United States Commission

on

National Security/21st Century

April 15, 2001

National Security Study Group

assisted by

Booz·Allen & Hamilton
i

PREFACE

EXECUTIVE BRANCH ACTIVITIES

The chapters in this volume provide information concerning organizations in the Executive

Branch, including the Bureau of Export Administration, the Economic Development

Administration, the International Trade Administration, the National Telecommunication and

Information Administration, and the Technological Administration under the Department of

Commerce; the Department of Energy and the Nuclear Energy, Science and Technology

Program; the Centers for Disease Control and Prevention under the Department of Health and

Human Services; the Department of Justice, the Federal Bureau of Investigation, the Drug

Enforcement Agency, the Immigration and Naturalization Service, and the U.S. Marshals

Service; the U.S. Coast Guard under the Department of Transportation; and the Bureau of

Alcohol Tobacco and Firearms, the U.S. Customs Service, the Financial Crimes Enforcement

Network, and the U.S. Secret Service under the Department of Treasury.

Each chapter is designed to serve as a stand-alone reference for a specific organization and its

role in national security processes. Chapters are presented in standard format to permit

comparisons and facilitate research. That format is:

• An executive summary that provides an organizational overview and

observations.

• Section 1 identifies the legal basis for the organization and significant

organization and interagency directives.

• Section 2 notes the major responsibilities of the organization, identifies

subordinate organizations, and delineates the organization's major products.

• Sections 3 and 4 deal with the vision, strategy, values, culture, leadership, staff

attributes, and structure of the organization.

• Section 5 discusses the organization's formal role seven key processes.

• Section 6 provides information on the organization's roles in informal

processes.

• Section 7 outlines the responsible Congressional committees, the budget, and

the personnel strength of the organization.

• Section 8 provides observations on ways in which the organization contributes

to national security.

Descriptions of organizations deemed most significant in terms of the current national security

apparatus include matrices that relate products and roles to processes. Process maps have been

added as appendices for these organizations. Where it may be helpful for readers to consult other

chapters to gain a more complete understanding of particular concepts or issues, the appropriate

references are included in the text or in footnotes. An acronym glossary is included at the end of

Volume VII.
ii

The entire series consists of seven volumes:

• Volume I contains descriptions of the overarching interagency and inter branch

processes as well as key observations on organizations and processes;

• Volume II contains chapters on the Executive Office of the President.

• Volume III contains chapters on key Congressional Committees.

• Volume IV provides descriptions of key Department of State Organizations.

• Volume V discusses Department of Defense organizations.

• Volume VI covers intelligence community organizations and activities.

• Volumes VIIa and VIIb describe Executive Branch organizations not covered

elsewhere.

These volumes are based on comprehensive searches of available literature, laws, and directives

and extensive interviews with current and former practitioners. Research included both formal

and informal processes. There is sufficient information on each organization to fill several

volumes, thus the synthesis of this information focuses on national security processes as defined

by the U.S. Commission on National Security/21st Century.
Volume VII – Executive Branch Activities

Department of Commerce

Chapter 1 Bureau of Export Administration (BXA)

Chapter 2 Economic Development Administration (EDA)

Chapter 3 International Trade Administration (ITA)

Chapter 4 National Telecommunications and Information Administration (NTIA)

Chapter 5 Technology Administration (TA)

Department of Energy

Chapter 6 Department of Energy (DoE)

Chapter 7 Office of Nuclear Energy, Science, and Technology (NE)

Department of Health and Human Services

Chapter 8 Centers for Disease Control and Prevention (CDC)

Department of Justice

Chapter 9 Department of Justice (DoJ)

Chapter 10 Federal Bureau of Investigation (FBI)
Chapter 11 Drug Enforcement Administration (DEA)

Chapter 12 Immigration and Naturalization Service (INS)

Chapter 13 U.S. Marshals Service

Department of Transportation

Chapter 14 U.S. Coast Guard (USCG)

Department of Treasury

Chapter 15 Bureau of Alcohol, Tobacco, and Firearms (ATF)

Chapter 16 U.S. Customs Service

Chapter 17 Financial Crimes Enforcement Network (FinCEN)

Chapter 18 U.S. Secret Service

Other Executive Branch Activities

Chapter 19 Federal Emergency Management Agency (FEMA)

Chapter 20 Nuclear Regulatory Commission (NRC)

Bibliography

Glossary
ORGANIZATIONAL DESCRIPTION

THE BUREAU OF EXPORT ADMINISTRATION (BXA)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Bureau of Export Administration

Overview.

According to the National Security Strategy (NSS), the proliferation of weapons of mass

destruction (WMD) threatens U.S. interests and should be deterred through export controls and

non-proliferation initiatives.1 The Bureau of Export Administration (BXA), an agency of the

U.S. Department of Commerce, works to counter WMD threats in conjunction with Departments

of State (DoS), Defense (DoD), and Energy (DoE) by administering an export licensing system

that safeguards U.S. non-proliferation interests and also supports U.S. industry.

BXA's core competencies are formulating, administering, and enforcing export controls.

Key BXA values include decentralization, technical competence, objectivity, analysis,

community outreach, and consensus building.2

Organization.

The Under Secretary for Export Administration heads BXA, and, along with the Deputy

Under Secretary, oversees BXA's two principal operating units, Export Administration (EA) and

Export Enforcement (EE), as well as the Office of Administration, and the Office of

Congressional and Public Affairs. EA and EE are each headed by Assistant Secretaries who

report to the Under Secretary's Office. EA is made up of five offices that deal with a range of

WMD related export controls. EE is made up of three offices that investigate export control

violations and work to enforce the anti-boycott provisions of the Export Administration Act.3

BXA is authorized an end strength of 464 people with a Fiscal Year 99 budget of $52.6 million.4

Role in Formal and Informal National Security Process.

BXA works with DoS, DoD, and DoE to formulate and administer regulations governing

exports of sensitive technologies that may harm national security. BXA administers these

regulations by informing exporters of their rights and obligations, overseeing the export licensing

process, and enforcing a variety of sanctions. In addition, BXA chairs the interagency processes

for multilateral non-proliferation and export control regimes, which form the basis for America's

export controls. In all of these roles BXA seeks to balance its mission of facilitating the

 

1 The White House. A National Security Strategy for a New Century, May 1997, p.6.

2 Bureau of Export Administration Fiscal Year 1998 Annual Report. www.bxa.gov.

3 "The anti-boycott provisions of the Export Administration Act and Regulations apply to foreign boycotts fostered or imposed

against a country which is friendly to the United States and which is not itself the object of any form of boycott pursuant to

United States law or regulation. The anti-boycott provisions prohibit United States individuals and companies from furnishing,

or agreeing to furnish, information about any person's business relationships with or in a boycotted country, or with individuals

and companies believed to be restricted from doing business with or in one or more countries that participate in the Arab

boycott of Israel. U.S. companies and individuals are also required to report to the Department each boycott-related request

they receive." http://www.bxa.doc.gov/press/96/Pump.htm

4 Fiscal Year 1998 Annual Report. www.bxa.gov
3

competitiveness of U.S. industry with its mission of ensuring that U.S. non-proliferation interests

are safeguarded.5

Conclusions and Observations.

BXA implements the Administration's commercial encryption policy, ensures U.S.

industry compliance with the Chemical Weapons Convention (CWC), and funds the Critical

Infrastructure Assurance Office (CIAO). BXA also works with other countries to develop

effective export control systems. The 1985 Export Administration Act (EAA) established BXA;

however, it has expired and BXA is currently operating under EO 12924.

BXA also works with DoS, DoD, and DoE to prevent the export of technologies that may

harm national security and to develop U.S. policy positions for multilateral non-proliferation

regimes.6 BXA chairs the interagency dispute resolution process for export licenses and

implements the resulting decisions.

A recent report by the General Accounting Office (GAO) investigated how well the

interagency export license process worked in regard to satellite exports. GAO investigated

satellite exports that were launched on Chinese, Russian, and Ukrainian launch vehicles between

1989 and February of 1999. According to GAO, BXA approved eight satellite launch campaigns

before 1997 that omitted conditions requiring DoD monitors, the preparation of a technology

control plan, and explicit compliance with the government-to-government technology safeguard

agreements. GAO noted that DoD and DoS did not require these license conditions when they

reviewed the applications, and that the lack of such safeguards may have allowed the transfer of

sensitive technology or information. Since 1997, Commerce has applied these license conditions

to all launch campaigns, and in March of 1999 Congress placed the satellite licenses under the

authority of the State Department. GAO concluded that the interagency licensing process was

not effectively implemented.7

One impediment to the timely and effective implementation of the interagency licensing

process and interagency coordination is the lack of a secure paperless system for exchanging

information. The current process relies on a mixture of electronic and paper information. BXA

indicated that moving to a secure paperless system would facilitate better interagency interaction

and improve the turnaround time for decisions on both policy and licenses. Finally, BXA

indicated that resolving some "big picture" policy issues would improve interagency

coordination and planning.8

 

5 Testimony of Roger Majak, Assistant Secretary for Export Administration, before the Subcommittee on International Trade

and Finance Senate Banking, Housing, and Urban Affairs Committee, 3/16/99.

www.bxa.doc.gov/press/99/NonProliferationRegimes.html

6 BXA works specifically with the Office of the Under Secretary of State for Arms Control and International Security, the Office

of the Under Secretary of Energy (National Nuclear Security Administration), and the Office of the Under Secretary of

Defense for Policy to prevent the export of technologies that may harm national security and to develop U.S. policy positions

for multilateral non proliferation regimes.

7 Government Accounting Office. Export Controls Better Interagency Coordination Needed on Satellite Exports. Washington

D.C." Government Printing Office, September 1999 (Report Number GAO/GGD 99-182)

8 BXA Survey Response. February 14, 2000
4

ORGANIZATIONAL DESCRIPTION

BUREAU OF EXPORT ADMINISTRATION

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive: The Bureau of Export Administration was established by the

Export Administration Act (EAA) of 1985. The Act transferred the export licensing and export

enforcement functions of the Commerce Department from the International Trade Commission

to the Export Administration. The EAA has not been re-authorized and currently BXA operates

under Executive Order 12924.9

B. Department/Agency Directives: None.

C. Interagency Directives:

(1) Executive Order 12981 took effect in February 1996 and outlines the

interagency review process for export licenses. EO 12981 gives the Departments of Commerce

(DoC), Defense (DoD), State (DoS), and Energy (DoE) a direct and equal role in export

licensing decision-making. Each department may review any and all license applications, and

appeal any decision with which it disagrees, through a series of escalating interagency levels,

ultimately to the President. The intelligence community receives license applications at the same

time and participates as a non-voting advisor throughout the process.

EO 12981 establishes three dispute resolution bodies. The first is the Operating

Committee (OC) at the senior civil service level, next is the Advisory Committee on Export

Policy at the Assistant Secretary level (ACEP), and third is the Export Administration Review

Board (EARB) at the cabinet level. A Commerce Department representative chairs each of these

bodies. A senior Commerce civil servant chairs the OC, while the ACEP is chaired by the

Commerce Assistant Secretary for Export Administration, and the EARB by the Secretary of

Commerce. DoC, DoD, DoS, and DoE, are members of each dispute resolution body. Decisions

are made on a consensus basis.

(2) PDD 63 established the interagency Critical Infrastructure Program (CIP) to

protect the nation's critical infrastructures from cyber and physical attack.10 BXA's sole function

under PDD-63 is to fund the Critical Infrastructure Assurance Office (CIAO), which supports the

National Director of the CIP.

2. Missions/Functions/Purposes.

A. Major Responsibilities: BXA promotes U.S. national security and foreign policy

interests by managing and enforcing the Commerce department's security-related trade and

 

9 Bureau of Export Administration Foreign Policy Export Controls Report. www.bxa.gov

10 Critical Infrastructures are those physical entities and cyber based systems that are essential to the minimum operations of the

economy and government. These include telecommunications, energy, banking, and finance, transportation, water systems,

and emergency services. PDD-63 calls for the creation of a National Infrastructure Assurance Plan (NIAP) over the next three

years to raise defenses against physical and cyber attacks. The NIAP is developed by the National Coordinator of the CIP.

The Critical Infrastructure Assurance Office (CIAO) was created to support the National Coordinator of CIP, who is a member

of the NSC staff. The Department of Commerce Budget in Brief Fiscal Year00. www.doc.gov
5

competitiveness programs. BXA plays a key role in issues involving national security and nonproliferation, export growth, and technology.

B. Subordinate Activities and Agencies: 11

(1) Nonproliferation and Export Control Cooperation Team (NEC): NEC

coordinates the Commerce department's efforts to help Russia and other countries develop and

strengthen export controls and stop the proliferation of sensitive technology and goods to rogue

states and terrorists.

(2) Office of Chief Counsel for Export Administration: The attorneys in this

unit provide legal counsel and services for all BXA programs. The office also represents the

BXA in administrative enforcement proceedings.

3. Vision and Core Competencies:

A. Vision: BXA's Vision Statement:

"We will be the leading innovator in transforming U.S. strategic trade policy and

programs to adapt to the changing world."12

B. Core Competencies: 13

(1) Formulating and administering export controls, and

.

(2) Enforcing export controls.

4. Organizational Culture.

A. Values: BXA's values are decentralization, technical competence, objectivity,

analysis, community outreach, and consensus building.14

B. Leadership Traditions: The Under Secretary of Export Administration is nominated

by the President and approved by the Senate. The Deputy Under Secretary is a career civil

servant. The Assistant Secretary for Export Enforcement and the Assistant Secretary for Export

Administration are both nominated by the President and approved by the Senate. The President

appoints the Director of Congressional and Public Affairs. The Directors of the five sub-offices

of the Export Administration branch and the three sub-offices of the Export Enforcement branch

are career civil servants.15

C. Staff Attributes: Individuals with both technical and economic expertise staff the

BXA. The role played by the agency as a technology controller requires its staff to be proficient

 

11 Fiscal Year 1998 Annual Report. www.bxa.gov.

12 Vision Statement www.bxa.gov.

13 Fiscal Year 1998 Annual Report. www.bxa.gov.

14 BXA does not list its organizational values but the annual report mentions these values as it talks about BXA's

accomplishments and plans for the future. www.bxa.gov.

15 Phone interview with BXA's Office of Congressional and Public Affairs 10/18/99.
6

in technological innovation and economic issues, while understanding the broader national

security risks and goals of the United States.16

D. Strategy: BXA's strategy has been to foster a healthy commercial technology sector

while protecting sensitive technology that would impact national security. This strategy has

focused on clear communication among BXA and the Departments of State, Energy, and

Defense, while fostering technical and economic expertise within BXA, and working with the

Departments of State, Defense, and Energy to administer a constructive interagency process.

E. Organization:17

Figure 1: Organization of the Bureau of Export Administration

(1) The Under Secretary of BXA along with the Deputy Under Secretary

oversees BXA's two principal operating units, Export Administration and Export Enforcement,

as well as the Office of Administration, and the Office of Congressional and Public Affairs.

BXA includes the Under Secretary for Export Administration, the Deputy Under Secretary for

Export Administration, the Assistant Secretary for Export Administration, the Assistant

 

16 Testimony of Roger Majak, Assistant Secretary for Export Administration, Department of Commerce. Before the

Subcommittee on International Trade and Finance, Committee on Banking, Housing and Urban Affairs, United States Senate.

April 14, 1999. www.bxa.doc.gov/press/99/majakdualusetech.html

17 www.bxa.doc.gov and Carroll's Federal Charts Volume2 Spring 1999.

Office of the Under Secretary for Export

Administration

Office of the

Director of

Export

Enforcement

Office of the

Director of

Strategic

Trade &

Foreign Policy

Controls

Office of the

Director of

Strategic

Industries &

Economic

Security

Office of the

Director of

Anti-boycott

Compliance

Office of the

Director of

Enforcement

Analysis

Office of the

Director of

Chemical &

Biological

Controls &

Treaty

Compliance

Office of the Deputy Under Secretary for Export

Administration

Office of the

Director of

Exporter

Services

Office of the

Director of

Nuclear and

Missile

Technology

Control

Office of the Assistant Secretary for

Export Administration

Office of the Assistant Secretary for

Export Enforcement
7

Secretary for Export Enforcement, the Director of Administration, and the Director of

Congressional and Public Affairs. Both the Office of Administration and the Office of

Congressional and Public Affairs are housed within the Office of the Under Secretary. Both

offices provide support to the Office of the Under Secretary and BXA's Export Enforcement and

Export Administration branches.

(2) The Office of the Assistant Secretary for Export Enforcement heads

BXA's Export Enforcement (EE) branch, which is comprised of three offices.

(a) Office of the Director of Export Enforcement (OEE) works to

prevent the illegal export of dual-use items, which are controlled for national security and other

reasons, and investigates alleged transactions involving illegal export. OEE's Intelligence and

Field Support Division receives and disseminates information to special agents in the field.

(b) Office of the Director of Enforcement Analysis (OEA) assists the

OEE field offices and BXA's export licensing offices by receiving and disseminating export

control information on problem end-users and end-uses. The office also makes licensing

recommendations to BXA licensing officers based on intelligence information and input received

from special agents in the field.

(c) Office of the Director of Anti-boycott Compliance (OAC) is

responsible for implementing the anti-boycott provisions of the Export Administration

Regulations.18 This office performs three main functions: enforcing the regulations; assisting the

public in anti-boycott compliance; and compiling and analyzing information regarding

international boycotts.19

(3) The Office of the Assistant Secretary for Export Administration heads

BXA’s Export Administration (EA) branch, which is comprised of five offices.

(a) The Office of the Director of Strategic Trade and Foreign Policy

Controls (STFPC) implements multilateral export controls under the Wassenaar Arrangement.20

The office also licenses exports of encryption software and high performance computers.

STFPC is the lead agency for policy issues involving countries like China and India for unilateral

and UN sanctions, and for export controls related to antiterrorism, regional stability, and crime

control.

(b) The Office of the Director of Nuclear and Missile Technology

Controls (NMT) administers both the multilateral and unilateral export controls on dual-use

 

18 "The anti-boycott provisions of the Export Administration Act and Regulations apply to foreign boycotts fostered or imposed

against a country which is friendly to the United States and which is not itself the object of any form of boycott pursuant to

United States law or regulation. The anti-boycott provisions prohibit United States individuals and companies from

furnishing, or agreeing to furnish, information about any person's business relationships with or in a boycotted country, or

with individuals and companies believed to be restricted from doing business with or in one or more countries that participate

in the Arab boycott of Israel. U.S. companies and individuals are also required to report to the Department each boycottrelated request they receive." http://www.bxa.doc.gov/press/96/Pump.htm

19 Fiscal Year 1998 Annual Report. www.bxa.gov

20 The Wassenaar Agreement deals with conventional arms and related dual-use goods and technology. Wassenaar controls

conventional weapons and related technologies such as computers, satellites, and machine tools. Member nations agree to

cooperate on certain technologies via export controls. BXA works with DoS, DoD, and DoE to develop U.S. objectives and

positions for Wassenaar and other non-proliferation regimes in which the United States participates. BXA then implements

the agreed upon export controls. www.bxa.doc.gov/press/99/NonProliferationRegimes.html.
8

nuclear and missile goods and technology to prevent the spread of weapons of mass destruction.

NMT is also responsible for all export control policy issues relating to the Nuclear Suppliers

Group (NSG) 21 and Missile Technology Control Regime (MTCR).22 NMT represents the

Commerce department in international negotiations related to the export controls of these

regimes. NMT also has the responsibility for reviewing proposed exports of items subject to

license requirements under the Enhanced Proliferation Control Initiative (EPCI).23

(c) The Office of the Director of Chemical and Biological Controls and

Treaty Compliance has overall responsibility for administering export controls and policy

development relating to the Australia Group (AG).24 This office has a major role in overseeing

compliance by U.S. industries with the requirements of the Chemical Weapons Convention, the

Biological Weapons Convention, and other relevant treaties. The office also carries out the

provisions governing "deemed exports".25

(d) The Office of the Director of Strategic Industries and Economic

Security (SIES) is the focal point within the Commerce Department for issues relating to the

competitiveness of the U.S. defense industrial base. As such, SIES plays a leadership role in a

wide range of issues that relate to both the national and economic security of the United States.26

(e) The Office of the Director of Exporter Services (OEXS) is

responsible for counseling exporters, conducting export control seminars, and developing,

drafting, and publishing changes to the Export Administration Regulations (EAR). It develops

brochures and other written guidance to educate and train exporters and to ensure compliance

with the EAR. It is also responsible for compliance actions relating to the special comprehensive

license; for administering the processing of license applications, commodity classifications, and

advisory opinions; and for implementing End-User Verification.

5. Formal National Security Process Involvement. As the agency within the Executive

Branch responsible for export controls, BXA oversees the formulation and implementation of the

activities and policies called for in the National Security Strategy. This includes refining export

controls to reduce burdensome licensing requirements, while ensuring that non-proliferation

goals are being met.

 

21 The Nuclear Suppliers Group (NSG) focuses on two areas of export controls. The first is nuclear material and technology.

The second is dual use nuclear items that have nuclear and non-nuclear commercial applications.

www.bxa.doc.gov/press/99/NonProliferationRegimes.html.

22 The MTCR was created in 1987 by the U.S. and six other countries to limit the proliferation of missiles capable of delivering

weapons of mass destruction. Www.bxa.doc.gov/press/99/NonProliferationRegimes.html.

23 The Enhanced Proliferation Control Initiative (EPCI) began in 1991 to stem the spread of missile technology as well as

nuclear, chemical and biological weapons. Under EPCI, BXA has the authority to inform exporters that a license is required

for exports and re-exports of normally uncontrolled goods and technology to an organization or company on the Entity List,

when there is an unacceptable risk of use in or diversion to activities related to nuclear, chemical or biological weapons or

missile proliferation by those organizations or companies. BXA Annual Report 1998. www.bxa.gov.

24 The AG is a group of countries that cooperate in curbing the proliferation of chemical and biological weapons through export

control coordination and information sharing. www.bxa.doc.gov/press/99/NonProliferationRegimes.html.

25 The “deemed export” rule requires U.S. companies to obtain prior approval from BXA before foreign nationals from certain

countries are allowed to work on U.S. projects involving controlled technology.

26 SIES's efforts include assisting American companies to diversify from defense to commercial production and markets,

promoting the sale of U.S. weapons systems to allies, analyzing the impact of export controls on key industrial sectors, and

conducting primary research and analysis on critical technologies and defense-related sectors.
9

A. Strategy Development: BXA helped develop the export control aspects of the 1999

National Security Strategy, which call for "reforming the export licensing system...to support

U.S. exporters' efforts to compete on a level playing field with their foreign competition by

removing unnecessarily burdensome licensing requirements left over from the Cold War...while

ensuring that our non proliferation interests are safeguarded."27

B. Policy, Guidance, and Regulation: BXA provides regulatory guidance on export

licenses to industry, and chairs the interagency dispute resolution process that ensures sensitive

technologies are adequately controlled. This control extends to the multilateral non-proliferation

and export control regimes in which BXA participates. The four regimes are the Missile

Technology Control Regime, the Nuclear Suppliers Group, the Australia Group for Chemical

and Biological Weapons, and the Wassenaar Arrangement for conventional arms and related

dual use technologies. BXA works with the Departments of State, Defense, and Energy to

develop U.S. objectives and goals for these regimes.

C. Planning: No involvement.

D. Mission Execution: No involvement.

E. Observation, Orientation, and Oversight: BXA sets licensing requirements for

technology exports and, as noted above, also chairs the interagency dispute resolution process.

BXA enforces decisions of the interagency dispute resolution process by denying license

applications, keeping track of denials, and ensuring treaty compliance, (in particular ensuring

that U.S. industry complies with the Chemical Weapons Convention).

F. Preparation: No involvement.

G. Resourcing: BXA plays a role in the resourcing of its programs and also provides

funding for the Critical Infrastructure Assurance Office.

6. Informal National Security Process Involvement. No evidence of BXA's role in informal

national security processes.

7. Funding and Personnel.

A. Authorization and Appropriations: The relevant authorizing committees are the

House Committee on Commerce; the Senate Committee on Commerce, Science, and

Transportation; the House and Senate Armed Services Committees; the House International

Relations Committee; the Senate Foreign Affairs Committee; and the House and Senate

Judiciary Committees. The Senate Appropriations Committee and House Appropriations

Committee have jurisdiction over BXA budgets.28

B. Funding Sources: BXA is funded as an agency within the Commerce Department.

C. Budget: The Fiscal Year 99 Budget for BXA was $52.6 M.

 

27 1997 National Security Strategy. p. 8.

28 http://thomas.loc.gov.
10

D. Personnel: BXA has 464 positions for Fiscal Year 99, and is slated to have 491

positions for Fiscal Year 00.

8. Conclusions and Observations. BXA, an agency of the U.S. Department of Commerce, is

responsible for formulating and enforcing the export control policies of the U.S. government.

BXA prevents the export of technologies controlled by the United States or multilateral regimes

that may harm national security by working with the Departments of State, Defense, and Energy

to ensure that export licenses for dual use and sensitive technologies are adequately reviewed.

BXA chairs the interagency dispute resolution process for dual use export licenses, and

also works with the Departments of Defense, State, and Energy to develop U.S. policy objectives

and positions for multilateral non-proliferation regimes. BXA also ensures U.S. industry

compliance with the Chemical Weapons Convention (CWC) and funds the Critical Infrastructure

Assurance Office (CIAO). Finally, BXA works with Russia and other newly emerging countries

to develop effective export control systems. Through these regulatory and enforcement efforts,

BXA works to fulfill the goals and objectives called for in the National Security Strategy:

shaping the international environment through non-proliferation initiatives and reforming the

export licensing system to support U.S. exporters, while ensuring that U.S. non-proliferation

interests are safeguarded.

BXA's core competencies are formulating, administering, and enforcing export controls.

BXA values include decentralization, technical competence, objectivity, analysis, community

outreach, and consensus building. BXA's budget is part of the Department of Commerce budget

and is $52.6 million for Fiscal Year99.

BXA's export licensing process hinges upon interagency coordination. A recent report by

the General Accounting Office (GAO) investigated how well the interagency license process

worked in regard to satellite exports. GAO investigated satellite exports that were launched on

Chinese, Russian, and Ukrainian launch vehicles between 1989 and February of 1999.

According to GAO, BXA approved eight satellite launch campaigns before 1997 that omitted

conditions requiring DoD monitors, the preparation of a technology control plan, and explicit

compliance with the government-to-government technology safeguard agreements. GAO noted

that DoD and DoS did not require these license conditions when they reviewed the applications,

and that the lack of such safeguards may have allowed the transfer of sensitive technology or

information. Since 1997 Commerce has applied these license conditions to all launch

campaigns, and in March of 1999 Congress placed the satellite licenses under the authority of the

State Department. GAO concluded that the interagency liscencing process was not effectively

implemented.29

One impediment to the timely and effective implementation of the interagency licensing

process and interagency coordination is the lack of a secure paperless system for exchanging

information. The current process relies on a mixture of electronic and paper information. BXA

indicated that moving to a secure paperless system would facilitate better interagency interaction

and improve the turnaround time for decisions on both policy and licenses. Finally, BXA

indicated that resolving some "big picture" policy issues would improve interagency

coordination and planning. 30

 

29 GAO/GDD 99-182 September 1999.

30 BXA Survey Response. February 14, 2000
ORGANIZATIONAL DESCRIPTION

THE ECONOMIC DEVELOPMENT ADMINISTRATION (EDA)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Economic Development Administration

Overview.

The Public Works and Economic Development Act of 1965, enacted to facilitate

economic development and recovery in distressed areas and communities, established the

Economic Development Administration (EDA), an agency of the Department of Commerce.

EDA provides grants and loans to aid:

• State and local governments;

• Regional economic development districts;

• Non-profit organizations; and

• Indian Tribes in economic development planning.

EDA also helps directly spur development through loans and grants for economic

rebuilding in areas suffering from:

• Natural disasters;

• Military base closures;

• Changing trade patterns; and

• Natural resource depletion.

EDA's core competencies are administering and evaluating the success of economic

development loan and grant programs. Key EDA values include decentralization, efficiency, and

customer-focus.1

Organization.

The Assistant Secretary of the EDA, with assistance from the Deputy Assistant Secretary

of EDA, oversees all three of EDA's operating units. EDA's three principal operating units are

Program Operations (PO), Finance and Administration (FA), and the Congressional Liaison and

Program Research and Evaluation (CLPRE) office. Both PO and CLPRE are headed by their

respective Deputy Assistant Secretaries. A Chief Financial Officer heads FA. PO administers

the bulk of EDA's customer programs, while CLPRE and FA serve as support agencies. CLPRE

regularly evaluates programs for their success and impact on revitalization and development. FA

provides accounting and administrative support for programs. EDA is authorized an end strength

of 261 people with a FY99 budget of $413 million.2

 

1 EDA Factsheet 99. www.doc.gov/eda.

2 U.S. Department of Commerce Fiscal Year 2000 Budget in Brief. www.doc.gov.
3

Role in Formal and Informal National Security Process.3

EDA has a formal supporting role in the national security process. EDA's numerous

assistance programs support the National Security Strategy's (NSS) objective of helping promote

America's domestic prosperity.4 By creating jobs, and helping distressed areas recover from

economic challenges, EDA aids the American economy. EDA does not play an informal role in

the national security process.

Conclusions and Observations.

EDA administers a variety of grant and loan programs aimed at helping communities

improve their economic development planning, and also to recover from severe economic

dislocations such as military base closures and natural disasters. Through these efforts EDA

supports American prosperity, a major goal of the National Security Strategy (NSS).

 

3 EDA Factsheet 99. www.doc.gov/eda.

4 The White House. A National Security Strategy for a New Century, May 1997, p.14.
4

ORGANIZATIONAL DESCRIPTION

ECONOMIC DEVELOPMENT ADMINISTRATION

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive: EDA was created by Congress pursuant to the Public Works

and Economic Development Act of 1965, as amended by the Economic Development

Administration Reform Act of 1998. Public Law 105-393, signed on November 13, 1998,

authorizes EDA for five years.5

B. Department/Agency Directives: None available.

2. Missions/Functions/Purposes.

A. Major Responsibilities: According to EDA's Mission Statement, EDA was

established to: "Generate jobs, help retain existing jobs, and stimulate industrial and commercial

growth in economically distressed areas of the United States. EDA assistance is available to

rural and urban areas of the Nation experiencing high unemployment, low income, or other

severe economic distress."6

EDA's major program responsibilities include:7

(1) The Planning Program for Economic Development Districts, Indian

Tribes and Eligible Areas works with 320 Economic Development Districts (EDD) and 65

Indian Tribes to help distressed communities formulate and implement economic development

programs.8 These programs create full time jobs and increase the income for the unemployed

and underemployed in an area.

(2) The Planning Program for States and Urban Areas helps plan and

implement new economic development in economically distressed states, regions, and urban

areas.

(3) The Local Technical Assistance Program awards grants for proposals that

help determine the feasibility of proposed economic development investments in local areas.

(4) University Centers are given grants to fund proposals that utilize university

and outside resources for activities that aid a state's economic development. EDA supports 69

university centers, which use their own and outside resources to promote private job creation and

economic development statewide.9

 

5 EDA Mission Statement. www.doc.gov/eda.

6 EDA Mission Statement.

7 Programs of the Economic Development Administration. www.doc.gov/eda.

8 EDD organizations also help coordinate various Federal and state programs.

9 While EDA prefers program proposals that are explicitly targeted at development across an entire state, consideration is given

to proposals that benefit the majority of a state's population or geographic area. Programs of the Economic Development

Administration. www.doc.gov/eda.
5

(5) The Public Works Program funds locally developed public works

infrastructure projects that allow communities to establish and support private sector businesses.

(6) The Economic Adjustment Program provides grants to states and local

areas that help them design and/or implement strategies to diversify the economic base and

create quality jobs. A key component of the economic adjustment program is Defense

Adjustment. Through Defense Adjustment, EDA provides grants to communities affected by

base closures to help modernize base infrastructures to attract private investment.

(7) The National Technical Assistance Research and Evaluation Program

provides grants that increase knowledge about emerging economic development issues, measure

program performance, and meet the information and education needs of local, state, and national

economic development practitioners and organizations.

(8) The Trade Adjustment Assistance Program helps firms that have been

injured by increased imports. EDA supports a nationwide network of 12 Trade Adjustment

Centers that offer cost-shared professional assistance to trade-injured firms. This assistance

helps U.S. manufacturing firms injured by imports develop strategies for competing in the global

market place.

(9) The Post-Disaster Economic Recovery Program provides post-disaster

assistance to areas affected by Presidentially declared natural disasters. The assistance helps to

rebuild infrastructure through loans and grants.

(10) The Revolving Loan Funds enhance local capacity to invest in communityidentified commercial development that creates jobs. Upon repayment, principal and interest

stay in the community for re-lending and further economic development activity.

(11) The Economic Development Information Clearinghouse (EDIC) is a free

service that provides information about economic development at the federal, state, and local

levels. The database contains a compendium of government programs, and a variety of other

materials and contacts designed to assist economic development professionals, businesses, and

communities in alleviating or preventing economic distress.

B. Subordinate Activities and Agencies: None.

3. Vision and Core Competencies:

A. Vision: EDA does not have a published vision statement.

B. Core Competencies:10

(1) Administering economic development loan and grant programs.

(2) Evaluating programs for their impact on economic development.

 

10 EDA does not list its core competencies. These core competencies are based upon a review of EDA's mission statement and

other literature. www.doc.gov/eda.
6

4. Organizational Culture.

A. Values: EDA is customer-focused, efficiency-driven, and decentralized.11

B. Leadership Traditions: An Assistant Secretary who is nominated by the President

and approved by the Senate heads the EDA. A Deputy Assistant Secretary appointed by the

President assists the Assistant Secretary. Two Deputy Assistant Secretaries appointed by the

President head EDA's sub-offices, PO and CLPRE. EDA's third sub-office, FA is run by a Chief

Financial Officer, who is a career civil servant. EDA's leadership supports its customer service

focus by endorsing decentralization. The result has been reduced staffing levels and a shifting of

personnel resources from headquarters to field operations to improve customer service.12

C. Staff Attributes: Economic development professionals staff EDA.

D. Strategy: EDA's strategy is to provide expert advice, guidance, and program support

in a way that meets the needs of its diverse clientele. The resulting strategy is one that delegates

decision-making authority to the field offices and encourages both flexibility and

accountability.13

E. Organization:

Figure 1: Organization of Economic Development Administration

(1) The Assistant Secretary of the EDA, with assistance from the Deputy

Assistant Secretary of EDA, oversees all three of EDA's operating units. EDA's three principal

operating units are Program Operations (PO), Finance and Administration (FA), and the

Congressional Liaison and Program Research and Evaluation (CLPRE) office.

(1) The Office of the Deputy Assistant Secretary of Program Operations

administers the bulk of EDA's customer programs. EDA's 10 grant and loan programs help

distressed communities plan and implement economic development initiatives.14

 

11 EDA Factsheet 99. www.doc.gov/eda.

12 Interview with EDA Public Affairs. 10/19/99.

13 EDA Factsheet 99. www.doc.gov/eda.

14 See paragraph 2a for a detailed account of EDA's customer programs. EDA Factsheet Fiscal Year1999. www.doc.gov/eda.

Office of the Assistant Secretary

Office of the Deputy Assistant

Secretary of Congressional

Liaison and Program Research

and Evaluation

Office of the Deputy

Assistant Secretary of

Program Operations

Office of the Chief Financial

Officer of Finance and

Administration

Office of the Deputy Assistant Secretary
7

(2) The Office of the Chief Financial Officer of Finance and Administration

provides accounting, budgeting, and administrative support for programs. FA is also responsible

for ensuring that EDA funds are dispersed in an accurate and timely fashion.

(3) The Office of the Deputy Assistant Secretary of Congressional Liaison

and Program Research and Evaluation evaluates the success and impact of EDA's economic

development grants and loans on revitalization and development. Funds for programs

administered by PO are renewed based on CLPRE's verification that a program is having a

successful impact on development. CLPRE also reports on EDA's programs to Congress.15

5. Formal National Security Process Involvement. EDA supports the National Security

Strategy's objective of promoting America's domestic prosperity through numerous assistance

programs.16 By creating jobs and helping distressed areas recover from economic challenges,

EDA aids the American economy.

A. Strategy Development: No involvement.17

B. Policy Guidance and Regulation: No involvement.

C. Planning: No involvement.

D. Mission Execution: No involvement.

E. Observation, Orientation, and Oversight: No involvement.

F. Preparation: No involvement.

G. Resourcing: EDA administers and funds 11 economic development programs that

help communities create jobs and recover from economic challenges. These programs support

the NSS's objective of aiding American prosperity at home.

6. Informal National Security Process Involvement. There is no evidence of EDA's

participation in informal national security processes.

7. Funding and Personnel:

A. Authorization and Appropriations: The relevant authorizing committees are the

House Committee on Commerce; the Senate Committee on Commerce, Science, and

Transportation; the House Resources Committee; the House Transportation and Infrastructure

Committee; the House Agriculture Committee; the House Banking and Finance Committee; the

Senate Finance Committee; the Senate Environment and Public Works Committee; and the

Senate Indian Affairs Committee. The Senate Appropriations Committee; the House

 

15 Programs of the Economic Development Administration.

16 1997 National Security Strategy, p.14.

17 Though the NSS indicates that domestic prosperity is important to National Security, officials at EDA indicated that their

agency did not help develop the economic development aspects of the NSS. Interview with EDA Communications Office,

10/19/99.
8

Appropriations Committee; the House Committee on Commerce; and the House Subcommittee

on Commerce, Justice, State, and Judiciary have jurisdiction over EDA budgets.18

B. Funding Sources: EDA funding comes out of the Department of Commerce budget.

C. Budget: The fiscal year 1999 budget for EDA was $413 million.19

D. Personnel: EDA has 261 positions for fiscal year 1999, and is slated to have 265

positions for fiscal year 2000.20

8. Conclusions and Observations. The Economic Development Administration is a supporting

player in the national security process. EDA's administration and implementation of economic

development programs contributes to American prosperity, a major goal of the National Security

Strategy.

 

18 www.loc.thomas.gov.

19 Budget in Brief. www.doc.gov.

20 Budget in Brief. www.doc.gov.
ORGANIZATIONAL DESCRIPTION

THE INTERNATIONAL TRADE ADMINISTRATION (ITA)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

International Trade Administration

Overview.

The International Trade Administration (ITA), a Commerce Department agency, was

established by title 19 U.S.C., Section 2171.1 ITA focuses on:

• Promoting U.S. exports and representing commercial interests abroad;

• Providing industry information and analysis to U.S. exporters, policymakers, and

trade negotiators;

• Administering countervailing duty and antidumping laws in conjunction with the

International Trade Commission; and

• Monitoring market access and compliance of U.S. international trade agreements.

Organization.

ITA is headed by the Under Secretary for International Trade, supported by the Deputy

Under Secretary, and oversees ITA's four units:

• The U.S. and Foreign Commercial Service;

• Market Access and Compliance (MAC);

• Import Administration (IA); and

• Trade Development (TD).

Each of ITA's four units is headed by an Assistant Secretary. ITA's Under Secretary,

Deputy Under Secretary and four Assistant Secretaries are all nominated by the President and

confirmed by the Senate. The U.S. and Foreign Commercial Service helps small and medium

businesses export by providing market information, trade leads, and overseas business contacts

through its 100 domestic offices and 140 overseas posts. The Commercial Service also

administers a number of domestic Export Assistance Centers that bring together the resources

and staffs of ITA's Commercial Service, the Small Business Administration, and the ExportImport Bank.

MAC monitors, investigates, and evaluates foreign compliance with more than 200 recent

trade agreements, and its country experts provide market analysis to U.S. businesses. IA

investigates complaints of unfair imports. If IA determines that an importer is violating

antidumping laws or is receiving unfair subsidies for their product, and the International Trade

Commission agrees, then antidumping duties and/or countervailing duties may be imposed. TD

provides industry specific analysis and advice on trade and investment issues to the U.S. business

 

1 www.thomas.loc.gov.
3

community. TD also participates in the negotiation and monitoring of bilateral and multilateral

trade agreements.2 ITA is authorized an end strength of 2,548 positions with a FY 99 budget of

$285 million.3

Role in Formal and Informal National Security Processes.

As the lead unit for trade within the Department of Commerce, ITA supports the National

Security Strategy's objectives of enhancing American competitiveness abroad and access to

foreign markets.4 ITA's export promotion programs provide U.S. industry, policymakers, and

negotiators with country and industry analysis and also provide U.S. exporters with contacts and

trade assistance. ITA also ensures that foreign markets and competitors adhere to bilateral and

multilateral trade agreements. Through monitoring, investigations, the application of

antidumping and countervailing duties, and policy promotion, ITA works to ensure that U.S.

exporters are able to secure greater foreign market access and that foreign firms are not given an

unfair advantage due to dumping or subsidies.

Conclusions and Observations.

