures for all individuals, have allowed DHS to better address current threats, providing more 

integrated and effective options for screening individuals for potential ties to terrorism and 

transnational crime before they enter the United States.

Citizenship and Immigration Documents 

USCIS continues to enhance fraud detection and national security capabilities to ensure that 

immigration benefits are not granted to individuals who pose a threat to national security. USCIS 

has embedded Fraud Detection and National Security officers in eight other government agencies 

to increase information sharing and collaboration efforts that enhance law enforcement and 

intelligence operations. Further, USCIS has implemented a new state-of-the-art system that 

enhances the verification and sharing of electronic records and has redesigned all of its secure 

identity documents to comport with the latest DHS and ICAO standards as well as best practices in 

industry and government. 

Since 2009, USCIS has incorporated the use of electronic fingerprints in all of its overseas 

programs to enhance the accuracy and effectiveness of biometric checks. USCIS is currently 

working with DOS to pilot a program to use foil technology, which includes a digitized photo of 

the traveler and other embedded security features, on travel letters issued by USCIS to family 

members of refugees and asylees to minimize use of fraudulent travel documents to board planes 

and improve identification of travelers at ports of entry.

The new Permanent Resident Card (commonly referred to as a ―green card‖), implemented in 

2010, includes a radio frequency identification tag that allows CBP to quickly access the electronic 

records of travelers seeking to enter the United States and includes new security features that 

reduce the risks of counterfeiting, tampering, and fraud. USCIS has also updated the Employment 

Authorization Document by adding a machine-readable zone that for the first time allows USCIS to 

share data with CBP and US-VISIT.

Additionally, USCIS implemented the Secure Mail Initiative to confirm delivery of permanent 

resident cards and documents pertaining to travel and employment authorization. With USPS 

tracking information, USCIS customers can stay up-to-date on the delivery status of their 

documents and USCIS can confirm that these essential documents were delivered to the proper 

address.

In January 2011, USCIS announced a new tool to enhance the agency‘s adjudications of certain 

employment-based immigration petitions known as the Web-based Validation Instrument for 

Business Enterprises (VIBE). VIBE uses commercially available data to validate basic information 

about organizations petitioning to employ alien workers. This additional information limits USCIS 
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officers‘ need to request supplemental evidence directly from petitioning organizations while 

accelerating the adjudicative vetting process and enhancing the agency‘s anti-fraud capabilities.

Finally, DHS and DOS have worked with international allies to develop routine sharing of 

biometric information collected for immigration purposes. These efforts assist in identifying those 

who travel under multiple identities, or those who conceal their true identity in order to withhold 

pertinent information in an effort to obtain an immigration benefit. In 2010, DHS began sharing 

biometric information with the Australia, Canada, New Zealand, and the United Kingdom. To 

date, this effort has identified many cases of routine immigration fraud, as well as dangerous 

people traveling under false identities.

Fraudulent Documents

In addition to screening travelers against derogatory information, the U.S. Government has 

strengthened efforts to detect fraudulent travel documents so that such documents cannot be used 

by terrorists seeking to subvert the screening process. The ICE Forensic Document Laboratory 

(FDL) is the federal government‘s forensic crime laboratory dedicated exclusively to fraudulent 

document detection and deterrence. USCIS has partnered with the FDL to enhance its capability of 

identifying fraudulent documents submitted in support of applications and petitions seeking 

immigration benefits. S&T is currently developing the capability for an officer to capture and send 

in real time a high resolution image of a suspected fraudulent travel document to the FDL for 

examination. Additionally, in partnership with DOS, the FDL provides training to international 

and domestic partners on identifying fraudulent documents.

Drivers License Security 

Because many states raised concerns with various aspects of the REAL ID Act of 2005, including 

implementation costs, privacy issues, and systems capabilities, the Administration strongly 

supported the ―PASS ID Act‖ legislation in the last Congress to comprehensively address these 

challenges while maintaining a commitment to driver‘s license and identification card security. 