ITA serves as the lead Commerce Department agency for trade. ITA's four divisions

work to ensure that U.S. firms are granted equal market access under existing trade agreements;

protected from unfairly traded imports; and aided in promoting their exports through Export

Assistance Centers and other ITA programs. These activities support the National Security

Strategy's objective of enhancing American competitiveness and access to foreign markets. A

recent report by the Government Accounting Office (GAO) investigated the efficacy of the

Export Assistance Centers, (which bring together the staff and expertise of ITA, the ImportExport Bank, and the Small Business Administration). GAO recommended that Export

Assistance Centers develop more integrated performance measures, establish a customer tracking

system that provides information on clients and what services the centers can provide them, and

revamp their accounting system to better reflect the costs of creating and operating the network

of Export Assistance Centers.5

 

2 Interview with ITA Office of Public Affairs.

3 Department of Commerce Budget in Brief Fiscal Year 2000. www.doc.gov.

4 The White House. A National Security Strategy for New Century, May 1997, p.14.

5 U.S. Export Assistance Centers: Customer Service Enhanced, But Potential to Improve Operations Exists (GAO Testimony,

07/25/96).
4

ORGANIZATIONAL DESCRIPTION

INTERNATIONAL TRADE ADMINISTRATION

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive:6

(1) Reorganization Plan No. 3 of 1979, which was codified under title 19

U.S.C., section 2171, established the International Trade Administration (ITA) within the

Department of Commerce. The reorganization plan established the Office of the Under

Secretary of ITA and charged ITA with the "general operational responsibility" for major

nonagricultural international trade functions of the United States government, including export

development, commercial representation abroad, the administration of the antidumping and

countervailing duty laws, trade adjustment assistance to firms, and monitoring compliance with

international trade agreements to which the United States is a party.7

(2) The Export Administration Amendments Act of 1985 (Public Law 102-

429) authorized for the first time congressional appropriations for ITA's export promotion

programs. Monies for export promotion activities had previously been subject to the general

ITA appropriation.

(3) The Omnibus Trade and Competitiveness Act of 1988 (Public Law 100-

418) was enacted on August 23, 1988 and established the United States Commercial and Foreign

Service within ITA. The Commercial Service focuses primarily on the promotion of exports and

goods from the United States, and the protection of United States business interests abroad.

(4) The Export Enhancement Act of 1992 (Public Law 102-429) established

the Trade Promotion Coordinating Committee (TPCC), which the Department of Commerce

chairs. The TPCC, which includes representatives from 19 federal agencies, is charged with

providing a unifying framework to coordinate the export promotion and export financing

activities of the United States government, and with developing a government–wide strategic

plan for carrying out Federal Export Promotion and export financing programs.

B. Department/Agency Directives: None available.

2. Missions/Functions/Purposes.

A. Major Responsibilities: The International Trade Administration is the lead unit for

trade in the Department of Commerce. ITA promotes U.S. exports of manufactured goods,

nonagricultural commodities, and services. ITA also participates in formulating U.S. foreign

trade and economic policies via the Trade Promotion Coordinating Committee. In addition, ITA

monitors market access and compliance of U.S. international trade agreements.

 

6 ITA Interview.

7 ITA Interview.
5

B. Subordinate Activities and Agencies:

(1) The United States International Trade Commission (USITC) is an

independent, nonpartisan, quasi-judicial federal agency. Established by Congress in 1916 as the

U.S. Tariff Commission (the Trade Act of 1974 changed its name to the U.S. International Trade

Commission), the agency has broad investigative powers on matters of trade. The USITC

reviews antidumping and countervailing duties cases that ITA's Import Administration has

investigated.8 If the USITC agrees with the Import Administration that antidumping law has

been violated and the violation will harm U.S. firms, then the Import Administration levies

antidumping duties. The USITC also reviews cases related to countervailing duties. Once again,

if the USITC determines that imports have benefited from subsidies and have or will materially

harm U.S. industry, then the Import Administration imposes countervailing duties on the import.

In addition to its interaction with the Import Administration, the USITC also serves as the

government's think tank on international trade, conducting objective studies on many

international trade matters, including nearly every commodity imported into or exported from the

United States as well as any topic requested by the President, the Senate Committee on Finance,

or the House Committee on Ways and Means. The USITC has an extensive library of

international trade resources called the National Library of International Trade, which is open to

the public during agency hours.9

(2) The Trade Promotion Coordinating Committee (TPCC) provides a

unifying framework to coordinate the export promotion and export financing activities of the

United States government, and also develops a government–wide strategic plan for carrying out

Federal Export Promotion and export financing programs. TPCC members include 19 federal

agencies: the Departments of Commerce (as chair); Agriculture; Defense; Energy; Interior;

Labor; State; Transportation; and Treasury; the Agency for International Development; the

Council of Economic Advisers; the Environmental Protection Agency; the Export-Import Bank;

the Office of Management and Budget; the Overseas Private Investment Corporation; the Small

Business Administration; the Trade and Development Agency; the U.S. Information Agency;

and the U.S. Trade Representative. The TPCC formed working groups to aid in coordinating

trade promotion programs. Thirteen working groups were operating at the end of 1992:

(a) Trade Finance;

(b) Food Production, Machinery, and Processing;

(c) Energy, Environment, and Infrastructure;

(d) Technology and Aerospace;

(e) Services;

 

8 The Antidumping law addresses the unfair practice of selling goods below cost or fair value. If the "dumping" of such goods

causes material harm to U.S. firms then duties may be levied on the imported goods to bring the final price in line with the fair

market price. The Countervailing Duties Law provides for the imposition of countervailing duties on imported goods that have

benefited from subsidies provided by their home governments. These subsidies may have been in the form of grants, tax

credits, or the provision of preferential terms on loans, equity, or goods.

9 ITA Interview.
6

(f) Enterprise for the Americas;

(g) Eastern Europe;

(h) Asia and Pacific;

(i) State and Local;

(j) Minority Business;

(k) U.S. Asia Environmental Partnership;

(l) Russia, Ukraine, and the Newly Independent States; and

(m) Small Business.

3. Vision and Core Competencies.

A. Vision: None published.

B. Core Competencies:10

(1) Promoting U.S. Exports.

(2) Implementing major trade agreements to ensure U.S. firms have equal market

access.

(3) Enforcing antidumping and countervailing duty laws and agreements.

4. Organizational Culture.

A. Values: None published.

B. Leadership Traditions: The Under Secretary for International Trade is nominated by

the President and approved by the Senate. The Deputy Under Secretary of ITA and ITA's four

Assistant Secretaries are also nominated by the President and approved by the Senate.

C. Staff Attributes: Country, industry, and trade policy experts staff the ITA.11

D. Strategy: ITA believes that it must focus on:

(1) Leveraging its country and industry trade experts to promote exports and help

U.S. exporters through U.S. Export Assistance Centers;

 

10 ITA does not list its core competencies. These core competencies are based upon a review of ITA's mission statement and

interviews with ITA staff. www.doc.gov/ita.

11 Interview with ITA staff.
7

(2) Utilizing its trade policy expertise to ensure that U.S. firms have equal access

to foreign markets and to implement major trade agreements such as the General Agreements on

Tariffs and Trade (GATT) and the North America Free Trade Agreement (NAFTA); and

(3) Enabling U.S. businesses to compete against unfairly traded imports by

enforcing antidumping and countervailing duty laws.

E. Organization Chart:

Figure 1: Organization of the International Trade Administration

(1) The Under Secretary of ITA, with assistance from the Deputy Under

Secretary of ITA, oversees all four of ITA's operating units. In addition to ITA's four operating

units, there are a number of offices that provide support functions. These include the Office of

Legislative and Intergovernmental Affairs; the Office of Public Affairs; the Office of Financial

Management; the Office of Information Resources Management; and the Office of Organization

and Management Support. These offices provide information, financial accounting, and

administrative support to the Office of the Under Secretary and ITA's four operating units. ITA's

four operating units are the Import Administration, Trade Development, Market Access and

Compliance, and the Foreign and Commercial Service.

(2) The Import Administration (IA) investigates dumping complaints to

determine whether foreign goods are being sold in the United States at less than fair value and

investigates countervailing duty complaints to determine whether foreign governments are

subsidizing their exports to the United States. IA's subsidies Enforcement Office is responsible

for determining whether foreign governments are subsidizing their exports to the disadvantage of

U.S. exporters selling in third country markets. Once the Import Administration has completed

its investigation, the USITC conducts its own investigation. If the USITC concurs with IA's

findings and determines that the dumped or subsidized import has or may cause material injury

to U.S. firms, then IA levies either antidumping or countervailing duties on the import.

(3) Trade Development (TD) provides industry-specific analysis and advice on

trade and investment issues to the U.S. business community and participates in negotiation and

monitoring of bilateral and multilateral trade agreements. Organized along industry and crosssectoral lines, TD staff counsel U.S. exporters and service providers about marketing their

products abroad, and conduct sector-specific trade missions, literature centers and marketing

Office of the

Assistant

Secretary of US

and Foreign

Commercial

Service

Office of the

Assistant Secretary

of Market Access

and Compliance

Office of the

Assistant

Secretary of

Import

Administration

Office of the

Under Secretary

Office of the

Assistant

Secretary of

Trade

Development
8

seminars. TD staffers also identify market barriers and provide advocacy to help U.S. industry

achieve fair and open access to international markets. TD seeks to ensure the diverse interests of

U.S. industry, especially small and medium-sized companies, are advanced in U.S. trade policy,

promoting strength and growth of the U.S. economy. TD's industry experts are often called upon

by the Office of the United States Trade Representative (USTR) for their analytic support in

preparation for and during international trade negotiations.

(4) Market Access and Compliance (MAC) is the U.S. Government's focal

point for securing greater foreign market access for U.S. companies, especially small and

medium-sized businesses, through elimination of barriers to U.S. exports overseas and by

ensuring compliance with more than 200 trade agreements concluded by the United States.

MAC consists of six regional groups: Africa; the Near East and South Asia; Europe; the Western

Hemisphere; Asia and the Pacific; and Japan. In addition, an Agreements Compliance unit

supports trade policy negotiations. The Agreements Compliance Unit also includes a Trade

Compliance Center. The center monitors, investigates, and evaluates foreign compliance with

international trade agreements and standards of conduct.

(5) The U.S. and Foreign Commercial Service (US&FCS) operates a network

of 100 Export Assistance Centers nationwide and 142 posts abroad. US&FCS administers a

package of 15 export promotion services to help U.S. exporters expand into new and existing

markets. Center trade specialists help companies enter into new markets; give advice on

distribution channels, pricing, and relevant trade shows and missions; and assist with trade

finance programs available through federal, state, and local entities. Commercial officers abroad

promote U.S. exports and interests of American companies in project bidding and trade disputes.

5. Formal National Security Process Involvement. As the lead unit for trade within the

Department of Commerce, ITA supports the National Security Strategy's objectives of enhancing

American competitiveness abroad and access to foreign markets.12 ITA's export promotion

programs provide U.S. industry, policymakers, and negotiators with country and industry

analysis and also provide U.S. exporters with contacts and trade assistance. ITA also ensures

that foreign markets and competitors adhere to bilateral and multilateral trade agreements.

Through monitoring, investigations, the application of antidumping and countervailing duties,

and policy promotion, ITA works to ensure that U.S. exporters are able to secure greater foreign

market access and that foreign firms are not given an unfair advantage due to dumping or

subsidies.

A. Strategy Development: ITA helped develop the Foreign Market Access aspects of

the 1997 National Security Strategy, which calls for "trading partners ... to expand export

opportunities for U.S. workers, farmers, and companies."13

B. Policy, Guidance, and Regulation: ITA administers antidumping and countervailing

duties against unfairly priced imports.

C. Planning: ITA participates in the TPCC and helps develop and implement the

National Export Strategy, which is the government–wide strategic plan for Federal Export

Promotion.

 

12 1997 National Security Strategy, p.14.

13 1997 National Security Strategy p.15.
9

D. Mission Execution: No involvement.

E. Observation, Orientation, and Oversight: ITA monitors market access aspects of

major trade agreements, such as the General Agreement on Tariffs and Trade and the North

American Free Trade Agreement.

F. Preparation: No involvement.

G. Resourcing: ITA plays a role in the resourcing of its own programs, which often

provide U.S. firms with guidance on financing resources.

6. Informal National Security Process Involvement. No evidence of ITA's role in informal

national security processes.

7. Funding and Personnel.

A. Authorization and Appropriations: The relevant authorizing committees are the

House International Relations Committee; the House Ways and Means Committee; the Senate

Finance Committee; and the Senate Banking Committee. The House and Senate Appropriations

Committees have jurisdiction over ITA budgets.14

B. Funding Sources: ITA is funded as an agency within the Commerce Department.

C. Budget: The Fiscal Year 99 budget for ITA was $285 million.

D. Personnel: ITA has 2,548 positions for Fiscal Year 99, and is slated to have 2,684

positions for Fiscal Year 00.

8. Conclusions and Observations. As the lead unit for trade within the Department of

Commerce, ITA supports the National Security Strategy's objectives of enhancing American

competitiveness abroad and access to foreign markets.15 ITA's four divisions work to ensure that

U.S. firms are: granted equal market access under existing trade agreements; protected from

unfairly traded imports; and aided in promoting their exports through Export Assistance Centers

and other ITA programs.

A recent report by the Government Accounting Office (GAO) investigated the efficacy of

the Export Assistance Centers, which bring together the staff and expertise of ITA, the ImportExport Bank, and the Small Business Administration. GAO found that while integrating the

services and staff from these three organizations did benefit U.S. Exporters, there was some

confusion regarding interagency coordination of information. GAO recommended that Export

Assistance Centers develop more integrated performance measures, establish a customer tracking

system that provides information on clients and what services the centers can provide them, and

lastly, GAO recommended that the centers revamp their accounting system to better reflect the

costs of creating and operating the network of Export Assistance Centers.16

 

14 ITA Interview.

15 1997 National Security Strategy, p.14.

16 GAO Testimony, 07/25/96.
ORGANIZATIONAL DESCRIPTION

THE NATIONAL TELECOMMUNICATIONS AND

INFORMATION ADMINISTRATION (NTIA)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

National Telecommunications and Information Administration

Overview.

The National Telecommunications and Information Administration (NTIA), an agency of

the U.S. Department of Commerce, was established in 1978 in response to Executive Order

12046.1 NTIA serves through the Secretary of Commerce as the principal advisor to the

President on domestic and international communications policy. NTIA's primary responsibilities

include:

• Developing policies that promote communications competition for presentation to

Congress and the Federal Communications Commission (FCC);

• Managing use of the radio spectrum;

• Conducting telecommunications research in partnership with business and other

Federal agencies; and

• Awarding grants through the Public Telecommunications Facilities Program and

the National Information Infrastructure initiative.

Organization.

The Assistant Secretary of Commerce carries out NTIA’s mission for Communications

and Information, who administers five major program offices. They are the Institute for

Telecommunications Sciences; International Affairs; Policy Analysis and Development;

Spectrum Management; and the Telecommunications & Information Applications Office. The

Office of the Chief Counsel, Office of Congressional Affairs, and the Office of Public Affairs

support the five program offices. NTIA has 290 full-time equivalents employees and a Fiscal

Year 99 budget of $73 million.2

Role in Formal and Informal National Security Processes.

NTIA supports the National Security Strategy's goals of promoting America's domestic

prosperity, enhancing U.S. competitiveness in and access to foreign markets, protecting the

nations' critical information infrastructure, and planning for emergency preparedness. NTIA

supports these four goals through a variety of research, grant, and policy activities, and also by

serving as the lead agency for information and telecommunications issues within the Critical

Infrastructure Protection Program (CIP).3 NTIA also manages and allocates the federal radio

spectrum, a key resource for U.S. armed forces.

 

1 EO 12046 merged the Commerce Department's office of Telecommunications and the Office of Telecommunications

Policy of the Executive Office of the President. http://204.193.246.62/public.nsf/docs/legislative-history.

2 Department of Commerce Fiscal Year 00 Budget in Brief. www.doc.gov

3 PDD-63 established the Critical Infrastructure Protection Program (CIP). The CIP is tasked to create a National

Infrastructure Assurance Plan that will defend critical infrastructures from physical and cyber attack. Fiscal Year 00

Budget in Brief. www.doc.gov
3

Conclusions and Observations.

NTIA is the Executive Branch agency responsible for domestic and international

telecommunications and information policy issues. In this role NTIA supports the National

Security Strategy goals. NTIA supports these goals through its telecommunications research and

development efforts; policy advocacy and participation in international negotiations; serving as

the lead agency for information and telecommunications for the CIP; and by managing the

federal radio spectrum and making plans for spectrum use during peacetime and wartime.

The use of the federal radio spectrum is an important National Security issue. As

telecommunications and information technology advances, the demands for spectrum will

increase. Currently, the U.S. military's spectrum needs are not fully being met. These needs will

increase as U.S. operations increasingly utilize advanced telecommunications technology. NTIA

plays an important supporting role in the National Security Process as the manager of the federal

radio spectrum.
4

ORGANIZATIONAL DESCRIPTION

NATIONAL TELECOMMUNICATIONS AND INFORMATION ADMINISTRATION

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive:

(1) Executive Order 12046, signed March 27, 1978, established the National

Telecommunications and Information Administration (NTIA). EO 12046 merged the

Department of Commerce's Office of Telecommunications and the Office of

Telecommunications Policy of the Executive Office of the President.4

(2) Federal Technology Transfer Act of 1986 provides NTIA the authority to

enter into cooperative research agreements with other federal agencies, state and local

governments, and the private sector. These agreements help commercialize advanced

technologies and aid U.S. firms. As a result, NTIA is able to promote availability and use of

advanced telecommunications technology.

B. Department/Agency Directives: None available.

C. Interagency Directives: PDD 63 established the interagency Critical Infrastructure

Protection Program (CIP).5 NTIA is the lead agency for the information and communications

sector for the CIP and furthers CIP's objectives through telecommunications research and policy

recommendations.

2. Missions/Functions/Purposes

A. Major Responsibilities: EO 12046 outlines the following responsibilities for NTIA.6

(1) Assign frequencies to radio stations owned and operated by the United States.

(2) Perform analysis, engineering, and administrative functions, including the

maintenance of necessary files and databases, as necessary in the performance of assigned

responsibilities for the management of electromagnetic spectrum.

(3) Conduct research and analysis of electromagnetic propagation, radio systems

characteristics, and operating techniques affecting the utilization of the electromagnetic spectrum

in coordination with specialized, related research and analysis performed by other Federal

agencies in their areas of responsibility.

 

4 Executive Order 12046. http://www.nara.gov/fedreg/eos/e12046.html.

5 A National Coordinator who is a member of the NSC staff heads the CIP. The National Coordinator, with support from

other agencies, is responsible for the creation of a National Infrastructure Assurance Plan (NIAP) over the next three

years. The NIAP's goal is to help defend critical infrastructure against physical and cyber attacks. Critical

Infrastructures are those physical entities and cyber based systems that are essential to the minimum operations of the

economy and government. They include telecommunications, energy, banking, and finance, transportation, water

systems and emergency services. See the Department of Commerce Budget in Brief Fiscal Year00. www.doc.gov.

6 Executive Order 12046. http://www.nara.gov/fedreg/eos/e12046.html.
5

(4) Conduct research and analysis in the general field of telecommunications

sciences in support of assigned functions and in support of other Government agencies.

(5) Serve as the President's principal advisor on telecommunications policies

pertaining to the Nation's economic and technological advancement and to the regulations of the

telecommunications industry.

(6) Aid in the planning and development of the commercial communications

satellite system and aid in the execution of a national program for the operation of such a system.

Conduct a continuous review of all phases of the development and operation of such a system.7

(7) Coordinate, in consultation with the Secretary of State, the activities of

governmental agencies with responsibilities in the field of telecommunications.

(8) Make recommendations to the President and others as appropriate, with

respect to all steps necessary to insure the availability and appropriate utilization of the

communications satellite system for general government purposes.

(9) Help attain coordinated and efficient use of the electromagnetic spectrum and

the technical compatibility of the communications satellite system with existing communications

facilities, both in the United States and abroad.

(11) Conduct studies and evaluations concerning telecommunications research

and development, and concerning the initiation, improvement, expansion, testing, operation, and

use of Federal telecommunications systems. Advise appropriate agencies, including the Office

of Management and Budget, of the recommendations that result from such studies and

evaluations.

(12) Develop and set forth, in coordination with the Secretary of State and other

interested agencies, plans, policies, and programs which relate to international

telecommunications issues, conferences, and negotiations. The Department of Commerce shall

coordinate economic, technical, operational and related preparations for U.S. participation in

international telecommunications conferences and negotiations. The Secretary of Commerce

with the assistance of NTIA shall provide advice and assistance to the Secretary of State on

international telecommunications policies to strengthen the position and serve the best interests

of the United States, in support of the Secretary of State's responsibility for the conduct of

foreign affairs.

(13) Coordinate the telecommunications activities of the Executive Branch, and

assist in the formulation of policies and standards for those activities, including but not limited to

considerations of interoperability, privacy, security, spectrum use, and emergency readiness.

 

7 NTIA has been working with the Departments of State and the FCC to privatize the two international governmental

satellite communications entities Intelsat and Inmarsat (the ISOs). The move to privatize these two international

governmental entities is based on the belief that U.S. satellite service providers are currently at a disadvantage against

foreign competitors. Privatization should level the playing field and enable U.S. satellite providers to better secure

market access. NTIA Annual Report Fiscal Year 1998.
6

(14) Develop and set forth telecommunications policies pertaining to the Nation's

economic and technological advancement and to the regulation of the telecommunications

industry.

(15) Ensure that the Executive Branch views on telecommunications matters are

effectively presented to the Federal Communications Commission and, in coordination with the

Director of the Office of Management and Budget, to the Congress.

(16) Develop, in cooperation with the Federal Communications Commission, a

comprehensive long-range plan for improved management of all electromagnetic spectrum

resources.

(17) Conduct studies and make recommendations concerning the impact of the

convergence of computer and communications technology.

(18) Conduct and coordinate economic and technical analyses of

telecommunications policies, activities, and opportunities in support of assigned responsibilities.

(19) Continue the Interdepartmental Radio Advisory Committee, which shall

serve in an advisory capacity to the Assistant Secretary.

B. Subordinate Activities and Agencies:

(1) The Interdepartmental Radio Advisory Committee (IRAC) works with the

Assistant Secretary and the Office of Spectrum management to help assign frequencies to U.S.

Government radio stations. IRAC also aids the Assistant Secretary and the Office of Spectrum

Management in developing and executing policies and programs relating to the allocation,

management, and use of the federal radio spectrum.

There are 22 U.S. agencies and/or departments represented at IRAC. They are

NTIA (which serves as both Chair and Executive Secretary), the National Science Foundation,

NASA, the Interior Department, the Justice Department, the Treasury Department, the Air Force,

the Coast Guard, the Federal Aviation Administration, the Health and Human Services, the FCC,

the Navy, the Agriculture Department, the Army, the Energy Department, the State Department,

the Federal Emergency Management Agency (FEMA), the General Services Administration, the

U.S. Postal Service, the United States Information Agency, the Commerce Department, and the

Veterans Administration.

IRAC consists of a main committee and four subcommittees. In addition to these

committees, there is the International Notification Group (ING), which notifies the International

Telecommunication Union (ITU) about frequency assignments. [The ITU is a civil international

organization established to promote standardized telecommunications on a worldwide basis.

ITU is recognized by the United Nations as a specialized telecommunications agency.] IRAC

also has 12 ad hoc working groups that consider various aspects of spectrum management

policy.8

 

8 http://www.its.bldrdoc.gov
7

3. Vision and Core Competencies:

A. Vision: NTIA's Vision Statement:

"NTIA envisions a world where telecommunications and information technologies are

used to protect and improve the global quality of life."9

B. Core Competencies:10

(1) Policy advocacy;

(2) Radio spectrum management;

(3) Telecommunications and Information Technology research; and

(4) Development and protection of Critical Information Infrastructure.

4. Organizational Culture.

A. Values: None published.

B. Leadership Traditions: The Assistant Secretary of NTIA is nominated by the

President and confirmed by the Senate. The Deputy Assistant Secretary, who is appointed by the

President, aids the Assistant Secretary. (Currently the Office of the Deputy Assistant Secretary

of NTIA is vacant.) NTIA's eight sub-offices are each headed by a Director. The Directorships

are traditionally a mixture of political appointments and civil service positions. Currently all

eight NTIA sub-office Directors are career civil servant.11

C. Staff Attributes: NTIA is staffed by individuals with technical expertise.12

D. Strategy: According to NTIA's mission statement, NTIA was established to:

"Promote the efficient and effective use of telecommunications and information resources in a

manner that creates job opportunities, enhances U.S. competitiveness, and raises the standard of

living."13 NTIA identifies four major goals in support of its mission.

(1) Promote open markets and encourage competition;

(2) Ensure that the radio spectrum provides the greatest benefit to all people;

(3) Advance the public interest in telecommunications, mass media, and

information; and

 

9 NTIA Annual Report. www.ntia.doc.gov

10 NTIA does not list its core competencies, but its annual report focuses on these four functions. www.ntia.doc.gov

11 Interview with NTIA's Office of Public Affairs, 10/19/99.

12 NTIA Annual Report. www.ntia.doc.gov.

13 NTIA mission statement. www.ntia.gov.
8

(4) Promote the availability and sources of advanced telecommunications and

information services.

E. Organization:14

Figure 1: Organization of National Telecommunications and Information Administration

(1) The Office of the Assistant Secretary, along with the Deputy Assistant

Secretary, oversees NTIA's five program offices. The Office of the Chief Counsel, Office of

Congressional Affairs, and the Office of Public Affairs support program activities.

(2) The Office of the Director of Policy Coordination and Management

(OPCM) works with the Assistant Secretary and Deputy Assistant Secretary to manage NTIA's

strategic planning process. NTIA's strategic plan brings the Directors of each office together

with the Assistant Secretary and Deputy Assistant Secretary every week in an Executive

Committee. The Executive Committee works to ensure that NTIA's macro level policies are

being pursued, and provides strategic guidance to the program offices. OPCM also coordinates

weekly meetings with other senior staff and is responsible for ensuring that policy positions and

program decisions are in synchronization with one another. Program offices implement

decisions made at the Executive Committee.

 

14 National Telecommunications and Information Administration Strategic Plan. www.doc.gov

Office of the Assistant Secretary

------------------------------------------------------

Office of the Deputy Assistant Secretary

Office of

Chief

Council

Office of the

Director of

Congressional

Affairs

Office of the

Director of

Policy

Coordination

and

Management

Institute for

Telecommunications

Sciences Office

Office of the

Director of

Policy

Analysis and

Development

Office of the

Director of

Spectrum

Management

Office of the Director

of

Telecommunications

& Information

Applications

Office of the

Director of

International

Affairs

Office of the

Director of

Public

Affairs
9

(3) The Office of the Chief Counsel (OCC) provides legal advice to all

components of NTIA with regard to the powers, duties, and responsibilities of NTIA and its

relationship with other government agencies (particularly, the Federal Communications

Commission), Congress, business, industry, and private organizations; and the development and

administration of NTIA policies and programs. OCC prepares and/or reviews NTIA's legislative

proposals and Congressional testimony. OCC also prepares and/or reviews NTIA's proposals

and comments to regulatory agencies such as the Federal Communications Commission (FCC).

These activities are carried out subject to the overall authority of the Department's General

Counsel.

(4) The Office of the Director of Congressional Affairs (OCA) is responsible

for communicating NTIA's position on pending legislation to Congressional committees and

regulatory agencies in conjunction with the Office of the Chief Council. OCA supports NTIA's

five program offices.

(5) The Office of the Director of Public Affairs (OPA) supports NTIA's five

program offices by publicizing policy positions to consumers, other government agencies, and

industry.

(6) The Institute for Telecommunication Sciences (ITS) is the chief research

and engineering arm of NTIA, and supports the promotion of advanced telecommunications and

information infrastructure development in the United States, enhancement of domestic

competitiveness, improvement of foreign trade opportunities for U.S. telecommunications firms,

and facilitation of more efficient and effective use of the radio spectrum. ITS also serves as a

principal Federal resource for solving the telecommunications concerns of other Federal

agencies, state and local Governments, private corporations and associations, and international

organizations. ITS has also entered into a number of cooperative research agreements with

industry and other agencies (based upon the Federal Technology Transfer Act of 1986) to help

commercialize new products and services.

(7) The Office of the Director of International Affairs (OIA) acts as an

advocate of U.S. commercial interests overseas. OIA advocates Executive Branch policy

perspectives in bilateral and multilateral consultations with foreign governments, in international

regulatory conferences, and in other forums dealing with Global Information Infrastructure

issues. OIA advocates telecommunications and information standards; regulations governing the

international use of the radio frequency spectrum; regulatory policies pertaining to the provision

of information and telecommunications services both within and between U.S. and foreign

markets; and the deployment of new technologies in foreign markets. OIA also helps NTIA

champion greater foreign market access, by advocating competition and liberalization of

telecommunications and information technology policies around the world; participating in

international government-to-government negotiations to open markets for U.S. companies; and

negotiating with foreign governments to ensure that there is adequate radio spectrum for national

defense, public safety, and U.S. business needs. OIA also provides information to the general

public on a wide variety of telecommunications and information policy subjects.

(8) The Office of the Director of Policy Analysis and Development supports

NTIA's role as principal adviser to the President on telecommunications and information

policies. Its goal is to enhance the public interest by generating, articulating, and advocating
10

policies and programs in the telecommunications and information sectors that enhance service,

competition, consumer welfare, and economic and social opportunities.

(9) The Office of the Director of Spectrum Management (OSM) is responsible

for managing the Federal Government's use of the radio frequency spectrum. In doing so, it

receives assistance and advice from IRAC. OSM carries out this responsibility by establishing

policy regarding the allocation and regulation of the Federal spectrum; developing plans for

peacetime and wartime use of the spectrum; preparing for and participating in international radio

conferences, and implementing the results; assigning frequencies; maintaining spectrum use

databases; reviewing Federal agencies' new telecommunications systems and certifying that

spectrum will be available for them; providing the technical engineering expertise and the

automated computer capabilities needed to perform spectrum resources assessments;

participating in all aspects of the Federal Government's communications emergency readiness

activities; and participating in Federal Government telecommunications and automated

information systems security activities.

(10) Office of the Director of Telecommunications and Information

Applications (OTIA) assists state and local governments, education and health care entities,

libraries, and public service agencies in effectively using telecommunications and information

technologies. This is accomplished through the administration of the Public

Telecommunications Facilities Program (PTFP) and the Telecommunications and Information

Infrastructure Assistance Program (TIIAP).

PTFP provides matching grants to public (non-commercial) broadcast stations,

educational and cultural non-profit organizations, and State and local governments for equipment

that disseminates educational and cultural programs to the American public. PTFP extends the

delivery of public radio and television to unserved areas of the United States. Its funds are also

allocated to support the Pan-Pacific Educational and Cultural Experiments by Satellite

(PEACESAT) project, which provides satellite-delivered education, medical, and environmental

emergency telecommunications to many small-island nations and territories in the Pacific Ocean.

TIIAP promotes the widespread use of advanced telecommunications and information

technologies in the public and non-profit sectors. The program provides matching grants to state

and local governments, health care providers, school districts, libraries, social service

organizations, public safety services, and other non-profit entities to help them develop

information infrastructures and services that are accessible to all citizens, in rural as well as

urban areas. The program was specifically created to support the development of the National

Information Infrastructure.

5. Formal National Security Process Involvement. As the agency within the Executive

Branch responsible for information and telecommunications policy, NTIA oversees the

formulation and implementation of the activities and policies called for in the National Security

Strategy. This includes enhancing American competitiveness abroad through the advocacy of

open foreign markets for information and telecommunications; managing the electromagnetic

spectrum so that national defense and emergency preparedness needs are met, along with those

of industry and consumers; promoting America's domestic prosperity through cooperative

research agreements with industry and advocating pro-competitive policies; and serving as the

lead agency for information and telecommunications issues for the CIP.
11

A. Strategy Development: NTIA is the lead agency for telecommunications and

information technology for the CIP and assists the National Director of the CIP in creating the

National Infrastructure Assurance Plan for critical infrastructure protection. NTIA also supports

Emergency Preparedness Planning through its wartime plans for use of the federal radio

spectrum.

B. Policy, Guidance, and Regulation: NTIA coordinates Federal Government use of

the radio spectrum with IRAC and coordinates Federal Government policies regarding spectrum

use with the FCC. NTIA coordinates policies regarding planning, emergency operations, and

international coordination of government satellite systems. NTIA also manages the Federal

radio spectrum for national defense, public safety, air traffic control, and other critical

government functions.

C. Planning: NTIA produces plans for the wartime use of the Federal radio spectrum

and also works to ensure that adequate spectrum is allocated for national defense purposes.

D. Mission Execution: No involvement.

E. Observation, Orientation, and Oversight: NTIA has oversight responsibilities with

regard to managing the federal radio spectrum.

F. Preparation: No involvement.

G. Resourcing: NTIA is responsible for resourcing its own programs and also provides

funding for national information infrastructure development through the TIIAP program. NTIA

also provides research grants that support the commercialization of emerging

telecommunications technology.

6. Informal National Security Process Involvement. There is no evidence of NTIA's role in

informal national security processes.

7. Funding and Personnel.

A. Authorization and Appropriations: The relevant authorizing committees are the

House Judiciary Committee; the House Commerce Subcommittee on Telecom and Finance; the

House Budget Committee; House Commerce Subcommittee on Commerce, Justice, State, and

the Judiciary; the Senate Committee on Commerce, Science, and Transportation; the Senate

Government Affairs Committee; the Senate Budget Committee; and the Senate Finance

Committee. The Senate Appropriations Committee, and House Appropriations Committee have

jurisdiction over NTIA budgets.15

B. Funding Sources: NTIA is funded as an agency of the Department of Commerce.

C. Budget: The Fiscal Year 99 Budget for NTIA was $73 million.16

D. Personnel: NTIA has 290 full-time equivalents employees.17

 

15 http://thomas.loc.gov

16 Department of Commerce Budget in Brief. www.doc.gov
12

8. Conclusions and Observations. NTIA is the Executive Branch agency responsible for

domestic and international telecommunications and information policy issues. In this role NTIA

supports four goals outlined in the National Security Strategy. They are: promoting America's

domestic prosperity, enhancing American competitiveness in and access to foreign markets,

protecting critical national information infrastructure, and enhancing National Security

Emergency Preparedness. NTIA supports these goals through its telecommunications research

and development efforts; policy advocacy and participation in international negotiations; serving

as the lead agency for information and telecommunications for the CIP; and by managing the

federal radio spectrum and making plans for spectrum use during peacetime and wartime.

The key issue facing IRAC, NTIA and the Federal Communications Commission (FCC)

is scarcity of spectrum. As technology has advanced, the need for bandwidth has increased. As

a result, there is a growing conflict between allocating spectrum for national defense and

allocating spectrum for commercial needs. Federal agencies involved in National Security, such

as the armed services, are unable to obtain the amount of spectrum they need without adversely

affecting the amount of spectrum available for commercial interests. NTIA, with the advice of

IRAC is the agency in charge of allocating and managing the federal radio spectrum.18

 17 Department of Commerce Budget in Brief. www.doc.gov

18 NTIA Annual Report. www.ntia.doc.gov
ORGANIZATIONAL DESCRIPTION

THE TECHNOLOGY ADMINISTRATION (TA)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Technology Administration

Overview.

Congress established the Technology Administration (TA), an agency of the Department

of Commerce, in 1988 in accordance with title 15 U.S.C., Section 3704, to promote the Nation's

economic competitiveness.1 TA's programs, policies, and research focus on:

• Developing advanced technologies in partnership with the private sector;

• Rapidly deploying and commercializing new technology;

• Building a technology infrastructure for the 21st century; and

• Leading government and industry initiatives aimed at improving U.S. technological

competitiveness.

Organization.

The acting Under Secretary for Technology, supported by the Deputy Undersecretary for

Technology, oversees TA's three agencies:

• The Office of Technology Policy (OTP);

• The National Institute of Standards and Technology (NIST); and

• The National Technical Information Service (NTIS).

OTP focuses on coordinating a national technology policy that promotes innovation and

industrial competitiveness. It works directly for the Deputy Under Secretary. NIST is headed by

a director and works with industry to promote U.S. economic growth by developing and applying

technology, measurements, and standards. NTIS is also headed by a director and is the U.S.

government repository for research and development results.

TA is authorized an end strength of 3,671 people for fiscal year 1999, with a fiscal year

1999 budget of $672.64 million.2

Role in Formal and Informal National Security Process.

The TA supports the economic competitiveness goals and objectives of the National

Security Strategy. Through its policy advocacy, research and development grants, and work with

industry, the TA encourages the "development, commercialization and use of civilian

technology," which enhances America's competitiveness.3 TA's policies and programs also

 

1 Department of Commerce Fiscal Year2000 Budget in Brief. www.doc.gov

2 Department of Commerce Budget in Brief. www.doc.gov

3 The White House. A National Security Strategy for a New Century, May 1997, p.15.
3

focus on building a technology infrastructure for the 21st Century, another goal outlined in the

National Security Strategy.

Conclusions and Observations.

The Technology Administration serves as the lead agency for civilian technology, and

works closely with U.S. industry to promote the nation's economic competitiveness. In this role,

TA supports the National Security Strategy's goals of enhancing U.S. competitiveness and

helping build an infrastructure for the 21st Century. TA supports these goals through: annual

industry benchmarking and assessment studies; advocacy of government-industry partnerships;

development and advocacy of pro-technology policy; support of international technology

commercialization initiatives with Israel, Egypt, Russia, and South Africa; research and

development partnerships with industry; and the maintenance of an extensive technical,

engineering, and business information database.
4

ORGANIZATIONAL DESCRIPTION

TECHNOLOGY ADMINISTRATION

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive: Title 15, Sec. 3704 of the U.S.C. established the Technology

Administration within the Department of Commerce to promote the Nation's economic

competitiveness.4

B. Department/Agency Directives: None available.

2. Missions/Functions/Purposes.

A. Major Responsibilities: The TA is the "primary agency within the Federal

Government that works in partnership with the private sector to improve U.S. industrial

competitiveness and to exercise leadership as the private sector's advocate."5

(1) In support of this mission TA has identified the following four goals:6

(a) Develop advanced technologies in partnership with the private sector.

(b) Partner with industry to rapidly commercialize and deploy new

technologies.

(c) Help build a technology infrastructure for the 21st century.

(d) Advocate and lead government and private initiatives aimed at

improving the U.S. technological competitiveness.

(2) The Office of the Under Secretary for TA also:

(a) Works to accelerate the direct participation of all U.S. businesses in

electronic commerce.

(b) Leads the Federal government's participation with U.S. automobile

manufacturers in the Partnership for a New Generation of Vehicles (PNGV). This partnership is

a ten-year technical collaboration aimed at achieving improvements in emissions, fuel-efficiency,

and safety.

(c) Promotes policies that foster the growth and international

competitiveness of U.S. commercial space sector through the Office of Space Commercialization

(OSC). OSC also promotes the commercial use of space by U.S. private industry.7

 

4 Legislative History. www.doc.gov.

5 Department of Commerce Fiscal Year 00 Budget. www.doc.gov.

6 Department of Commerce Overview of DOC Bureaus www.doc.gov.

7 The OSC is part of the Office of the Under Secretary of Technology Administration.
5

(d) Chairs an interagency state-federal working group, whose efforts

include working to remove regulatory barriers to new technology and developing an

Experimental Program to Stimulate Competitive Technology (EPSCoT) in rural areas and states

that traditionally receive less Federal research funding.

(e) Serves on the Executive Board of the Committee on Technology, part

of the President's National Science and Technology Council (NSTC). NSTC links industry's

needs and government technology efforts in electronics, manufacturing, materials, environmental

technologies, and building and construction. The Under Secretary is also a principal on the

NSTC Committee on National Security.

(f) Co-chairs the Advisory Panel to the U.S.-Israel Science and

Technology Commission (USISTC). The Commission promotes cooperation between the high

tech sectors in the United States and Israel to create jobs and stimulate economic growth in both

countries through the awarding of grants.

(g) Leads the technology initiative with the U.S.-Egypt Partnership for

Economic Growth. The U.S.-Egypt Partnership promotes the privatization of technological

research and development in Egypt. The Partnership's efforts thus far have focused on

conducting workshops in both Egypt and the United States aimed at facilitating cooperation

between the members of both governments, academia, and private sector firms engaged in

science and technology. The workshops have focused on environmentally friendly

manufacturing, standards, and biotechnology.8

(h) Leads the U.S.-Northern Ireland technology cooperation initiative.

The initiative works to bring job opportunities and economic growth to Northern Ireland in an

effort to ensure a lasting peace. The TA informs U.S. firms of the joint venture opportunities

available in Ireland.

(i) Participates in the technology initiative with the U.S.-South Africa

Binational Commission. The initiative fosters the growth of new technologies within South

Africa's commercial sector and also works to help South Africa build its overall commercial

infrastructure. The initiative focuses on joint venture projects between U.S. and South African

firms and encouraging the exchange of commercial technology and scientists.9

(j) Leads the U.S.-Russian Joint Commission on Economic and

Technological Cooperation. The Joint Commission is working with U.S. firms to better

commercialize Russian technologies. The TA and the White House Office of Science and

Technology have been leading efforts to better understand the opportunities and impediments

facing U.S. firms interested in commercializing Russian technology. TA issued a report in

September 1996 that identified impediments facing U.S. firms. This report was followed by a

White Paper in February of 1997 that identifies options for improving the opportunities available

to U.S. firms. TA's research and recommendations are based on consultations with U.S. business

people and scientists who have been working to commercialize Russian technology and more

limited consultations with Russian scientists, government officials, and business people.10

 

8 http://www.ta.doc.gov/egypt/sta.htm.