The Administration continues to believe that PASS ID represented the best mechanism for 

achieving this security goal and fulfilling a key 9/11 Commission recommendation. By replacing 

the REAL ID requirements of greatest concern to states with more flexible and effective security 

requirements, PASS ID would enhance driver‘s license security while safeguarding the privacy of 

Americans‘ personal information and reducing the potential burdens on both the states and the 

public.

Since PASS ID was not enacted, DHS continues to work closely with the States to facilitate REAL ID 

implementation with a number of states making progress towards meeting REAL ID requirements. 

The Drivers License Security Grant Program (DLSGP) helps states and territories improve security 

of state-issued driver‘s licenses and identification cards in order to reduce fraud, enhance the 

reliability and accuracy of personal identification documents and prevent terrorism. DHS has 

awarded over $180 million in DLSGP grants to states and territories since fiscal year 2006 for 

information technology and facility infrastructure upgrades, document security enhancements, 

equipment upgrades, and reengineering of business practices. These enhancements have enabled 
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states to make progress toward achieving compliance with many aspects of the REAL ID 

regulation. 

Notwithstanding these efforts, for a number of reasons, including diminished State budgets and 

uncertainties regarding the prospects of PASS ID legislation in the last Congress, many states have 

indicated they simply cannot fulfill the REAL ID requirements at this time. To date, 14 states have 

passed laws mandating noncompliance with REAL ID. Due to these challenges, the Department 

amended the regulations to give states until January 15, 2013 to comply with REAL ID, the second 

time the full compliance deadline has been extended. Currently, DHS is preparing guidance for all 

states clarifying the minimum standards that states must meet to achieve full compliance with 

REAL ID in order to ensure that every state is afforded the opportunity to reach full compliance in 

a practical manner. 

Transportation Worker Identification Credential Program 

Since 2007, DHS has enrolled over 1.9 million port workers and merchant mariners in the TWIC 

program, a tamper-resistant biometric credential issued to those who require unescorted access to 

secure areas of ports and vessels. 

Biometrics-at-Sea System 

The USCG has implemented a mobile biometrics collection system to identify undocumented 

migrants and match them against known databases of past criminal and immigration violations as 

well as terrorist watchlists, enabling the USCG to prosecute repeat offenders. Through June 2011, 

the USCG has identified more than 900 individuals who were enrolled in the US-VISIT database as 

prior felons, violators of U.S. immigration laws, or other persons of interest and referred to law 

enforcement authorities for appropriate action. 
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RECOMMENDATION: Integrate border security into larger 

network of screening points that includes the transportation 

system and access to vital facilities19

Protecting the nation’s borders—land, air, and sea—from the illegal entry of people, weapons, 

drugs, and contraband is vital to homeland security, as well as economic prosperity. Over the 

past several years, DHS has deployed unprecedented levels of personnel, technology, and 

resources to the Southwest border. At the same time, DHS has made critical security 

improvements along the Northern border, investing in additional Border Patrol agents, 

technology, and infrastructure while also strengthening efforts to increase the security of the 

nation’s maritime borders.

Southwest Border

Southwest Border Initiative

In March 2009, the Obama Administration launched the Southwest Border Initiative to bring focus 

and intensity to Southwest border security, coupled with a reinvigorated, smart and effective 

approach to enforcing immigration laws in the interior of the country.

Over the past two years, the Obama Administration has deployed unprecedented levels of 

personnel, technology, and resources to the Southwest border. Today, the Border Patrol is better 

staffed than at any time in its 87-year history. Along the Southwest border, DHS has increased the 

number of civilian boots on the ground from approximately 9,100 Border Patrol agents in 2001 

to more than 17,700 today. 

Under the Southwest Border Initiative, DHS has doubled the number of personnel assigned to 

Border Enforcement Security Task Forces (BESTs), which work to dismantle criminal organizations 

along the border; increased the number of ICE intelligence analysts along the border focused on 

cartel violence; quintupled deployments of Border Liaison Officers to work with their Mexican 

counterparts; begun screening 100 percent of southbound rail shipments for illegal weapons, 

drugs, and cash; and expanded Unmanned Aircraft System (UAS) coverage to the entire Southwest 

border. There were no deployments of UASs along the Southwest border prior to 9/11. 

Further, the $600 million supplemental requested by the Administration and passed by Congress 

in 2010 is enabling DHS to continue to add technology, personnel, and infrastructure to the 

Southwest border. These resources include 1,000 additional Border Patrol Agents; 250 new CBP 

officers at U.S. ports of entry; 250 new ICE agents focused on transnational crime; improved 

 

19 9/11 Commission Report, pg. 387
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tactical communications systems; two new forward operating bases to improve coordination of 

border security activities; and additional CBP UASs. 

While this work is not done, every key metric currently available shows that these border security 

efforts are producing significant results. Illegal immigration attempts, as measured by Border 

Patrol apprehensions, have decreased 36 percent in the past two years, and are less than one third 

of what they were at their peak. Seizures of drugs, weapons and currency have increased across the 

board. In fiscal years 2009, 2010, and the first half of 2011, CBP and ICE have seized 75 percent 

more currency, 31 percent more drugs, and 64 percent more weapons along the Southwest border 

as compared to two and a half years during the previous administration. Additionally, violent 

crime in border communities has remained flat or fallen in the past decade—in fact, studies and 

statistics have shown that some of the safest cities and communities in America are along the 

Southwest border. 

Interagency Efforts 

In July 2011, the Obama Administration released its most recent National Southwest Border 

Counternarcotics Strategy, which provides the Administration‘s overarching framework to address 

the threats posed by the illicit narcotics trade. DHS has also forged historic agreements with DOJ,

increasing coordination between ICE and the Bureau of Alcohol, Tobacco, Firearms and Explosives 

and the Drug Enforcement Administration (DEA) on important Southwest border issues such as 

combating arms trafficking, bolstering information sharing and providing ICE agents the authority 

to work on important drug trafficking cases. 

Further, President Obama authorized the temporary use of up to 1,200 additional National Guard 

personnel as a bridge to longer-term enhancements in border protection and law enforcement 

personnel from DHS to target illicit networks' trafficking in people, drugs, illegal weapons, 

money, and the violence associated with these illegal activities. That support has allowed DHS to 

bridge the gap and hire the additional agents funded in the FY 2010 Border security supplemental 

to support efforts along the Southwest Border. 

In partnership with the DEA and DOD, the Administration stood up the new Border Intelligence 

Fusion Section within the El Paso Intelligence Center, which provides a comprehensive Southwest

Border Common Intelligence picture, as well as real-time operational intelligence, to law 

enforcement partners in the region—further streamlining and enhancing operations. 

Research and Development

DHS‘ S&T Directorate is currently developing and testing new technologies along the Southern and 

Northern borders, including:

Personnel Detection Sensors – To detect human activity in storm drains and sewers, which are being 

used as conduits for illegal activity; 

Renewable Energy for Video Surveillance – To increase intrusion detection in the remote areas of the 

border that have no available power; 
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Automated Camera System – To alert operators of anomalies in order to increase detections of 

suspicious activity;

Buried Border Cable Tripwire – To detect illegal crossings between points of entry;

Airborne Wide Area Surveillance Technology – To improve the detection and tracking of low-flier 

aircraft; and

Mobile Surveillance System Upgrades – To enhance radar and image capabilities used to detect border 

crossings.

Collaboration with State and Local Law Enforcement 

The federal government has worked closely with state and local law enforcement along the border, 

serving together on task forces, conducting joint operations, providing the latest intelligence, and 

coordinating operational priorities. 

DHS has increased the funding state and local law enforcement can use to combat border-related 

crime through Operation Stonegarden—a DHS grant program designed to support state and local

law enforcement efforts along the border. Based on risk, cross-border traffic, and border-related 

threat intelligence, 82 percent of 2009 and 2010 Operation Stonegarden funding went to 

Southwest border states. 

Because partnerships with federal, state and local law enforcement agencies, as well as the private 

sector, remain critical to the Department‘s overall success, DHS has initiated new programs to 

increase collaboration; enhance intelligence and information sharing; and develop coordinated 

operational plans. One example is the Alliance to Combat Transnational Threats, which utilizes a 

collaborative enforcement approach to leverage the capabilities and resources of DHS in 

partnership with more than 60 law enforcement agencies in Arizona and the Government of 

Mexico to deter, disrupt, and interdict individuals and criminal organizations that pose a threat to 

the United States. 