9 http://www.usia.gov/regional/bnc/usafrica/st.htm.

10 http://www.ta.doc.gov/nis/gccpage.htm
6

(k) Oversees the Commerce, Science, and Technology Fellowship

(ComSci) Program, which provides senior-level executive branch employees (G-12, G-13, G-14,

SES) with an opportunity to study national and international issues relating to the development,

application, and management of science and technology.

B. Subordinate Activities and Agencies: None.

3. Vision and Core Competencies:

A. Vision: None published.

B. Core Competencies:11

(1) Development of advanced technology;

(2) Policy analysis and private sector advocacy; and

(3) Technological research and development grants.

4. Organizational Culture.

A. Values: None published.

B. Leadership Traditions: TA is headed by an Under Secretary, who is nominated by

the President and confirmed by the Senate. The Under Secretary is assisted by a Deputy Under

Secretary, who is appointed by the President. The National Institute of Standards and

Technology (NIST) and the National Technical Information Service (NTIS) are headed by

Directors who are career civil servants. The Office of Technology Policy (OTP) is headed by an

Assistant Secretary who is nominated by the President and confirmed by the Senate.12

C. Staff Attributes: TA staff have both policy and technical expertise.13

D. Strategy: TA's strategy for improving U.S. industrial competitiveness focuses on

advocating and developing partnerships with the private sector. TA's approach has been to treat

the private sector as both a partner and a client. The resulting strategy is one that fosters a close

relationship between industry and the Technology Administration. This leading role is

evidenced by the Under Secretary's extensive leadership role in various technology partnerships

with other nations.14 For example, since 1996 the Office of the Under Secretary has worked

with the Office of Science and Technology Policy in the White House to identify opportunities

for U.S. firms to commercialize Russian technology. These efforts are a result of the U.S.-

Russian Joint Commission on Economic and Technological Cooperation. These initiatives have

identified opportunities for U.S. firms and also outlined potential impediments. The Under

 

11 TA does not list its core competencies, but an extensive literature review suggests that the three listed core competencies are

accurate. www.ta.doc.gov

12 Interview with TA Public Affairs. 10/19/99

13 TA does not explicitly list the qualification for its staff, but an extensive literature review indicated that both policy and

technical expertise were valued.

14 www.ta.doc.gov.
7

Secretary's Office has consulted with a wide range of agencies and firms in this and other

technology initiatives in an effort to aid U.S. industry.15

E. Organization:16

Figure 1: Organization of Technology Administration

(1) The Acting Under Secretary for Technology supported by the Deputy

Undersecretary for Technology manages the Office of Space Commercialization and the

Technology Administration's (TA) three agencies: The Office of Technology Policy (OTP), The

National Institute of Standards and Technology (NIST), and The National Technical Information

Service (NTIS).17

(2) The Office of the Director of Space Commercialization (OSC) represents

the Department of Commerce at inter-agency space policy meetings and international space

policy negotiations. OSC gathers and integrates input from other Commerce agencies, such as

the International Trade Administration and the Bureau of Export Administration for presentation

at these meetings and negotiations. The primary agencies with which OSC interacts are the

Departments of Defense, State, NASA, the National Reconnaissance Office, and the Federal

Aviation Administration. There are six main issues that OSC deals with in inter-agency

meetings and international negotiations. They are satellite remote sensing, geographic

information systems, global positioning systems, space transportation, space based

communications, and space based manufacturing. OSC serves as an advocate for U.S. industry

on all of the above six issues.18

(3) The Office of the Assistant Secretary of Technology Policy (OTP) works

with industry to promote industry competitiveness and advocates integrated policies that

maximize technology's contribution to U.S. economic growth. To achieve these goals OTP:

 

15 The U.S.-Russian Joint Commission on Economic and Technological Cooperation is one of five technology initiatives in

which the TA participates. The initiatives are identified in section2a. www.ta.doc.gov.

16 www.ta.doc.gov.

17 OSC's duties are identified in paragraph 2a.

18 Interview with OSC Office of Public Affairs. 10/20/99.

Office of the Under Secretary

----------------------------------------

Office of the Deputy Under

Secretary

----------------------------------------

Office of Space Commercialization

Office of the Director of the

National Institute of

Standards and Technology

Office of the Director of the

National Technical

Information Service

Office of the Assistant

Secretary of Technology

Policy
8

(a) Publishes the "Meeting the Challenge Report," which provides

Congress and industry strategic assessments of the U.S. manufacturing base.19 These reports

inform Congress and industry how well U.S. industry is competing against foreign firms. The

report also benchmarks the progress of certain industries over time. The industries that are

studied in the report vary from year to year. Recent reports have focused on the U.S. steel

industry, the U.S. biotechnology industry, and the U.S. automobile industry. OTP's goal is to

shape a regulatory environment that promotes the rapid application of advanced technologies.20

(b) Through government-industry partnerships OTP serves as an advocate

for U.S. industry and technology.21 OTP's role is often one of information gathering and

facilitation. For example, recently a number of U.S. firms informed OPT that they were having

trouble finding qualified technology workers. OTP gathered more information from these firms

and then formed a direct partnership with Women in Film, a non-profit group. The result was a

public information campaign aimed at getting more young people interested in technology by

focusing on how vital technology is to movies.

(c) OTP administers the Asia Pacific Technology Programs that facilitate

access to foreign science and technology developments. OTP also advocates pro-industry

positions (through these programs) in the development of international science and technology

policies, in international negotiations, and in other science and technology forums.

(4) The Office of the Director of the National Institute of Standards and

Technology (NIST) promotes economic growth by working with industry to develop and apply

technology, measurements, and standards. NIST has four core programs that it administers in

support of its mission. They are:

(a) The Measurement and Standards Laboratories that provide

technical leadership for components of the nation's technology infrastructure needed by U.S.

industry. The labs work on improving measurements and standards that improve the safety,

longevity, or utility of certain technologies. NIST laboratories specialize in electronics and

electrical engineering, manufacturing engineering, chemical science and technology, physics,

materials science and engineering, building and fire research and information technology.

(b) The Advanced Technology Program (ATP), which provides costshared funding to industry to mitigate the risk associated with some research and development

projects. Projects must have the potential to spark broad-based economic benefits for the United

States. ATP funding accelerates, and in some cases enables, important R&D projects that

industry otherwise would not undertake because of the technical risks involved.

(c) The Manufacturing Extension Centers (MEC) offer technical

assistance and the latest business practices to help the nation's smaller manufacturers improve

their competitiveness. There are more than 400 manufacturing extension centers, and field

offices located in all 50 states and Puerto Rico offer services ranging from process improvements

 

19 The timetable for the reports vary, but OTP indicated that they published one to two "Meeting the Challenge Reports" a year.

Interview with OTP's Office of Public Affairs. 10/19/99.

20 OTP Office of Public Affairs.

21 OTP Office of Public Affairs.
9

and worker training to business practices and applications of information technology. Each MEP

is locally managed.

(d) The National Quality Program manages the Malcolm Baldrige

National Quality Award.22

(5) The Office of the Director of the National Technical Information Service

(NTIS) is the federal government's central source for the sale of unclassified scientific,

engineering, technical, and related business information produced by or for the U.S. government

and complementary material from international sources. NTIS gathers this information from:

(a) Government agencies;

(b) Individuals;

(c) International organizations in Japan, Canada, the former Soviet Union,

and Eastern Europe; and

(d) The private sector.

All of the information gathered by NTIS is publicly available, but NTIS is the only

central source. NTIS' collection of nearly 3 million titles includes:

(a) Business and management studies;

(b) International marketing reports;

(c) Materials and chemical science data;

(d) Technology innovations; and

(e) Training tools.

Recent NTIS products include: a book on the state of nuclear waste management in the

former Soviet Union; a CD-ROM that outlines manufacturing market conditions and

opportunities for U.S. firms in the EU and Eastern Europe; and a web site with reports on school

and workplace violence and prevention strategies. NTIS' resources are used by U.S. industry,

government, and non-profit organizations to enhance their competitiveness and increase their

information base. NTIS has also developed an on-line information system known as Fed World.

Fed World can be accessed at http://www.fedworld.gov/. All costs associated with operating

NTIS are paid for with the revenue generated by its products.23

5. Formal National Security Process Involvement. TA helps to support and implement the

strategies and goals called for in the National Security Strategy. Through its policy advocacy,

research and development of partnerships and its work on developing a technological

 

22 According to TA, the award was first presented in 1988 and has become "the nation's premier award for business

performance excellence and quality achievement." www.ta.doc.gov.

23 Interview with TA Public Affairs, 10/19/99 and www.fedworld.gov.
10

infrastructure for the 21st Century, the Technology Administration enhances American

competitiveness and prosperity.

A. Strategy Development: TA helped develop the commercial technology aspects of the

1999 National Security Strategy, which calls for encouraging the "development,

commercialization and use of civilian technology."24

B. Policy, Guidance and Regulation: No involvement.

C. Planning: No involvement.

D. Mission Execution: No involvement.

E. Observation, Orientation, and Oversight: While TA does not have any explicit

oversight authority, it's "Meeting the Challenge" reports provide detailed assessments of key

industrial sectors to both Congress and the private sector.

F. Preparation: No involvement

G. Resourcing: TA is responsible for resourcing its own programs, and it also provides

funding for the Advanced Technology Program, which makes cost-shared research opportunities

available to industry.

6. Informal National Security Process Involvement. There is no evidence of TA's informal

national security processes.

7. Funding and Personnel:

A. Authorization and Appropriations: The relevant authorizing committees are the

House Commerce Committee; House Commerce Subcommittee on Telecom, Trade and

Consumer Protection; House Commerce Subcommittee on Commerce, Justice, State, and the

Judiciary; the House Science Committee; the House Subcommittee on Technology; and the

Senate Committee on Commerce, Science, and Transportation. The Senate Appropriations

Committee and House Appropriations Committee have jurisdiction over TA budgets.25

B. Funding Sources: TA is funded as an agency of the Department of Commerce.26

C. Budget: The fiscal year 1999 Budget for Technology Administration was $672.64

million.27

D. Personnel: Technology Administration has 3,671 positions for fiscal year 1999, and

is slated to have 3,598 positions for fiscal year 2000.28

 

24 1997 National Security Strategy, p.15.

25 http://thomas.loc.gov

26 Fiscal Year2000 Budget in Brief.

27 Fiscal Year2000 Budget in Brief.

28 Fiscal Year2000 Budget in Brief.
11

8. Conclusions and Observations. The Technology Administration is the executive branch

agency responsible for facilitating commercial technology development, and as such works

closely with industry to promote the Nation's economic competitiveness. In this role TA

supports the National Security Strategy's goals of enhancing U.S. competitiveness and helping

build an infrastructure for the 21st century. TA supports these goals through: industry

benchmarking and assessment studies; advocacy of government-industry partnerships;

development and advocacy of pro-technology policy; support of international technology

commercialization initiatives with Israel, Egypt, Russia, and South Africa; research and

development partnerships with industry; and the maintenance of an extensive database of

technical, engineering, and business reports.
ORGANIZATIONAL DESCRIPTION

DEPARTMENT OF ENERGY (DoE)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Department of Energy (DoE)

Overview.

The Department of Energy's (DoE) overall mission is to foster a secure, reliable, and

environmentally sustainable energy system; to act as the steward of the nation's nuclear weapons;

to clean up the nation's nuclear power and waste facilities; and to support continued U.S.

leadership in science and technology. DoE responsibilities encompass four major areas:

National Security; Science & Technology; Energy Security; and Environmental Quality. The

Department's national security duties include:

• Maintaining the safety, security and reliability of the U.S. nuclear weapons stockpile

through the Stockpile Stewardship Program (SSP);

• Providing policy and technical assistance to prevent global proliferation of weapons

of mass destruction (WMD), emphasizing U.S. nonproliferation, arms control, and nuclear safety

objectives in Russia and the Newly Independent States (NIS), as well as worldwide;

• Managing specialized laboratories, including the three nuclear weapons research labs

at Los Alamos, Sandia, and Lawrence Livermore, in support of the Department's mission and

maintaining American leadership in science and technology; and

• Maintaining the Strategic Petroleum Reserve (SPR).

DoE was established by the Energy Reorganization Act (42 U.S.C. 7131) in October

1977. The Department combined the functions and responsibilities of the Energy Research and

Development Administration, the Federal Energy Administration, the Federal Power

Commission, and the Power Marketing Administrations under one cabinet-level agency.

Organization.

DoE is organized under the four areas of National Security; Science & Technology;

Energy Security; and Environmental Quality, and also includes departmental staff and support

offices. In the area of National Security, three major program offices exist: Defense Programs,

Nonproliferation and National Security, and Fissile Materials Disposition. However, as of

March 2000, these offices will be reorganized under the auspices of the newly formed National

Nuclear Security Administration (NNSA). The NNSA will include the current Offices of

Defense Programs, Nonproliferation and National Security, and Naval Reactors. Each of these

offices will be headed by a Deputy Administrator. In addition, the Office of Fissile Materials

Disposition will be incorporated into the new Office of Defense Nuclear Nonproliferation and

will be headed by the Assistant Deputy Administrator.

The Secretary of Energy is the principal adviser to the President on energy policies,

plans, and programs. A Cabinet-level position, the Secretary provides overall direction,

programmatic leadership, management, and administration of the Department. The Secretary is

appointed by the President and is confirmed by the Senate.
3

DoE employs over 11,000 personnel and another 100,000 (30,000 of which are scientists,

engineers, and technical staff) contract employees at over 50 major installations in 35 states. The

Department's FY99 budget was $18B. Approximately $6B of that total is allocated to Defense

and Nonproliferation/National Security programs.

Role in Formal and Informal National Security Processes.

The following matrix depicts the relationship of DoE products, specifically in the area of

national security, and roles to the seven key national security processes:

Strategy

Development

Policy, Guidance,

and Regulation

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Input to the National Security Strategy 





 

  

 



 

Products

Input to the National Security Strategy

Participation in the NPAC TWG

Development of the Stockpile Stewardship 

Plan

Implementation of the Stockpile Stewardship 

Program (SSP)

Arms Control & Nonproliferation Programs and 

Assistance

Regulation and Maintenance of the Strategic 

Petroleum Reserve (SPR)

NNSA Implementation Plan 

Maintenance and Enhancement of DoE 

National Security Infrastructure 

DoE plays an active role in the formal national security process through: Stewardship of

the U.S. nuclear weapons stockpile and infrastructure through the Stockpile Stewardship

Program (SSP); oversight of nuclear and non-nuclear weapons research and development (R&D)

at Department-operated laboratories; arms control and non-proliferation efforts through various

Department initiatives; and energy security, mainly through maintenance of the SPR.

Many of the Department's programs and efforts have either direct or indirect bearing on

U.S. national security and range from developing and ensuring the safety and reliability of U.S.

Navy nuclear reactor plants to research into alternative fuels and sources.

Strategy Development. Involvement in this process consists of the Secretary's

participation in National Security Council (NSC), Principals (PC) and Deputies Committee (DC)

levels (the latter via an assistant) at the behest of the President; and input into the development of

the National Security Strategy (NSS). The 1999 NSS has requirements for arms control and nonproliferation, maintenance of a credible nuclear deterrent, and energy security—all areas where

DoE is a major actor. DoE also participates at the NSC Interagency Working Group (IWG)-level

on both permanent and ad hoc committees. An example of an ad hoc committee is the

Nonproliferation and Arms Control Technology Working Group (NPAC TWG) established by

Presidential Decision Directive (PDD) 27.
4

Policy, Guidance, and Regulation. DoE manages the Stockpile Stewardship Program

(SSP), and the annual process of certifying the safety and reliability of the U.S. nuclear weapons

stockpile to the President. DoE also provides WMD non-proliferation and arms control policy

and technical assistance through such programs as Cooperative Threat Reduction (CTR). It has

overall responsibility for administering programs and initiatives ranging from nuclear reactor

safety to the protection and accounting of nuclear material. It is also involved in the effort to

reduce the global nuclear danger associated with inventories of surplus weapons-usable fissile

materials. The Department also maintains the SPR under the Energy Policy and Conservation

Act (EPCA) of 1975.

Planning. The Stockpile Stewardship Plan is the basis for implementation of the SSP

and describes DoE's nuclear weapons responsibilities. It focuses on manufacturing, maintaining,

refurbishing, surveilling, and dismantling the nuclear weapons stockpile; research, design,

development, simulation, modeling, and non-nuclear testing of nuclear weapons; and planning,

assessment, and certification of safety and reliability. The Stewardship Plan includes five

integrated program elements: surveillance; assessment and certification; design and

manufacturing; simulation and modeling; and restoring production of tritium.

Mission Execution. Includes stockpile stewardship as mandated by the Stockpile

Stewardship Plan, implementation of functions related to maintenance of the SPR, and

implementation of departmental and interagency nonproliferation programs and initiatives.

DoE's highest priority with regard to the SSP is to ensure the operational readiness of the U.S.

nuclear weapons stockpile. DoE is also responsible for implementation of drawdowns from the

SPR and the subsequent sale of the released oil.

Observation, Orientation, and Oversight. DoE involvement consists of policy and

technical support to interagency arms control and nonproliferation activities, such as CTR, in

conjunction with federal agencies like DoD and international organizations like the International

Atomic Energy Agency (IAEA).

Preparation. DoE is in charge of maintaining and enhancing the material and

knowledge base of its national security complex and maintaining the SPR infrastructure through

the 1994 Life Extension Program (LEP). Maintenance involves both physical infrastructure

improvement, mainly through programs mandated in the Stockpile Stewardship Plan, and

personnel enhancement, achieved via a combination of partnerships with academic institutions

(e.g., management of Los Alamos National Lab by the University of California), and internal

DoE training and development programs.

Resourcing. Externally, DoE receives funding for further research and development that

directly benefit DoE's national security complex through programs such as Laboratory-Directed

Research and Development (LDRD). Internally, DoE funds science training and education

through grants, internships, and other activities through its Office of Science Education.

Conclusions and Observations.

The Department of Energy undertakes activities across a wide spectrum of fields—from

research into alternative sources of energy to maintaining the nation's nuclear weapons stockpile.

Established as an organization to address the problematic energy issues of the late 1970s, the

Department has made significant advances in many areas. Unfortunately, DoE has also
5

encountered significant difficulties over its 22-year history, troubles stemming from

organizational structure and management to security breaches in the Department-run nuclear

weapons apparatus.

The following specific observations can be made about DoE:

• DoE appears not to have formulated a credible organizational strategy to

address post-Cold War issues and missions. In 1995, the General Accounting Office (GAO)

issued a report entitled "Department of Energy: A Framework for Restructuring DoE and Its

Missions" that cited the institutional problems present at the Department—several years before

the alleged espionage incidents. The report criticized DoE for its lack of reinvention initiative

and the fact that strategy was based on the assumption that "... existing [DoE] missions are still

valid government responsibilities and are still best implemented by the Department." In effect,

DoE's reforms did not address the fundamental issue of core missions.

• Organizational and structural issues seem to be hindering the Department.

• DoE's scope of responsibility may be too broad. DoE was originally created

from an amalgamation of several different agencies, each with a unique set of responsibilities.

The Department's problems over the years, culminating in the accusations of security lapses, give

rise to the question of whether a single entity can effectively manage the wide set of tasks

assigned to it. The GAO report stated, based on consultations with experts that included former

Secretaries of DoE, that most: "...favored streamlining missions and some suggested major

realignments to other agencies or to new public-private entities."

• DoE needs to enhance the working environment at its weapons labs in order

to foster a better civilian/military relationship with respect to issues research and security.

The objective here should be to strike a favorable balance between the need to maintain effective

contact on unclassified scientific research with other DoE labs and the broader scientific

community and the requirement for preserving viable security measures on classified military

and related R&D.

• The fluid nature of the post-Cold War environment has created the need to

refocus missions and resources to address different challenges in different ways. As GAO

has suggested, DoE is still experiencing problems "reinventing" itself. In addition,

methodologies have also changed, with stockpile stewardship a poignant example of this. Given

the responsibility of maintaining a credible nuclear deterrent in a zero-testing environment, DoE

must develop new and cost effective ways of carrying out its functions. Given this, the SSP

seems to be a step in the right direction for the Department.

• DoE should address overarching organizational problems on a proactive basis,

not specific issues on a reactionary one. The NNSA was created to manage matters related to

nuclear weapons security on the recommendations of both a 1999 Congressional panel and by a

President's Foreign Intelligence Advisory Board (PFIAB) report. The NNSA will serve to

centralize weapons security issues and policy in a more focused atmosphere. The agency was

established as a result of a specific issue: security lapses, not a forward-thinking reorganization

scheme. Essentially, DoE should focus on change in the long- term "macro" sense, not in the

short-term "micro", and certainly not as "window dressing" to appease critics.
6

• DoE should not transfer control of its military portfolio to DoD. Despite the

recent charges of foreign espionage, DoE should continue to control its portion of the nuclear

weapons apparatus and not transfer control of the military aspect of its work to DoD. Creation of

the NNSA should, if effectively managed, alleviate some of the management problems the

Department has experienced with regard to national security. Both the PFIAB Special

Investigative Panel and Congressional panel recommended that DoE retain these functions,

especially control of the weapons labs. The PFIAB report stated, rather emphatically, that:

"...the labs should never be subordinated to the Department of Defense." The labs have mainly

military applications, but also contain and cultivate a vibrant civilian R&D component—

something that could get "squeezed out" if transferred to DoD. 

• External oversight of DoE, particularly by Congress, should become more

centralized. Oversight of DoE's national security programs should reside only in those

Congressional subcommittees with direct control and interest in national security issues. The

Congressional panel itself criticized this lack of centralization and questioned the oversight of

the nuclear weapons program by congressional subcommittees: "...that do not have national

security as their chief mission."
7

ORGANIZATIONAL DESCRIPTION

DEPARTMENT OF ENERGY (DoE)

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Statute: The Department of Energy (DoE) was established by the

Energy Reorganization Act (42 U.S.C. 7131) in October 1977. The Department combined the

functions and responsibilities of the Energy Research and Development Administration, the

Federal Energy Administration, the Federal Power Commission, and the Power Marketing

Administrations under one cabinet-level agency.1

B. Department Directives: DoE National Nuclear Security Administration (NNSA)

Implementation Plan-January 7, 2000. This plan establishes a new semi-autonomous agency,

the National Nuclear Security Administration (NNSA) within DoE beginning in March 2000.

The NNSA will be responsible for: enhancing U.S. national security through the military

application of nuclear energy; maintaining the safety, reliability, and performance of the U.S.

nuclear weapons stockpile; providing the Navy with safe, militarily effective propulsion plants;

promoting international nuclear safety and nonproliferation; reducing global danger from

weapons of mass destruction; and supporting U.S. leadership in science and technology. The

plan details the program offices and national security functions which will be part of the agency,

clarifies those departmental functions which are not functions of the new agency, and discusses

how the Office of the Administrator will be staffed and organized.

Specifically, the NNSA will include the current Offices of Defense Programs,

Nonproliferation and National Security, and Naval Reactors. Each of these offices: Defense

Programs, Defense Nuclear Nonproliferation, and Naval Reactors, will be headed by a deputy

administrator. In addition, the current Office of Fissile Materials Disposition will be

incorporated into the new Office of Defense Nuclear Nonproliferation and will be headed by the

Assistant Deputy Administrator, who will also serve as the Special Secretarial Negotiator for

Plutonium Disposition. The Albuquerque and Nevada Field Operations Offices also will be

transferred to the NNSA. The employees of these field operations offices, with the exception of

those that are accountable to non-NNSA program offices, will become employees of the NNSA.

At other department field operations offices with responsibility for NNSA activities, those

employees who directly oversee these activities will become employees of the NNSA. The plan

also provides for support functions within the NNSA encompassing legal, security, counterintelligence, legislative affairs, public affairs, intergovernmental liaison, budget and

procurement.2

C. Interagency Directives:

(1) Presidential Decision Directive (PDD) 11 (“Moratorium on Nuclear

Testing”-July 3, 1993). PDD 11 established U.S. policy on nuclear testing. It enacts a “no first

test” policy for the U.S., even though the rule is dependent on a number of external factors,

 

1 The Department of Energy (DoE) website (http://www.doe.gov). The Reorganization Act was carried out pursuant to

Executive Order 12009 (September 1977), which provided for its effectuation.

2 DoE Press Release: “Energy Department Proceeds With Implementation Of National Nuclear Security Administration”;

(1/7/00).
8

including the status of Comprehensive Test Ban Treaty (CTBT) negotiations and reciprocity on

the part of other nations.3 PDD 11 allows the President to direct DoE to prepare for the

conducting of new nuclear tests if the moratorium is violated by another country. Consequently,

DoE is required to maintain a capability to resume testing if needed. Additionally, the Directive

tasked DoE to refocus the nation's nuclear laboratories on technologies to aid nonproliferation

efforts and verify arms control treaties.4

(2) PDD 15 (“Stockpile Stewardship”-October 5, 1993). Along with the

National Defense Authorization Act of 1994 (Public Law 103-160), PDD 15 directed DoE "to

establish a stewardship program to ensure the preservation of the core intellectual and technical

competence of the U.S. in nuclear weapons". The Stockpile Stewardship and Management

Program is a single, highly integrated technical program for maintaining the safety and reliability

of the U.S. nuclear stockpile in an era without nuclear testing and without new weapons

development and production.

The Directive established that DoE’s Stockpile Stewardship Program (SSP) will use past

nuclear test data along with future non-nuclear test data, computational modeling and

simulations, and experimental facilities to advance understanding of nuclear weapons.5 It will

include stockpile surveillance; experimental research, development and engineering programs;

and a small-scale production capability to support stockpile requirements. This integrated

national program requires continued use of current facilities and programs along with new

experimental facilities and computational enhancements to support these programs. PDD 15 also

required DoE to maintain the readiness and capability to conduct nuclear tests within two to

three years if directed by the President. This directive means that Defense Program efforts

would continue to maintain the required infrastructure and critical personnel necessary to meet

this requirement.6

(3) PDD 27 (“Nonproliferation Science and Technology Strategy”-August

1994). PDD 27 established the Nonproliferation and Arms Control Technology Working Group

(NPAC TWG). The NPAC TWG is the mechanism for the coordination of arms control and

nonproliferation research and development (R&D). Its purpose is to ensure effective

coordination of R&D in the areas of arms control and nonproliferation as well as guarding

against redundant arms control and nonproliferation-related R&D and technology programs

within and among departments and agencies.

The NPAC TWG serves as an integral part of the interagency process and reports to the

relevant National Security Council (NSC) policy Interagency Working Groups (IWGs) and the

Committee on National Security (CNS) within the National Science and Technology Council

(NSTC) structure. The NPAC TWG exchanges information and coordinates arms control and

nonproliferation R&D; advises agencies on nonproliferation and arms control R&D priorities;

facilitates the conduct of cooperative interagency programs; reviews nonproliferation and arms

control R&D programs and identifies overlaps and gaps; frames interagency issues and

 

3 The CTBT was rejected by the U.S. Senate in 1999. However, the U.S. continues to follow PDD 11-mandated policies and

maintains a unilateral moratorium on nuclear testing.

4 Federation of American Scientists (FAS) Fact Sheet on PDD 11.

5 The acronym "SSP" will henceforth be used to refer to the "Stockpile Stewardship Program". The "Stockpile Stewardship

Plan" will be spelled out for clarification.

6 FAS Fact Sheet on PDD 15.
9

differences for decisions by adjudicating bodies; advises policy IWGs on R&D capabilities and

limitations; and makes recommendations to the CNS on coordination of all nonproliferation and

arms control R&D programs in the President's budget submission to Congress. The Department

of State (DoS) (specifically the Office of the Undersecretary for Arms Control and International

Security(T)), DoE and the Department of Defense (DoD) serve as the co-chairing agencies for

the NPAC TWG.7

(4) PDD 41 (“Further Reducing the Nuclear Threat”-April 1994). PDD 41

designated DoE as the government agency with primary responsibility for nuclear materials

protection, control, and accounting (MPC&A) efforts in Russia, the Newly Independent States

(NIS), and Baltics. It initiated a program of cooperation in MPC&A between DoE and its

laboratories and nuclear institutes and enterprises of the Russian Federation. One purpose of the

program is to accelerate progress towards reducing the risk of nuclear weapons proliferation by

strengthening MPC&A systems. U.S. cooperation with Russia is carried out under the DoE

MPC&A program and the Nunn-Lugar funded Cooperative Threat Reduction (CTR) program for

Russia and conducted in coordination with the Nuclear Regulatory Commission (NRC) for the

development of a strong, independent national regulatory agency in Russia.8

(5) PDD 61 (“Energy Department Counterintelligence”-February 1998).

PDD 61 tasked the DoE to establish a stronger counterintelligence program in response to the

reports of leaks of sensitive information from U.S. nuclear weapons labs. DoE set up an

independent Office of Counterintelligence, which began an intensive review of the

counterintelligence program and has implemented the following PDD 61 requirements: hiring

counterintelligence professionals to be based at the weapons labs; doubling the budget for

counterintelligence; changing the screening and the approval process for foreign scientists

seeking access to DoE labs; making the lab directors directly accountable for foreign visits; and

instituting more extensive security reviews—including the use of polygraphs—for DoE scientists

working in sensitive programs.9

(6) The Nuclear Weapons Stockpile Plan (NWSP). The NWSP is issued

annually by the President and is prepared by the Nuclear Weapons Council (NWC) and

forwarded through the Secretaries of Defense and Energy for approval. This sets the

requirement to maintain a safe and reliable nuclear weapon stockpile, and specifies for Congress

the number of warheads, by type, in the stockpile. Under the current NWSP (issued in 1998),

DoE is required to support the stockpile at the Strategic Arms Reduction Treaty (START I) level.

Should START II enter into force, DoE must continue to maintain the capability to return to

START I levels under the “lead and hedge” strategy defined in the Nuclear Posture Review

(NPR) and the Quadrennial Defense Review (QDR).10

 

7 FAS Fact Sheet on PDD/NSC 27 (August 1994). The Arms Control and Disarmament Agency (ACDA) previously served as

one of the co-chairs of this body. However, the agency and its functions were absorbed into the Office of the

Undersecretary of State for Arms Control and International Security (T).

8 FAS Fact Sheet on PDD 41 (April 1994).

9 FAS Fact Sheet on PDD 61 (February 1998). The text of PDD 61 has not been released and there is no White House Fact

sheet summarizing its provisions.

10 U.S. Department of Energy Stockpile Stewardship Program: 30-Day Review; November 23, 1999. The Nuclear Weapons

Council (NWC) is made up of senior officials representing both the DoE and DoD. The NWC is responsible for

coordination and resolution of nuclear weapons issues that arise between DoE and DoD concerning development of

stockpile options, programming and budget matters, new weapon design/performance/cost tradeoff proposals, production,

retirement, surety, and maintenance, as well as for providing broad guidance regarding priorities for nuclear weapons system

research. Organizationally, the NWC has one committee and one working group providing assistance in issue resolution,
10

(7) The Nuclear Posture Review (NPR). Conducted in 1994 by DoD, the NPR,

which was revalidated by the 1997 QDR, assumes no nuclear testing or fissile material

production in the future. The NPR states that DoE is to maintain the capability to design,

fabricate, and certify new warheads; develop a stockpile surveillance engineering base;

demonstrate a capability to re-fabricate and certify weapon types in the enduring stockpile;

maintain a nuclear weapons science and technology base; and ensure tritium availability.11

2. Missions/Functions/Purposes.

A. Major Responsibilities: Overall, DoE's mission is to foster a secure, reliable, and

environmentally sustainable energy system; to act as the steward of the nation's nuclear weapons;

to clean up the nation's nuclear power and waste facilities; and to support continued U.S.

leadership in science and technology.12 DoE responsibilities in the national security arena

include:13

(1) Maintaining the safety, security and reliability of the U.S. nuclear weapons

stockpile through the Stockpile Stewardship Program [Key National Security Process

Relationship: Policy, Guidance, and Regulation; Planning; Mission Execution; Preparation];

(2) Managing and safely dismantling excess nuclear weapons, disposing of

surplus fissile nuclear materials, and ensuring the security of nuclear assets [Key National

Security Process Relationship: Mission Execution];

(3) Providing policy and technical assistance to prevent global proliferation of

weapons of mass destruction (WMD), emphasizing U.S. non proliferation, arms control, and

nuclear safety objectives in Russia and the Newly Independent States (NIS), as well as

worldwide [Key National Security Process Relationship: Mission Execution; Observation,

Orientation, and Oversight];

(5) Managing specialized laboratories, including the three nuclear weapons

research labs at Los Alamos, Sandia, and Lawrence Livermore, in support of the Department's

mission and maintaining American leadership in science and technology [Key National Security

Process Relationship: Preparation; Resourcing];

(6) Maintaining the Strategic Petroleum Reserve (SPR) and operating five power

marketing administrations [Key National Security Process Relationship: Policy, Guidance, and

Regulation; Mission Execution; Preparation];

 the Nuclear Weapons Standing and Safety Committee (NWCSSC) and the Nuclear Weapons Requirements Working Group

(NWRWG). The NWCSSC is a joint DoE-DoD committee of senior officials that examines and staffs major issues and

provides the NWC with recommendations for resolution. The NWRWG enhances the deliberative decision-making process

by creating a forum to provide additional senior-level attention to nuclear weapons issues. The NWRWG reviews,

prioritizes, and where appropriate, more precisely defines high-level DoD nuclear weapons requirements for a number of

key planning documents, including the annual Nuclear Weapons Special Memoranda (NWSM), DoD's Long Range

Planning Assessment, and the SSP.

11 SSP 30-Day Review.

12 DoE Strategic Plan (September 1997).

13 "National Security" responsibilities consist of DoE's stated duties in the area and other functions with national security

implications. For the purpose of this analysis, only Department functions and responsibilities related to overall U.S. national

security will be examined in detail. The three other areas of DoE responsibility are: Science & Technology; Energy

Security; and Environmental Quality. 
11

B. Subordinate Agencies: The Federal Energy Regulatory Commission (FERC) is an

independent five-member regulatory agency within DoE created in October 1977 to replace the

Federal Power Commission. Its responsibilities include:14

(1) Regulating the transmission and sale for resale of natural gas in interstate

commerce;

(2) Regulating the transmission of oil by pipeline in interstate commerce;

(3) Regulating the transmission and wholesale sales of electricity in interstate

commerce;

(4) Licensing and inspecting private, municipal and state hydroelectric projects

and overseeing related environmental matters; and

(5) Administering accounting and financial reporting regulations.

C. Major Products: These include:

(1) Input to the National Security Strategy;

(2) Participation on the NPAC TWG;

(3) Development of the Stockpile Stewardship Plan;

(4) Implementation of the Stockpile Stewardship Program (SSP);

(5) Arms control and nonproliferation programs and assistance;

(6) Regulation and maintenance of the SPR;

(7) The NNSA Implementation Plan; and

(8) Maintenance and enhancement of the DoE national security infrastructure

3. Vision and Core Competencies.

A. Vision: "DoE, through its leadership in science and technology, will continue to

advance U.S. energy, environmental, economic, and national security by being:

(1) A key contributor to ensure that the U.S. has a flexible, clean, efficient, and

equitable system of energy supply and end-use with minimal vulnerability to disruption;

(2) A vital contributor to reducing the global nuclear danger through its national

security, nuclear safety, and nonproliferation activities;

 

14 Federal Energy Regulatory Commission (FERC) website (http://www.ferc.fed.us/).
12

(3) A world leader in environmental restoration, nuclear materials stabilization,

waste management, facilities decommissioning, and pollution prevention;

(4) A major partner in world class science and technology through its National

Laboratories, research centers, university research, and its educational and information

dissemination programs; and

(5) A safe and rewarding workplace that is recognized for business excellence,

nurtures creativity, is trusted, and delivers results."15

B. Core Competencies: None published.

4. Organizational Culture.

A. Values: DoE lists eight values to guide employees in the achievement of their goals:

(1) "We are customer-oriented;

(2) We value public safety and respect the environment;

(3) We believe people are our most important resource;

(4) We value creativity and innovation;

(5) We are committed to excellence;

(6) We work as a team and advocate teamwork;

(7) We recognize that leadership, empowerment, and accountability are essential;

(8) We pursue the highest standards of ethical behavior."16

B. Leadership Traditions: The Secretary of Energy is the principal adviser to the

President on energy policies, plans, and programs. A Cabinet-level position, the Secretary

provides overall direction, programmatic leadership, management, and administration of the

Department. In this respect, the Secretary:

(1) Decides major energy policy; and

(2) Ensures effective communication and working relationships with state, local,

and tribal governments, the President, Congress, other federal agencies and departments, the

private sector, and the public.17

 

15 DoE Strategic Plan.

16 DoE Strategic Plan.

17 The Government Manual Online via GPO Access: Department of Energy (wais.access.gpo.gov).
13

The Secretary of Energy is appointed by the President and is confirmed by the Senate.

C. Staff Attributes: The majority of DoE personnel have educational backgrounds in

the sciences with expertise specific to their area(s) of work. Employees at the DoE labs typically

hold advanced degrees in nuclear science, engineering, and other related fields. At Los Alamos,

for example, one-third of the Lab's technical staff are physicists, one-fourth engineers, one-sixth

chemists and material scientists, and the remainder in such fields as mathematics and

computational sciences, biological sciences, and geosciences.18

D. Strategy: DoE's 1997 Strategic Plan outlines the Department's four "business areas"

that: "... most effectively utilize and integrate our unique scientific and technological assets,

engineering expertise, and facilities to achieve our mission and to benefit the Nation."19 These

four areas are: Energy Resources, National Security, Environmental Quality, and Science and

Technology.

In the area of National Security, the objectives are:

(1) "Maintain confidence in the safety, reliability, and performance of the nuclear

weapons stockpile without nuclear testing;

(2) Replace nuclear testing with a science-based Stockpile Stewardship and

Management Program;

(3) Ensure the vitality of DoE’s national security enterprise;

(4) Reduce nuclear weapons and materials stockpiles worldwide and dispose of

excess weapons-usable fissile materials;

(5) Continue leadership in policy support and technology development for

international arms control and non-proliferation efforts;

(6) Meet national security requirements for naval nuclear propulsion and for other

advanced nuclear power systems;

(7) Improve international nuclear safety."20

 

18 DoE-Los Alamos National Laboratory website (http://www.lanl.gov).

19 DoE Strategic Plan.

20 DoE Strategic Plan. A sub-strategy to Objective 1 under Energy Resources is to: "Maintain an effective Strategic Petroleum

Reserve (SPR) to deter and respond to oil supply disruptions, and act cooperatively with member nations of the International

Energy Agency."
14

E. Department Organizational Structure:21

 Energy Environmental

National Security Energy Resources Quality

Figure 1: DoE Organizational Structure

(1) Deputy Secretary of Energy: Assists the Secretary in deciding major energy

policy and planning issues and in representing DoE before Congress and the public. Along with

the Under Secretary, the Deputy Secretary provides daily management guidance and decisionmaking and coordinates the efforts of energy, weapons/waste cleanup, and science and

technology programs to achieve the Department's goals.

The Deputy Secretary also serves as the Department's Chief Operating Officer. In this

role, he/she retains broad oversight for policy development and program implementation across

all four of the Department's major lines of business: Defense, Science, Energy, and Environment.

Also responsible for the corporate offices, such as Policy, International Affairs, the Chief

Financial Officer (CFO), procurement, and personnel.

 

21 DoE website.

- Secretary -

- Deputy Secretary -

- Under Secretary -

Federal Energy

Regulatory

Commission

Office of

Defense

Programs

Office of

Nonproliferation

and National

Security

Office of

Science

Office of

Fossil Energy

Office of

Energy

Efficiency and

Renewable

Energy

Office of

Nuclear

Energy,

Science and

Technology

Energy

Information

Administration

Power

Marketing

Administrations

Office of

Environmental

Management

Office of

Civilian

Radioactive

Waste

Management

Departmental Staff

and Support

Offices

Office of Fissile

Materials

Disposition

DoE

Labs
15

(2) Under Secretary of Energy: Advises the Secretary and oversees the

Department's research and development portfolio, including energy and environmental

technologies, national security, and fundamental science. Oversees the national laboratory

system and national security programs, including stockpile stewardship and nonproliferation.

(3) Office of Defense Programs: Directs the country's nuclear weapons research,

development, testing, production, and surveillance program, as well as the production of special

materials used by the weapons program within DoE. It also ensures the technology base for the

surety, reliability, military effectiveness, and credibility of the nuclear weapons stockpile.

(4) Office of Nonproliferation and National Security (NN): Directs the

development of DoE's policy, plans, procedures, and research and development activities relating

to arms control, non-proliferation, export controls, and international nuclear safety and safeguard

activities. Secures classified information and protects departmental and contractor facilities and

installations. NN administers several programs and initiatives ranging from nuclear reactor

safety to the protection and accounting of nuclear material. NN is composed of several suboffices:

(a) The Office of International Nuclear Safety and Cooperation (NN-30)

manages activities in several areas:22

(i) International Nuclear Safety;

(ii) Highly Enriched Uranium Transparency Implementation;

(iii) Plutonium Production Reactor Core Conversion;

(iv) International Nuclear Safety Centers; and

(v) International Cooperation

(b) The Office of Arms Control and Nonproliferation (NN-40) conducts

the following programs and activities:23

(i) Control Nuclear Exports: Includes conducting statutory

licensing review activities, including export of dual-use technologies; fulfilling bilateral and

multilateral arrangements derived from Executive Directives; undertaking technology security

programs based on DoE regulations; and managing the "Second Line of Defense Program" with

Russian Customs to prevent trafficking of nuclear and nuclear-related material across Russia's

borders.