Additionally, the Joint Harbor Operations Center at USCG Sector San Diego, established in 2004, is 

a multi-agency command center that coordinates maritime law enforcement operations, including 

the interdiction of the illegal movement of people and drugs across the maritime border. This 

unified command includes representatives from the USCG, CBP, ICE, the U.S. Navy, Joint Task 

Force-North, the California National Guard and local law enforcement. 

ICE also continues to expand its BESTs, which were first established in 2005 to bring together 

federal, state, local, and foreign law enforcement to identify, disrupt and dismantle criminal 

organizations which pose significant threats to border security. There are currently 21 BESTs 

throughout the United States, including 11 along the Southwest border. 
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Increased Cooperation with Mexico 

Reflecting unprecedented collaboration, Secretary Napolitano and her Mexican counterparts have 

signed numerous bilateral agreements and declarations to bolster and deepen collaboration in the 

areas of enforcement, planning, information and intelligence sharing, joint operations, and trade 

facilitation along the Southwest border. DHS is also working with Mexican and other federal 

partners to implement Presidents Obama and Calderon‘s Declaration on 21st Century Border 

Management, pursuing initiatives and programs designed to expedite the legitimate flow of people 

and goods and focus law enforcement resources on those people and goods that represent the 

highest risk or about which officials know the least.

DHS- through CBP, ICE and USCG- coordinates joint operations and information sharing along the 

Southwest border with Mexico. For example, ICE and the Government of Mexico have entered 

into a Criminal History Information Sharing Arrangement in which ICE provides serious felony 

conviction information on Mexican nationals being repatriated to Mexico. Further, through the 

Illegal Drug Program, ICE refers narcotics smuggling cases declined for prosecution in the United 

States to the Mexican Office of the Attorney General for prosecution. 

In order to help disrupt the movement of criminal proceeds from the United States to Mexico, the 

Office of Counternarcotics Enforcement, ICE, and the Government of Mexico for the first time 

collaborated in April 2009 on the Bi-National Criminal Proceeds Study, which describes the 

criminal proceeds supply chain and quantifies important indicators of this illegal financial 

network. As a result of the enhanced intelligence on the movement of illicit funds, ICE assisted in 

the seizure of over $170 million from the Pacific Rim Cartel, a ring of drug traffickers that operate 

from locations along the Pacific coast. Further, ICE and the Government of Mexico have initiated 

over 50 joint financial investigations, made over 100 arrests in both United States and Mexico, and

seized over $23.5 million in illicit proceeds within the United States.

To increase information sharing, the United States and Mexico are establishing a new cross-border 

communications network, which will improve incident response and coordination among 

participating federal, state, and local law enforcement and public safety personnel along the 

border. In addition, the Department is increasing joint training programs with Mexican law 

enforcement agencies—focusing on money laundering, human trafficking, fraudulent documents 

and visa recognition, and customs enforcement.

Northern Border 

The U.S.-Canada border presents unique security challenges based on geography, weather, and the 

immense volume of trade and travel. At over 5,500 miles, the border spans diverse terrains and 

climates, metropolitan areas and vast open spaces. Roughly 300,000 people and $1.5 billion in 

trade cross the northern border every day, representing the largest bilateral flows of goods and 

people in the world. 

The Obama Administration has made significant advancements in creating a secure and resilient 

Northern border. DHS continues to invest in personnel, technology, and infrastructure, and to 

strengthen cooperation with federal, state/provincial, tribal, and private sector partners on both 
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sides of the border. These achievements have resulted in a more secure Northern border that 

facilitates legitimate travel and trade. 

Personnel, Technology and Infrastructure

DHS has made important security improvements along the Northern border, investing in 

additional Border Patrol agents, technology, and infrastructure. Currently, CBP has more than 

2,200 Border Patrol agents on the Northern border, a 500 percent increase since 9/11. CBP also 

has nearly 3,700 CBP Officers managing the flow of people and goods across ports of entry and 

crossings along the Northern border. In addition, CBP is using Recovery Act funds to modernize 

more than 35 land ports of entry along the Northern border to meet current security and 

operational needs. 

The Department has also continued to deploy technology along the Northern border, including 

thermal camera systems, Mobile Surveillance Systems, and Remote Video Surveillance Systems, and 

successfully completed the first long-range CBP Predator-B unmanned aircraft patrol under 

expanded Federal Aviation Administration authorization that extends the range of approved 

airspace along the Northern border. Approximately 950 miles along the Northern border from 

Washington to Minnesota are currently covered by unmanned aircraft, in addition to 

approximately 200 miles along the northern border in New York and Lake Ontario—none of 

which were covered prior to the creation of DHS. 

Strong Partnerships with Canada

In February 2011, President Obama and Prime Minister Harper announced a landmark "Shared 

Vision for Perimeter Security and Economic Competitiveness" that sets forth how the two 

countries will manage shared homeland and economic security in the 21st century. This "Shared 

Vision" emphasizes shared responsibility for the safety, security, and resilience of the United States 

and Canada. This approach focuses on addressing threats at the earliest point possible; facilitating 

trade, economic growth, and jobs; collaborating on integrated cross-border law enforcement; and 

partnering to secure and strengthen the resilience of critical infrastructure and cybersecurity.

Through the Integrated Cross-Border Maritime Law Enforcement Operations Shiprider agreement, 

DHS and Canada can leverage joint law enforcement efforts to bolster cross-border security 

operations. This agreement enables the Royal Canadian Mounted Police, USCG, CBP, and ICE to 

cross-train, share resources and personnel, and utilize each others' vessels in the waters of both 

countries. The Border Patrol, ICE, USCG, Canadian law enforcement, and other federal partners 

also collaborate through Integrated Border Enforcement Teams, which work to identify, 

investigate, and interdict individuals and organizations that may pose a threat to national security 

or are engaged in organized criminal activity along the Northern border.

In 2010, ICE, CBP and CBSA signed a memorandum of understanding to promote the sharing of 

currency seizure information between law enforcement agencies in order to improve their ability 

to identify potential threats and assist in money-laundering and terrorist-financing investigations.
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In addition, in 2010, DHS and Public Safety Canada announced a first of its kind plan to establish a 

comprehensive cross-border approach to critical infrastructure resilience. As part of this plan, DHS 

and Transport Canada conducted vulnerability assessments on shared bridges between the United 

States and Canada, providing recommended mitigation strategies to prioritize resources and guard 

against known threats.

Maritime Border Security

As the lead agency for maritime border security, the USCG works with other federal, state, local 

and tribal partners to enhance security along the U.S. maritime border and uses interagency 

partnerships and international bilateral agreements to accomplish this mission.

The USCG‘s overarching strategy is to increase maritime border security through a layered security 

system that begins beyond the country‘s physical borders. At-sea presence deters potential threats, 

provides mobile surveillance coverage, increases warning time, engages smugglers at the earliest 

point possible, and enables USCG to address potential threats before they can cause harm to the 

United States. 

USCG‘s Maritime Security and Response Operations include waterborne and aerial patrols as well 

as armed escorts of hazardous cargos and passenger vessels in order to reduce the risk of terrorism 

to the U.S. Marine Transportation System and CIKR. The USCG also utilizes advanced capabilities 

to interdict identified threats—including chemical, biological, radiological, nuclear, and 

explosives threats—before they reach the United States. 

USCG has increased the presence and capabilities of maritime forces to address high risk threats 

through the establishment of the Deployable Operations Group, which can respond rapidly to 

terrorist and weapons of mass destruction threats as well as Maritime Safety and Security Teams at 

critical U.S. ports, which focus on domestic maritime threats and post-incident response. 

DHS‘s S&T Directorate is also pursuing new technologies to enhance detection of small maritime 

vessels and submersibles, in accordance with the National Small Vessels Security Strategy. S&T 

recently delivered new technologies to the Joint Inter Agency Task Force – South to help better 

predict when and where to look for submersibles traveling from South America into U.S. waters. 