(ii) Strengthen International Safeguards: Includes supporting

international nuclear nonproliferation regimes and, in particular, the International Atomic Energy

Agency (IAEA), in detecting clandestine nuclear activities worldwide and safeguarding declared

nuclear material; providing technical experts, equipment, and training; assisting the IAEA to

 

22 DoE-Office of International Nuclear Safety and Cooperation (NN-30) website (http://www.nn.DoE.gov/nn30hm.htm).

23 DoE-Office of Arms Control and Nonproliferation (NN-40) website (http://www.nn.DoE.gov/nn40hm.htm).
16

develop and deploy an improved safeguards system to detect nuclear activities; developing new

methods for verification of excess fissile material and to increase the amount of excess material

available for IAEA inspection; ensuring that nuclear materials originating in the U.S. and that are

provided to other nations have sufficient physical protection and are used for peaceful and

commercial purposes only; encouraging peaceful use of atomic energy through cooperative

technical activities in support of the IAEA and through bilateral agreements with other countries;

and providing technical assistance to countries, under bilateral agreements, to prevent nuclear

smuggling; and

(iii) Control Nuclear Weapons-Related Expertise.

(c) The Office of International Materials Protection and Emergency

Cooperation (NN-50) implements two main programs: Material Protection, Control, and

Accounting (MPC&A)—mandated by PDD 41—and International Emergency Cooperation. The

mission of the MPC&A Program is to reduce the threat to U.S. national security posed by

unsecured Russian weapons-usable nuclear material by:24

(i) Consolidating material into fewer buildings and at fewer sites

and converting excess highly-enriched uranium (HEU) to low-enriched uranium (LEU) to reduce

the number of theft targets, and

(ii) Installing sustainable physical security and accountancy

upgrades appropriate for the level of material attractiveness and the threat of theft.

The MPC&A Program is currently focused solely on Russia.

(5) Office of Fissile Materials Disposition: Responsible for all activities of the

Department relating to the management, storage, and disposition of fissile materials from

weapons and weapons systems that are excess to national security needs.

It is also involved in the effort to reduce the global nuclear danger associated with

inventories of surplus weapons-usable fissile materials (HEU and plutonium). The Office works

to provide a Department-wide storage configuration that is secure, environmentally sound,

inspectable, cost effective, and eliminates surplus weapons-usable fissile materials in a manner

that encourages reciprocal action abroad. The Office’s work is divided into three major areas of

concentration:

(a) Long-term storage;

(b) Fissile material disposition; and

(c) Cooperation with Russia

It is important to note that disposition of fissile material also encompasses storage and

disposition of material in the U.S. itself. In the aftermath of the Cold War, the President declared

significant quantities of HEU and plutonium surplus to national defense needs. The Office of

 

24 DoE-Office of International Materials Protection and Emergency Cooperation (NN-50) website

(http://www.nn.DoE.gov/mpca.htm#mpca)..
17

Fissile Materials Disposition is implementing a program to make this surplus HEU and

plutonium inaccessible and unattractive for weapons use through a series of programs aimed at

transferring surplus material to commercial reactor for civilian use, and storage or disposal of the

material. These efforts are meant to provide the basis and flexibility for the U.S. to initiate

disposition efforts, either multilaterally or bilaterally through negotiations with other nations, or

unilaterally as an example to Russia and other nations. Disposition of the surplus plutonium

serves as a nonproliferation and disarmament example and is aimed at encouraging similar

actions by Russia and other nations, and fostering multilateral or bilateral disposition efforts and

agreements.25

(6) Office of Science: Funds basic research to advance the scientific knowledge

needed to provide new and improved energy technologies; to understand the health and

environmental implications of energy production and use; and to maintain U.S. leadership in

discovering the fundamental nature of energy and matter. It also plans, constructs, and operates

major scientific user facilities to serve researchers at universities, national laboratories, and

industrial laboratories. The Office sponsors thousands of research projects at hundreds of

scientific institutions across the United States, including investments in graduate research and

education to ensure the next generation of highly capable scientists and engineers.

Within the Office of Science, the Office of Laboratory Policy is responsible for the

overall maintenance and management of the DoE labs, both as individual institutions and as a

collective science and technology resource for carrying out departmental programs and national

needs. The Office is responsible for the Department's institutional planning, policy and

processes and for contracts for its multi-program laboratories.

(7) The DoE Labs: Consist of nine multi-program labs, nine program dedicated

labs, and eight specific mission labs. For the purposes of this paper, only the three nuclear

weapons labs at Lawrence Livermore, Los Alamos, and Sandia will be discussed in further

detail.26

(a) Lawrence Livermore National Laboratory (LLNL) is an appliedscience national security laboratory. Its primary mission is to ensure the safety, security, and

reliability of the nation's nuclear weapons, and to prevent the spread and use of nuclear weapons

worldwide. Programs include stockpile stewardship and management; nonproliferation, arms

control, and international security; lasers and electro-optics; energy and environmental research;

and bioscience and biotechnology. LLNL identifies the following as its areas of competency:

(i) Nuclear science and technology;

 

25 DoE-Office of Fissile Materials Disposition website (http://twilight.saic.com/md/mdmain.asp).

26 DoE website. The other labs are: Argonne National Laboratory; Brookhaven National Laboratory; Idaho National

Engineering Laboratory; Lawrence Berkeley National Laboratory; Oak Ridge National Laboratory; Pacific Northwest

National Laboratory; Ames Laboratory; Thomas Jefferson National Accelerator Facility; Fermi National Accelerator

Laboratory; Oak Ridge Institute for Science and Education; National Renewable Energy Laboratory; New Brunswick

Laboratory; Princeton Plasma Physics Laboratory; Environmental Measurements Laboratory; Stanford Linear Accelerator

Center; Savannah River Technology Center; Federal Energy Technology Center; Bettis Atomic Power Laboratory; Knolls

Atomic Power Laboratory; and Radiological and Environmental Sciences Laboratory.
18

(ii) Lasers and electro-optics;

(iii) Advanced sensors and instrumentation;

(iv) Computer simulation of complex systems; 

(v) Advanced process and manufacturing materials science; and

(vi) Biotechnology technology engineering technologies and

systems integration.

(b) Los Alamos National Laboratory’s (LANL) central mission is

“Reducing the Nuclear Danger”. This is divided into five areas: stockpile stewardship, which

ensures that the U.S. has safe, secure, and reliable nuclear weapons; stockpile management,

which provides capabilities ranging from dismantling to remanufacturing of the enduring

stockpile; nuclear materials management, which ensures the availability and safe disposition of

plutonium, highly enriched uranium, and tritium; nonproliferation and counterproliferation

which help to deter, detect, and respond to the proliferation of weapons of mass destruction; and

environmental stewardship, which provides for the remediation and reduction of wastes from the

nuclear weapons. LANL’s eight core competencies are:

(i) Theory, modeling and high-performance computing;

(ii) Complex experimentation and measurements;

(iii) Analysis and assessment; 

(iv) Nuclear and advanced materials;

(v) Nuclear weapons science and technology;

(vi) Earth and environmental systems;

(vii) Bioscience and biotechnology; and

(viii) Nuclear science, plasmas and beams

(c) Sandia National Laboratories (SNL) primary mission is to

implement U.S. nuclear weapon policies through research, development, and testing related to

nuclear weapons. This includes maintaining the reliability and surety of nuclear weapon

systems, performing research and development in arms control and nonproliferation

technologies, and contributing solutions to the problem of hazardous wastes resulting from the

nuclear weapons program. Other DoE functions include research and development in energy

and environmental programs, as well as the surety of critical national infrastructures. SNL’s core

competencies are:

(i) Engineered processes and materials;

(ii) Computational and information sciences; and
19

(iii) Microelectronics and photonics engineering sciences.

(8) Office of Fossil Energy: Responsible for research and development

programs involving fossil fuels. These programs are intended to provide the general technology

and knowledge base for use by the private sector for development and commercialization of

advanced processes and energy systems.

The office also manages the Strategic Petroleum Reserve (SPR). The SPR serves as an

emergency source of crude oil in the event of an interruption in petroleum supplies. The SPR

was established by the Energy Policy and Conservation Act (EPCA) in December 1975 in the

aftermath of the oil crises of the early 1970s. The legislation declared it to be U.S. policy to

establish a reserve of up to one billion barrels of petroleum. The petroleum is stored in

underground salt caverns along the Gulf of Mexico coastline at storage sites in Texas and

Louisiana.

(9) Office of Energy Efficiency and Renewable Energy: Develops and deploys

efficient and clean energy technologies that meet the nation's energy needs, enhance the

environment, and strengthen national competitiveness.

(10) Office of Nuclear Energy, Science and Technology: Manages DoE's

research and development programs associated with fission and fusion energy. This includes

programs relating to nuclear reactor development, nuclear fuel cycle, and space nuclear

applications.

(11) Energy Information Administration: Serves as the statistical agency of

DoE, and provides policy-independent data, forecasts, and analyses to promote sound policymaking, efficient markets, and public understanding regarding energy and its interaction with the

economy and the environment

(12) Power Marketing Administrations: Consists of five federal utilities or

"power marketing agencies" (PMAs). Comprised of the Alaska Power Administration,

Bonneville Power Administration (BPA), Southeastern Power Administration (SEPA),

Southwestern Power Administration (SWPA), and Western Area Power Administration

(WAPA). These PMAs serve as wholesalers of electric power produced at federal dams and

reservoir projects to publicly held entities such as rural electric cooperatives, municipal utilities,

and military installations.

(13) Office of Environmental Management: Provides program policy guidance

and manages the assessment and cleanup of inactive waste sites and facilities. Also directs a

program in safe and effective waste management operations, and develops and implements an

applied waste research and development program to provide technologies that yield permanent

disposal solutions at reduced costs.

(14) Office of Civilian Radioactive Waste Management: Develops and

manages a federal system for disposing of all spent nuclear fuel from commercial nuclear

reactors and high-level radioactive waste resulting from atomic energy defense activities.
20

F. NNSA Organizational Structure:

The National Nuclear Security Administration (NNSA) Implementation Plan (see section

on Legal Specifications, Authorizations, and Responsibilities-Department Directives for further

detail) was developed with regard to the establishment of the National Nuclear Security

Administration (NNSA) on March 1, 2000, as provided by Title 32 of the National Defense

Authorization Act for FY 2000, Public Law 106-65 (also referred to as the "NNSA Act"). After

a review of the issues associated with this action, the Department developed a set of "Principles

for Implementation". They are:27

(1) "Implement the statutory requirements" set forth by the NNSA Act regarding

the structure, mission, functions and operations of the NNSA.

(2) "Accomplish the national security and other missions of the Department."

The NNSA Act consolidates within the NNSA the major program offices that perform the

national security missions of DoE, and establishes statutory requirements regarding the

relationship between these programs and those that are primarily responsible for the science,

energy, environmental management and other missions of the Department. The Plan will

establish a structure and procedures that will enable DoE to accomplish all of its important

missions;

(3) "Ensure accountability and responsibility." The NNSA must be accountable

to the Secretary of Energy, who in turn is accountable to the Congress and the President. The

Implementation Plan will establish these lines of accountability and responsibility by preserving

the Secretary’s authority to manage and direct the Department on an overall basis.

(4) "Preserve the Secretary of Energy’s overarching authority to establish policy

for the Department." The NNSA Act recognizes the Secretary’s responsibility to set policy for

the Department, including the NNSA. The Implementation Plan seeks to preserve the

Secretary’s ability to use all resources that exist in the Department in the development of

policies.

(5) "Build upon the management reforms that have proven successful in

improving oversight and coordination of field office operations and strengthening project

management."

(6) "Ensure that the national security defense laboratories continue to perform

scientific research for non-Defense DoE programs and others." The national labs that report to

the NNSA all perform research for the non-defense DoE programs and for other federal agencies

and non-federal organizations. The Implementation Plan is structured to allow the labs to

continue to perform such research and to allow non-defense DoE programs and others to

continue to utilize these facilities for such research. It also provides that the non-NNSA

laboratories will continue to conduct research for program offices within the NNSA.

(7) "Protect the environment and the health and safety of workers and the public."

Expertise on worker health and safety and environmental protection resides in DoE offices that

 

27 DoE-National Nuclear Security Administration (NNSA) Implementation Plan; January 2000.
21

are not within the NNSA. The Plan assures that this expertise, and the capability to provide

independent oversight and reviews, will still be available with regard to NNSA programs.

(8) "Provide field managers with adequate authority to oversee and manage the

operations at their sites." The DoE management structure relies upon the field operations

offices, and field managers in particular, to oversee and manage operations at the national labs

and production/test facilities. The Implementation Plan assures that field managers have

authority commensurate with their responsibility, in some instances by establishing and

assigning the field manager to dual positions within DoE.

The NNSA Implementation Plan was developed by a Task Force established by the

Secretary of Energy on October 6, 1999. The Secretary formed the Task Force to oversee and

coordinate the establishment of the new administration. The Task Force was directed to examine

the range of issues related to establishing the NNSA, including administrative actions, personnel

operations, procurement procedures, budgeting issues, procedures at all DoE laboratories and the

roles and responsibilities of the DoE field operations offices. The Plan is based upon extensive

consultation and discussions with the senior management of the Department, both from the

Headquarters and the field. The Task Force conducted a review and series of consultations to

determine the concerns, issues, obstacles and alternative approaches to managing the new

Administration. In many cases, there were follow-up meetings to discuss options for resolving

obstacles and to be certain to avoid unintended consequences. The Implementation Plan has

been reviewed by the affected Program Secretarial Officers, Staff Offices and by OMB.28

The newly created NNSA will take the following form:29

 

28 NNSA Implementation Plan.

29 NNSA Implementation Plan.
22

Figure 2: NNSA Organizational Structure

5. Formal National Security Process Involvement.

A. General. DoE's role in the formal national security process consists of four

overarching areas of responsibility:

(1) Stewardship of the U.S. nuclear weapons stockpile and infrastructure through

the Stockpile Stewardship Program (SSP);

(2) Maintenance of the Department's national security apparatus, particularly the

three main nuclear weapons labs; 

(3) International arms control and non-proliferation efforts through various

Department and interagency initiatives; and

Secretary of Energy

Deputy Secretary of

Energy

Under Secretary and

Administrator of the

NNSA

Deputy Administrator

for Defense Programs

Deputy Administrator

for Naval Reactors

Deputy Administrator

for Defense Nuclear

Nonproliferation

Albuquerque Operations

Office:

- Los Alamos National Lab

- Sandia National Lab

- Amarillo (Pantex)

- Kansas City Area Office

Nevada Operations

Office:

- Nevada Test Site

Pittsburgh Naval

Reactors Office

Schenectady

Naval Reactors

Office

- Tritium Operations (Savannah Rivers

Operations Office)

- Y-12 Plant (Oak Ridge Operations Office)

- Lawrence Livermore National Lab (Oakland

Operations Office)

- General Counsel

- Defense Nuclear

Counterintelligence

- Defense Nuclear Safety

- Environment, Safety and

Health

- Administrative Staff

Naval Reactor

Operations at

INEEL
23

(4) Energy security, mainly through maintenance of the SPR.

DoE's role in the national security realm is by no means limited to the aforementioned

areas. While many of the Department's programs and efforts have either direct or indirect

bearing on U.S. national security and range from developing and ensuring the safety and

reliability of U.S. Navy nuclear reactor plants to research into alternative fuels and sources, for

the purposes of this analysis, involvement will be limited to the above four points. The

following matrix depicts the relationship of DoE products, specifically in the area of national

security, and roles to the seven key national security processes:

Strategy

Development

Policy, Guidance,

and Regulation

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Input to the National Security Strategy 





 

  

 



 

Products

Input to the National Security Strategy

Participation in the NPAC TWG

Development of the Stockpile Stewardship 

Plan

Implementation of the Stockpile Stewardship 

Program (SSP)

Arms Control & Nonproliferation Programs and 

Assistance

Regulation and Maintenance of the Strategic 

Petroleum Reserve (SPR)

NNSA Implementation Plan 

Maintenance and Enhancement of DoE 

National Security Infrastructure 

B. Strategy Development:

(1) Major Activities:

(a) The Secretary of Energy's participation in NSC meetings and at both

the Principals (PC) and Deputies Committee (DC) levels (the latter via an assistant) at the behest

of the President, if and when DoE involvement is necessary;

(b) Input into the development of the National Security Strategy (NSS).

The 1999 NSS outlines the significance of arms control and non-proliferation, maintenance of a

credible nuclear deterrent, and energy security—all areas where DoE is a major actor.

(2) Stakeholders: DoE, NSC, NSC/PC and NSC/DC. In the case of the NPAC

TWG: DoS (T), White House Office of Science and Technology (OSTP), and the Office of

Management and Budget (OMB).

(3) Key Organizational Processes: DoE participates at the NSC IWG-level on

both permanent and, when needed, ad hoc committees. An example of an ad hoc committee is

the Nonproliferation and Arms Control Technology Working Group (NPAC TWG) established

by PDD 27. As stated, the purpose of the NPAC TWG is to ensure effective coordination of
24

R&D in the areas of arms control and nonproliferation as well as guarding against redundant

arms control and nonproliferation-related R&D and technology programs within and among

departments and agencies (see previous section on PDD 27 for further detail on functions).

DoS (Under Secretary for Arms Control and International Security (T)), DoE, and DoD

act as the co-chairing agencies for the NPAC TWG. These agencies appoint their co-chair

representatives at the R&D Program Manager level or above. In addition to its role as Co-chair,

DoS (T) serves as the Executive Secretary for the NPAC TWG. Additional staff and assistance,

consistent with the terms of the charter, are the responsibility of the Co-chairs. The Co-chairs

convene no fewer than four meetings of the NPAC TWG per year. The agenda for these

meetings is coordinated among the Co-chairs, and responsibility for chairing these meetings

rotates among the Co-chairs. Represented departments or agencies, the CNS (part of OSTP) or

relevant NSC IWGs may request additional meetings of the NPAC TWG through the Co-chairs.

The NPAC TWG Co-chairs, consistent with TWG recommendations, recommends action on

major activities to the Chairperson of the CNS and the appropriate NSC IWGs.

The analytical work of the NPAC TWG is carried out by 13 Focus Groups and one

Subcommittee.30 Each Focus Group reviews R&D issues with members of the NPAC TWG and

other members of the nonproliferation and arms control community. Emphasis is placed on

technology needs that drive future R&D and current R&D programs now underway for

nonproliferation and arms control. Over 25 departments and agencies, and more than 80

organizations have contributed and/or continue to contribute to the NPAC TWG's work.31

(4) Associated Higher-level Processes: Participation in NSC meetings and the

Principals and Deputies Committees meetings.

(5) Associated Lower-level Processes: Input into the NSS through the IWG

process and involvement in and input through the NPAC TWG.

C. Policy, Guidance, Regulation:

(1) Major Activities:

(a) Management of the Stockpile Stewardship Program (SSP) and

specifically the annual process of certifying the safety and reliability of the U.S. nuclear weapons

stockpile to the President by the Secretaries of Energy and Defense. The Annual Certification

Process for U.S. nuclear weapons was mandated in 1995 in order to provide an independent

 

30 The Subcommittee is the Technology Needs Group. The Focus Groups are: Active Electro-Optical Focus Group; Chemical

Weapons Detection Focus Group; Fieldable Nuclear Detectors Focus Group; Spectral Sensing Focus Group; Underground

Facilities Focus Group; R&D Database Implementation Focus Group; Proliferation Modeling Focus Group; Biological

Weapons Detection Focus Group; Unattended Remote Sensors Focus Group; Missile Monitoring Focus Group (Formerly

START Monitoring Focus Group); Nuclear Test Monitoring Focus Group; Fissile Material Detection and Characterization

Focus Group; and Landmine Detection and Monitoring Focus Group.

31 These agencies and organizations include: the Central Intelligence Agency (CIA); Departments of Commerce, State, Justice,

Interior; Federal Bureau of Investigation (FBI); Joint Chiefs of Staff (JCS); National Aeronautics and Space Administration

(NASA); National Security Agency (NSA); U.S. Customs Service; Arms Control Intelligence Staff; Central Imagery Office;

Community Management Staff; Central MASINT Office/Technology Coordination Office; Committee on National

Security- Office of Science and Technology Policy (OSTP); Office of Management and Budget (OMB); National

Reconnaissance Office (NRO), National Science and Technology Council (NSTC); Nonproliferation Center; and U.S.

Geological Survey.
25

review of the ability of the weapons complex to sustain confidence without returning to testing.

The President is apprised annually on the safety and reliability of the stockpile, and on whether

any problem has arisen that requires testing during the next year. The process draws on technical

assessments performed by the National Labs, which are reviewed by the Services, U.S. Strategic

Command (USSTRATCOM), and the headquarters of DoE and DoD.32

The reporting chain to the President established in Safeguard F of the Comprehensive

Test Ban Treaty (CTBT) provides the framework used for the Annual Certification Process.33

(The process is shown in the diagram in Appendix 1).

The certification process consists of three steps: technical assessment and reporting,

review, and final certification. The laboratories (Sandia and either Los Alamos or Lawrence

Livermore) draft a Technical Certification Report (TCR) for each weapon type in the stockpile.

A weapon's technical report includes already compiled historical information and incorporates

new information derived from stockpile maintenance activities, experiments, and other sources.

The TCRs are compilations of information generated from ongoing SSP activities and contain

information from lab and flight tests conducted as part of the stockpile surveillance program, as

well as data from computer simulations, hydrodynamic and subcritical experiments, and other

aspects of SSP. Each TCR also contains information about open Significant Finding

Investigations (SFIs), which are initiated when a deviation or anomaly is discovered through

routine surveillance or maintenance. They also identify areas where age-related degradation or

other issues may eventually be cause for concern.

The TCRs are reviewed in the preparatory phase by DoE Program Managers, critiqued by

personnel from the other nuclear weapons design labs, and are extensively reviewed by

laboratory management before their formal release. Each report includes a section with statistics

and a statement of the status of the weapon with respect to safety, reliability, surveillance

activities, and associated investigations of findings, yield, and current configuration status, and

planned changes or life-extension initiatives. The assessed safety and reliability statistics are

compared against the official requirements, known as Military Characteristics (MC). The reports

provide information on the status of each individual weapon type and discuss issues of concern.

In addition to these data and assessments, each report provides a “Safeguard F Declaration.”

The review phase of the Annual Certification Process builds on the information provided

in the TCRs and augments them with additional issues, information, and each reviewer’s

personal experience in assessing the status of the stockpile. The reviewers include weapons

experts, technical representatives of the military user communities, and other senior government

officials. Three parallel reviews are formally undertaken. The first of these is performed by the

lab directors. After reviewing the TCRs and discussions with individuals directly involved in

assessing the weapons, each lab director submits a letter to the Secretary of Energy and the

Secretary of Defense. The directors’ letters assess overall safety and reliability of the stockpile

and highlight overarching concerns or trends.

 

32 FY 1999 Report of the Panel to Assess the Reliability, Safety, and Security of the United States Nuclear Stockpile.

33 Safeguard F states: "The understanding that if the President of the United States is informed by the Secretary of Defense and

the Secretary of Energy (DoE)--advised by the Nuclear Weapons Council, the Directors of the DoE's nuclear weapons

laboratories and the Commander of the U.S. Strategic Command--that a high level of confidence in the safety or reliability

of a nuclear weapon type which the two Secretaries consider to be critical to our nuclear deterrent could no longer be

certified, the President, in consultation with Congress, would be prepared to withdraw from the CTBT under the standard

"supreme national interests" clause in order to conduct whatever testing might be required."
26

USSTRATCOM conducts a second review with the assistance of a Stockpile Assessment

Team (SAT).34 The SAT prepares a report and briefs the Commander-in-Chief of

USSTRATCOM (CINCSTRATCOM) and his staff on its findings. CINCSTRATCOM

subsequently draws on this work in preparing his letter on the stockpile to the Secretary of

Defense.

The NWC performs the third review, with staff support from its Standing and Safety

Committee. It reviews the Labs’ TCRs, and also incorporates the findings from the Project

Officer Groups (POG). The Nuclear Weapons Council Report on Stockpile Certification covers

these technical and operational issues from a interagency perspective and prepares the

Certification Letter to the President for signature by the Secretaries of Defense and Energy.

In the final step, the Secretaries of Defense and Energy transmit a memorandum to the

President informing him of their assessment of the safety and reliability of the nuclear weapons

stockpile. The memorandum to the President also declares whether there is a need to return to

underground nuclear testing to resolve a safety or reliability issue. The Lab TCRs and POG

reports are appended to the NWC Report on Stockpile Certification and forwarded to the

President as background information. To date, the Nuclear Stockpile Certification Memorandum

to the President has stated that the nuclear stockpile has no safety or reliability concerns that

require underground testing at this time. It is customary, although not required, for the President

to send Congress a letter stating that there are no safety or reliability concerns in the stockpile

that necessitate a resumption of underground nuclear testing.35

(b) Providing WMD non-proliferation and arms control policy and

technical assistance through various Department programs and initiatives and via cooperation

with other federal agencies like DoD in such programs as CTR.36

Within the Office of Nonproliferation and National Security (NN), the Office of Arms

Control and Nonproliferation (NN-40) administers the "Initiatives for Proliferation Prevention

(IPP)" and the "Nuclear Cities Initiative (NCI)" programs that are designed to deter the spread of

nuclear weapons expertise by creating long-term commercial partnerships between U.S. industry

and weapons institutes and engineers in Russia and the Newly Independent States (NIS). The

"Initiative for Proliferation Prevention (IPP)" began in mid-1994 as part of a broad effort by DoE

to minimize the risk of proliferation of weapons of mass destruction, particularly nuclear

weapons, and has worked mainly with the NIS. The objectives of the program are to identify

and evaluate the commercial potential of research and development at NIS institutes; establish

approved partnerships between these institutes and U.S. industry with cost-sharing by U.S.

industry; and, finally, create a commercial relationship between the entities. The "Nuclear Cities

Initiative" is a cooperative, nonproliferation program designed to assist the Russian Federation

with economic diversification of their ten nuclear cities.

 

34 The SAT is a subgroup of CINCSTRATCOM's senior advisors, primarily selected from the Strategic Advisory Group (SAG).

The SAT is comprised of independent experts with laboratory, industry, and military backgrounds. This Team receives

briefings on the Technical Certification Reports from the laboratories, and on Service activities by the Project Officer

Groups with day-to-day responsibility for each weapon system. The Project Officer’s Groups consider the Laboratories’

Technical Certification Reports and also look at operational issues and issues relating to delivery system hardware.

35 FY 1999 Report of the Panel to Assess the Reliability, Safety, and Security of the United States Nuclear Stockpile.

36 In conjunction with the Defense Threat Reduction Agency (DTRA).
27

These programs accomplish the following:

(i) Helps nuclear weapons scientists and engineers from Russia and

the NIS to refocus their day-to-day activities from weapons development to commercial

enterprises;

(ii) Encourages these commercial enterprises to develop market

skills and become self-sustaining; and

(iii) Facilitates continued access to Russian and NIS facilities

through cooperative technical engagements between U.S. and Russian/NIS scientists and

engineers.

The Office of International Materials Protection and Emergency Cooperation's (NN-50)

International Emergency Cooperation (IEC) Program is to ensure that foreign governments,

international organizations and U.S. Embassies have adequate and effective emergency

assistance. This assistance is designed to address policy, planning, and operational aspects of

emergency preparedness, and includes programs that address nuclear materials smuggling,

emergency policy and planning, development of emergency operations facilities and emergency

procedures, and technical training.

The IEC Program interacts directly with a variety of offices, agencies, and organizations

inside and outside of DoE. This includes the DoE offices of Defense Programs, Nuclear Energy,

Science, and Materials Disposition, as well as the Departments of State, Transportation, Justice,

Commerce, and Defense.

The activities of the IEC Program can be divided into several major categories:37

(i) Nuclear Assessment Program: Tracks, identifies and analyzes

reports of trafficking in nuclear materials world-wide;

(ii) Emergency Policy and Planning Assistance: Provides policy

advice and guidance to international organizations such as the IAEA, United Nations (U.N.), and

the Nuclear Energy Agency (NEA). It also offers planning assistance to foreign governments;

(iii) Assistance in Developing Emergency Procedures: Provides

assistance to foreign governments and international organizations in developing emergency

procedures;

(iv) Support and Assistance in Development of Emergency

Operations Centers: Helps to ensure early warning and notification of nuclear/radiological

concerns. The center facilitates the direct exchange of information through video and data links;

and

 

37 DoE-NN-50 website.
28

(vi) Technical Assistance: Provides the basic skills needed to help

foreign governments and organizations to develop and maintain their own programs in this area.

DoE also provides expertise and assistance to other federal government initiatives, most

notably DoD's Cooperative Threat Reduction (CTR) program. Authorized by the Soviet Nuclear

Threat Reduction Act of 1991 and renamed the Cooperative Threat Reduction program in 1993,

this effort is managed by the Defense Threat Reduction Agency (DTRA) and is under the

auspices of the Under Secretary of Defense for Acquisition and Technology (USD(A&T)).38

DTRA's staff includes senior officials from DoE (including the Deputy Director of the agency)

as well as DoS and the FBI.

The objectives of the CTR program are:39

(i) Assist Ukraine, Kazakhstan and Belarus to become non-nuclear

weapon states, and eliminate START limited systems and weapons of mass destruction

infrastructure;

(ii) Assist Russia in accelerating strategic arms reductions to

START levels;

(iii) Enhance safety, security, control, accounting and

centralization of nuclear weapons and fissile material in the former Soviet Union to prevent their

proliferation and encourage their reduction;

(iv) Assist the former Soviet states in eliminating and preventing

proliferation of chemical and biological weapons capabilities; and

(v) Encourage military reductions and reforms and reduce

proliferation threats in the former Soviet Union.

DoD executes the CTR Program in concert with policies and objectives established by an

NSC IWG, which reviews CTR activities. The NSC's Senior Director for Russian, Ukrainian

and Eurasian Affairs and Senior Director for Non-Proliferation co-chair a group consisting of

representatives from the Office of the Secretary of Defense (OSD), DoE, DoS; the Intelligence

Community; the JCS; and the Nuclear Regulatory Commission (NRC).40

(c) Maintenance of the SPR under the Energy Policy and Conservation

Act of 1975. The legislation declared it to be U.S. policy to establish a reserve of up to one

billion barrels of petroleum for emergency situations.

(2) Stakeholders: DoE; DoD, DoS, the Services, USSTRATCOM, NWC,

Department of Justice (DoJ), Department of Commerce (DoC), and Department of

Transportation (DoT).

 

38 Defense Threat Reduction Agency (DTRA) website (http://www.dtra.mil/index.html). The Act is also referred to as the

Nunn-Lugar Act of 1991.

39 Cooperative Threat Reduction (CTR) Program website (http://www.ctr.osd.mil/).

40 CTR website.
29

(3) Key Organizational Processes: Development of the Nuclear Stockpile

Certification Memorandum for the President.

(4) Associated Higher-level Processes: Interagency cooperation on arms control

and nonproliferation initiatives such as CTR with DoD.

(5) Associated Lower-level Processes: Formulation and execution of

Departmental arms control and nonproliferation programs and statutory maintenance of the SPR.

D. Planning:

(1) Major Activities: Development of the Stockpile Stewardship Plan. The

Stockpile Stewardship Plan is a corporate-level, multi-year program plan begun back in 1995

that describes the Stockpile Stewardship Program (SSP) strategy to ensure high confidence in the

safety and reliability of the nuclear weapons stockpile. The SSP is driven by requirements of the

Presidentially approved NWSP, the annual requirement to certify the safety and reliability of the

U.S. nuclear weapons stockpile, other PDDs, and DoD's 1994 NPR (which was revalidated in the

1997 QDR).

"Stockpile Stewardship" describes how DoE meets its nuclear weapons responsibilities.

It includes operations associated with manufacturing, maintaining, refurbishing, surveilling, and

dismantling the nuclear weapons stockpile; the activities associated with the research, design,

development, simulation, modeling, and non-nuclear testing; and the planning, assessment, and

certification of safety and reliability.

The overall goal of the SSP is to have in place by 2010 all of the following capabilities

that are necessary to provide continuing high confidence in the annual certification of the

stockpile without resorting to nuclear testing:41

(a) A reliable tritium production source of sufficient capacity to support

the nuclear stockpile;

(b) A reliable pit manufacturing capacity sufficient to meet stockpile

requirements;

(c) Enhanced surveillance and experimentally validated computational

capabilities sufficient to predict the effects of aging on nuclear weapons safety and reliability;

(d) Improved understanding of experimentally validated, model-based

weapons science;

(e) Experimental capabilities sufficient to fully validate computational

modeling for stockpile assessment and simulation;

(f) Improved understanding of nuclear weapons response to normal and

abnormal environments during the Stockpile-to-Target Sequence (STS);

 

41"FY 2000 Stockpile Stewardship Plan: Executive Overview;" DoE (Office of Defense Programs); March 1999.
30

(g) Scientific, engineering, technical, computing, and simulation expertise

required for stockpile assessment;

(h) Smaller, more efficient infrastructure capable of meeting all

requirements at a cost of no more than $4.5B per year;

(i) Assured replication or replacement options for weapon components in

the enduring stockpile;

(j) An integrated, agile, rapid, and expandable design and production

system to implement stockpile refurbishment in a timely manner; and

(k) The ability to respond to contingencies, such as a decision to resume

nuclear testing or design new weapons.

In the development of the Stockpile Stewardship Plan, DoE engages in extensive

consultation with the Stockpile Stewardship Program Executive Review Group (ERG)—

established to provide expert analysis and assistance on the adequacy of the Plan. The ERG is

chaired by the Under Secretary of Energy and includes senior officials of the NSC staff, OSTP,

OMB, DoD, other federal agencies, and "nuclear community" experts. Under the National

Defense Authorization Act for FY98 (P.L. 105-85), the Plan and subsequent updates are due to

Congress by March 15th of each year in order to influence the coming fiscal year's budget

deliberations.42

The requirements of SSP reflect changes brought about by the end of the Cold War and

will continue to be shaped by the fluid nature of the international security environment. Aspects

of this "new environment" include:43

(a) No nuclear testing;

(b) The need for a new source of tritium production;

(c) An aging nuclear weapons stockpile;

(d) An aging core of stockpile "stewards" and weapons experts;

(e) A smaller, less assorted stockpile;

(f) No requirements for new warhead designs; and

(g) A consolidated R&D and manufacturing complex

The strategy espoused in the Stockpile Stewardship Plan is carried out by five integrated

program elements designed to highlight the areas of surveillance, assessment, certification,

 

42 SSP Overview.

43 SSP Overview.
31

design, and the manufacturing process. They are: Surveillance; Assessment and Certification;

Design and Manufacturing; Simulation and Modeling; and Tritium production.44

In the area of Surveillance, the goal of the DoE's Enhanced Surveillance Program (ESP)

is to develop the capabilities to predict or detect the signs and onset of aging-related defects

before they jeopardize warhead safety or reliability. Predictive modeling and simulation are

central to this activity. Given adequate lead time, the necessary redesigns, refurbishments, and

recertifications can be made efficiently and effectively within the capabilities and capacity of the

"rightsized" manufacturing complex.45 The ESP is developing the technologies and methods, as

well as the fundamental understanding of materials properties and weapons science, to

significantly improve detection and predictive capabilities. The major activities being pursued

include:46

(a) Testing and researching the aging-related behavior of existing

stockpile materials, components, and systems, including those from retired warheads;

(b) Developing improved computational models of materials aging and

materials performance;

(c) Developing and conducting nonnuclear flight tests of models that more

closely simulate stockpile warheads and that use enhanced data acquisition systems. These tests

provide data to examine the behavior of nearly all actual warhead components in realistic

environments; and

(d) Developing techniques for advanced analysis of existing surveillance

data (as well as archived data), including complex numerical models and simulation.

An important goal with regard to Assessment and Certification is to develop a program

using the best mechanisms available to "baseline" or map the existing stockpile while a number

of experienced designers with nuclear test expertise remain who can interact with new designers.

The objectives of the assessment and certification process are to:47

(a) Develop an ability to predict and understand the effect of age-related

changes that occur in every warhead component;

(b) Identify and understand significant changes, variables, and processes

in terms of warhead safety and reliability;

(c) Validate new manufacturing processes and materials to ensure that

rebuilt components and warheads are equivalent to the originals; and

(d) Mentor the next generation of weapons scientists and engineers.

 

44 SSP Overview.

45 "Rightsized manufacturing complex" refers to the reconfiguration and consolidation of the U.S. nuclear weapons

manufacturing sector in the post-Cold War environment.

46 SSP Overview.

47 SSP Overview.
32

In the area of Design and Manufacturing, the SSP relies on two main programs: the

Stockpile Life Extension Program (SLEP) and the 6.X Process.

SLEP provides the framework for research and development activities and production

planning. In order to retain confidence in warhead safety and reliability, the SLEP risk

management strategy addresses three categories of potential refurbishment actions: "musts"—

correct known degradations; "shoulds"—prevent foreseeable degradations; and "coulds"—

enhance safety and/or reliability. A number of specific life extension options are being defined

for each warhead type, allowing the DoE and DoD and the labs and plants to anticipate and plan

for future maintenance and refurbishment requirements. (The program is illustrated in a diagram

in Appendix 2).

SLEP allows DoE and DoD to establish guidelines for stockpile-related research and

development. At the labs, this includes designing and certifying replacement components and

validating new materials. At the plants, this includes developing and certifying new

manufacturing processes.

The Phase 6.X process is the modified version of a 1953 memorandum of agreement with

DoD that established a formal, phased acquisition process to authorize the design, development,

and production of new weapons. The phases in the process establish program management

milestones and form the basis of the weapon life cycle acquisition process. These phases are:

(a) Phase 1 – Concept Development.

(b) Phase 2 – Program Feasibility Study.

(c) Phase 2a – Design Definition and Cost Study.

(d) Phase 3 – Development Engineering.

(e) Phase 4 – Production Engineering.

(f) Phase 5 – First Production.

(g) Phase 6 – Quantity Production and Stockpile.

(h) Phase 7 – Retirement/Storage.

Phase 6 activities are those normal on-going activities that occur on all stockpile systems

and include: routine maintenance; stockpile evaluation or “surveillance”; annual reliability and

safety certification; baselining of weapon system in order document configuration for future

reference. All current U.S. weapons are in Phase 6, which provides a framework for and

management of weapon refurbishment.48 The Phase 6.X process provides DoE with a

framework for the management and modernization of the U.S. nuclear weapons arsenal. It

replicates the structure and practices of the original acquisition process and applies it to the

current paradigm of the refurbishment of existing weapons (diagramed in Appendix 3). Each

 

48 SSP Overview. A work plan for the Phase 6.X process is still under development by DoE, with input and coordination from

DoD. It must be presented to and approved by the NWC.
33

phase concludes with a major project decision to continue to the next phase, remain in the

current one, or return to the previous one, including a return to Phase 6.0, which would mean a

decision not to modify the weapon in question.

The Office of Defense Programs evaluates all Product Change Proposals (PCPs) for

applicability to the Phase 6.X process and forward them to the NWC for approval. Examples of

issues requiring NWC approval include: all modifications and alterations; changes to STS that

require an alteration of the weapon; and MC changes.

A new approach to manufacturing is currently being implemented to complement the

capacity of the current manufacturing complex and to make full use of its capabilities. Under the

Advanced Design and Production Technologies (ADAPT) Initiative, the labs and manufacturing

facilities work together to:49

(a) Integrate product and process design through the synchronized design

and development of replacement components with low initial defects used in their manufacture;

(b) Develop and qualify new manufacturing processes that produce high

production yields; higher efficiency; and meet modern environmental, safety, and health

requirements;

(c) Develop improved materials that are functionally equivalent to the

originals;

(d) Develop manufacturing technologies that allow the production

complex to organize rapidly to produce different weapon components; and

(e) Identify, certify, and maximize the use of commercial parts and

processes.

In the area of Simulation and Modeling, Strategic Computing and Simulation is focused

on achieving capabilities necessary to implement the SSP in accordance with the provisions of

the CTBT. Presently, there are five main areas:50

(a) The Accelerated Strategic Computing Initiative (ASCI) provides the

simulation capabilities needed to meet weapon assessment and certification requirements in the

absence of nuclear testing. To meet these requirements, ASCI integrates the resources of the

national laboratories, computer manufacturers, and academia. The national labs provide the

application codes and related science needed to address weapon safety and reliability, while

computer manufacturers develop the technology and systems that are capable of operating at

increased speeds. The academic community, through the use of these higher-capacity systems,

conducts experiments in such unclassified areas as turbulence and shock physics, astrophysical

thermonuclear flashes, and numerical simulation of accidental explosions.51

 

49 SSP Overview.

50 SSP Overview.

51 SSP Overview. These systems are made available to researching universities through the Academic Strategic Alliances

Initiative.
34

(b) Stockpile Computing provides weapon designers and analysts with

computer center operations, model development, and code maintenance services necessary to

support current SSP activities. In particular, Stockpile Computing supports surveillance,

maintenance, refurbishment, assessment, and certification of the existing nuclear weapons

stockpile by incremental upgrades to models and computing systems and the infusion of ASCIproven technologies into routine SSP operations.