Further, DHS is working with the National Oceanic and Atmospheric Administration (NOAA) to 

leverage currently deployed NOAA coastal radars for the purpose of detecting and tracking small 

maritime vessels.
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Ensuring Robust Privacy and Civil Rights and Civil 

Liberties Safeguards

RECOMMENDATIONS: Safeguard Individual Privacy When 

Sharing Information20 and Maintain Civil Liberties While 

Protecting Security21

The Department involves its Privacy Office and Office for Civil Rights and Civil Liberties 

(CRCL) from the outset of the policymaking process, building in privacy and civil rights and 

civil liberties protections into all of its operations, policies and technology deployments.

DHS‘s Privacy Office is the first statutorily required privacy office of any federal agency. The 

office partners with privacy staff in every component of the Department to assess all new or 

proposed programs, systems, technologies, or rule-makings for privacy risks, and recommends 

privacy protections when personally identifiable information is collected, used, shared, or 

maintained by the Department. The Privacy Office also publishes compliance documentation like 

System of Record Notices and Privacy Impact Assessments and participates in U.S. Governmentwide policy initiatives governing information sharing programs like fusion centers.

CRCL supports the Department‘s mission to secure the nation while preserving individual liberty, 

fairness, and equality under the law. CRCL created a Civil Rights and Civil Liberties Impact 

Assessment process to review Departmental programs, and conducts regular community 

engagement with stakeholder communities, elected officials, and non-governmental organizations 

across the country. 

CRCL and the Privacy Office provide training on privacy, civil rights and civil liberties to DHS 

intelligence professionals assigned to fusion centers and to state and local fusion center personnel. 

The DHS Privacy Office also reviews fusion center privacy policies to ensure that they adhere to 

the standards established in the Information Sharing Environment Privacy Guidelines. All 

officially-designated fusion centers currently have approved privacy policies.

The Department has also incorporated strong privacy and civil rights and civil liberties standards 

into its cybersecurity programs and initiatives. Personnel receive specific training on the 

protection of privacy and civil liberties as they relate to computer network security activities. 

Additionally, as part of the landmark agreement signed by Secretary Napolitano and Secretary of 

Defense Robert Gates in October 2010 to align and enhance America‘s capabilities to protect 

against threats to critical civilian and military computer systems and networks, DHS has sent 

privacy, civil liberties and legal personnel to DOD‘s National Security Agency to ensure the 

protection of fundamental rights. 

 

20 9/11 Commission Report, pg. 394

21 9/11 Commission Report, pg. 394-395
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Conclusion

Ten years after the September 11, 2001 attacks, the work of the Department of Homeland Security 

is ongoing and many challenges remain. Nonetheless, our country is stronger than it was on 

9/11.

Over the past ten years, we have made great strides to secure our nation against a large attack or 

disaster, to protect critical infrastructure and cyber networks, and to engage a broader range of 

Americans in the shared responsibility for security. We are also a more prepared and resilient 

nation, able to bounce back and rebuild stronger after a major crisis or disaster.

There are many people to thank for the milestones outlined in this report, including former 

Homeland Security Secretaries Tom Ridge and Michael Chertoff; the 9/11 Commission, 

particularly Chair and Vice Chair Thomas Kean and Lee Hamilton; the Congressional Homeland 

Security Committees, particularly Senators Joseph Lieberman and Susan Collins and Representatives

Peter King and Bennie Thompson; as well as many others. 

Most of all, credit goes to the men and women of DHS and the law enforcement officers and 

emergency management professionals who work on the frontlines everyday protecting our 

country, at home and abroad. Their dedication is constant and unparalleled.
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Acronym Listing 

Below is the list of acronyms used in the report.

ACAMS: Automated Critical Asset Management System

AIT – Advanced Imaging Technology

API – Advanced Passenger Information

ATS –Advanced Targeting System

AWW – America‘s Waterway Watch Program

BEST – Border Enforcement Security Task Force

CAPTAP – Critical Infrastructure Asset Protection Technical Assistance Program

CAT/ BPSS – Credential Authentication Technology / Boarding Pass Scanning System

CBSA – Canada Border Services Agency

CBP – U.S. Customs and Border Protection 

CFATS – Chemical Facility Anti-Terrorism Standards

CIKR – Critical Infrastructure and Key Resources

CIKR ISE – Critical Infrastructure and Key Resources Information Sharing Environment

CSI – Container Security Initiative 

CRCL – Office for Civil Rights and Civil Liberties

C-TPAT – Customs Trade Partnership Against Terrorism

CVE – Countering Violent Extremism

DEA – U.S. Drug Enforcement Administration

DHS – U.S. Department of Homeland Security 

DHS TRIP – DHS Travel Redress Inquiry Program

DLSGP – Drivers License Security Grant Program

DNDO – Domestic Nuclear Detection Office

DOD – U.S. Department of Defense 

DOE – U.S. Department of Energy 

DOJ – U.S. Department of Justice

DOS – U.S. Department of State

DOT – U.S. Department of Transportation

ECTF – Electronic Crimes Task Force Program 

EDL – Enhanced Driver‘s License

EDS – Explosive Detection System

ESTA – Electronic System for Travel Authorization

ETC – Enhanced Tribal Cards

ETD – Explosives Trace Detection

FBI – Federal Bureau of Investigation 

FDNS – Fraud Detection and National Security Directorate 

FDL – Forensic Document Laboratory 

FEMA – Federal Emergency Management Agency

GLANSER – Geospatial Location Accountability and Navigation Systems for Emergency Responders

GAO- Government Accountability Office
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GNDA – Global Nuclear Detection Architecture 

I&A – DHS Office of Intelligence and Analysis

IATA – International Air Transport Association

ICAO – International Civil Aviation Organization

ICE – U.S. Immigration and Customs Enforcement

ICS – Incident Command System

IED – Improvised Explosive Device 

IICS - Infrastructure Information Collection System

IMAT – Incident Management Assistance Team

IMO – International Maritime Organization 

IP – DHS Office of Infrastructure Protection

IPS – International Port Security Program

JTTF – Joint Terrorism Task Force 

MSRAM – Maritime Security Risk Analysis Model

NCCIC – National Cybersecurity and Communications Integration Center

NCPS – National Cybersecurity Protection System

NCSD – National Cyber Security Division

NCTC – National Counterterrorism Center

NECP – National Emergency Communications Plan

NNFED – National Nuclear Forensics Expertise Development

NIPP – National Infrastructure Protection Plan

NLE – National Level Exercise

NOAA – National Oceanic and Atmospheric Administration

NPPD – National Protection and Programs Directorate

NSEERS – National Security Entry-Exit Registration System

NSI – Nationwide Suspicious Activity Reporting Initiative 

NTAS – National Terrorism Advisory System

NTNFC – National Technical Nuclear Forensics Center

OEC – DHS Office of Emergency Communications 

PCIIMS: Protected Critical Infrastructure Information Management System 

PCSC – Preventing and Combating Serious Crime

PNR – Passenger Name Records

PS-PrepTM – Voluntary Private Sector Preparedness Accreditation and Certification Program

PSA – Protective Security Advisor 

S&T – DHS Science and Technology Directorate 

SAR – Suspicious Activities Reporting 

SECURE – System Efficacy through Commercialization, Utilization, Relevance and Evaluation

SEVP – Student and Exchange Visitor Program

SHSGP – State Homeland Security Grant Program 

STC – Securing the Cities 

STSPA – Surface Transportation Security Priority Assessment

TIC – Trusted Internet Connection

TSA – Transportation Security Administration 

TSC – Terrorist Screening Center

TSDB – Terrorist Screening Database

TSO- Transportation Security Officer
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TWIC – Transportation Worker Identification Credential

UAS – Unmanned Aircraft System

UASI – Urban Areas Security Initiative

US-CERT – U.S. Computer Emergency Readiness Team

USCG – U.S. Coast Guard 

USCIS – U.S. Citizenship and Immigration Services 

USPS – U.S. Postal Service

USSS – U.S. Secret Service

US-VISIT – U.S. Visitor and Immigrant Status Indicator Technology Program 

VIBE – Validation Instrument for Business Enterprises

VIPR – Visible Intermodal Prevention and Response Teams 

VSP – Visa Security Program 

VWP – Visa Waiver Program 

WCO – World Customs Organization

WHTI – Western Hemisphere Travel Initiative