(c) The Distance Computing and Distributed Computing for Weapon

Simulation (DisCom2) develops and provides the technology needed to permit the weapons

laboratories and manufacturing plants to access computing capabilities.

(d) Numeric Environment for Weapon Simulations (NEWS) provides a

local computational environment for large numbers of designers and analysts to use high-end

simulation capabilities to simultaneously address time-urgent stockpile issues.

(e) Validation and Verification (V&V) provides the tools, methodologies,

and data to ensure that the high-end simulation capabilities accurately model physical

phenomena.

In the area of tritium production, DoE designated Tennessee Valley Authority (TVA)

light water reactors as the Nation's primary tritium production source in 1998.52 Although the

amount of new tritium needed varies slightly from year to year, for purposes of planning and the

comparison of options, DoE has assumed that the annual demand will be approximately 2.5

kilograms of new tritium each year to replace tritium that will have decayed in the inventory.

The new tritium source will also have a surge capacity of 3 kilograms per year beginning in

2005.53

(2) Stakeholders: DoE, NSC, DoD, OMB, OSTP, and the "nuclear weapons

community."

(3) Key Organizational Processes: Described above.

(4) Associated Higher-level Processes: Coordination and joint evaluation with

DoD (the Office of Program Analysis and Evaluation (PA&E), action officers from the Services,

and offices within OSD), on issues related to the SSP, including scope and pace of pit

manufacturing, a new source of tritium production, the National Ignition Facility (NIF), and the

ASCI. Cooperation with the Stockpile Stewardship Program ERG in the development of the

SSP.

(5) Associated Lower-level Processes: Coordination within DoE itself,

spearheaded by the Office of Defense Programs and in conjunction with the National Labs in the

development, and subsequent implementation, of the SSP.

 

52 SSP Overview. TVA is a government corporation with a defense mission as part of its charter.

53 Ratification of START II by Russia and future arms control agreements may reduce the demand for new tritium and delay the

date when new tritium will be needed.
35

E. Mission Execution:

(1) Major Activities: Nuclear stockpile stewardship as mandated by the SSP.

DoE's highest priority with regard to the SSP is to ensure the operational readiness of the U.S.

nuclear weapons stockpile. Hence, in terms of mission execution, three focus areas exist:

Directed Stockpile Work (DSW); Campaigns; and Infrastructure.54

The DSW Program addresses activities that directly support the readiness of the nuclear

weapons stockpile for as long into the future as is required. It focuses on nuclear stockpile lifecycle management, maintains the nuclear deterrent as specified in the NWSP, and includes

stockpile-related workload, policy guidance, coordination, and oversight of all activities that

directly support stockpile requirements. DSW policy is implemented by the Office of Defense

Programs, the national labs, and the production plants that together comprise the nuclear

weapons complex. The program encompasses a broad range of activities that focus on the

reliability, surety, and performance of nuclear weapons. These activities include research,

development, and production associated with weapon maintenance; surveillance; life extension;

assessment and certification; baselining; dismantlements; design assessments; engineering; and

production readiness across the nuclear weapons complex.

DSW carries out the following tasks:55

(a) Maintains the readiness of the deployed stockpile: Executes the

Limited Life Component Exchange (LLCE) program; confirms the safety, reliability, and

performance of deployed weapon systems; and conducts authorized weapon alterations,

modifications and repairs.

(b) Supports nuclear deterrent into the future: Refurbishes the current

stockpile to achieve life extension; and provides the capability to modernize weapons.

(c) Disposes of retired weapons and associated components: Dismantles

retired weapons; and provides for materials and component disposition.

DSW stockpile maintenance activities are accomplished through several Defense

Programs: the Phase 6.X process, SLEP, and the Production and Planning Directive (P&PD).

Each of these contributes to the formulation and implementation of weapon Life Extension

Programs (LEPs). This is illustrated by the following:

 

54 SSP 30-Day Review.

55 SSP 30-Day Review.
36

Figure 3: Office of Defense Programs Activities and Roles in the DSW Program

The annual, DoE-issued P&PD provides the authority necessary to implement the Office

of Defense Program’s responsibilities in support of the SSP, the NWSP, and the Requirements

and Planning Document. Furthermore, the P&PD provides direction and guidance for all major

stockpile requirements for FY 2000-2005, and also supplies planning information for FY 2006-

2025.56

Campaigns are multi-year, multi-functional efforts conducted by a combination of the

national labs, production plants, and the Nevada Test Site (NTS). They are designed to develop

and maintain specific critical capabilities necessary for sustaining a viable nuclear deterrent. The

goal of the Campaigns is to provide the capabilities needed to address current and future

stockpile issues by employing highly educated and experienced scientists and engineers, and by

providing the most advanced scientific and engineering infrastructure.

The SSP currently consists of 18 Campaigns with milestones and specific end-dates

designed to focus efforts in science and computing, applied science and engineering, and

production readiness on deliverables related to the stockpile (many of these Campaigns will also

be discussed in the section on Preparation). Eight of these deal primarily with providing the

scientific understanding necessary to certify the stockpile in the absence of nuclear testing and to

support the stockpile modernization needed for weapon life extensions. One example is the

Primary Certification Campaign. It includes experimental activities that will develop and

implement the ability to certify rebuilt and aged primaries to within a stated yield level without

nuclear testing. Capabilities developed under this Campaign directly support DSW, including

 

56 SSP 30-Day Review.

Phase 6.X process:

- Provides system for the

development of Life Extension

Options (LEOs)

SLEP:

- Organizes LEOs into smaller units

- Balances lab and plant workload levels consistent

with stockpile needs and lab and plant capacity

- Develops recommendation for the integrated

weapons schedule to DP leadership

P&PD:

- Distributed to the field when integrated

weapons schedule is approved
37

the B61, W80, and W76 life extensions, and certification of the newly fabricated W88 pit. The

objective of this Campaign is to develop the tools required to certify the performance and safety

of any newly fabricated replacement or aged primary based on hydrodynamics and generalized

materials descriptions.57

Three engineering Campaigns focus on providing the tools, capabilities, and components

necessary to support the maintenance, modernization, refurbishment and continued certification

of specific weapons systems. An example of these Campaigns is the Enhanced Surety

Campaign. It develops improved indemnity options, including modern levels of use-denial

capabilities that may be considered for incorporation in scheduled stockpile refurbishment. It

will also develop enhanced surety options for the B61, W80, and W76 weapon systems in time to

support refurbishment schedules. The aim is to meet modern nuclear safety standards and

upgrade use-denial capabilities in time for scheduled weapon refurbishment.58

Seven readiness Campaigns focus on sustaining the manufacturing base within the

nuclear weapons complex. These campaigns are driven by the current work required to maintain

the stockpile as characterized by the SLEP schedule, and the fact that weapons must remain

reliable for some time beyond the original deployment period. The Pit Readiness Campaign will

reconstitute pit manufacturing within the DoE nuclear weapons complex, including the

reestablishment of the technical capability to manufacture all war reserve pits for the enduring

stockpile at a capacity of 20 pits per year.59 The intention is to develop an automated,

expandable, robust manufacturing capability to produce stockpiled and new-design pits, without

underground testing, within 19 months of the establishment of a need for a new pit.60

In the area of Infrastructure, the Readiness in Technical Base and Facilities (RTBF)

program seeks to ensure that the necessary infrastructure is in place and available to conduct the

scientific, engineering, and manufacturing activities of the SSP. RTBF also encompasses the

activities needed to ensure that the infrastructure—utilities, facilities, equipment—are

operationally safe, secure, and environmentally compliant within a defined level of readiness.

The program also addresses safeguards and security needs, particularly cyber-security, at each of

the sites. RTBF activities are directed by DoE personnel in Washington, DC.61

In order to maintain an appropriate infrastructure, RTBF work focuses on three main

areas:

 

57 SSP 30-Day Review. The B-61 is a non-strategic nuclear bomb. The W-76, -80, and –88 are nuclear warheads for air- and

submarine-launched cruise missiles.

58 SSP 30-Day Review.

59 "Pit manufacturing" refers to the process of preparing the nuclear portion of a weapon, including the processing of the

weapon's nuclear material to weapons-grade level.

60 SSP 30-Day Review.

61 RTBF operations are also supported by the Albuquerque, Nevada, Oakland, and Oak Ridge Operations Offices for contract

management, and implemented by contractor personnel at the Lawrence Livermore National Laboratory, Livermore,

California; the Los Alamos National Laboratory, Los Alamos, New Mexico; the Sandia National Laboratories,

Albuquerque, New Mexico, Livermore, California, and Tonopah, Nevada; the Nevada Test Site, Las Vegas, Nevada; the

Pantex Plant, Amarillo, Texas; the Kansas City Plant, Kansas City, Missouri; the Y-12 Plant, Oak Ridge, Tennessee; and the

Savannah River Site, Aiken, South Carolina.
38

(i) Facilities and infrastructure includes operation of existing

scientific facilities, planning for major new scientific facilities, and planning and construction of

smaller facilities necessary to provide a modern, evolving infrastructure;

(ii) Maintaining test readiness activities are conducted at the NTS

to preserve the skills and facilities required to resume testing within 24 to 36 months if so

directed by the President; and

(iii) Simulation and computing infrastructure provides the

infrastructure necessary at each of the sites for ASCI.

(b) Implementation of functions related to maintenance of the SPR. The

“United States Statement of Policy on the Strategic Petroleum Reserve” states that: “This

Reserve should be used solely for responding to the types of severe oil supply interruptions

presently contemplated in the EPCA. The United States also reaffirms its policy for responding

to severe oil supply disruptions: to rely on market forces to allocate supply and to supplement

supply through an early drawdown of the SPR in large volumes and in coordination with our

allies in the International Energy Agency.”62 During a severe oil supply disruption, the U.S. will

normally supplement supply by the early drawdown of the SPR in large volumes in coordination

with other IEA members and rely on market forces to distribute supply. During the only

emergency use of the SPR, the 1991 Persian Gulf War, the U.S. implemented a drawdown of

33.75 million barrels of oil (later reduced to 17.3 million barrels) and sold the petroleum to 13

companies.63

Given the unpredictable conditions that characterize energy supply disruptions, there is

no preset "trigger" for the use of the SPR. The EPCA stipulates that the SPR can be used when

the President determines that it is "required by a severe energy supply interruption or by

obligations of the United States" under the International Energy Agency (IEA).64

The EPCA defines a "severe energy supply interruption" as one which:

(i) "Is, or is likely to be, of significant scope and duration, and of

an emergency nature;

(ii) may cause major adverse impact on national safety or the

national economy; and

(iii) results, or is likely to result, from an interruption in the supply

of imported petroleum products, or from sabotage or an act of God."

When Congress renewed EPCA in 1990, it added additional authorities for a limited

drawdown (up to 30 million barrels) during certain shortage situations that are expected to be

 

62 “United States Statement of Policy on the Strategic Petroleum Reserve”; May 13, 1998. The U.S. is one of the founding

members of the International Energy Agency (IEA). The Agreement on an International Energy Program, the charter of the

IEA, commits its members (consisting of 23 other nations) to maintain the equivalent of 90 days of net oil imports as

emergency reserves and to take cooperative action in the event of a supply disruption.

63 U.S. Statement of Policy on the SPR.

64 U.S. Department of Energy Strategic Petroleum Reserve Brochure.
39

less than "severe" and to use the SPR in response to shortages of domestic oil as well as foreign

oil. The legislation also permitted test sales of up to five million barrels each. In 1992, new

conditions for an SPR drawdown involving a significant supply reduction coupled with a severe

oil price increase likely to cause a major adverse impact on the economy were added.65

If the President decides to order an emergency drawdown of the SPR, the principal

method for distributing the oil would be by competitive sale to the highest bidders. The sales

process involves four primary steps that can be completed within 15 days. They are:66

 (i) Day 1-Issuance of a "Notice of Sale": Within 24 hours of a

Presidential decision, DoE would issue a public notice specifying the amount, characteristics and

location of the oil to be sold, and the approximate delivery dates and procedures for submitting

offers. Bidders would be given up to seven days to prepare offers;

(ii) Day 8-Receipt of Bids: Anyone who meets certain financial

and other qualification criteria may bid. All offerors must accept the government's sale terms

unconditionally and include an offer guarantee of up to $10M (or five percent of the bid pricewhichever is less). Offerors bid against one or more "master line items" (a specific quantity and

quality of crude oil offered from a specific SPR site) and indicate their proposed delivery

methods;

(iii) Day 11-12-Selection of Bidders: After evaluating the bids,

DoE selects "apparently successful offerors." The selected offerors must then provide a letter of

credit or cash deposit for 110 percent of the contract value, typically within five business days.

When these payments are received, the Department can begin awarding contracts;

(iv) Day 16-30-Delivery of Oil: The first SPR crude oil can be

delivered as soon as purchasers arrange transport (by pipeline, barge or tanker). This could take

place as quickly as the day after a contract is awarded. Typically, however, commercial oil

shipments are scheduled on calendar month cycles to allow time for reserving space in pipelines

or for arranging delivery through commercial shipping terminals. Consequently, most SPR oil

would likely be moved to market during the month following the actual sale. Final payments are

made following receipt of the crude oil based on a price indexing system.

If the supply interruption persists, the SPR sales cycle could be repeated every 30 days.

Program performance criteria require the SPR to maintain the capability to transition from

operational readiness to a sustainable oil drawdown of about 4.1 million barrels/day. 

(c) Implementation of departmental and interagency nonproliferation

programs and initiatives. (See previous section on Policy, Guidance, and Regulation for a more

detailed description of these activities.)

(2) Stakeholders: DoE , DoD, NSC, DoS, OMB, OSTP, and EOP

(3) Key Organizational Processes: Described above.

 

65 U.S. Department of Energy Strategic Petroleum Reserve Brochure. "Drawdown" refers to the process of removing a predesignated quantity of stockpiled oil from the Reserve and making it available for sale on the open market.

66 SPR Brochure.
40

(4) Associated Higher-level Processes: Coordination and cooperation with

authorized agencies (e.g., DoD) on implementation of SSP activities and programs; coordination

and implementation of drawdown and distribution policies as related to the SPR.

(5) Associated Lower-level Processes: Departmental implementation of SSP,

SPR, and nonproliferation activities.

F. Observation, Orientation, Oversight:

(1) Major Activities: Provide policy and technical support of interagency arms

control and nonproliferation efforts.

(2) Stakeholders: DoE , NSC, DoD, DoS, OMB, and OSTP

(3) Key Organizational Processes: (See sections on Policy, Guidance, and

Regulation for description.)

(4) Associated Higher-level Processes: (See sections on Policy, Guidance, and

Regulation for description.)

(5) Associated Lower-level Processes: (See sections on Policy, Guidance, and

Regulation for description.)

G. Preparation:

(1) Major Activities:

(a) Maintaining and enhancing the material and knowledge base of the

DoE national security infrastructure.

All preparation and maintenance programs and initiatives called for are founded on the

premise of maintaining and enhancing an nuclear weapons infrastructure and personnel base in

an environment where the U.S. is still expected to maintain a viable nuclear deterrent, thus

ensuring a continuation of the same set of performance standards for infrastructure and the

personnel base. However, this must take place in a setting where no nuclear testing is taking

place and production of new weapons has stopped, essentially forcing infrastructure and

personnel to modify and/or change "the way they do business".

(i) Material base: The SSP's five integrated program elements,

Surveillance; Assessment and Certification; Design and Manufacturing; Simulation and

Modeling; and Tritium production, serve not only as a basis for planning stockpile stewardship,

but also a guide for the preparatory activities necessary to implement the objectives in the SSP.

In this capacity, each program element contains measures intended to further prepare the U.S.

nuclear weapons material infrastructure for a future where "business as usual" no longer applies.

The Campaigns provide the basis for these preparatory activities under each program element.

As stated, they are designed to develop and cultivate the capabilities, both material and expertise,

necessary to the maintenance of a credible nuclear deterrent.
41

In the area of Surveillance, the impetus is on materials. Of particular importance is the

development of advanced capabilities—experimental, theoretical and computational—to predict

physical properties of matter under the extremely broad range of dynamic conditions found in

nuclear explosions. These include materials, radiative, and nuclear properties. These efforts are

primarily supported by the Enhanced Surveillance Campaign (see section on Planning, paragraph

(1)(a) for description), the Dynamic Materials Properties Campaign, and the Defense

Applications and Modeling Campaign.67

(aa) The Dynamic Materials Properties Campaign includes

efforts to develop physics-based, experimentally-validated data and models of all stockpile

material at accuracy levels proportionate to required for primary and secondary certification; and

(bb) The Defense Applications and Modeling Campaign

uses ASCI-based tools to provide simulation software necessary for engineering, safety, and

performance analyses of stockpiled weapons.

In the Assessment and Certification arena, there is a need for new and different

experiments and tools (i.e., assets and facilities) for obtaining warhead performance data to

supplant "nuclear testing-era" ones. These efforts are supported by the Primary Certification

Campaign (see section on Planning, paragraph (1)(a)), the Secondary Certification and NuclearSystems Margins Campaign, the Certification in Hostile Environments Campaign, the Weapon

System Engineering Certification Campaign, the Advanced Radiography Campaign, and the

Inertial Confinement Fusion (ICF) Ignition & High Yield Campaign.68

(aa) The Secondary Certification and Nuclear-Systems

Margins Campaign includes experimental and computational activities designed to determine the

minimum primary yield needed to produce a militarily effective weapon;

(bb) The Certification in Hostile Environments Campaign

will validate computational tools for certification, reevaluate nuclear-weapon hostile

environments, develop radiation-hardened technologies, and demonstrate certification

technologies on the W76 life extension program;

(cc) The Weapon System Engineering Certification

Campaign establishes science-based engineering methods to increase confidence in weapons

systems through validated simulation models and high fidelity experimental tests;

(dd) The Advanced Radiography Campaign develops

technologies for 3-D imaging of imploding surrogate-material primaries, with sufficient

resolution to resolve uncertainties in primary performance; and

(ee) The Inertial Confinement Fusion (ICF) Ignition &

High Yield Campaign conducts experimental activities at the National Ignition Facility (NIF)

and other facilities that will enhance experimental capabilities for stewardship.

 

67 SSP 30-Day Review.

68 SSP 30-Day Review.
42

With regard to Design and Manufacturing, efforts focus on replacing or fixing

components through systematic modernization before aging-related changes jeopardize warhead

safety or reliability, and exchanging outdated and unpractical manufacturing processes with

newer ones. SLEP is a major initiative in this field. In addition, the six production readiness

Campaigns—Pit Readiness (see section on Planning, paragraph (1)(a) for description);

Secondary Readiness; HE/Assembly Readiness; Nonnuclear Readiness; Tritium Readiness and

Material Readiness—and the ADAPT and Enhanced Surety Campaigns (see section on Planning,

paragraph 1(a) for description) are required to sustain the manufacturing base within the nuclear

weapons complex.69

(aa) Secondary Readiness develops, implements, and

maintains the appropriate capability and capacity to accomplish DSW, and responds to surge

production scenarios to manufacture/remanufacture replacement components for all weapon

systems in the active stockpile;

(bb) HE/Assembly Readiness focuses on ensuring future

manufacturing capabilities for high-explosive fabrication and weapon assembly;

(cc) Non-nuclear Readiness focuses on ensuring that future

manufacturing capabilities for non-nuclear components will be available;

(dd) Tritium Readiness will provide a source of tritium

commensurate with the 1998 DoE decision to establish a new source for the material; and

(ee) Material Readiness includes activities to support the

construction of a new HEU storage facility at Y-12.

In the field of Simulation and Modeling, ASCI provides the high-end simulation

capabilities needed to meet weapon assessment and certification requirements without nuclear

testing. To accomplish this, ASCI integrates the resources of the national laboratories, computer

manufacturers, and academia. A noteworthy accomplishment in this area has been the

"University Partnerships-University Alliances and Institutes" program. ASCI has established

partnerships with universities under the Alliances program that involves over 400 university

researchers who provide valuable expertise in algorithms development and potential access to

future program personnel.

(ii) Knowledge base: The other component of these preparatory

activities consists of maintaining and further developing the national security knowledge base

within DoE. This is especially critical at the three nuclear weapons labs: Los Alamos, Lawrence

Livermore, and Sandia. In accordance with the responsibilities laid out for these institutions, it

is imperative for them, and the other DoE facilities, to continue to maintain and cultivate a high

standard of excellence. In the case of the weapons labs, training is achieved through a two-prong

approach: strategic partnerships with academic institutions and "in-house" training programs and

initiatives.

 

69 SSP 30-Day Review.
43

An example is Los Alamos National Lab. The lab has been managed by the University

of California (UC) since its founding in 1943, and has maintained a strong relationship between

the lab and UC’s nine campuses.70 UC management has proven to be a significant factor in

ensuring the quality of the scientific and technical personnel and research capabilities that are

essential for Los Alamos to remain competitive in the changing research marketplace. Some of

the ways that UC strengthens the lab are through maintaining and providing:71

(aa) World-class standards of excellence for scientific

research in the international community and the highest-quality independent peer review;

(bb) Technical resources, institutions, and scientific centers

that are used to meet the objectives of the Lab and DoE;

(cc) Collaborative research involving students and postdoctoral research appointees that provides a recruiting pool of outstanding new scientists for the

Lab;

(dd) Educational and administrative services for Lab

employees and their families that act as a magnet for retaining and attracting the highest-quality

scientists and engineers; and

(ee) Standards of openness and integrity for scientific

inquiry and reporting for Lab scientists in an atmosphere free of political pressure and influences

from proprietary or profit-making motives.

The "in-house" training that DoE itself provides combines technical and professional

enhancement with technology-based learning tools. At Los Alamos, many training functions are

moving to the Web or to distance-learning delivery modes. For example, to assist workers in

identifying learning and education opportunities being offered for development and job

requirement purposes, the Lab's Virtual Training Center offers a cross-indexed listing of

available learning opportunities, on-line registration, course descriptions, voting for courses, and

Web training options.

Satellite-based distance learning and video conferencing, available at an increasing

number of locations at the Lab, provide time-sensitive information and data through virtual faceto-face communication. These resources allow facilities throughout the DoE complex, remote

training vendors, and distant universities to provide learning opportunities for Lab employees.

In addition, the training staff provided by the Lab's Human Resources Division serve line

organizations in their need to design and develop training. Training professionals are available

for short- or long-term assignments to develop specific training products such as classroom

training or Web courses, to conduct tabletop analyses of job content, to share performance

improvement expertise, and to assist with training documentation.72

 

70 The University of California also manages Lawrence Livermore and Sandia National Labs.

71 Los Alamos National Laboratory Institutional Plan: FY 2000-FY 2005.

72 Los Alamos Institutional Plan.
44

(b) Maintaining the SPR infrastructure through the Life Extension

Program (LEP). DoE implemented a Life Extension Program (LEP) in 1994 that will maintain

the high reliability and availability of the SPR and extend its life though 2025. The LEP will

also result in a streamlining of site configurations and standardization of equipment across the

SPR. Standardization of equipment will result in reduced parts inventory and less maintenance,

both contribute to lower costs.

Since the mission of the SPR requires that each site and terminal be capable of

transitioning from operational readiness to full drawdown within 15 days, spare parts are

maintained for all critical equipment to ensure continuous drawdown ability. In addition, tests of

the equipment and procedures are a routine aspect of maintaining the SPR. Finally, each site is

comprehensively tested every five years at its maximum drawdown rate for 24 hours.

In addition to system tests, the SPR conducts regular training exercises simulating the

sales and distribution process to ensure that personnel gain experience with the procedures

associated with an emergency drawdown.

(2) Stakeholders: DoE, academic institutions, and industry.

(3) Key Organizational Processes: Described above.

(4) Associated Higher-level Processes: Partnerships and liaisons with academia

through strategic joint ventures (e.g., "University Partnerships-University Alliances and

Institutes") and/or operational management (UC-Los Alamos relationship).

(5) Associated Lower-level Processes: Providing and enhancing training and

professional development opportunities, especially for critical staff in the nuclear weapons

complexes through such efforts as technology-based learning.

H. Resourcing:

(1) Major Activities:

(a) Externally, funding for further research and development that directly

benefits DoE's national security complex through programs such as Laboratory-Directed

Research and Development (LDRD). Congress authorizes the LDRD program as a means for

the Labs to maintain their scientific and technological vitality. Through this program, the

National Labs invest in innovative R&D projects commensurate with their missions, the

objective of extending their science, and technology capabilities. Three ways in which LDRD

enhances science and technology capabilities at the Labs are:

(i) Exploring new ways of tackling mission problems, thereby

identifying opportunities to execute mission objectives in a cheaper, faster, or better way;

(ii) Developing new capabilities in areas of expertise needed to

fulfill the mission, perhaps adding multidisciplinary approaches that provide new insight; and

(iii) Broadening the fundamental science and technology base in

areas that underpin the Laboratory’s ability to execute its mission.
45

The LDRD budget consists of both operating and capital equipment funds that are

generated through the application of a uniform assessment to direct-funded programs at the Labs.

LDRD annual funding is limited by Congress to a maximum of six percent of the individual

Lab's operating budget. The LDRD program is subject to Congressional authorization, DoE

regulations and orders, and, in the case of three nuclear weapons facilities, the prime contract

between the University of California and DoE.

For FY99 and future years, the LDRD program consists of two components with distinct

institutional objectives: exploratory research (ER) and directed research (DR). The ER

component of LDRD typically funds smaller projects that are up to 36 months in duration and

employ one to a few scientists and engineers. One-third of the overall LDRD budget is typically

allocated to this component. Project support is available in eleven disciplinary categories:

atomic, molecular, optical, and plasma physics; fluids, and beams; biosciences; chemistry;

science and software engineering; engineering sciences; geosciences, space sciences, and

astrophysics; instrumentation and diagnostics; materials sciences; mathematics, simulation, and

modeling; and nuclear and particle physics.

DR is the component intended to address longer-term Lab strategies and is most

influenced by a Lab’s scientific management. The projects in this component—"strategic

scientific thrusts"—are meant to be conscious and deliberate investments that will achieve

defined institutional objectives. These projects, like ER, are up to 36 months in duration. Their

objectives may be to develop new capabilities or competencies, or to support programs. The

strategic thrusts will generally be somewhat larger coherent investments than those in the ER

component, and with a single and unifying strategic goal. However, the thrust may comprise a

number of distinct and complementary tasks. This component of the LDRD program is funded

at a level equal to about two-thirds of the total program.

All LDRD projects are selected through competitive processes involving scientific review

by managers and/or peers. The lab director leads the LDRD program through a formal process

to impose accountability in the selection, execution, and documentation of projects. All projects

are selected through competitive review by peers and/or scientific managers. Innovation and

scientific excellence are key selection criteria. All projects must address science and technology

areas that support the Labs missions, and decisions on project funding are ultimately made by the

director of that lab.73

(b) Internally, funding for science training through grants, internships, and

other activities. From an internal standpoint, the DoE Office of Science Education sponsors and

funds programs aimed at general science education with a goal of training the next generation of

scientists and engineers. These efforts are most certainly to the benefit of DoE's national

security work in that these programs and initiatives can have a direct impact on the quality and

quantity of tomorrow's "pool" of recruitable talent.

These programs cover a wide array of activities such as:

 

73 Los Alamos Institutional Plan.
46

(i) Internships provide opportunities such as the Energy Research

Undergraduate Laboratory Fellowships (ERULF) are designed to expose students to work in a

scientific environment. The purpose of this program is to develop the technical skills and

scientific knowledge needed by students to contribute to our nation's science and technology

enterprise.

(ii) National Science Bowl is designed for science education and

securing a scientific workforce for the new millennium, the DoE-developed program strives to

encourage students to excel in science and math and pursue careers in those fields.

(iii) The Albert Einstein Distinguished Educator Fellowship

Program allows Fellows the opportunity to provide their educational expertise, years of

experience and personal insights to various governmental offices. The Department administers

the program for elementary and secondary school mathematics and science teachers. Selected

teachers spend up to one year in a Congressional Office, DoE, NSF, NASA, NIH, the

Department of Education, or OSTP.

(iv) The Energy-Related Laboratory Equipment (ERLE) Grant

Program was established by DoE to grant available used equipment to institutions of higher

education for energy-related research.

(v) The Faculty Travel Grants program provides opportunities for

full time college and university faculty to make short-term visits to DoE labs for the purpose of

exploring collaborative relationships with laboratory staff and developing mechanisms for using

laboratory resources in educational programs at their home institutions.

(vi) "Scholar$earch", a free financial aid search database from

DoE, enables students to investigate financial aid opportunities offered by universities, colleges,

research institutions, corporations and other organizations. Currently, the database contains

several hundred thousand educational opportunities at the pre-college to the postdoctoral/professional level. These opportunities include scholarships, grants, internships,

fellowships, assistantships, and loans.

(2) Stakeholders: DoE, Congress, and the academic community.

(3) Key Organizational Processes: Described above.

(4) Associated Higher-level Processes: Coordination between the Department,

the DoE Labs, and Congress on budgeting issues and LDRD project authorizations. Cooperation

with academic institutions, including pre-college, on educational programs and funding.

(5) Associated Lower-level Processes: Internal DoE budgetary coordination for

implementation of Department-sponsored educational and professional development initiatives.

6. Informal National Security Process Involvement. No "institutionalized" informal

processes like with DoS or DoD, but in the same mold as other major Departments and

Agencies. Informal process interaction, involving the Secretary of Energy and the Department

as a whole, will depend on variety of factors, including issue(s) in question, and the professional
47

and personal relationships between the President and his/her Cabinet and between Cabinet

members themselves.

7. Funding and Personnel.

A. Authorization and Appropriations: The relevant authorizing committees for DoE

national security activities are: Senate Appropriations Committee (Energy and Water

Development Subcommittee); House Appropriations Committee (Energy and Water

Development Subcommittee); Senate Armed Services Committee (Strategic Forces

Subcommittee); and the House National Security Committee (Military Procurement

Subcommittee).

B. Funding Sources: The Department is funded through the Department of Energy

appropriation, the Defense Appropriations bill, and the intelligence appropriation.

C. Budget: DoE’s FY99 budget was $18B. Approximately $6B of that total was

allocated to Defense and Nonproliferation/National Security programs.74

The FY99 budget for DoE Defense Programs was approximately $4.4B. The two key

elements of the SSP, stewardship and management, accounted for about 49 percent and 48

percent of this total, respectively ($2.12B and $2.1B).75 The FY00 appropriation was

approximately $4.43B, a seven-percent increase over the previous year.76 This is consistent with

the Administration's ongoing efforts to commit approximately $4.5B that it deems necessary to

support the SSP.

SPR funding totaled about $160M in FY99 and $158.4M in FY00. The 1994 LEP,

scheduled to be completed in FY00, represents a $328M investment to extend the life of the

Reserve’s physical systems through 2025.77

Resourcing for DoE's arms control and nonproliferation activities, carried out through

Office of Nonproliferation and National Security and the Office of Fissile Materials Disposition

totaled approximately $916M for FY99 and $870M for FY00, respectively. Interestingly,

funding for disposition of Russian plutonium and uranium in FY00 was either drastically

decreased (FY00 appropriation for plutonium disposition was (-)$49M) or eliminated altogether

(as uranium disposition was). Furthermore, both activities were seemingly eliminated from

DoE's FY01 budget request to Congress.78

It is worth noting DoE's recent emphasis on environmental issues and concerns—

exemplified in the shifting budget priority for this area. This trend is a product of the end of the

Cold War and reflects a shift in DoE's vision of its responsibility and mission in the post-Cold

War world. Between 1980-95, the budget allocation for "Environmental Programs, Safety, and

Health" jumped from approximately 2 percent of DoE 's total budget to around 40 percent, a

 

74 DoE Field Factbook, May 1998.

75 FY 2000 Congressional Budget: Weapons Activities/Executive Budget Summary.

76 FY 2001 Congressional Budget: Weapons Activities/Executive Budget Summary.

77 FY 2001 DoE Budget Request to Congress-SPR.

78 FY 2001 Congressional Budget: Weapons Activities/Executive Budget Summary.
48

1,900 percent increase. By contrast, the 1995 allocation for "National Defense", save for sharp

increases during the 1980s, remained almost identical to its 1980 figure of 20 percent.79

D. Manpower: DoE employs over 11,000 personnel and another 100,000 (30,000 of

which are scientists, engineers and technical staff) contract employees at over 50 major

installations in 35 states.

8. Conclusion and Observations.

As one of the federal government's main agencies for scientific research and

development, the Department of Energy undertakes activities across a wide spectrum—from

research into alternative sources of energy to maintaining the nation's nuclear weapons stockpile.

Established as an organization to address the problematic energy issues of the late 1970s, the

Department has made significant advances in many areas—the SPR is one example of this

success with the 1991 Gulf War exemplifying the utility of such a reserve. Unfortunately, DoE

has also encountered significant difficulties over its 22-year history, troubles stemming from

organizational structure and management to security breaches in the Department-run nuclear

weapons apparatus.

A. DoE appears not to have formulated a credible organizational strategy to

address post-Cold War issues and missions. In 1995, a General Accounting Office (GAO)

report (entitled "Department of Energy: A Framework for Restructuring DoE and Its Missions")

cited the institutional problems present at the Department—several years before the alleged

espionage incidents. The report criticized DoE for its reinvention efforts and the fact that their

strategy was being based on the assumption that "...the existing [DoE] missions are still valid

government responsibilities and are still best implemented by the Department."80 In effect,

DoE's reforms did not address the fundamental issue of core missions.

B. Organizational and structural issues seem to be hindering the Department:

(1) DoE's scope of responsibility may be too broad. DoE was originally

created from a amalgamation of several different agencies, each with a unique set of

responsibilities. The Department's problems over the years, culminating in the accusations of

security lapses, give rise to the question of whether a single entity can effectively manage the

wide set of tasks asked of it. The GAO report stated, based on consultations with experts that

included former Secretaries of DoE, that most: "...favored streamlining missions and some

suggested major realignments to other agencies or to new public-private entities."81

(2) DoE needs to enhance the working environment at its weapons labs in

order to foster a better civilian/military relationship with respect to issues ranging from

research to security. The objective here should be to strike a favorable balance between the

need to maintain effective contact on unclassified scientific research with other DoE labs and the

 

79 "Department of Energy: A Framework for Restructuring DoE and Its Missions," United States Government Accounting Office

(GAO), August 1995.

80 United States General Accounting Office (GAO) Report to Congress: "Department of Energy: A Framework for Restructuring

DoE and Its Missions," August 1995.

81 GAO Report.
49

broader scientific community and the requirement for preserving viable security measures on

classified military and related R&D.

(3) The fluid nature of the post-Cold War environment has created the need

to refocus missions and resources to address different challenges in different ways. The end

of the Cold War has forced all Agencies and Departments with active roles in the national

security policy process, including DoE, to reevaluate their mission statements and roles in the

policy wheel. However, as the GAO report suggested, DoE is still experiencing problems

"reinventing" itself. In addition, methodologies have also changed with stockpile stewardship a

poignant example of this. Given the continued responsibility of assisting in the maintenance of a

credible nuclear deterrent, DoE must undertake reinvention against a backdrop of zero nuclear

testing, forcing it to develop new, and at the same time cost effective, ways of carrying out its

functions. Given this, the SSP seems to be a step in the right direction for the Department.

However, only time can judge the viability of this and other "reinvention" schemes.

C. DoE should address overarching organizational problems on a proactive basis,

not specific issues on a reactionary basis. The NNSA was created to manage matters related to

nuclear weapons security on the recommendations of both a 1999 Congressional panel and by

the President's Foreign Intelligence Advisory Board (PFIAB) report. This semi-autonomous

agency will serve to centralize weapons security issues and policy in a more focused atmosphere

devoid of non-military related worries. Nonetheless, the agency was established as a result of a

specific issue: security lapses, not as a part of a forward-thinking reorganization scheme.

Essentially, DoE should focus on change in the long- term "macro" sense, not in the short-term

"micro," and certainly not as "window dressing" to appease critics.

D. DoE should not transfer control of its military portfolio to DoD. Despite the

recent charges of foreign espionage, DoE should continue to control its portion of the nuclear

weapons apparatus and not transfer control of the military aspect of its work to DoD. Creation of

the NNSA should, if effectively managed, alleviate some of the problems with regard to its

national security apparatus. Both the PFIAB Special Investigative Panel and Congressional

panel recommended that DoE retain these functions, especially control of the weapons labs. The

PFIAB report stated, rather emphatically, that: "...the labs should never be subordinated to the

Department of Defense."82 The labs have mainly military applications, but also contain and

cultivate a vibrant civilian R&D component—something that could get "squeezed out" if

transferred to DoD. 

E. External oversight of DoE, particularly by Congress, should become more

centralized. Oversight of DoE's national security programs should reside only in those

Congressional subcommittees with direct control and interest in national security issues. The

Congressional panel itself criticized this lack of centralization and questioned the oversight of

the nuclear weapons program by congressional subcommittees: "... that do not have national

security as their chief mission."

 

82 "Science At Its Best; Security At Its Worst: A Report on Security Problems at the U.S. Department of Energy," President's

Foreign Intelligence Advisory Board (PFIAB); June 1999.
APPENDICES
Appendix 1

DoE - Key Process - (Formal) - Policy, Guidance & Regulation - Ann

President Secretary of Energy DOE SECDEF

(DoD) Interagency Inter-Branch Interagency WorkingGroup (IWG)

Receive

Assessment Letter

and NSCM

Sign and Tr

NSCM to Pr

Review TCR

(Laboratory

Director)

Start Draft TCR (Laboratories)

Submit Assessment Letter

Secretary of Energy and

SECDEF

(Laboratory Director)

Brief POG

(Laboratories)

Brief

CINCSTRATCOM

(SAT)

Submit Assessment

Letter to SECDEF

(CINCSTRATCOM)

Receive

Assessment Letter

and NSCM

Sign and 

NSCM to 

Review TCR

(NWC)

Submit NSCM

(NWC)
Appendix 2

DoE - Key Process - (Formal) - Planning - Stockpile Life Ext

DOE and DOD

Make Decision to

Refurbish

-LLCE

-Defect

-MC/STS Change

-QART

Start

Assess Stockpile

-NWSP

-NC/STS

ReplaceImprove

RemakeOriginal

Funding and

Technology

Requires New or

Modified Design

End

Assess and Certif

R&D

MUST MUST

SHOULD

COULD

Yes 

YesYes

No No

NoNo
Appendix 3 (a)

DoE - Key Process - (Formal) - Planning - Phase 6.X 

DOE DOD Interagency Inter-Branch

Interagency

Working Group

(IWG)

Start

Evaluate PCP

(Office of Defense

Programs)

Forward to NWC

 for Approval

(Office of Defense

Programs)

Enter P

Pro

Approve?

(NWC)

No

Yes

NWC - Nuclear PCP - Product C
Appendix 3 (b)

DoE - Key Process - (Formal) - Planning - Phase 6.X Proce

DOE DOD Interagency Inter-Branch

Interagency

Working Group

(IWG)

Quantity Production

and Stockpile

(Phase 6.0)

Project Decision Concept Assessment

(Phase 6.1)

Project Decision Feasibility Study

and OptionDownselect(Phase 6.2)

Project Decision Design Definition and Cost Study

(Phase 6.2A)

Project Decision Development

Engineering

(Phase 6.3)

Project Decision 

Connect

From

Page 3

(a)

 Phase 6.X Process

Continue

Remain

Remain Remain

Continue

Return to Previous Return to Previous

Remain

Continue

Return to Previous

Remain

Continue

Return to Previous

Continue
ORGANIZATIONAL DESCRIPTION

OFFICE OF NUCLEAR ENERGY, SCIENCE AND

TECHNOLOGY (NE)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Office of Nuclear Energy, Science and Technology

Overview.

The Office of Nuclear Energy, Science and Technology (NE), a Department of Energy

(DoE) agency, was established by title 42 U.S.C., Section 7131.1 NE focuses on:

• Providing for energy diversity and security through research and development

programs that advance nuclear technology;

• Developing DoE mission critical technologies, such as radioactive isotopes for medical

research, and radioisotope power systems for deep space exploration;

• Maintaining nuclear research facilities and supporting nuclear education programs at

colleges and universities across the United States; and

• Safely storing and disposing of spent nuclear fuel and other nuclear byproducts.

Organization.

The Director of NE, supported by the Principal Deputy Director, oversees NE's seven

offices:

• The Office of Naval Reactors;

• The Office of Management, Planning, and Analysis;

• The Office of Technology;

• The Office of Depleted Uranium Hexafluoride Management;

• The Office of Nuclear Facilities Management;

• The Office of Space and Defense Power Systems; and

• The Office of Isotope Programs.

The Office of Naval Reactors is the only NE Office headed by a director, and is

responsible for the research, development, maintenance, and disposal of nuclear propulsion

systems for the United States Navy. NE's remaining six offices are headed by Associate

Directors. The Office of Management, Planning, and Analysis performs a variety of support

functions including budget preparation, congressional liaison, strategic planning, and program

evaluation. The Office of Technology administers seven grant assistance programs to

universities that are aimed at increasing the number of students engaged in nuclear energy study

 

1 Interview with DoE Office of Public Affairs.
3

and improving research opportunities. The Office of Technology also encourages technology

partnerships between the private sector and academic researchers. These partnerships focus on

developing commercial, non-uranium enrichment applications from DoE's technologies. The

Office of Depleted Uranium Hexafluoride (DUF6) Management is responsible for storing,

disposing, or converting the 704,000 metric tons of DUF6, which is the byproduct of producing

enriched uranium (used for national defense purposes) over the last 40 years. The Office of

Nuclear Facilities Management works to ensure that DoE facilities operate cost effectively and

meet environmental standards of safe operation. The Office is also responsible for shutting

down excess facilities and ensuring that the necessary physical and technical infrastructure

needed by DoE is maintained. The Office of Space and Defense Power Systems provides

radioisotope power systems to the National Aeronautics and Space Administration (NASA) for

deep space exploration.2 The Office of Isotope Programs conducts stable and radioactive

isotopes research and provides isotope products for sale to the medical industry. The Office is

currently trying to privatize its commercial isotope supply function.3 NE is authorized an end

strength of 295 people for Fiscal Year 99, with a Fiscal Year 99 budget of $934 million.4

Role in Formal and Informal National Security Processes.

NE plays a formal role in National Security Processes through its research and

development of advanced nuclear propulsion units for the United States Navy, technology

partnerships with industry to produce reactors that are more efficient and proliferation resistant,

and the production of radioisotope power systems for space exploration. These activities support

the National Security Strategy's objectives of ensuring U.S. military preparedness, deterring

proliferation of nuclear material, and fostering U.S. capability to explore space.

Conclusions and Observations.

The Office of Nuclear Energy, Science and Technology is responsible for providing the

U.S. Navy with nuclear propulsion reactors, maintaining and managing nuclear research

facilities, engaging in research and development programs that advance nuclear technology,

developing radioactive isotopes for medical research, and radioisotope power systems for deep

space exploration, supporting nuclear education programs at universities across the United

States, and safely storing and disposing of spent nuclear fuel and other nuclear byproducts.

 

2 Radioisotope power generators (RTG) convert the heat generated from the decay of radioisotopes into electricity.

RTG's have powered the Viking, Galileo, Voyager, and Ulysses spacecraft. www.ne.doe.gov

3 The Office's isotope research focuses on the medical and industrial applications of developing stable isotopes.

Examples of isotope products include Americium 241, which is used in smoke detectors. www.ne.doe.gov

4 DoE Interview.
4

ORGANIZATIONAL DESCRIPTION

OFFICE OF NUCLEAR ENERGY, SCIENCE AND TECHNOLOGY (NE)

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive: The Office of Nuclear Energy, Science and Technology

(NE), a Department of Energy (DoE) agency, was established by title 42 U.S.C., Section 7131.5

B. Department/Agency Directives: None available.

2. Missions/Functions/Purposes.

A. Major Responsibilities: NE represents the core of the U.S. Government's expertise

in nuclear engineering and technology. NE is charged with helping to maintain U.S. access to

advanced nuclear technology and energy, by advancing U.S. economic and technological

competitiveness through nuclear energy research. NE operates seven offices that focus on

nuclear power research and development, nuclear propulsion reactors for the U.S. Navy, space

power systems, isotope production and distribution, nuclear facilities management and

maintenance, and science education.6

B. Subordinate Activities and Agencies: The Nuclear Energy Research Advisory

Committee (NERAC) was established on October 1, 1998, by the Secretary of Energy to provide

independent advice to the Department of Energy (DoE) and Office of Nuclear Energy, Science

and Technology on complex science and technical issues regarding the planning, managing, and

implementation of DoE's nuclear energy program. NERAC periodically reviews NE's program

elements, and based on these reviews, provides advice and recommendations on long-range

plans, priorities, and strategies to effectively address the scientific and engineering aspects of the

research and development efforts. In addition, the committee provides advice on national policy

and scientific aspects on nuclear energy research issues as requested by the Secretary of Energy

or the Director, NE. The committee includes representatives from universities, industry, and

national laboratories.7

3. Vision and Core Competencies.

A. Vision: None published.

B. Core Competencies:8

(1) Providing advanced nuclear propulsion to the U.S. Navy;

(2) Researching and developing advanced nuclear technologies;

 

5 Interview with DoE Office of Public Affairs.

6 DoE Interview.

7 www.ne.doe.gov

8 NE does not list its core competencies. The listed core competencies are based upon a review of NE's congressional

testimony, publications, and mission statement. www.ne.doe.gov.
5

(3) Maintaining and managing nuclear facilities and the resulting byproducts; and

(4) Supporting Nuclear Education Programs.

4. Organizational Culture.

A. Values: None published.

B. Leadership Traditions: The Director and Principal Deputy Director of NE are

appointed by the President. The Director of the Office of Naval Reactors and the Associate

Directors of NE's remaining six offices are career civil servants.

C. Staff Attributes: NE is staffed by nuclear energy and technology experts.

D. Strategy: NE's strategic framework is drawn from the National Security Strategy and

focuses on ensuring that the United States retains its leadership position in nuclear energy so that

it can shape the international landscape and advance U.S. interests.

E. Organization Chart:

Figure 1: Organization of the Office of Nuclear Energy, Science, and Technology.

(1) The Director of NE, with assistance from the Principal Deputy Director of

NE, oversees NE's seven offices. The Director and Deputy Director rely on NRAC to provide

Office of the

Associate

Director of

Management,

Planning,

and Analysis

Office of

the

Associate

Director of

Technology

Office of the

Associate

Director of

Depleted

Uranium

Hexafloride

Management

Office of the

Associate

Director of

Nuclear

Facilities

Management

Office of the Director of

Nuclear Energy, Science

and Technology

Office of the

Associate

Director of

Space and

Defense Power

Systems

Office of the

Director of

Naval

Reactors

Office of

the

Associate

Director of

Isotope

Programs

Nuclear Research

Advisory Committee

(NRAC)
6

advice on the planning, managing, and implementation of NE's nuclear energy program with

regard to long–term goals.

(2) The Nuclear Research Advisory Committee is tasked by the Office of

Nuclear Energy, Science, and Technology to develop a long-term nuclear energy research and

development (R&D) plan. This long-term R&D plan will provide a vision and/or mission for

DoE's nuclear energy R&D over the next 20 years and identify the R&D focus and activities for

the next 10-15 years.9

(3) The Office of the Associate Director of Management, Planning and

Analysis provides a number of administrative support services to the Director and Principal

Deputy Director and NE's program offices. The Office deals with personnel issues as well as

measuring program cost and performance. The Office also prepares NE's budget requests and

provides program analysis for congressional testimony.

(4) The Office of the Associate Director of Space and Defense Power Systems

provides support for radioisotope power source development, demonstration, testing, and

delivery. Radioisotope power sources are the enabling technology for space applications

requiring power supplies capable of producing up to several kilowatts of power and operating

under severe environmental conditions for many years. Radioisotope power generators convert

the heat (thermal energy) generated from the decay of radioisotopes into electricity. Previous

space missions that have used radioisotope power sources include the Apollo lunar surface

scientific packages and Pioneer, Viking, Voyager, Galileo, and Ulysses spacecrafts.

The Office is developing new, power supplies required to support National Aeronautics

and Space Administration (NASA) space missions. The Office of Space and Defense Power

Systems is the only organization with the capability to produce radioisotope power systems.

NASA relies on radioisotope power sources for all of its deep space spacecraft. NASA provides

funds to DoE to pay for mission-specific development and hardware fabrication costs.

(5) The Office of the Associate Director of Nuclear Facilities Management

works to ensure the cost-effective, environmentally compliant operation of sites and facilities

managed by the Office of Nuclear Energy, Science and Technology in support of Departmental

missions. The Office of Nuclear Facilities Management also works to place excess facilities into

an industrially and radiologically safe shutdown condition and maintains the physical and

technical infrastructure necessary to achieve the Department of Energy's mission.

(6) The Office of the Associate Director of Depleted Hexafloride Management

is responsible for storing, disposing, or converting the 704,000 metric tons of depleted

hexafloride (DUF6) which is the byproduct of producing enriched uranium (used for national

defense purposes) over the last 40 years. Since 1990, DoE has conducted a program of cylinder

inspections, recoatings, and relocations to assure that DUF6 is safely stored pending its ultimate

disposition. The program has so far been largely focused on the ongoing surveillance and

maintenance of the cylinders containing DUF6. The Office of Depleted Hexafloride

Management is considering converting the DUF6 inventory, as soon as possible, either to

uranium oxide, uranium metal, or a combination of both, while allowing for future use of as

 

9 See section 2b for a more detailed description of NERAC.
7

much of this inventory as possible.10 The first step for either future use or disposal is to convert

the material by removing the fluorine component and transforming the material into a safer,

more stable form. Conversion of the DUF6 inventory will take place in plants on each of the

Paducah and Portsmouth gaseous diffusion plant sites. The Office of Depleted Hexafloride

Management's program encompasses the following elements: cylinder surveillance and

maintenance; conversion services that include the design, construction, operation, and

decontamination and decommissioning of conversion facilities; storage of uranium conversion

products pending use or disposal to include design, construction, operation, and decontamination

and decommissioning of storage facilities as needed; use of conversion products; and disposal of

products not used.

(7) The Office of the Director of Naval Reactors maintains a "cradle to grave"

responsibility for Naval nuclear propulsion work.11 The goal of the Naval Reactors program is

to "facilitate U.S. national security by providing and ensuring the safe and reliable operation of

Naval nuclear reactor plants."12 The Office is responsible for developing propulsion technology,

implementing and maintaining the final propulsion systems, and finally disposing of reactor

plants at the end of their life cycles.

(8) The Office of the Director of Technology works to encourage technology

partnerships between industry and academic researchers through the Technology Partnerships

Program. The Technology Partnerships Program works to create private/public partnerships that

will stimulate the national economy and promote the technology competitiveness of U.S.

industry in the world market. The program is based on linking academic and industrial

researchers interested in developing commercial, non-uranium enrichment applications.

Through collaborative agreements, private industry and academics are able to conduct unique

research that can lead to the development of commercial applications. The Technology

Partnerships Program also offers specialized Departmental knowledge and skills and unique

testing facilities for proof of concept through prototyping and demonstration. The Office of the

Director is also responsible for administering seven grant assistance programs aimed at training

personnel in nuclear sciences and technology.

(a) The Nuclear Engineering Education Research Grants Program

is a competitive, peer-reviewed program that provides grants to fund research in nuclear

engineering and related areas. This program allows faculty and students in all universities

offering a nuclear engineering degree to conduct research on nuclear engineering proposals

through peer-reviewed and competitively awarded projects. The awards run from one to three

years and are granted in eight separate technical areas related to nuclear engineering.

(b) The DoE/Industry Matching Grants Program funds fellowships and

scholarships, improves nuclear engineering and science curricula, and modernizes experimental

and instructional facilities at participating universities. This program is focused on the graduate

and undergraduate student population of nuclear engineering departments. Presently, DoE and

participating companies provide matching funds, up to $50,000 each. The endeavor is a 50/50

cost-shared agreement that supports 17 universities. Currently, 16 utilities and private

companies provide funds equal to DoE.

 

10 DUF6 cannot be used to create nuclear weapons, but may have some use in industry after conversion. www.ne.doe.gov

11 www.ne.doe.gov

12 Department of Energy FY99 Congressional Budget Request. www.ne.doe.gov
8

(c) The University Research Reactor Upgrades Program provides

assistance to universities to modernize the operational and experimental capabilities of their

research reactors. Grants are provided to the universities to purchase equipment and services

necessary to upgrade reactor facilities.

(d) The Science Education At Minority Institutions Program was

created in the 1980s and sponsors fellowships, cooperative education programs, and research

support at minority institutions (Historically Black Colleges and Universities), Hispanic Serving

Institutions (HSI), and the American Indian Science and Engineering Society (AISES)

throughout the United States.

(e) The Reactor Fuel Assistance Program provides fresh fuel to, and

takes back spent fuel from, university research reactors. DoE supplies approximately a dozen

universities with fresh fuel and shipments of spent fuel as needed. DoE also funds the

conversion of university reactors that use highly enriched uranium (HEU) fuel to the use of low

enriched uranium (LEU) to help meet the Nation's nonproliferation goals. Ten reactors have

been converted from HEU to LEU, another one will have conversion completed in 1999, while

conversion begins on another.

(f) The Reactor Sharing Program was created in the 1970s and enables

universities with reactors to share these reactors with students and faculty at other universities

and junior colleges that would not otherwise have access to reactor capabilities. The reactors are

made available for research projects, sample irradiation, neutron activation analysis,

experiments, training, and for facility tours and other educational activities. Twenty-eight

universities participate in this program.

(g) The Nuclear Engineering/Health Physics Fellowships and

Scholarships Program provides tuition and stipends to outstanding graduate students studying

nuclear engineering and health physics. Beginning in Fiscal Year 1997, this program began

offering tuition assistance to encourage undergraduate students to pursue nuclear engineering

undergraduate majors. To qualify for these grants, each candidate must undergo a very

competitive review. The review committee consists of university professors/department

chairmen in nuclear engineering and health physics disciplines.

(9) The Office of the Associate Director of Isotope Programs conducts stable

and radioactive isotopes research and provides isotope products for sale to industry. The Office

is looking to privatize its research programs, in an effort to encourage the private sector to play a

greater role in commercial isotope supply and decrease the Government's cost and involvement.

Currently the office only sells isotopes when there is no private U.S. sector capability, or when

other sources do not have the capacity to meet U.S. needs. Isotopes have a number of

applications. For example Aluminum (A1-26) is used to research Alzheimer's disease and deal

with acid rain.

5. Formal National Security Process Involvement. NE plays a role in formal National

Security Processes through its research and development of advanced nuclear propulsion units

for the United States Navy, technology partnerships with industry to produce reactors that are

more efficient and proliferation resistant, and the production of radioisotope power systems for

space exploration. These activities support the National Security Strategy's objectives of
9

ensuring U.S. military preparedness, deterring proliferation of nuclear material, and fostering

U.S. capability to explore space.

A. Strategy Development: No involvement.

B. Policy, Guidance, and Regulation: No involvement.

C. Planning: NERAC is responsible for providing a long–term nuclear energy and

technology research and development plan. This long term plan will determine which

technologies NE will pursue and develop over the next 20 years.

D. Mission Execution: No involvement.

E. Observation, Orientation, and Oversight: No involvement.

F. Preparation: The Office of Naval Reactors is responsible for producing nuclear

Propulsion reactors for the U.S. Navy. The production, maintenance, and disposal of nuclear

propulsion units are vital to the U.S. Navy's mission.

G. Resourcing: NE plays a role in resourcing its own programs and through its seven

grant assistance programs it also provides resources that support undergraduate and graduate

training and education in nuclear technology and energy.

6. Informal Formal National Security Process Involvement. No evidence of NE's role in

informal national security processes.

7. Funding and Personnel.

A. Authorization and Appropriations: The relevant authorizing committees are the

House Science Committee; the House Commerce Committee; the House Commerce Subcommittee on Energy and Power; the House Armed Services Committee; the Senate Armed

Services Committee; the Senate Commerce, Science, and Transportation Committee; and the

Senate Energy and Natural Resources Committee. The House and Senate Appropriations

Committees have jurisdiction over NE budgets.13

B. Funding Sources: NE is funded as an agency of the Department of Energy.14

C. Budget: NE's FY 99 budget is $934 million.15

D. Personnel: NE is authorized an end strength of 295 people for Fiscal Year 99.16

8. Conclusions and Observations. The Office of Nuclear Energy, Science and Technology is

responsible for providing the U.S. Navy with nuclear propulsion reactors, maintaining and

managing nuclear research facilities, engaging in research and development programs that

 

13 www.loc.thomas.gov

14 DoE Interview.

15 DoE Interview.

16 DoE Interview.
10

advance nuclear technology, developing radioactive isotopes for medical research and

radioisotope power systems for deep space exploration, supporting nuclear education programs

at colleges and universities across the United States, and safely storing and disposing of spent

nuclear fuel and other nuclear byproducts. NE's nuclear propulsion program, radioisotope

programs, and advanced nuclear technology research programs support the National Security

Strategy's objectives of ensuring U.S. military preparedness, deterring proliferation of nuclear

material, and fostering U.S. capability to explore space.
ORGANIZATIONAL DESCRIPTION

CENTERS FOR DISEASE CONTROL AND PREVENTION

(CDC)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Centers for Disease Control and Prevention (CDC)

Overview.

The Centers for Disease Control and Prevention (CDC) serve as the national focus for

developing and applying disease prevention and control, environmental health, and health

promotion and health education activities designed to improve the health of the people of the

United States. Its responsibilities include:

• Identifying and defining preventable health problems and maintaining active surveillance

of diseases through epidemiological and laboratory investigations and data collection, analysis,

and distribution;

• Serving as the U.S. Public Health Service (PHS) lead agency in developing and

implementing operational programs relating to environmental health problems, and conducting

operational research aimed at developing and testing effective disease prevention, control, and

health promotion programs; and

• Controlling the introduction and spread of infectious diseases, and providing consultation

and assistance to other nations and international agencies to assist in improving their disease

prevention and control, environmental health, and health promotion activities.

The CDC is a subordinate agency of the Department of Health & Human Services (HHS)

and is headquartered in Atlanta, Georgia. It was founded in 1946 as the "Communicable Disease

Center." As part of the PHS, the Center was originally tasked to work with state and local health

officials in the fight against malaria, typhus, and other communicable diseases. It was renamed

the Centers for Disease Control and Prevention in 1970 to reflect a broader mission in preventive

health (i.e., to promote the health and quality of life by preventing and controlling disease,

injury, and disability).

Organization.

The CDC is organized into 20 Centers, Institutes, and Offices: Office of the Director;

CDC-Washington Office; Office of Global Health; Office of Program Planning and Evaluation;

Office of Women's Health; Office of Communications; Office of Health and Safety; Office of

Program Support; Office of Equal Employment Opportunity; National Vaccine Program Office;

Public Health Practice Program Office; Epidemiology Program Office; National Immunization

Program; National Center for Chronic Disease Prevention and Health Promotion; National

Center for Health Statistics; National Center for Injury Prevention and Control; National Institute

for Occupational Safety and Health; National Center for Environmental Health; National Center

for Infectious Diseases; and the National Center for Human Immunodeficiency Virus (HIV),

Sexually-Transmitted Diseases (STD), and Tuberculosis (TB) Prevention.

The Director of CDC is a medical doctor and typically also holds an advanced degree in

the field of public health. The Director also acts as the Chairman of the National Science and

Technology Council's (White House Office of Science and Technology Policy (OSTP))

Interagency Working Group on Emerging and Re-emerging Infectious Diseases. In addition, the
3

Director co-chairs (along with OSTP) the Emerging Infectious Diseases Task Force, a body

established to provide strategic planning and further coordination on issues pertaining to

emerging infectious diseases.

The CDC employs a total of 7,800 people at facilities in Anchorage, AK; Atlanta, GA;

Cincinnati, OH; Fort Collins, CO; Morgantown, WV; Pittsburgh, PA; Research Triangle Park,

NC; San Juan, PR; Spokane, WA; and the Washington, DC area. CDC personnel also work in

foreign countries, quarantine offices, and state and local health agencies. Approximately 1,648

of these personnel are based at CDC Headquarters in Atlanta. The CDC operated a $2.6B budget

in FY1999.

Role in Formal and Informal National Security Processes.

The following matrix depicts the relationship of CDC products and roles to the seven key

national security processes:
4

Strategy

Development

Policy, Guidance,

and Regulation

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Identifies and defines preventable 

health problems 







 























Chairs OSTP IWG on 

Emerging and 

Reemerging 

Infectious Diseases 



Co-Chairs Task Force 

on Emerging 

Infectious Diseases



Roles Products

Identifies and defines preventable 

health problems

Maintains active surveillance of 

diseases

Develops and tests disease 

prevention, control and health 

promotion programs

Develops occupational safety and 

health standards 

CDC Director 

Develops CDC Prevention Guidelines

Controls intro and spread of infectious 

diseases

Provides assistance grants to state 

and local health agencies 

Produced "Preventing Emerging 

Infectious Diseases"

Works under the authority of 

HHS/OEP in medical emergency 

responses

Maintains medical/health cooperative 

agreements with state and local health 

agencies (e.g., EIPs and ELCs)

Maintains oversight over transfer and 

shipment of certain bio agents and 

organisms 

Establishes MMSTs

Establishes the National 

Pharmaceutical Stockpile 

Enhances response capacity of state 

and local health agencies 

Produces the BMBL

Develops fact sheets on bio agents 

and protocol procedures for bio 

attacks

The CDC plays a supporting role in the "formal" national security process. This

distinction reflects the CDC’s “on-paper” national security process involvement and is made

because the processes described below differ in some ways from how the CDC participates in the

national security process "in-reality" or in an "informal" fashion. This "formal" role consists of

involvement in these areas:
5

 - Surveillance and Response

 - Applied Research

 - Infrastructure and Training

 - Prevention and Control

The Preparedness phase forms the basis of CDC's core responsibilities, that is, prevention

and control through preparation. Consequently, CDC performs these tasks independently and on

a daily basis regardless of specific national security implications, even though the above four

goals also have direct relevance to CDC's new role in bioterrorism preparedness. In the

Response phase, CDC is part of the structured hierarchy of disaster planning and management

put forth in Emergency Support Function #8 (ESF) of the Federal Response Plan (FRP). In this

capacity, it is subordinate to HHS's Office of Emergency Preparedness (OEP), which is tasked as

the lead agency within HHS responsible for medical/health services in an emergency.

Strategy Development. The CDC is not involved in strategy development.

Policy, Guidance, and Regulation. The CDC develops "Prevention Guidelines," rules

and recommendations for the prevention and control of such public health threats as AIDS,

cholera, disaster response, dengue fever, suicide, vaccine-preventable diseases, lung cancer,

sexually transmitted diseases, birth defects, and malaria. In addition to information on specific

diseases and situations, the CDC Prevention Guidelines Database (PGDB) includes all of the

Advisory Committee on Immunization Practices' (ACIP) immunization recommendations,

CDC's sexually transmitted diseases treatment guidelines, and health information for

international travel. The database was developed to allow state and local health officials and

other public health practitioners to quickly access current CDC prevention guidelines.

Planning. The CDC produces Preventing Emerging Infectious Diseases: A Strategy for

the 21st Century. The four overarching goals: Surveillance and Response; Applied Research;

Infrastructure and Training; and Prevention and Control remain the focal points of this strategy

(from Addressing Emerging Infectious Diseases) with the objective of continuing the process of

strengthening the U.S. public health system through specific tasks related to each of the four

goals. The goals are meant to target infectious disease issues in nine specific areas (See section

on "Planning").

The CDC also participates in a medical/health response under the Department of Health

and Human Services Health and Medical Services Support Plan for the Federal Response to Acts

of Chemical/Biological (C/B) Terrorism. This plan is essentially an addendum to ESF #8 of the

FRP, and deals exclusively with acts of terrorism. The most important aspect of this plan is the

crisis versus consequence management phases of actual or potential C/B terrorist incidents. No

use will lead to termination of the response activities, while use will cause an immediate

transition to a consequence management response.

Mission Execution. Under the HHS Health and Medical Services Support Plan, the

CDC plays a subordinate role to HHS/OEP and provides support and expertise as stated in the

PREPAREDNESS RESPONSE

Crisis

Management

Consequence

Management
6

plan and as required by OEP. In a crisis management response, the FBI will notify the health

and medical services action agent (HHS/OEP). HHS/OEP will, in coordination with the FBI,

make appropriate notifications to health and medical services agencies.

Under a consequence management response, HHS may be notified directly, or Federal

Emergency Management Agency (FEMA) Headquarters may notify the health and medical

services action agent (OEP). OEP will notify the Assistant Secretary of Health (ASH) and

request activation of the HHS response plan for the Federal response to acts of C/B terrorism.

OEP will then concurrently notify the appropriate Regional Health Administrator(s). Upon

notification, HHS health and medical services emergency response members (including CDC)

will notify their parent agencies and report to the appropriate location as directed.

Observation, Orientation, and Oversight. The CDC maintains oversight over the

transfer and shipment of certain biological agents and organisms under 42 CFR Part 72,

Additional Requirements for Facilities Transferring or Receiving Select Agents. The regulation

was enacted as a rule implementing Section 511 of Public Law 104-132, "The Antiterrorism and

Effective Death Penalty Act of 1996,'' which requires the Secretary of HHS to regulate the

transfer of select agents. This rule places additional shipping and handling requirements on

facilities that transfer or receive select agents listed in the rule that are capable of causing

substantial harm to human health.

In addition, the CDC produces, along with the National Institutes of Health (NIH), the

Biosafety in Microbiological and Biomedical Laboratories (BMBL). The BMBL serves as the

only nationally and internationally recognized source for biosafety requirements for laboratories,

and hence, is incorporated in Additional Requirements for Facilities. The BMBL provides the

minimum requirements for Bio-Level-2, 3, and 4 laboratories and animal facilities, and is readily

applicable to a facility registration and inspection process.

Preparation. The CDC preparatory activities include: enhancing the ability of state and

local public health authorities, especially first-responders, to respond to and mitigate medical

emergencies and disasters through a comprehensive system of training and cooperation with state

and local health agencies; strengthening the country’s surveillance and response network through

cooperative agreements with various state and local health agencies (especially in large

metropolitan areas); establishment of the Metropolitan Medical Response Systems (MMRS) for

the purposes of immediate site-specific response capability by enhancing existing capabilities,

developing overall systems plans, raising awareness of Weapons of Mass Destruction (WMD)

agents, developing enhanced capability to operate in contaminated environments, and developing

specialized treatment protocols for WMD victims; establishment of a National Pharmaceutical

Stockpile to ensure the ready availability of drugs, vaccines, prophylactic medicines, chemical

antidotes, medical supplies, and equipment that might be needed in a medical response to a

biological or chemical terrorist incident; and working with public health partners such the

Association of Public Health Laboratories to implement a network of laboratories that will be

used to provide the most immediate diagnosis of biological and chemical agents in the event of a

suspected terrorist attack.

Resourcing. The CDC institutes a grants program aimed at enhancing capabilities in

planning, chemical/biological preparedness, surveillance support, and communications and

learning at the state and local level. These grants are distributed through the various cooperative

agreements mentioned previously. In FY99, the CDC has provided $121M to state and local
7

health offices to enhance preparedness and response to a terrorist attack involving a chemical or

biological agent.

Informally, although the FRP shows the CDC as subordinate to HHS/OEP in the

medical/health response facet, in fact it is an extremely proactive agency that undertakes an

almost self-initiated response, with most of its interaction taking place with affected local and

state health agencies. The general process for the CDC can be described as follows:

• State or local health authorities confirm medical emergency using surveillance

systems in place;

• CDC is notified for assistance in diagnosis and, if necessary, treatment;

• CDC responds immediately and begins the process of identifying the cause of

emergency;

• Collects and analyzes data (e.g., agent identification and epidemiological

investigation);

• Alerts other state and local health agencies and organizations on outbreak and

symptoms using information-sharing tools (e.g., web-based resources);

• Provides periodic updates and status reports on an outbreak to all state and local

governments and, if necessary, the federal government; and

• Coordinates containment and treatment activities as required, enlisting assistance

from other agencies and organizations as deemed necessary, including federal assets.

Conclusions and Observations.

As the name of the organizations suggests, disease control and prevention has been and

will continue to remain the CDC’s principal responsibility. All expertise, resources, processes,

and methodologies at CDC are focused on achieving this goal, now institutionalized in the

Center’s strategy to combat new and emerging diseases going into the next century.

The emergence in the past decade of the specter of biological terrorism on U.S. territory

has translated into added responsibility for the CDC: managing and attending to the

consequences of terrorist attack(s) using potentially lethal biological agents and toxins.

Although CDC core strategy and tactics in handling outbreaks remains the same regardless of

cause, the addition of the agency to the list of government agencies that are stakeholders in the

terrorism and WMD arenas raises issues that must be addressed in coming years.

Based on the information collected for this paper, both through research and via an

interview with a senior official at CDC, come the following observations:

• Questions on the scope of bioterrorism exist. The official from the CDC made the

point during the interview that bioterrorism should be considered in its own context, not in the

broader category of WMD. This is due to the fact that once it is categorized under WMD, it

becomes the "property" of numerous stakeholders in the WMD arena that consequently deprive
8

this issue of much needed specialized attention and resources. This suggests that given the

scientific and medical issues associated with the use of biological agents, "bioterrorism" should

perhaps be looked upon as more of a "medical" matter as opposed to a "political-military" issue.

• The effectiveness of the national response plan to acts of bioterrorism is subject to

debate. Although no situation has occurred to warrant activation of the national response plan,

the nature and structure of the FRP and its medical/health annexes raise several questions. Is the

process too bureaucratic and political? The CDC official suggested that this might be the case,

given the superfluous number of steps (on paper) that would have to be taken before CDC would

become involved in a crisis.

A similar question is whether this process (described under "Formal National Security

Process Involvement") is responsive enough in a crisis where a timely medical response is

absolutely vital. The CDC official doubted this, making the point that in a scenario where

success is measured by responding to an outbreak within hours, the structure of the FRP does not

provide enough flexibility for medical authorities (i.e., CDC) to respond to what may be a life

and death situation.

• A disconnect on the nature of the bio-threat seems to exist. The official from CDC

believed that the CDC was more concerned with the emergence of new diseases and the reemergence of deadlier versions of older ones than terrorist attacks using biological agents. The

official added that the United States should focus more on enhancing its medical/health

infrastructure to handle mass outbreaks. This raises the issue of whether there is any agreement

on the nature of the bio-threat, especially among the various organizations that work in this

arena.

• CDC’s role in bioterrorism is still evolving. CDC is a relative newcomer to the arena

of biological terrorism, and its role will continue to evolve as the nature of the issues described

above suggest. An important factor to gauge will be the Center's ability to work in inter-agency

structures and under the direction of a higher authority (HHS/OEP, Federal Bureau of

Investigation (FBI), etc.), and whether this enhances or erodes its capabilities in the field of

prevention and control.
9

ORGANIZATIONAL DESCRIPTION

CENTERS FOR DISEASE CONTROL AND PREVENTION (CDC)

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Statutes: None. The Centers for Disease Control and Prevention

(CDC) was founded in 1946 as the "Communicable Disease Center." As part of the U.S. Public

Health Service (PHS), the Center was originally tasked to work with state and local health

officials in the fight against malaria, typhus, and other communicable diseases.

The CDC was renamed the Centers for Disease Control and Prevention in 1970 to reflect

a broader mission in preventive health, that is, to promote the health and quality of life by

preventing and controlling disease, injury, and disability.1 The CDC is a subordinate agency of

the Department of Health and Human Services (HHS) and is headquartered in Atlanta, Georgia.

B. Department Directives:

(1) The Anti-Bioterrorism Initiative (Department of Health and Human

Services) (1998) is the Department's response to Presidential Decision Directive (PDD) 62 and

serves to institutionalize its efforts and activities in the field. The initiative focuses on four

major areas: improving the nation's public health surveillance network in order to quickly detect

whether a biologic agent has been released; strengthening the capacities for medical response,

especially at the local level; creating and maintaining a stockpile of drugs for use if mass

treatment is necessary; and expanding research into various disease agents, rapid diagnosis

methods, and improved treatments and vaccines.2 CDC would serve as the lead agency in this

effort and would work in conjunction with the Department, as well as other federal, and state and

local agencies, when a situation arises.

C. Interagency Directives:

(1) Presidential Decision Directive (PDD) 39 ("U.S. Policy on

Counterterrorism," June 21, 1995) established policy to reduce the nation's vulnerability to

terrorism, deter and respond to terrorism, and strengthen capabilities to detect, prevent, defeat,

and manage the consequences of terrorist use of Weapons of Mass Destruction (WMD). PDD 39

states "...that the United States will have the ability to respond rapidly and decisively to

terrorism directed against Americans wherever it occurs, arrest or defeat the perpetrators using

all appropriate instruments against the sponsoring organizations and governments, and provide

recovery relief to victims, as permitted by law."3 In addition, it designates the Federal

Emergency Management Agency (FEMA) as the lead agency for consequence management in

the United States and authorizes it to ensure agency compliance with the Federal Response Plan

(FRP). HHS (and consequently CDC), as a signatory to the FRP, participates in the inter-agency

response process and is responsible for the medical aspect of the effort.

 

1 Centers for Disease Control & Prevention (CDC) website:History (http://www.cdc.gov/od/oc/media/timeline.htm).

2 HHS Fact Sheet: "HHS Initiative Prepares For Possible Bioterrorism Threat;" (February 9, 1999).

3 Presidential Decision Directive (PDD) 39.
10

(2) PDD 62 ("Protection Against Unconventional Threats to the Homeland

and Americans Overseas," May 22, 1998) reinforced the mission of the agencies charged with

roles in combating terrorism. It also codifies and clarifies their activities in the wide range of

counterterrorism programs, from apprehension and prosecution of terrorists to increasing

transportation security, to enhancing response capabilities and protecting computer-based

systems. PDD 62 also establishes the Office of the National Coordinator for Security,

Infrastructure Protection and Counter-Terrorism. The National Coordinator will oversee the

broad variety of relevant policies and programs, including such areas as counterterrorism,

protection of critical infrastructure, and preparedness and consequence management for

(WMD).4 Mitigation of the effects of a WMD attack is where HHS and CDC would become

active, especially if an attack(s) involved lethal biological agents.

(3) The Federal Response Plan (FRP) (Federal Emergency Management

Agency) is an annual document developed and produced by FEMA and signed by 27 federal

agencies, including HHS. The document provides the mechanism for coordinating delivery of

federal assistance and resources (including the role and functions of federal agencies that are

signatories to the plan) to augment efforts of State and local governments overwhelmed by a

major disaster or emergency. Emergency Support Function (ESF) #8 (Health and Medical

Services Annex) of the FRP directs HHS (through the Office of Assistant Secretary for Health)

to lead the health and medical facet of the disaster response cycle.5 (See chapter in this volume

entitled Federal Emergency Management Agency).

2. Missions/Functions/Purposes.

A. Major Responsibilities: CDC serves as the national focus for developing and

applying disease prevention and control, environmental health, and health promotion and health

education activities designed to improve the health of the people of the United States. To

accomplish its mission, CDC:6

(1) Identifies and defines preventable health problems and maintains active

surveillance of diseases through epidemiologic and laboratory investigations and data collection,

analysis, and distribution [Key National Security Process Relationship: Mission Execution].

(2) Serves as the PHS lead agency in developing and implementing operational

programs relating to environmental health problems, and conducts operational research aimed at

developing and testing effective disease prevention, control, and health promotion programs

[Key National Security Process Relationship: Policy, Guidance, and Regulation].

(3) Administers a national program to develop recommended occupational safety

and health standards and to conduct research, training, and technical assistance to assure safe and

healthful working conditions for every working person [Key National Security Process

Relationship: Policy, Guidance, and Regulation and Preparation].

 

4 PDD 62. PDD 62 led to the creation of the National Domestic Preparedness Office (NDPO). Under the auspices of the

Department of Justice and FBI, the NDPO coordinates all federal efforts, including those of DoD, FEMA, HHS, DoE, and the

EPA, to assist state and local first responders with planning, training, equipment, and exercise necessary to respond to a

conventional or non-conventional weapon of mass destruction (WMD) incident.

5 Federal Response Plan (FRP): Emergency Support Function (ESF) #8: Health and Medical Services Annex.

6 CDC website: Functional Mission Statement (http://www.cdc.gov/od/funcmiss.htm).
11

(4) Develops and implements a program to sustain a strong national workforce in

disease prevention and control [Key National Security Process Relationship: Preparation].

(5) Conducts a national program for improving the performance of clinical

laboratories [Key National Security Process Relationship: Preparation].

(6) Controls the introduction and spread of infectious diseases, and provides

consultation and assistance to other nations and international agencies to assist in improving their

disease prevention and control, environmental health, and health promotion activities [Key

National Security Process Relationship: Mission Execution and Preparation].

(7) Administers the Preventive Health and Health Services Block Grant and

specific preventive health categorical grant programs while providing program expertise and

assistance in responding to federal, state, local, and private organizations on matters related to

disease prevention and control activities [Key National Security Process Relationship:

Resourcing].

B. Subordinate Activities and Agencies: None. However, CDC performs many of the

tasks of the Agency for Toxic Substances and Disease Registry (ATSDR), its sister agency

within HHS. The CDC Director also acts as Administrator of ATSDR.

The ATSDR seeks to prevent exposure and adverse health effects associated with

exposure to hazardous substances from waste sites. The agency conducts public health

assessments, health studies, surveillance activities, and health education training in communities

around waste sites. ATSDR also develops toxicological profiles of hazardous chemicals found at

these sites.

C. Major Products: None. However, the National Center for Infectious Diseases

(NCID), a division of CDC, produced Preventing Emerging Infectious Diseases: A Strategy for

the 21st Century, which lays the foundation for CDC's campaign to control and combat emerging

diseases, including those resulting from a terrorist attack (See section on "Strategy" for a more

detailed description).

3. Vision and Core Competencies.

A. Vision: CDC's vision is as follows:7

(1) "To be a diligent steward of the funds entrusted to it;

(2) To provide an environment for intellectual and personal growth and integrity;

(3) To base all public health decisions on the highest quality scientific data,

openly and objectively derived;

(4) To place the benefits to society above the benefits to the institution; and

 

7 CDC website: CDC Pledge (http://www.cdc.gov/od/pledge.htm).
12

(5) To treat all persons with dignity, honesty, and respect."

B. Core Competencies: None published.

4. Organizational Culture.

A. Values: CDC's three core values are:8

(1) Accountability: "As diligent stewards of public trust and public funds, we act

decisively and compassionately in service to the people’s health. We ensure that our research and

our services are based on sound science and meet real public needs to achieve our public health

goals."

(2) Respect: "We respect and understand our interdependence with all people

both inside the agency and throughout the world, treating them and their contributions with

dignity and valuing individual and cultural diversity. We are committed to achieving a diverse

workforce at all levels of the organization."

(3) Integrity: "We are honest and ethical in all we do. We will do what we say.

We prize scientific integrity and professional excellence."

B. Leadership Traditions: The Directors of CDC are medical doctors and typically also

hold advanced degrees in the field of public health (as does the current director). The CDC

Director also acts as the Chairman of the National Science and Technology Council's-(Office of

Science and Technology Policy (OSTP) Interagency Working Group on Emerging and Reemerging Infectious Diseases. In addition, the Director also co-chairs the Emerging Infectious

Diseases Task Force, a body established to provide strategic planning and further coordination

on issues pertaining to emerging infectious diseases.9

C. Staff Attributes: Over 170 fields and professions are represented at CDC, including

microbiology, chemistry, computer science, health education, economics, graphic design, and

medical doctors. More specialized characteristics in the bioterrorism arena include extensive

experience in epidemic response and control.

D. Strategy: CDC is currently in the process of developing a strategic plan that

specifically addresses the activities required to ensure preparedness and timely response to a

threat or actual act of bioterrorism.10 A driving force behind development of such a plan could

be the National Security Strategy's (NSS) emphasis and position on the threat of biological

agents and their use:11

 

8 CDC website: CDC Core Values (http://www.cdc.gov/od/core.htm)

9 "Preventing Emerging Infectious Diseases: A Strategy for the 21st Century;" National Center for Infectious Diseases, CDC

(October 1998). The Task Force also includes: National Institutes for Health (NIH), Food and Drug Administration (FDA),

U.S. Agency for International Development (USAID), Department of Defense (DoD), Department of Agriculture (DoA),

Department of State (DoS), National Oceanic and Atmospheric Administration (Department of Commerce), and the National

Aeronautics and Space Administration (NASA).

10 Based on the September 22, 1999 testimony of Dr. Scott Lillibridge, NCID, before the Subcommittee on National Security,

Veterans Affairs, and International Relations of the House Committee on Government Reform on enhancing national public

health capacity to respond to bioterrorism.

11"A National Security Strategy for a New Century".
13

"The threat of biological weapons is particularly troubling. In his May 1998

commencement speech at Annapolis, the President announced a comprehensive strategy

to protect our civilian population from the scourge of biological weapons. There are

four critical areas of focus:

First, if a hostile nation or terrorists release bacteria or viruses to harm Americans,

we must be able to identify the pathogens with speed and certainty. We will

upgrade our public health and medical surveillance systems. These improvements

will benefit not only our preparedness for a biological weapons attack—they will

enhance our ability to respond quickly and effectively to outbreaks of emerging

infectious diseases.

Second, our emergency response personnel must have the training and equipment

to do their jobs right. We will help ensure that federal, state and local authorities

have the resources and knowledge they need to deal with a crisis.

Third, we must have the medicines and vaccines needed to treat those who fall sick

or prevent those at risk from falling ill because of a biological weapons attack. The

President will propose the creation of a civilian stockpile of medicines and vaccines

to counter the pathogens most likely to be in the hands of terrorists or hostile

powers.

Fourth, the revolution in biotechnology offers enormous possibilities for combating

biological weapons. We will coordinate research and development efforts to use the

advances in genetic engineering and biotechnology to create the next generation of

medicines, vaccines and diagnostic tools for use against these weapons. At the

same time, we must continue our efforts to prevent biotechnology innovations from

being applied to development of ever more difficult to counter biological weapons."

In 1998, NCID issued Preventing Emerging Infectious Diseases: A Strategy for the 21st

Century, its plan for responding to and preventing the emergence and spread of infectious

diseases. This document is the sequel to the 1994 Addressing Emerging Infectious Diseases: A

Prevention Strategy for the United States, and represents the next step in CDC's effort to combat

today's emerging diseases and preventing those of tomorrow.

Addressing Emerging Infectious Diseases was developed in response to a 1992 report by

the Institute of Medicine entitled Emerging Infections: Microbial Threats to Health in the United

States. The report emphasized the intimate links between U.S. health and international health

and described the major factors that contribute to disease emergence, including societal changes

and the ability of microbes to evolve and adapt. It concluded that emerging infectious diseases

are a major threat to U.S. health, and it challenged the U.S. government to take action.

The four goals outlined in "Preventing Emerging Infectious Diseases..." have a bearing

on CDC's, and in the larger context, HHS's, plans for combating bioterrorism. These four goals

are:

(1) Surveillance and Response: Detect, investigate, and monitor emerging

pathogens, the diseases they cause, and the factors influencing their emergence, and respond to

problems as they are identified. The objectives in this area are:
14

(a) Strengthen infectious disease surveillance and response;

(b) Improve methods for gathering and evaluating surveillance data;

(c) Assure the use of surveillance data to improve public health practice

and medical treatment; and

(d) Strengthen global capacity to monitor and respond to emerging

infectious diseases.

(2) Applied Research: Integrate laboratory science and epidemiology to optimize

public health practice. Objectives are:

(a) Develop, evaluate, and disseminate tools for identifying and

understanding emerging infectious diseases;

(b) Identify the behaviors, environments, and host factors that put people

at increased risk for infectious diseases and their sequelae; and

(c) Conduct research to develop and evaluate prevention and control

strategies in the nine target areas.

(3) Infrastructure and Training: Strengthen public health infrastructures to

support surveillance and research and to implement prevention and control programs. Objectives

are:

(a) Enhance epidemiologic and laboratory capacity;

(b) Improve CDC’s ability to communicate electronically with state and

local health departments, U.S. quarantine stations, health care professionals, and others;

(c) Enhance the nation’s capacity to respond to complex infectious disease

threats in the United States and internationally, including outbreaks that may result from

bioterrorism; and

(d) Provide training opportunities in infectious disease epidemiology and

diagnosis in the United States and throughout the world.

(4) Prevention and Control: Ensure prompt implementation of prevention

strategies and enhance communication of public health information about emerging diseases.

The objectives in this area are:

(a) Implement, support, and evaluate programs for the prevention and

control of emerging infectious diseases;

(b) Develop, evaluate, and promote strategies to help health care providers

and other individuals change behaviors that facilitate disease transmission; and

(c) Support and promote disease control and prevention internationally.
15

E. Organizational Structure: The CDC is organized as follows:

Figure 1. CDC Organizational Structure

(1) Office of the Director: Accomplishes the following:

(a) Manages and directs the activities of the Centers for Disease Control

and Prevention;

(b) Provides leadership for the implementation of CDC's responsibilities

related to disease prevention and control;

Office of the Director

CDC Washington Office

Office of Program

Planning and Evaluation

Office of

Communications

Office of Program

Support

Office of Global Health

Office of Women's

Health

Office of Health and

Safety

Office of Equal

Employment

Opportunity

National Vaccine

Program Office

Public Health

Practice

Program

Office

Epidemiology

Program

Office

National

Immunization

Program

National Center

for Chronic

Disease

Prevention and

Health

Promotion

National

Center for

Environmental

Health

National

Center for

Infectious

Diseases

National Center

for HIV, STD, and

TB Prevention

National

Center for

Health

Statistics

National Center

for Injury

Prevention and

Control

National

Institute for

Occupational

Safety and

Health

Bio-Terrorism Preparedness

and Response
16

(c) Advises the Assistant Secretary for Health and Surgeon General on

policy matters concerning CDC activities;

(d) Participates in the development of CDC goals and objectives;

(e) Provides overall direction and coordination to the epidemiologic

activities of the Centers for Disease Control and Prevention;

(f) Coordinates the CDC response to health emergencies;

(g) Provides liaison with other governmental agencies, international

organizations including the World Health Organization and the U.S. Agency for International

Development, learning institutions, and other outside groups;

(h) Coordinates, in collaboration with the PHS Office of International

Health, international health activities relating to disease prevention and control;

(i) Provides or obtains (in cooperation with the PHS Regional Offices)

technical assistance for State and local health departments and private and official agencies as

needed;

(j) Provides overall direction to, and coordination of, the

scientific/medical programs of CDC;

(k) Plans, promotes, and coordinates an ongoing program to assure equal

employment opportunities in CDC;

(l) Provides leadership, coordination, and assessment of administrative

management activities;

(m) Coordinates or assures coordination with the appropriate PHS staff

offices on administrative and program matters; and

(n) Coordinates the consumer affairs activities for CDC.

(2) CDC-Washington Office (CDC/W): Provides up-to-date, science-based

information for public health policy and legislation. The office serves as a resource on CDC for

Congressional staff and other Washington-based organizations. CDC/W provides information

about public health and CDC programs, links Hill staff with CDC experts, arranges briefings

with CDC officials, and provides background on a broad range of public health issues. The

office also ensures that the CDC staff receives information, advice, and guidance regarding

Congressional activities that affect CDC.

Some of the information that CDC provides to Congressional offices are health statistics,

including vital statistics, morbidity and mortality data, disease rates and trends; State Health

Profile booklets that include highlights of health status, prevention efforts, and CDC funding for

each State; Health, United States, an annual report on the health of the country that includes

state-specific data; MMWR (Morbidity and Mortality Weekly Report) for news on selected health
17

issues and cases of selected diseases; Fact Sheets on current and emerging health and safety

issues; Subject-Matter Experts for briefings and special or local events; and international travel

information, such as health precautions and vaccination requirements.

(3) Office of Global Health (OGH): Works to improve health worldwide by

providing leadership, coordination, and support for CDC’s global health activities in

collaboration with CDC’s global health partners. OGH accomplishes this mission by:12

(a) "Providing leadership in the development of cross-cutting policy,

plans, and programs related to CDC’s global health interests;

(b) Assisting Centers/Institutes/Offices (CIOs), other federal agencies,

countries, and non-governmental agencies in the implementation of appropriate policy, plans,

and programs for which they have responsibilities;

(c) Enhancing global health partnerships by serving as the entry point for

external organizations with an interest in CDC’s global health activities;

(d) Supporting CDC staff in their international travel through passports,

visas, and country clearance cables;

(e) Coordinating interactions between CIOs, the Office of International

and Refugee Health, and other key governmental entities on global health issues;

(f) Assessing evolving global health issues and, in cooperation with

Ministries of Health and other appropriate institutions, identifies and develops activities to which

CDC’s technical expertise would be of maximum benefit;

(g) Managing overseas and domestic staff whose service is primarily of a

cross-cutting nature in global health initiatives; and

(h) Accomplishing its tasks through policy coordination, advocacy,

mobilizing resources, and building partnerships."

(4) Office of Program Planning & Evaluation (OPPE): Is the main policydeveloping body with CDC and leads the strategic planning effort for the Center as a whole.

OPPE is also responsible for evaluation of all programs at CDC and for developing the Center's

annual budget.

(5) Office of Women's Health: Works to improve women's health through

research and prevention in the areas of violence and injury, Sexually Transmitted Diseases

(STDs), HIV/AIDS, tobacco use, reproductive health, breast and cervical cancer, and health in

later years.

(6) Office of Communications: Composed of four divisions: Health

Communication, Media Relations, Global Health Odyssey, and the Freedom of Information Act

(FOIA) Office. Health Communication is responsible for dissemination of health information to

the public through publication of health statistics and factsheets on various health topics. Media

 

12 CDC website: Office of Global Health (http://www.cdc.gov/ogh/aboutus.htm).
18

Relations is responsible for production and distribution of CDC material and information to the

media via on-line publications, press kits, and press releases and summaries. The Global Health

Odyssey is an interactive educational facility where people can learn about CDC and public

health and about the benefits of prevention in daily life. The FOIA Office is in charge of

providing information and material on the CDC requested under the Freedom of Information

Act.

(7) Office of Health and Safety: Promotes and assists in the achievement of a

safe and healthful work environment for CDC employees, contractors, and visitors.

(8) Office of Program Support: Develops, provides, and supports products and

services for CDC's infrastructure that facilitate the collection, management, analysis and

dissemination of data and information for public health, management of resources, transaction of

business functions, and protection of information assets. Also performs a variety of duties

related to the administration of federal procurements and grants.

(9) Office of Equal Employment and Opportunity: Responsible for ensuring

compliance with the Equal Employment Opportunity Act and other civil rights issues.

(10) National Vaccine Program Office (NVPO): Coordinates and integrates

activities of all federal agencies involved in immunization efforts; ensures that these agencies

collaborate, so that immunization activities are carried out in an efficient, consistent, and timely

manner; develops and implements strategies for achieving the highest possible level of

prevention of human diseases through immunization and the highest possible level of

prevention of adverse reactions to vaccines; and ensures that no gaps occur in federal planning of

vaccine and immunization activities. The National Vaccine Program was created by Congress

(P.L. 99-660), with the National Vaccine Program Office designated to provide leadership,

oversight, and coordination among federal agencies, as they work together to carry out the goals

of the National Vaccine Plan.

(11) Public Health Practice Program Office (PHPPO): Works to strengthen the

public health system through workforce development, information system development,

laboratory improvement, and system research and development. The Office is divided into five

divisions: Sustainable Management Development Program (SMDP), Public Health Training

Network (PHTN), Division of Laboratory Systems (DLS), Division of Public Health Systems

(DPHS), and Information Network for Public Health Officials (INPHO).

SMDP assists developing countries in strengthening in-country management training

capacity for public health. PHTN is a distance learning system that uses a variety of

instructional media, ranging from print-based to videotape and multimedia, to meet the training

needs of the public health workforce nationwide. DLS works to improve the quality of

laboratory practices by providing global leadership and fostering partnerships and collaborations,

conducts research and surveillance, disseminates information, provides training and education,

develops and promotes standards and guidelines, and assesses technologies and their applications

in support of the continuous improvement of the public's health.

DPHS is responsible for collaborating with partners to establish leadership programs for

national, state, and regional leadership development, and supporting the National Public Health

Leadership Development Network. In addition, it fosters partnerships with national and state-
19

based public health organizations to develop and use performance measures through

development of national performance indicators for public health organizations, and initiation of

a comprehensive public health organizational capacity and performance surveillance system.

Furthermore, DPHS conducts field-testing; disseminates and evaluates the Guide to Community

Preventive Services; and updates and packages CDC's Prevention Guideline Database. INPHO

utilizes telecommunications and computer networks to give state and community public health

practitioners improved access to information resources by linking local clinics, state and federal

health agencies, hospitals, managed care organizations, and other providers.

(12) Epidemiology Program Office (EPO): Strengthens the public health system

by coordinating public health surveillance at CDC and providing domestic and international

support through scientific communications, statistical and epidemiologic consultation, and

training of experts in surveillance, epidemiology, applied public health, and prevention

effectiveness.

(13) National Immunization Program (NIP): Provides leadership for the

planning, coordination, and conduct of immunization activities nationwide. In doing this, the

NIP:

(a) Provides consultation, training, statistical, promotional, educational,

epidemiological, and technical services to assist health departments in planning, developing, and

implementing immunization programs;

(b) Supports the establishment of vaccine supply contacts for vaccine

distribution to state and local immunization programs;

(c) Assists health departments in developing vaccine information

management systems to facilitate identification of children who need vaccinations; helps parents

and providers ensure that all children are immunized at the appropriate age; assesses vaccination

levels in state and local areas; monitors the safety and efficacy of vaccines by linking vaccine

administration information with adverse event reporting and disease outbreak patterns;

(d) Administers research and operational programs for the prevention and

control of vaccine-preventable diseases;

(e) Supports a nationwide framework for effective surveillance of

designated diseases for which effective immunizing agents are available; and

(f) Supervises state and local assignees working on immunization

activities.

(14) National Center for Chronic Diseases Prevention and Health Promotion:

Works to prevent death and disability from chronic diseases; promotes maternal, infant, and

adolescent health; and promotes healthy personal behaviors. The Center strives to accomplish

these goals in partnership with health and education agencies, major voluntary associations, the

private sector, and other federal agencies.

(15) National Center for Environmental Health (NCEH): Provides national

leadership, through science and service, that promotes health and quality of life by preventing or
20

controlling those diseases, birth defects, disabilities, or deaths that result from interactions

between people and their environment.

(16) National Center for Health Statistics (NCHS): Responsible for the

collection, analyses, and dissemination of health statistics, including surveys and data collection

systems, publications and information products, and news releases and factsheets.

(17) National Center for Infectious Diseases (NCID): Works to prevent illness,

disability, and death caused by infectious diseases in the United States and around the world.

NCID staff work in partnership with local and state public health officials, other federal

agencies, medical and public health professional associations, infectious disease experts from

academic and clinical practice, and international and public service organizations. NCID

accomplishes its mission by conducting surveillance, epidemic investigations, epidemiologic and

laboratory research, training, and public education programs to develop, evaluate, and promote

prevention and control strategies for infectious diseases.

NCID is also home to the Office of Bioterrorism Preparedness and Response. This office

acts as CDC's focal point for combating bioterrorism and also acts as a clearinghouse for

information and resources on preparing for and responding to incidents of bioterrorism. This

includes information on incident protocol, background information on various biological agents,

and guidelines and procedures on response and management of an outbreak.

(18) National Center for Injury Prevention and Control (NCIPC): Works to

reduce morbidity, disability, mortality, and costs associated with injuries.

(19) National Center for HIV, STD, and TB Prevention (NCHSTP):

Organized into an Office of the Director and four divisions: HIV/AIDS Prevention-Surveillance

and Epidemiology (DHAP-SE), HIV/AIDS Prevention-Intervention Research and Support

(DHAP-IRS), TB Elimination (DTBE), and STD Prevention (DSTDP).

DHAP-SE conducts surveillance and epidemiologic and behavioral research to monitor

trends and risk behaviors and provide a basis for targeting prevention resources. DHAP-IRS

conducts behavioral intervention and operations research and evaluation and provides financial

and technical assistance for HIV prevention programs conducted by state, local, and territorial

health departments; national minority organizations; community-based organizations; business;

labor; religious organizations; and training agencies.

DTBE conducts surveillance and epidemiologic, behavioral, and operations research,

both in the United States and in developing countries, and provides information and education to

health care providers, persons at high risk, and the general population. It also supports state and

local health department efforts in preventing and controlling TB through directly observed

therapy to ensure treatment completion by patients; in following up for persons with TB,

suspected of having TB, or exposed to TB; in strengthening of laboratory activities; and in TB

screening among persons at high risk and preventive therapy for persons found with infection.
21

DSTDP does the following:

(a) Conducts surveillance; epidemiologic, behavioral, and operations

research; and program evaluation related to STDs, including syphilis, gonorrhea, chlamydia,

human papillomavirus, genital herpes, and hepatitis B;

(b) Assists states and selected localities in reaching those at risk for

infection with STDs;

(c) Works to prevent infertility and pelvic inflammatory disease and its

complications, which can include ectopic pregnancy, cancer, and fetal or infant death;

(d) Collaborates with other agencies and groups, particularly communitybased organizations, to enhance STD prevention awareness; and

(e) Supports programs in developing countries for surveillance, research,

and prevention.

(20) National Institute for Occupational Safety and Health (NIOSH):

Responsible for conducting research and making recommendations for the prevention of workrelated illnesses and injuries. The Institute's responsibilities include:

(a) Investigating potentially hazardous working conditions as requested by

employers or employees;

(b) Evaluating hazards in the workplace, ranging from chemicals to

machinery;

(c) Creating and disseminating methods for preventing disease, injury, and

disability;

(d) Conducting research and providing scientifically valid

recommendations for protecting workers; and

(e) Providing education and training to individuals preparing for or

actively working in the field of occupational safety and health.
22

5. Formal National Security Process Involvement. It is important to note that the following

sections describe the CDC’s “on-paper” national security process involvement. This distinction

is necessary because the processes described below differ in some ways from how the CDC

participates in the national security process “in-reality,” based on an interview with an official at

the Center.13 The following table illustrates the CDC's major products and roles in the seven key

national security processes:

Strategy

Development

Policy, Guidance,

and Regulation

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Identifies and defines preventable 

health problems 







 























Chairs OSTP IWG on 

Emerging and 

Reemerging 

Infectious Diseases 



Co-Chairs Task Force 

on Emerging 

Infectious Diseases



Roles Products

Identifies and defines preventable 

health problems

Maintains active surveillance of 

diseases

Develops and tests disease 

prevention, control and health 

promotion programs

Develops occupational safety and 

health standards 

CDC Director 

Develops CDC Prevention Guidelines

Controls intro and spread of infectious 

diseases

Provides assistance grants to state 

and local health agencies 

Produced "Preventing Emerging 

Infectious Diseases"

Works under the authority of 

HHS/OEP in medical emergency 

responses

Maintains medical/health cooperative 

agreements with state and local health 

agencies (e.g., EIPs and ELCs)

Maintains oversight over transfer and 

shipment of certain bio agents and 

organisms 

Establishes MMSTs

Establishes the National 

Pharmaceutical Stockpile 

Enhances response capacity of state 

and local health agencies 

Produces the BMBL

Develops fact sheets on bio agents 

and protocol procedures for bio 

attacks

 

13 Described in the section on “Informal National Security Process Involvement”.
23

In light of this, the CDC plays a supporting role in the formal national security process.

This role consists of involvement in the following areas:

 - Surveillance and Response

 - Applied Research

 - Infrastructure and Training

 - Prevention and Control

Figure 2. CDC Role in Formal National Security Process

The Preparedness phase forms the basis of CDC's core responsibilities, that is, prevention

and control through preparation. Consequently, CDC performs the related tasks independently

and on a daily basis regardless of specific national security implications, even though these four

goals also have direct relevance to CDC's new role in bioterrorism preparedness.

In the Response phase, CDC is part of the structured hierarchy of disaster planning and

management put forth in ESF #8 of the FRP. In this capacity, it is subordinate to HHS's Office

of Emergency Preparedness (OEP), which is tasked as the lead agency within HHS responsible

for medical/health services in an emergency.14

A. Strategy Development: CDC is not involved in strategy development. 

B. Policy, Guidance, and Regulation: This process is illustrated in Appendix 1.

(1) Major Activities:

(a) Develops "Prevention Guidelines," rules and recommendations for the

prevention and control of such public health threats as AIDS, cholera, disaster response, dengue

fever, suicide, vaccine-preventable diseases, lung cancer, sexually transmitted diseases, birth

defects, and malaria.

In addition to information on specific diseases and situations, the CDC Prevention

Guidelines Database (PGDB) includes all of the Advisory Committee on Immunization

Practices' (ACIP) immunization recommendations, CDC's sexually transmitted diseases

treatment guidelines, and health information for international travel. The database was

developed to allow state and local health officials and other public health practitioners to quickly

access current CDC prevention guidelines.15 Essentially, these guidelines constitute "medical

information and advice," meaning they are provided as a resource for interested and/or affected

parties.

(b) The Office of Bioterrorism Preparedness and Response provides

further information as it relates to bioterrorism, including factsheets on various biological agents

 

14 FRP: ESF #8.

15 CDC website: CDC Prevention Guidelines.

PREPAREDNESS RESPONSE

Crisis

Management

Consequence

Management
24

and guidelines for implementation of procedures in case(s) of bioterrorist attack (See Appendix

1).

(2) Major Stakeholders: CDC, state and local health agencies, and public health

practitioners (e.g., HMOs).

(3) Key Organizational Processes: A CDC Steering Committee selects entries

for the prevention guidelines database through recommendations of the Associate Directors for

Science and PGDB liaisons at CDC's centers, institutes, and offices. This committee includes

representatives from CDC's Public Health Practice Program Office, Information Resources

Management Office, and Epidemiology Program Office.16

(4) Associated Higher-Level Processes: None.

(5) Associated Lower-Level Processes: None.

C. Planning:

(1) Major Activities:

(a) Produces Preventing Emerging Infectious Diseases: A Strategy for the

21st Century. The four overarching goals: Surveillance and Response; Applied Research;

Infrastructure and Training; and Prevention and Control remain the focal points of this strategy

(from Addressing Emerging Infectious Diseases) with the objective of continuing the process of

strengthening the U.S. public health system through specific tasks related to each of the four

goals. The goals are meant to target infectious disease issues in nine specific areas. They are:

Antimicrobial Resistance; Foodborne and Waterborne Diseases; Vectorborne and Zoonotic

Diseases; Diseases Transmitted Through Blood Transfusions or Blood Products; Chronic

Diseases Caused by Infectious Agents; Vaccine Development and Use; Diseases of People with

Impaired Host Defenses; Diseases of Pregnant Women and Newborns; and Diseases of

Travelers, Immigrants, and Refugees. 17

By enhancing the U.S. public health system's effectiveness in the aforementioned four

goals and its capacity to deal with issues arising from the above targets, "Preventing Emerging

Infectious Diseases..." intends to produce the following outcomes in the next five years:18

(i) "A nationwide network for surveillance and response will

ensure the prompt identification of emerging infectious diseases. State and local health

departments will have the equipment and trained personnel needed to serve as the front line

public health response to infectious disease threats;

(ii) Intensive population-based surveillance and research programs

in at least 10 areas of the United States will generate data to identify new threats to public health

and help guide responses to emerging infectious diseases;

 

16 CDC website: "CDC Prevention Guidelines".

17 "Preventing Emerging Infectious Diseases".

18 "Preventing Emerging Infectious Diseases".
25

(iii) Health departments will rapidly detect and investigate

outbreaks of foodborne illnesses using sophisticated epidemiologic and laboratory techniques.

Early detection will facilitate rapid implementation of control measures and the prevention of

illness and death;

(iv) Countries in all regions of the world will participate in a global

system for surveillance and response that includes surveillance for infectious agents that are

resistant to antimicrobial drugs. This effort will be undertaken in partnership with the World

Health Organization and other organizations and agencies around the world;

(v) Enhancement of the public health infrastructure will help

prepare the United States to respond to bioterrorist incidents;

(vi) Improved diagnostic testing methods will be developed for

new, reemerging, and drug-resistant pathogens; 

(vii) A better understanding of risk factors for the development of

infection and disease will provide new opportunities for disease prevention;

(viii) A better understanding of relationships between infectious

agents and some chronic diseases will lead to new strategies for preventing and treating chronic

diseases;

(ix) New strategies will be designed to reduce insect vector

populations and control animal populations that serve as reservoirs for human diseases;

(x) Diagnostic and reference reagents will be available for use by

public health laboratories. CDC will have enhanced capacity to serve as the national reference

center for diagnosis of infectious diseases and for drug-resistance testing;

(xi) The next generation of epidemiologists and laboratory

professional will be trained and prepared to respond to emerging infectious disease threats;

(xii) Implementation of prevention guidelines will result in

decreased death and disability due to nosocomial infections, opportunistic infections,

antimicrobial resistance, and infections in newborns;

(xiii) Cooperative efforts among managed care organizations,

health care facilities, state and local health departments, and CDC will improve treatment and

prevention of infectious diseases;

(xiv) Deaths from vaccine-preventable diseases will be

significantly reduced in the United States and abroad; and

(xv) Community-based demonstration programs will help identify

cost-effective approaches to addressing emerging infectious disease problems."

(b) Participates in a medical/health response under the Department of

Health and Human Services Health and Medical Services Support Plan for the Federal Response
26

to Acts of Chemical/Biological (C/B) Terrorism. This plan is essentially an addendum to ESF #8

of the FRP, and deals exclusively with acts of terrorism.

The most important aspect of this plan is the crisis versus consequence management

phases of actual or potential C/B terrorist incidents. The crisis management response process is

shown in the C/B terrorism response decision tree below for a scenario proceeding from a threat

to either no use or use of a C/B terrorist weapon. No use will lead to termination of the response

activities, while use will cause an immediate transition to a consequence management

response:19

Figure 3. C/B Terrorism Response Decision Tree

The crisis management phase is carried out under the authority of the FBI. The FBI C/B

Incident Contingency Plan sets the basis for acquiring the necessary federal technical, scientific,

and medical operational support to bolster its investigative and crisis management abilities and to

augment local and state resources in addressing the threat inherent in a C/B incident.

Operational support, both in the form of advisory technical support and the operational

deployment of resources and personnel to the scene of a C/B incident, is available from several

federal agencies pursuant to the FBI plan. These specialized resources are drawn primarily from

HHS, DoD, the Department of Energy (DoE), and the Environmental Protection Agency (EPA).

These agencies maintain specialized expertise necessary in managing a C/B-related crisis. For

example, HHS may provide advanced scientific monitoring, testing, and analysis of the threat,

along with pre-positioned resources, in responding to the consequences of a C/B incident.

The FBI's C/B Incident Contingency Plan incorporates a graduated response mechanism

to a C/B terrorist incident: assessment of the threat, provision of technical advice to the incident

manager, deployment of technical personnel and resources, and marshaling of consequence

management resources. The national-level crisis management response will be coordinated by

the FBI at the FBI Strategic Information Operations Center (SIOC).

Upon notification of a C/B terrorist crisis management requirement by the FBI, HHS will

activate an Emergency Operations Center (HHS/EOC) under the direction of the Assistant

Secretary of Health (ASH).20 For each portion of the FBI C/B Incident Contingency Plan, HHS,

supported by DoD, DoE, Department of Transportation (DOT), and the EPA, will support the

FBI in threat assessment, identification of contaminants, sample collection and analysis, on-site

safety and prevention activities, identification of C/B subject matter experts, and enhanced

consultation and deployment capability. The goal is to support crisis management and assist in

the preparation for response to a potential agent release.21

 

19 “Department of Health and Human Services Health and Medical...”.

20 The ASH oversees HHS/OEP.

21 “Department of Health and Human Services Health and Medical...”.

NO THREAT

NO USE

USE

THREAT

HOAX

CREDIBLE

USE

NO USE
27

In the consequence management phase, HHS is the Lead Federal Agency (LFA) for

health and medical services support within a federal consequence management response to a C/B

terrorist act. The HHS Health and Medical Services Support Plan identifies 20 specific, highly

specialized, and time-critical health and medical services functions in response to acts of C/B

terrorism.22 The 20 functions are in addition to the requirements for health and medical services

support in a consequence management response identified in the FRP, ESF #8. These tasks are

undertaken either by a single agency or entity or several bodies with cross-cutting interests and

expertise. CDC is assigned the lead agency role for three of the aforementioned tasks:

(i) “Agent Identification: CDC will coordinate the agent

identification process and actions;

(ii) Epidemiological Investigation: CDC will coordinate the

inquiry into the incidence, distribution, and control of a suspected disease or pathogen; and

(iii) Worker Health and Safety: CDC will coordinate requirements

to ensure health and safety measures for response workers.”23

The major differences between health and medical services support provided in response

to a C/B terrorist act and those provided in response to a natural or man-made disaster, are the

need for specialized health and medical services support, the critical, time-sensitive response

requirements, and the need to gather evidence to support criminal investigations associated with

a consequence management response to a C/B terrorist incident. The 20 health and medical

services support functions for C/B consequence management are focused on being implemented

in the first few hours following a C/B terrorist act. A health and medical services consequence

management response to a C/B terrorist act is performed as a time-sensitive precursor to a full

response under the structure of the FRP, ESF #8.

(2) Major Stakeholders: CDC, HHS (specifically OEP), FBI, FEMA, DoD,

DoE, DOT, EPA, state and local health agencies, and public health practitioners.

(3) Key Organizational Processes: CDC will implement "Preventing Emerging

Infectious Diseases" through partnerships with other federal agencies and state and local health

agencies and organizations (e.g., HMOs).24 As it carries out this plan, it will coordinate with

state and local health departments (i.e., on surveillance of infectious diseases), academic centers

and other federal agencies (i.e., on research agendas), health care providers and health care

networks (i.e., on development and dissemination of guidelines), international organizations (i.e.,

on outbreak responses over-seas), and other partners. The strategy was developed and prepared

under the leadership of NCID, with significant input from other major CDC programs and

centers involved in addressing emerging infectious disease issues. These include NCHSTP and

the NIP. Other parts of CDC that support infectious disease prevention and control include

CDC’s Office of Global Health, Epidemiology Program Office, Public Health Practice Program

Office, and the National Institute for Occupational Safety and Health.25

 

22 See section on “Mission Execution” for functions.

23 “Department of Health and Human Services Health and Medical...”.

24 Refer to Footnote #9 for list of federal agencies.

25 "Preventing Emerging Infectious Diseases".
28

The "Department of Health and Human Services Health and Medical Services Support

Plan" is developed and produced by HHS/OEP and can be implemented by HHS prior to formal

implementation of the FRP. The plan retains the same structure and scope as ESF #8:

operational definitions, concept of operations (i.e., crisis response versus consequence

management), chain of command authority, and participating agencies and their

responsibilities.26

(4) Associated Higher-Level Processes: None.

(5) Associated Lower-Level Processes: Both plans described above are

developed and implemented at the department (HHS) and agency (CDC) level. The Department

of Health and Human Services Health and Medical Services Support Plan was developed to

work in conjunction with ESF #8 of the FRP (See chapter in this volume entitled Federal

Emergency Management Agency for details on the development of the FRP.)

D. Mission Execution: It is important to note that under the HHS Health and Medical

Services Support Plan, CDC plays a subordinate role to HHS/OEP and provides support and

expertise as stated in the plan and as required by OEP. This relationship is shown in the

following diagram:

 

Figure 4. Crisis vs. Consequence Management Notification Chain

(1) Major Activities:

(a) Under a crisis management response, the FBI will notify the health and

medical services action agent (HHS/OEP). HHS/OEP will, in coordination with the FBI, make

appropriate notifications to health and medical services agencies.

(b) Under a consequence management response, HHS may be notified

directly, or FEMA Headquarters may notify the health and medical services action agent (OEP).

OEP will notify the ASH and request activation of the HHS response plan for the Federal

response to acts of C/B terrorism. OEP will then concurrently notify the appropriate Regional

Health Administrator(s). Upon notification, HHS health and medical services emergency

response members (including CDC) will notify their parent agencies and report to the

appropriate location as directed.

 

26 “Department of Health and Human Services Health and Medical Services Support Plan for the Federal Response to Acts of

Chemical/Biological (C/B) Terrorism” (June 1996).

C/B Terrorism

Threat HHS/OEP

Crisis

Management FBI

- CDC

- Other

Agencies

C/B Terrorism

Threat

Consequence

Management FEMA HHS/OEP

- CDC

- Other

Agencies
29

(2) Major Stakeholders: HHS (through OEP and subsequently involving CDC

and other departmental agencies), FEMA, FBI, DoD, and other executive branch departments

and agencies as required, affected state and local public health agencies, and public health

practitioners and providers.

(3) Key Organizational Processes: After notification, HHS participation in both

crisis and consequence management response takes on the following structure:27

Figure 5. HHS Participation in Crisis and Consequence Management Response

A health and medical services support response to C/B terrorist acts will be activated and

directed by the ASH. Under the direction of the FBI in support of a crisis management response,

the HHS/EOC will become operational with a core staff of pre-designated HHS crisis

management specialists. HHS will concurrently make available a HHS/EOC representative to

the FBI SIOC where the national-level crisis management response will be coordinated. The

FBI SIOC is usually staffed with the following officials or their representatives: Attorney

General, Department of Justice (DOJ); Director of FBI; Assistant Director of the National

Security Division, FBI; Domestic Terrorism Section Chief, FBI; FEMA Representative; HHS

Representative; and a DoD Representative.

Within a crisis management response, HHS will coordinate the acquisition of national

medical technical resources and medical expertise for the purpose of providing technical

assistance, emergency consultation, and threat assessment support to the FBI. In coordination

with the FBI, HHS will also form and deploy a Chemical/Biological Rapid Deployment Team

(CBRDT) and other health and medical services support resources from different locations in the

nation as deemed necessary (e.g., CDC and ATSDR in Atlanta; Food and Drug Administration

(FDA) Regional Offices; EPA Regional Offices).28 HHS will provide on-scene technical

 

27 “Department of Health and Human Services Health and Medical...”.

28 The CBRDT is a key element in the HHS C/B terrorism response at the national level. The Washington, DC area-based

CBRDT is a highly specialized, federal, multi-agency, C/B terrorist incident response, medical and health care, technical

assistance support team. HHS assembles the technical advisory team to provide health and medical services support to the

On-Scene Manager (OSM) for both a crisis management and consequence management response. HHS leads the CBRDT

and controls team deployment and operational team actions. The interagency team of approximately 23 technical specialists

is staffed by four federal departments and agencies. HHS provides five team members: two medical doctors (MDs), three

Operations Technicians, and a component from CDC and ATSDR. The DoD contingent includes one MD/Epidemiological

Assessment/Bio-warfare Expert, and one Scientist, Medical Diagnostics/Medical Samples from U.S. Army Medical Research

Institute for Infectious Diseases (USAMRIID); one MD/one Scientist, Chemical Warfare Experts or two MDs from the U.S.

Threat Assessment

Emergency Consultation

C/B Specialized

Technical Assistance

Additional Assets As

Needed/Federal and Private

Response Resources

CRISIS

MANAGEMENT

CONSEQUENCE

MANAGEMENT
30

assistance in support of the FBI, and other on-scene responders, and will coordinate health and

medical resources in preparation for mobilization. As needed, special advisory groups of

health/medical subject matter experts will be assembled and consulted by the National Health

and Medical Services Support Coordination Office (HHS/OEP).

In support of a consequence management response, the HHS/EOC will become

operational. Upon activation of the National Disaster Medical System (NDMS), the

NDMS/Operations Support Center (OSC) will also become operational and those centers will

collocate at the HHS OASH/OEP facility.29 The HHS/EOC and NDMS/OSC will consist of a

core of federal agencies that will be supplemented by other national-level organizations,

governmental and private, as the situation dictates. During the initial activation, the principal

core staff will consist of a pre-designated HHS Crisis Action Team (CAT) and the following

officials or their representatives: ASH (Chair); Assistant Secretary of Defense (Health Affairs),

DoD; Under Secretary for Health, VA; Director, FEMA or designee; and EPA Administrator or

designee.

ESF #8 will concurrently make available an ESF #8 representative to the FEMA

Emergency Support Team (EST) where the national-level consequence management response

will be coordinated. Additional agencies and organizations will be alerted and will provide a

representative to the HHS/EOC and NDMS/OSC or be immediately available via

telecommunication to provide support. HHS will also dispatch, as requested, the CBRDT,

emergency response coordinators, and the national health and medical services representatives

on the Emergency Response Team (ERT) to the terrorist incident area to provide technical

assistance in the area of health and medical services support and to support the lead Regional

Health Administrator (RHA) having responsibility for regional health and medical services.

Responding to notification of C/B terrorism, the HHS/EOC will become operational on

an urgent basis and will be appropriately staffed upon notification. After notification of a

response requirement in either a crisis management or consequence management situation,

HHS/OEP will initiate action to provide technical assistance or to provide health and medical

services response actions in the previously mentioned 20 assigned functional tasks. These

functions and the responsible agency(s) are:

(a) “Threat assessment (OEP): An assessment team will be assembled and

will provide technical assistance to the FBI at the SIOC. The assessment team composition will

be determined by the OEP in coordination with the FBI; 

 Army Medical Research Institute for Chemical Defense (USAMRICD); eight staff (Hazardous Environment

Operators/Explosive Disposal) from the U.S. Army Technical Escort Unit (TEU); two members (Biological Identification)

from the Naval Medical Research Institute; two members (one Chemical Scientist, C/B Terrorism Team and/or Technician)

from the Edgewood Research, Development, and Engineering Center (ERDEC). The EPA and DoE provide one staff

member each on environmental and radiological monitoring, respectively.

29 The National Disaster Medical System (NDMS) is a cooperative asset-sharing program among

 federal government agencies, state and local governments, and the private businesses and civilian

 volunteers to ensure resources are available to provide medical services following a disaster that

overwhelms the local health care resources. The NDMS is a federally coordinated system that augments the Nation's

emergency medical response capability. The overall purpose of the NDMS is to establish a single, integrated national

medical response capability for assisting state and local authorities in dealing with the medical and health effects of major

peacetime disasters and providing support to the military and Veterans Health Administration medical systems in caring for

casualties evacuated back to the United States from overseas armed conflicts.
31

(b) C/B consultation with affected jurisdictions (OEP): Emergency

consultation will be performed with and State jurisdictions;

(c) Public affairs (OEP): OEP will coordinate development of prescript

advisory releases and public health and disease information that can be transmitted to members

of the general public who are located in or near the affected areas;

(d) C/B Rapid Deployment Team (OEP): OEP will take action to notify,

assemble, and deploy the CBRDT and CDC to render technical assistance in a crisis

management situation and, upon activation by FEMA, to assist in coordinating health and

medical services support in a consequence management situation;

(e) Agent identification (CDC);

(f) Epidemiological investigation (CDC);

(g) Expedient hazard detection (EPA): EPA will coordinate actions and

processes to determine the overall health hazard threatening the general population;

(h) Expedient hazard reduction (EPA): EPA will coordinate actions to

reduce or eliminate the hazard;

(i) Environmental decontamination (EPA): EPA will coordinate

environmental decontamination;

(j) Clinical medical support, health professionals, laboratory support,

patient evacuation, in-hospital care (OEP/NDMS): OEP/NDMS will coordinate clinical medical

support utilizing Chemical/Biological Rapid Deployment Teams (CBRDTs), Metropolitan

Medical Response System (MMRS), and Disaster Medical Assistance Teams (DMATs);

(k) Pharmaceutical support (FDA): FDA will coordinate pharmaceutical

support for the overall health and medical services response effort;

(l) Human toxic effects registry (ATSDR): ATSDR will coordinate the

documentation and registration of personnel in the general population and response community

who have been exposed to the toxic effects of a C/B terrorist act;

(m) Supplies and equipment (OEP/NDMS): OEP/NDMS will provide

health and medical equipment and supplies in support of health and medical services response

operations and will coordinate restocking of equipment and supplies in the affected area;

(n) Victim identification and mortuary services (OEP/NDMS):

OEP/NDMS will assist in providing victim identification and mortuary services, including

NDMS Disaster Mortuary Teams) and temporary morgue facilities; 

(o) Worker health and safety (CDC);

(p) Mental health (Substance Abuse and Mental Health Services

Administration (SAMHSA)): SAMHSA will coordinate mental health requirements;
32

(q) Communications (National Communications System (NCS)): NCS

will establish communications necessary to effectively coordinate health and medical services

support assistance;

(r) Transportation (OEP): OEP will coordinate transportation

requirements, primarily with DoT and DoD;

(s) Security (OEP): OEP will coordinate actions to respond to security

requirements associated with the health and medical services support response to a C/B terrorist

incident; and

(t) “Pathological services (OEP/NDMS): OEP/NDMS will assist in

providing pathological services.”

Additional continuing actions, such as situation assessment, activation of health/medical

response teams, coordination of medical transport requests, coordination of medical facilities

requests, coordination of patient evacuation, coordination of requests for reimbursement, and

intrastate health/medical services support issues will be handled by HHS/OEP as needed and

based on the circumstances of specific incidents.

(4) Associated Higher-Level Processes: None.

(5) Associated Lower-Level Processes: None.

E. Observation, Orientation, and Oversight:

(1) Major Activities:

(a) Maintains oversight over the transfer and shipment of certain

biological agents and organisms under 42 CFR Part 72, Additional Requirements for Facilities

Transferring or Receiving Select Agents. The regulation was enacted as a rule implementing

Section 511 of Public Law 104-132, "The Antiterrorism and Effective Death Penalty Act of

1996,'' which requires the Secretary of HHS to regulate the transfer of select agents.30 This rule

places additional shipping and handling requirements on facilities that transfer or receive select

agents listed in the rule that are capable of causing substantial harm to human health.

(b) Produces, along with the National Institutes of Health (NIH), the

Biosafety in Microbiological and Biomedical Laboratories (BMBL). The BMBL serves as the

only nationally and internationally recognized source for biosafety requirements for laboratories,

and hence, is incorporated in the Additional Requirements for Facilities. The BMBL provides

the minimum requirements for Bio-Level-2, 3, and 4 laboratories and animal facilities and is

readily applicable to a facility registration and inspection process.

(2) Major Stakeholders: HHS (CDC and NIH), all relevant facilities and

laboratories that possess, handle, and operate sanctioned biological agents and material.

 

30 Federal Register: October 24, 1996 (Volume 61, Number 207).
33

(3) Key Organizational Processes: “Additional Requirements for Facilities

Transferring or Receiving Select Agents” establishes the following guidelines:

(a) A system of safeguards to be followed when specific agents are

transported;

(b) Collecting and providing information concerning the location where

certain potentially-hazardous agents are transferred;

(c) Tracking the acquisition and transfer of these specific agents; and

(d) Establishing a process for alerting appropriate authorities if an

unauthorized attempt is made to acquire these agents.

The rule also includes the following fundamental components: a comprehensive list of

select agents; a registration of facilities transferring these agents; transfer requirements;

verification procedures including audit, quality control, and accountability mechanisms; agent

disposal requirements; and research and clinical exemptions.31 The rule incorporates various

aspects of the regulatory plans of other federal agencies (e.g., the Nuclear Regulatory

Commission) in that it includes guidelines for on-site inspections, registration (user) fees, and

registration and transfer requirements.

An example of the regulatory process is the registration and transfer requirements. CDC

will provide application forms to be completed by facilities seeking registration. The application

will require information regarding laboratory practices, equipment, and other pertinent

information. Facilities will submit the completed application to CDC for approval of

registration. A facility inspection may or may not be required prior to registration, depending on

documentation supplied by the applicant. If CDC approves the registration, a unique registration

number will be issued. Those facilities not pre-inspected will be inspected following

registration. All registered facilities will be inspected subsequently on a periodic basis.

In terms of transferring materials that are subject to regulation, the rule requires that,

prior to transferring one of these select agents, both the shipping and receiving parties complete

required sections of the official transfer form, EA-101. This form must list the restricted agents

and require information about both parties, the requesting and transferring facilities, the

registration numbers of the transferring and receiving facilities, the name of restricted agent

requested, and the proposed use of the agent. The form must accompany the request or purchase

order for obtaining these restricted agents, a copy must be maintained by both the requesting and

transferring facility, and a copy must be sent to a designated central repository, which is

available to federal and authorized local law enforcement authorities and other officials

authorized by the Secretary of HHS. The form could later be used for tracking purposes in cases

of illegitimate access to these agents. In addition, the rule requires requestors to specify on form

EA-101 the number of containers and amount per container of the agent(s) being shipped.

Violations of this rule are subject to federal criminal penalties in terms of providing false,

 

31 Federal Register: October 24, 1996 (Volume 61, Number 207). The virus agent list includes Crimean-Congo hemorrhagic

fever virus, Eastern Equine Encephalitis virus, Ebola viruses, Equine Morbillivirus, Lassa fever virus, Marburg virus, Rift

Valley fever virus, South American Hemorrhagic fever viruses (Junin, Machupo, Sabia, Flexal, Guanarito), Tick-borne

encephalitis complex viruses, Variola major virus (Smallpox virus), Venezuelan Equine Encephalitis virus, Viruses causing

hantavirus pulmonary syndrome, and Yellow fever virus.
34

fictitious, or fraudulent statements or representation on the forms required in the regulation for

registration of facilities or for transfers of select agents.32

The BMBL requires that an operating facility and its laboratory operations meet the

biosafety level 2, 3, and/or 4 requirements for working with agents when registering as an

approved facility. Inspection of the facility seeking registration may be required to determine

whether the applicant facility meets the appropriate biosafety level requirements. Facilities, if

approved, are issued a unique registration number indicating that the facility is registered to work

with these select agents at the prescribed biosafety level. The registration number also is used to

help validate all requests for transfer of these agents.33

(4) Associated Higher-Level Processes: None.

(5) Associated Lower-Level Processes: None.

 F. Preparation:

(1) Major Activities:

(a) Enhancing the ability of state and local public health authorities,

especially first-responders, to respond to and mitigate medical emergencies and disasters. This is

achieved through a comprehensive system of training and cooperation with state and local health

agencies, highlighted in Preventing Emerging Infectious Diseases. Goal Three of this plan states

the need for improving the effectiveness of the nation’s infrastructure and training in responding

to medical/health emergencies.

(b) Strengthening the country’s surveillance and response network through

cooperative agreements with various state and local health agencies (especially in large

metropolitan areas).

(c) Establishment of the Metropolitan Medical Response Systems

(MMRS). Originally created as the Metropolitan Medical Strike Team (MMST) in the

Washington metropolitan area in 1995, the MMST provided initial, on-site, emergency health

and medical services following a terrorist incident involving a weapon of mass destruction

(chemical, biological, radiological and/or nuclear). The team can provide emergency medical

services, decontamination of victims, mental health services, plans for the disposition of nonsurvivors and plans for the forward movement of patients to regional health care facilities, as

appropriate, via NDMS. The Defense Against Weapons of Mass Destruction Act of 1996 (more

commonly known as Nunn-Lugar-Domenici) authorized HHS to develop 26 additional MMSTs

(subsequently renamed MMRS to reflect HHS’s continuing effort to bring together not only the

fire, Emergency Medical Services (EMS) and Hazardous Materials (HAZMAT) communities,

but also the public, private and mental health communities).34

 

32 Federal Register: October 24, 1996 (Volume 61, Number 207).

33 Federal Register: October 24, 1996 (Volume 61, Number 207).

34 Department of Health and Human Services (HHS), Office of Emergency Preparedness (OEP) website: Metropolitan Medical

Response Systems.
35

The MMRS is designed to focus on immediate site-specific response capability by

enhancing existing capabilities, developing overall systems plans, raising awareness of WMD

agents, developing enhanced capability to operate in contaminated environments, and developing

specialized treatment protocols for WMD victims. At present, 27 systems exist in the United

States, with another 20 planned for 1999. Ultimately, 120 of these systems are to be created

throughout the country.35

(d) Establishment of a National Pharmaceutical Stockpile to ensure the

ready availability of drugs, vaccines, prophylactic medicines, chemical antidotes, medical

supplies, and equipment that might be needed in a medical response to a biological or chemical

terrorist incident. CDC received $51M in FY99 to establish this stockpile and has requested

another $52M for FY00 to continue the process.36

(e) Works with public health partners such the Association of Public

Health Laboratories, to implement a network of laboratories that will be used to provide the most

immediate diagnosis of biological and chemical agents in the event of a suspected terrorist

attack. This network will ultimately include hospital laboratories, commercial reference

laboratories, state, and local health laboratories, and highly specialized federal facilities. It will

not only enhance public health capacity to address bioterrorism, but also contribute to the overall

public health capacity to address naturally occurring infectious diseases.37

(2) Major Stakeholders: CDC and local and state public health and medical

emergency agencies and organizations.

(3) Key Organizational Processes: With regard to training and infrastructure

enhancement, CDC undertakes the following:38

(a) Continued training of epidemiologists in problems related to emerging

infectious diseases. An example is a program such as CDC's Epidemic Intelligence Service

(EIS), which assists state and local health departments. Based at CDC headquarters in Atlanta,

the EIS is a two-year, post-graduate program of service and on-the-job training for health

professionals interested in the practice of epidemiology. EIS Officers conduct epidemiological

investigations, research, and public health surveillance, serve the epidemiological needs of state

health departments, present epidemiologic papers at scientific and medical conferences; publish

their work in the scientific literature, and disseminate vital public health information to the media

and the public.

(b) Training laboratory scientists in infectious diseases through the

Emerging Infectious Diseases (EID) Laboratory Fellowship Program. The EID Laboratory

Fellowship Program trains microbiologists in public health approaches to diagnosis and

 

35 Department of Health and Human Services (HHS), Office of Emergency Preparedness (OEP) website: Metropolitan Medical

Response Systems. The 26 other MMRS cities are: Boston, New York, Baltimore, Philadelphia, Atlanta, Miami, Memphis,

Jacksonville, Detroit, Chicago, Milwaukee, Indianapolis, Columbus, San Antonio, Houston, Dallas, Kansas City, Denver,

Phoenix, San Jose, Honolulu, Los Angeles, San Diego, San Francisco, Anchorage, and Seattle.

36 U.S. General Accounting Office (GAO): Combating Terrorism: Chemical and Biological Medical Supplies Are Poorly

Managed;" October 1999.

37 Lillibridge testimony, September 22, 1999.

38 'Preventing Emerging Infectious Diseases".
36

molecular epidemiology. The goal is to train laboratory scientists to become leaders in public

health laboratories, especially at the state and local levels.

(c) Maintaining and expanding other CDC training programs in emerging

infectious diseases and develop new programs as needed. These include the CDC Summer

Fellows Program for infectious diseases, which provides opportunities to minority students in

historically black colleges and universities (HBCU), Hispanic-serving health professions schools

(HSHPS), and American Indian and Alaska Native medical students. Other CDC programs

include the Public Health Summer Fellows and Project Impact, which provide additional

opportunities for HBCU and HSHPS students.

CDC also provides research training through postdoctoral fellowships awarded by the

American Society for Microbiology. In addition, CDC provides distance-learning opportunities

to infectious disease specialists and public health practitioners through the Public Health

Training Network and the National Laboratory Training Network. CDC will provide additional

opportunities for professional training through preventive medicine residencies, prevention

effectiveness internships, public health informatics fellowships, genetics fellowships, public

health prevention specialist fellowships, and programs in such disciplines as behavioral sciences

and health education.

(d) Helping medical and public health professionals keep up to date with

new tools, techniques, and issues. This includes educating and training clinical laboratorians in

the diagnosis of emerging pathogens; working with U.S. schools of public health, nursing,

medicine, and veterinary sciences to update curricula to include courses on the prevention and

control of emerging infectious diseases; helping to ensure coverage of emerging infectious

diseases in continuing medical education efforts and other training for professionals; and

incorporating training for local and state health department personnel into CDC-supported

programs, such as the Emerging Infections Programs.

In terms of strengthening the country’s surveillance and response network, the CDC

sponsors the following:

(e) The Epidemiology and Laboratory Capacity (ELC) program. The goal

of the ELC program is to help large health departments develop the core capacity to meet the

infectious disease threats of the future. ELC support provides health departments with the

technical tools, training, and financial resources to maintain surveillance for infectious diseases

of public health importance, provide laboratory services, and investigate outbreaks. Since 1995,

the CDC has entered into ELC agreements with 30 states and localities, and by 2002, it plans to

involve all 50 state health departments, as well as many territorial and large local health

agencies.39 Specific activities undertaken through the ELC program include developing

innovative systems for early detection and investigation of outbreaks, tracking anti-microbial

resistance, and ensuring electronic reporting of surveillance data.

(f) The Emerging Infections Programs (EIPs). The EIPs conduct

population-based surveillance and research that go beyond the routine functions of local health

 

39 The ELC states and localities include: Colorado, Florida, Georgia, Kansas, Massachusetts, New Jersey, New York,

Washington, West Virginia, Hawaii, Louisiana, Maine, Pennsylvania, Illinois, Michigan, Ohio, Tennessee, Utah, Vermont,

Wisconsin, Los Angeles County, and New York City.
37

departments to address important issues in infectious diseases and public health. These programs

involve partnerships among state health departments, academic centers, and CDC. In addition to

conducting surveillance, the EIP network participates in emergency outbreak responses and

addresses new problems whenever they arise. Furthermore, the EIPs have established

surveillance for unexplained deaths and severe illnesses in previously healthy people less than 50

years old in an attempt to determine which known infectious diseases are not being recognized

and to identify new infectious agents that can cause severe diseases or death.

(g) Physician-based sentinel networks to monitor syndromes and diseases

to study conditions that are not covered by health department surveillance and that are likely to

be seen by specific kinds of health providers. The three networks are:

(i) Emergency Department Sentinel Network for Emerging

Infections (EMERGEncy ID NET) is a network of academically affiliated emergency medicine

centers that operate emergency departments at 11 hospitals in large U.S. cities. The network

monitors a number of syndromes, illnesses that follow exposure to animals, illness in immigrants

and travelers, hemolytic uremic syndrome following infection with Escherichia coli, and firsttime seizures that are not associated with head trauma or cancer (a possible indication of

neurocysticercosis).

(ii) Infectious Diseases Society of America Emerging Infections

Network (IDSA EIN) is a network of over 500 infectious disease practitioners. The network

surveys its members regularly on topical issues in clinical infectious diseases. It also enhances

communications and health education among its members, collaborates in research projects, and

provides assistance in case-finding during outbreak investigations. Its membership represents a

ready source of infectious disease expertise for CDC and state health departments to draw on

during outbreaks or when unusual illnesses occur.

(iii) Sentinel Network of Travel Medicine Clinics (GeoSentinel) is

composed of 22 travel medicine clinics located in the United States and other countries. The

network monitors temporal and geographic trends of infectious diseases among travelers,

immigrants, and refugees seen in these clinics. The data is analyzed by CDC and can be used

to develop travel advisories and recommendations for health care providers.40

(4) Associated Higher-Level Processes: None.

(5) Associated Lower-Level Processes: None.

G. Resourcing:

(1) Major Activities:

(a) Providing a grants program aimed at enhancing capabilities in

planning, chemical/biological preparedness, surveillance support, and communications and

learning at the state and local level. These grants are distributed through the various cooperative

agreements mentioned previously. For example, in 1996 and 1997, funds were provided to 13

states through ELC agreements to improve diagnostic capacities at state and major metropolitan

 

40 “Preventing Emerging Infectious Diseases”.
38

area health departments.41 All told, in FY99, the CDC has provided $121M to state and local

health offices to enhance preparedness and response to a terrorist attack involving a chemical or

biological agent.42

(2) Major Stakeholders: CDC, HHS, state and local public health agencies and

organizations, all federal departments and agencies with stakes in the WMD arena, and

Congress.

(3) Key Organizational Processes: With regard to internal resourcing, the

relatively new status of CDC’s bioterrorism role (the Office of Bioterrorism Preparedness and

Response is only eight months old) translates into an evolving budget requirement for this

activity. As a result of PDD 62, $144M in special funding was given to HHS for FY99,

subsequently increasing the department’s total spending on bioterrorism to $158M for the year.

An additional $72M has been earmarked for FY00, bringing the total to $230M, an increase of

over 1500% in two years for preparedness and response.43 

Although an increasing amount of resources are being devoted to this activity, budget

preparation and implementation remains a tentative process, according to an interview with a

senior official at CDC. This official stated that given the fact that bioterrorism is included in the

much broader category of preparing for and responding to domestic WMD attacks, the “grab” for

resources is joined by additional agencies and entities with stakes in the WMD arena, thus

making it difficult to properly allocate resources to bioterrorism. Furthermore, this official

believed that the issue of bioterrorism is not being given the attention it necessarily deserves in

the Administration (especially in the last year of an outgoing one) and in Congress, again making

it difficult to secure the resources needed to address the issue.44

(4) Associated Higher-Level Processes: None.

(5) Associated Lower-Level Processes: None.

6. Informal National Security Process Involvement. This process is illustrated in Appendix 2.

This section will encompass the insights and observations taken from an interview with a senior

official at CDC. Placement of these observations under this heading does not suggest that the

processes described here are “informal” activities, but rather what “actually” happens in cases of

bio-emergencies as depicted by this official.

The most important point taken from the interview is that the CDC’s stated role in

national security process differs from how the agency operates in reality. Although planning

documents such as the “HHS Health and Medical Services Support Plan” show the CDC as

subordinate to HHS/OEP in the medical/health response facet, in fact it is an extremely proactive

agency that carries out “99 percent” of disaster preparedness and response activities by itself.45

 

41 “Preventing Emerging Infectious Diseases”.

42 Based on interview with CDC official (11/19/99).

43 HHS Fact Sheet: “HHS Initiative Prepares For Possible Bioterrorism Threat”, February 9, 1999.

44 Based on interview with CDC official (11/19/99).

45 Based on interview with CDC official (11/19/99).
39

The most vivid example of this difference in process can be seen in the mission execution

phase. As previously described, CDC acts as a supporting agency under a structured chain of

authority and with specific tasks in the crisis and consequence management stages. According to

the CDC official, the Center undertakes an almost self-contained response, with most of its

interaction-taking place with affected local and state health agencies. The difference can be seen

in the following chain of notification diagram:

Figure 6. Formal vs. Informal Notification Chains

A. The general process for the CDC can be described as follows:46

(1) State or local health authorities confirm medical emergency using surveillance

systems and assets already in place;

(2) CDC is notified for assistance in diagnosis and, if necessary, treatment;

(3) CDC responds immediately and begins process of identifying cause of

emergency;

(4) Collects and analyzes data (i.e., agent identification and epidemiological

investigation);

(5) Alerts other state and local health agencies and organizations on outbreak and

symptoms using information-sharing tools (e.g., web-based resources);

(6) Provides periodic updates and status reports on outbreak to all state and local

governments and, if necessary, the federal government; and

(7) Coordinates containment and treatment activities as required, enlisting

assistance from other agencies and organizations, including federal assets.

 

46 Based on interview with CDC official (11/19/99).

State and/or local health

agency(s) confirms

outbreak (including

terrorist attack)

Notify FBI Notify HHS/OEP Notify CDC

State and/or local health

agency(s) confirms

outbreak (including

terrorist attack)

Notify CDC

Notify FBI

(if necessary)
40

Given this process, several important points must be made. First, according to this

official, the CDC makes no distinction between “natural” or “man-made” (i.e. terrorist attacks)

emergencies and approaches each with the same methodology and protocol. Consequently, as it

takes the lead role in combating natural outbreaks, the CDC would also lead the effort to respond

to a biological emergency caused as a result of a terrorist attack.

Second, this official did state that a reason why the CDC does not operate according to

the aforementioned plan(s) is because it simply has not had to respond to an emergency that has

required activation of the FRP. Consequently, the CDC will continue to do “business as usual,”

that is, preventing and controlling the outbreak of disease .

7. Funding and Personnel.

A. Authorization and Appropriations: CDC is appropriated under the Department of

Health & Human Services by the House and Senate Committees on Appropriations

(Subcommittee on Labor, Health and Human Services, Education).

CDC programs are authorized by the Senate Health, Education, Labor and Pensions

Committee (Subcommittee on Public Health) and by the House Commerce (Subcommittee on

Health and Environment) and Veterans’ Affairs Committees.

B. Funding Sources: CDC is funded through HHS.

C. Budget: The FY99 budget for CDC was $2.6B (approximately 0.6% of the total HHS

budget).47

D. Manpower: CDC employs a total of 7,800 people at facilities in Anchorage, AK;

Atlanta, GA; Cincinnati, OH; Fort Collins, CO; Morgantown, WV; Pittsburgh, PA; Research

Triangle Park, NC; San Juan, PR; Spokane, WA; and the Washington, DC area. CDC personnel

also work in foreign countries, quarantine offices, and state and local health agencies.

Approximately 1,648 of these personnel are based at CDC Headquarters in Atlanta.48 The

Office of Bioterrorism Preparedness and Response has a staff of 80 to 90 personnel.49

8. Conclusions and Observations. As the name of the organization suggests, disease control

and prevention has and will continue to remain the CDC’s principal responsibility. All expertise,

resources, processes, and methodologies at CDC are focused on achieving this goal, now

institutionalized in the Center’s strategy to combat new and emerging diseases going into the

next century.

The emergence in the past decade of the specter of biological terrorism on U.S. territory

has translated into added responsibility for the CDC: managing and attending to the

consequences of terrorist attack(s) using potentially lethal biological agents and toxins.

Although CDC's core strategy and tactics in handling outbreaks remains the same regardless of

cause, the addition of the agency to the list of government agencies that are stakeholders in the

terrorism and WMD arenas raises issues that must be addressed in coming years.

 

47 Budget of the United States Government (FY1999).

48 CDC website: About CDC (http://www.cdc.gov/aboutcdc.htm#cios).

49 Based on interview with CDC official (11/19/99).
41

Based on the information collected for this paper, both through research and via

interview, come the following observations:

A. Questions on the scope of bioterrorism exist. A CDC official made the point that

bioterrorism should be considered in its own context, not in the broader category of WMD. This

is due to the fact that once it is categorized under WMD, it becomes the "property" of numerous

stakeholders in the WMD arena that consequently deprive this issue of much needed specialized

attention and resources. This suggests that given the scientific and medical issues associated

with the use of biological agents, "bioterrorism" should perhaps be looked upon as more of a

"medical" matter as opposed to a "political-military" issue.

B. The effectiveness of the national response plan to acts of bioterrorism is subject

to debate. Although no situation has occurred to warrant activation of the national response

plan, the nature and structure of the FRP and its medical/health annexes raises several questions.

Is the process too bureaucratic and political? The CDC official suggested that this might be the

case, given the superfluous number of steps (on paper) that would have to be taken before CDC

would become involved in a crisis.

A similar question is whether this process (described under "Formal National Security

Process Involvement") is responsive enough in a crisis where a timely medical response is

absolutely vital. The CDC official doubted this, making the point that in a scenario where

success is measured by responding to an outbreak within hours, the structure of the FRP does not

provide enough flexibility for medical authorities (i.e., CDC) to respond to what may be a life

and death situation.

C. A disconnect on the nature of the bio-threat seems to exist. The official from CDC

believed that the CDC was more concerned with the emergence of new diseases and the reemergence of deadlier versions of older ones than terrorist attacks using biological agents. The

official added that the United States should focus more on enhancing its medical/health

infrastructure to handle mass outbreaks. This raises the issue of whether there is any agreement

on the nature of the bio-threat, especially among the various organizations that work in this

arena.

D. CDC’s role in bioterrorism is still evolving. As stated, CDC is a relative newcomer

to the arena of biological terrorism, and its role will continue to evolve as the nature of the issues

described above suggest. An important factor to gauge will be the Center's ability to work in

inter-agency structure and under the direction of a higher authority (HHS/OEP, FBI, etc.) and

whether this enhances or erodes its capabilities in the field of prevention and control.
APPENDICES
Appendix 1

CDC - Key Process - (Formal) - Policy, Guidance, and Regulation - Bioterror

CDC State and Local Health Officer Interagency Inter-Branch

Interagency

Working Group

(IWG)

R

 No

Incident

Confirmed or

Probable?

Start

Suspect Case of

Illness may be due

to Bioterrorist

Incident

Inform & Involve

State Health

Department

Notify and Consult

with CDC

Notify CDC

(State Health

Department)

Determine if a

Bioterrorist Incident

or Threat is

Confirmed or

Probable

Notify FBI

Notify & Involve State

Health Department and

Other Response

Partners Per a

Pre-established

Notification List

Notify Local Law

Enforcement

A

Yes

No
Appendix 2

CDC - Key Process - (Formal) - Mission Execut

CDC State and Local

Health Officer Interagency Inter-Branch

Interagency

Working Group

(IWG)

Review

surveillance

Systems

Collect and

Analyze data

Alert Other State and

Local Disease

Detectives on Outbreak

and Symptoms

U

Re

Lo

Start

Notify CDC

(State Health

Department)
ORGANIZATIONAL DESCRIPTION

DEPARTMENT OF JUSTICE (DoJ)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

The Department of Justice

Overview.

The Department of Justice (DoJ) investigates and prosecutes federal crimes, represents the

United States in court, manages federal prisons, and enforces immigration laws. Although the

Department is considered a "domestic" organization, DoJ has a long history of involvement in the

national security arena, primarily in the area of counterintelligence. In recent years the

Department's role in national security has increased significantly, with emphasis on drug

trafficking, organized crime, and terrorism. Although not a member of the National Security

Council (NSC), the Attorney General is invited to attend meetings pertaining to the Department of

Justice’s jurisdiction. The Deputy Attorney General and senior members of the Office of the

Attorney General are active participants in the NSC committee process (See Volume II, Chapter

2, The National Security Council).

Organization.

DoJ's responsibilities are executed through the Department's subordinate organizations:

• Federal Bureau of Investigation (FBI) and the Drug Enforcement Administration (DEA)

investigate federal crimes (See Volume VII: Chapter 11, The Federal Bureau of Investigation, and

Chapter 12, The Drug Enforcement Administration);

• The United States Marshals Service (USMS) protects the federal judiciary, apprehends

fugitives, detains prisoners and supports the federal courts; (See Volume VII: Chapter 12, The

U.S. Marshals Service);

• The United States Attorneys and the litigating divisions prosecute offenders and represent

the United States of America in federal court;

• The Immigration and Naturalization Service (INS) controls the border and carries out the

Nation's immigration statutes (See Volume VII: Chapter 13, The Immigration and Naturalization

Service); and

• The Federal Bureau of Prisons (BOP) incarcerates sentenced offenders.

The Office of the Attorney General oversees the operations of the Department and develops

DoJ strategy and policy. Several organizations have key national security responsibilities within

the Office of the Attorney General, including:

• The Office of Intelligence Policy and Review (OIPR), which advises and assists the

Attorney General on all matters relating to national security. Staff attorneys participate in

development, implementation, and review of U.S. national security and intelligence policies,

including procedures for the conduct of intelligence and counterintelligence activities.

• The Executive Office for National Security (EONS), within the Office of the Deputy

Attorney General, which coordinates DoJ activities involving national security issues, and acts as

a Departmental forum for developing national security strategy and policy.

• The Criminal Division, which develops, enforces, and supervises the application of all

federal criminal laws except those specifically assigned to other divisions. The Division has the
3

responsibility for overseeing criminal matters under the more than 900 statutes, including

enforcement of all criminal laws relating to subversive activities and kindred offenses directed

against the internal security of the United States, including the laws relating to treason, sabotage,

espionage, and sedition, as well as certain civil litigation.

Role in Formal and Informal National Security Processes.

The following matrix depicts the relationship of DoJ products and roles to the seven key

national security processes.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Input for various National 

Strategies (e.g., National 

Security Strategy, International 

Crime Control Strategy, 

Counterterrorism Strategy)

Products























Attendee (NSC and 

NSC/PC) 

Chief law 

enforcement officer 

of the federal 

government



Congressional 

Testimony 

Input for various National 

Strategies (e.g., National 

Security Strategy, International 

Crime Control Strategy, 

Counterterrorism Strategy)

Input to various interagency 

plans (e.g., Federal Response 

Plan, Chem/Bio Incident 

Contingency Plan)

Attorney 

Roles

General 

Products

 Various Reports (e.g., Attorney 

General Annual Accountability 

Report, Office of the Inspector 

General Audit Reports; Annual 

Foreign Intelligence Surveillance 

Act Report to Congress; Foreign 

Agents Registration Act 

Semiannual Report to Congress)

Sourcebook of Criminal Justice 

Statistics

Enforcement of Federal laws

DoJ Budget

Internal guidance (e.g., including 

the U.S. Attorneys' Manual, U.S. 

Attorneys' Bulletin, Department 

of Justice Organization and 

Functions Manual, Attorney 

General's Guidelines, and the 

Department of Justice Legal 

Activities Book)

 Input to various interagency 

policies and guidance (e.g., the 

International Guidelines and the 

Domestic Guidelines)

DoJ specific strategies (e.g., 

Department of Justice Strategic 

Plan and the Attorney General's 

Strategy to Deter Illegal Entry 

Into the United States Along the 

Southwest Border)

Legal opinions and advice

Legal documents (e.g., briefs, 

advisory letters, consent 

decrees, guidelines, and 

regulations)
4

Strategy Development. DoJ provides input and coordination on the National Security

Strategy (NSS). Sections of NSS that would be of interest to DoJ are international law

enforcement cooperation, terrorism, international crime, drug trafficking, and protection of critical

infrastructures. The Department also participates in the development of other strategies,

including the International Crime Control Strategy (ICCS) (with the Departments of State and

Treasury) and the National Drug Control Strategy. In addition, the Department has developed a

DoJ Strategic Plan.

Policy, Guidance, and Regulations. The Department of Justice participates in national

policy making through the NSC committee process. In addition, the Attorney General provides

centralized direction through the Attorney General's Guidelines, which pertain to all agencies of

the Department of Justice engaged in the detection, investigation, and prosecution of federal

crimes. Several DoJ organizations assist the Attorney General in policy development including

the DoJ Office of Intelligence Policy and Review, the Security Policy Board, the National

Counterintelligence Policy Board, and the Office of Investigative Agency Policies.

Planning. DoJ develops internal and interagency plans. For example, DoJ developed the

interagency plan on counterterrorism and technology crime. This classified five-year plan was

completed in December 1998. To complete the plan, DoJ consulted with the Departments of

Defense, State, Treasury, the Central Intelligence Agency (CIA), private sector representatives

and local law enforcement officers, and the FBI. The Department also participates in the

development of interagency plans (e.g., Federal Response Plan and its Terrorism Incident Annex,

National Infrastructure Assurance Plan).

Mission Execution. DoJ has broad mission execution responsibilities in the areas of

counterintelligence, counterdrug, counterterrorism, and organized crime. For example, DoJ is the

lead federal agency for crisis management in the event of a domestic terrorist incident. In the area

of counterintelligence, the Attorney General approves physical searches, without a court order, to

acquire foreign intelligence information. The Attorney General also approves or disapproves

state government applications for federal law enforcement assistance in the event that a state

experiences a law enforcement emergency to which it cannot provide an adequate response. In

the event that state and local police forces (including the National Guard operating under state

control) are unable to adequately respond to a civil disturbance, a Governor may request, through

the Attorney General, federal military assistance under Chapter 15 of Title 10 of the U.S. Code.

The President makes the ultimate determination whether to use the Armed Forces to respond to an

emergency.

Observation, Orientation, and Oversight. The Attorney General is responsible for

overseeing and reporting on the activities of all of the Department of Justice's subordinate

agencies. DoJ's Office of Intelligence Policy and Review oversees both internal DoJ and external

executive agencies' intelligence activities. The Department also monitors and reports on a broad

spectrum of criminal justice data.

Preparation. DoJ organizations train federal legal and law enforcement personnel as well

as state, local, and foreign law enforcement officials. For example, the Department provides

training to police, fire, hazardous materials, and medical and emergency management responders

in the 120 largest urban jurisdictions. Training focuses on explosives, incendiary, biological, and

chemical response. The Department also evaluates new law enforcement programs and

participates in the development of new law enforcement technologies. A Memorandum of
5

Understanding (MOU) between the National Institute of Justice and the Department of Defense

(DoD) covers the sharing and joint development of technology systems that can be used for both

defense and criminal justice purposes.

Resourcing. The Office of the Attorney General develops the Department of Justice

budget, which includes the funding requirements for DoJ subordinate organizations. The

Attorney General has directed component heads to explicitly relate their budget requests and

performance plans to the Department's long range strategic goals. The Department also provides

grants to state and local law enforcement organizations and coordinates with the Department of

State to negotiate multilateral legal assistance treaties.

Observations

The Department of Justice, which is perceived by many inside and outside the Department

as a domestic legal and law enforcement organization, has become increasingly involved in the

national security arena due to the emerging threats from terrorism, infrastructure protection,

narcotics, economic espionage, and transnational organized crime. In fact, combating terrorism is

the first priority mentioned in DoJ's FY99 Summary Performance Plan.

A significant number of Executive Orders (E.O.s) and Presidential Decision Directives

(PDDs) specifically address the activities of DoJ and its subordinate organizations (e.g., FBI,

DEA, INS, etc.). Although PDD 2 includes the Attorney General as an invitee to National

Security Council meetings when topics pertaining to the Department of Justice’s jurisdiction are

discussed, the evolving national security landscape appears to justify a permanent, formal seat for

the Attorney General on the NSC.

Although the Executive Office for National Security was established in the office of the

Deputy Attorney General to coordinate DoJ activities involving national security issues, and act

as a Departmental forum for developing national security strategy and policy, the organizational

structure of the Department does not appear to reflect DoJ's increased role in the national security

arena. For example, there is no Division, which would be led by an Assistant Attorney General,

charged with national security responsibilities. Within the Criminal Division, responsibility for

national security functions (e.g., terrorism, espionage, sabotage, organized crime, and narcotics) is

dispersed across several Deputy Assistant Attorney Generals.
6

ORGANIZATIONAL DESCRIPTION

DEPARTMENT OF JUSTICE

1. Legal Specifications, Authorizations and Responsibilities.

A. Authorizing Statute: Title 28, U.S.C., Chapter 31 authorizes the Department of

Justice (DoJ). The law specifies that the Attorney General serves as the head of the Department

of Justice and as chief law enforcement officer of the federal government. The Attorney General

is appointed by the President with the advice and consent of the Senate.1, 2

B. Department Directives:

(1) The United States Attorneys’ Manual describes the functions of the various

offices of the Department of Justice. It also contains general policies and procedures relevant to

the work of the United States Attorneys' offices and to their relations with the legal divisions,

investigative agencies, and other components within DoJ.

(2) The United States Attorneys' Bulletin provides internal guidance to the

United States Attorneys' offices and other organizational units of the Department concerned with

litigation.

(3) The Attorney General's Guidelines provide internal guidance to all agencies

of the Department of Justice on the detection, investigation, and prosecution of federal crimes,

such as general criminal investigations, domestic security and terrorism, racketeering, foreign

counterintelligence, and victim and witness assistance.

C. Interagency Directives:

(1) Executive Order 12333 (E.O.): The Federal Bureau of Investigation (FBI)

“under the supervision of the Attorney General and pursuant to such regulations as the Attorney

General may establish” conducts foreign intelligence and counterintelligence investigations under

the authority of Executive Order 12333. E.O.12333 also delegated to the Attorney General "the

power to approve the use for intelligence purposes, within the United States or against a United

States person abroad, of any technique for which a warrant would be required if undertaken for

law enforcement purposes, provided that such techniques shall not be undertaken unless the

Attorney General has determined in each case that there is a probable cause to believe that the

technique is directed against a foreign power or an agent of a foreign power."3

(2) E.O. 12919: This order requires the Attorney General to work with the

Secretary of the Treasury, the Director of Central Intelligence (DCI), and the Departments of

Commerce, State, Energy, Defense, and Agriculture to furnish reports to the President and to

Congress concerning foreign efforts to acquire United States companies involved in research,

 

1 Title 28, United States Code, Section 503.

2 The Judiciary Act of 1789, Chapter. 20, Sec. 35, 1 Stat. 73, 92-93 (1789) created the Office of the Attorney General. Originally

the Office of the Attorney General was a one-person, part-time position, however the workload quickly became too great. In

1870, Congress passed the Act to Establish the Department of Justice (Ch. 150, 16 Stat. 162 (1870)). - Office of the Attorney

General Selected Bibliography, Introduction, http://www.usDoJ.gov/jmd/ls/agbib97txt.htm.

3 Executive Order 12333, December 4, 1981.
7

development, or production of critical technologies and industrial espionage activities directed by

foreign governments against private U.S. companies.4

(3) E.O. 12949: This order authorizes the Attorney General, pursuant to the

Foreign Intelligence Surveillance Act (Section 1801 of Title 50 of the U.S. Code), to approve

physical searches, without a court order, to acquire foreign intelligence information for periods of

up to one year if the Attorney General makes the required certifications. The Attorney General is

also authorized to approve applications to the Foreign Intelligence Surveillance Court to obtain

orders for physical searches for the purpose of collecting foreign intelligence information.5

(4) E.O. 12992: This order created the President's Council on Counter-Narcotics.

The Council, with the Attorney General as a member, advises and assists the President in: (1)

providing direction and oversight for the national drug control strategy, including relating drug

control policy to other national security interests and establishing priorities; and (2) ensuring

coordination among departments and agencies concerning implementation of the President's

national drug control strategy.6

(5) E.O. 13010: This order created the President's Commission on Critical

Infrastructure Protection, with a Department of Justice official as a member, to make

recommendations to the President. The Attorney General was also made a member of the

Principals Committee, which reviewed recommendations prior to their submission to the

President. It also established an Infrastructure Protection Task Force (IPTF) within the

Department of Justice, chaired by the Federal Bureau of Investigation. The IPTF coordinated the

Infrastructure Protection mission while the Commission conducted its analysis and the President

considered and acted on its recommendations.7

(6) E.O. 13110: This order created the Nazi War Criminal Working Group, with

the Attorney General as a member. The Working Group's mission is to locate, inventory,

recommend for declassification, and make available to the public at the National Archives and

Records Administration all classified Nazi war criminal records of the United States, subject to

certain designated exceptions.8

(7) E.O. 13133: This order created an Interagency Working Group on Unlawful

Conduct on the Internet. The Working Group is chaired by the Attorney General, and charged,

among other responsibilities, to prepare a report and recommendations concerning the extent to

which existing federal laws provide a sufficient basis for effective investigation and prosecution

of unlawful conduct that involves the use of the Internet, such as the illegal sale of guns,

explosives, and controlled substances.9

(8) Presidential Decision Directive 2 (PDD 2): PDD 2 lays out the Clinton

Administration's organization for national security. In addition to its statutory members, PDD 2

adds the following members to the NSC: Secretary of the Treasury, the U.S. Representative to the

 

4 Executive Order 12919, June 6, 1994.

5 Executive Order 12949, February 9, 1995.

6 Executive Order 12992, March 15, 1996.

7 Executive Order 13010, July 15, 1996.

8 Executive Order 13110, January 11, 1999.

9 Executive Order 13133, August 9, 1999.
8

United Nations, the Assistant to the President for National Security Affairs,10 the Assistant to the

President for Economic Policy, and the Chief of Staff to the President. Although not a member,

the Attorney General is invited to attend meetings pertaining to the Department of Justice’s

jurisdiction.

(9) PDD 9: This Directive states that the U.S. government will take the necessary

measures to preempt, interdict and deter alien smuggling into the United States. It makes the

Department of Justice and the Immigration and Naturalization Service (INS) responsible for

criminal enforcement and all U.S. prosecutions and for conducting law enforcement operations

and investigations outside the United States under existing interagency arrangements. It directs

Justice to review criminal and civil authorities and penalties for alien smuggling and recommend

alternative prosecution strategies or penalty increases if appropriate. It also directs Justice and

INS to review and recommend appropriate action on the use of the Immigration Emergency Fund

for funding international repatriation, domestic detention and processing illegal migrants.11

(10) PDD 14: This Directive provides a policy framework for U.S. international

drug control. It directs all federal agencies to change the emphasis in U.S. international drug

programs from the past concentration on stopping narcotics shipments to a more evenly

distributed effort across three programs: assisting source countries in addressing the root causes of

narcotics production and trafficking, combating international narco-trafficking organizations, and

emphasizing more selective and flexible interdiction programs near the U.S. border, in the transit

zone, and in source countries.12

(11) PDD 24: This Directive created specific initiatives to improve effectiveness

of U.S. counterintelligence efforts. It did not amend or change any of the responsibilities laid out

in Executive Order 12333. It created a National Counterintelligence Policy Board (Policy Board)

that includes a senior representative from the Department of Justice. It also established a National

Counterintelligence Operations Board (Operations Board) under the Policy Board also with

representation from DoJ.13

(12) PDD 27: This Directive created the Nonproliferation and Arms Control

Technology Working Group (NPAC TWG). The purpose of the NPAC TWG is to ensure

coordination of Research and Development (R&D) in the areas of arms control and

nonproliferation and guarding against redundant arms control and nonproliferation R&D

programs. DoJ is represented on the NPAC TWG at the R&D Program Manager level or above.14

(13) PDD 35: This Directive defines U.S. intelligence requirements. It gives high

priority (after support of U.S. troops and intelligence on countries hostile to the United States) to

intelligence support of activities addressing counterproliferation, international terrorism,

organized crime and drugs.15

 

10 The Assistant to the President for National Security Affairs is commonly known as the National Security Advisor and will be

referred to as such throughout this paper.

11 Presidential Decision Directive 9, June 18, 1993.

12 The White House, Office of the Press Secretary, Statement by the Press Secretary, November 3, 1993.

13 White House Fact Sheet on U.S. Counterintelligence Effectiveness, May 3, 1994.

14 Federation of American Scientists Fact Sheet on PDD-27, http://www.fas.org/irp/offdocs/pdd27.htm.

15 Federation of American Scientists, Fact Sheet on PDD-35, http://209.207.236.112/irp/offdocs/pdd35.htm.
9

(14) PDD 39: This Directive makes the Department of Justice, through the FBI,

the Lead Federal Agency (LFA) for crisis management in the event of a domestic terrorist

incident. It also directs the Attorney General in his/her role as the chief law enforcement officer,

to chair a Cabinet Committee “to review the vulnerability to terrorism of government facilities in

the United States and critical national infrastructure and make recommendations to the

appropriate cabinet member or Agency head.” PDD 39 also confers upon the Attorney General

(with the Secretary State) the responsibility to “use all legal means available to exclude from the

United States persons who pose a terrorist threat and deport or otherwise remove from the United

States any such aliens." When terrorists are at large outside of the United States, PDD 39 makes

their return for prosecution a matter of the highest priority. The Departments of Justice and State

are charged with vigorously applying extraterritorial statutes, and when there are not adequate

arrangements, with working to resolve the problem through negotiation and conclusion of new

extradition treaties.16

(15) PDD 42: This Directive recognized that international organized crime

threatens U.S. national security. PDD 42 ordered all agencies of the executive branch to increase

the priority and resources devoted to fighting international crime, to improve internal

coordination, to work more closely with foreign governments to develop a response to the threat,

and to use all legal means available to combat international crime.17

(16) PDD 44: This Directive on Heroin Control Policy makes heroin control a

major foreign policy objective. It calls for implementing coordinated international law

enforcement efforts to disrupt and destroy heroin trafficking organizations. It also directs

agencies to address the underground banking systems that finance trafficker operations.18

(17) PDD 56: This Directive outlines the Clinton Administration's Policy for

managing complex contingency operations. The intent is to achieve unity of effort among U.S.

agencies and international organizations engaged in complex contingency operations.

(18) PDD 62: This Directive made fighting terrorism a top priority. PDD 62

reinforced the mission of U.S. agencies charged with roles in counterterrorism. It also codified

roles in counterterrorism programs, such as apprehension and prosecution of terrorists and

enhancing response capabilities.19

(19) PDD 63: This Directive on critical infrastructure protection designated the

Department of Justice, through the FBI, as the lead agency for sector liaison with the emergency

law enforcement services and the lead agency for the special function of law enforcement and

internal security.20, 21 PDD 63 also created the National Infrastructure Protection Center (NIPC),

which is housed in the FBI, to assess threats to critical national infrastructure and provide

 

16 Presidential Decision Directive 39, June 21, 1995.

17 As described in "Introduction and Overview", International Crime Control Strategy, June 1998.

18 Federation of American Scientists, Fact Sheet on PDD-44, http://209.207.236.112/irp/offdocs/pdd44.htm.

19 White House Fact Sheet on Presidential Decision Directive 62, May 22, 1998.

20 White Paper: "The Clinton Administration's Policy on Critical Infrastructure Protection: Presidential Decision Directive 63,"

May 1998.

21 Many of the steps taken by PDD-63 were a result of the recommendations of the President's Commission on Critical

Infrastructure Protection, which was created by Executive Order 13010.
10

warnings to all government agencies and to the private sector.22 DoJ was also authorized to

establish the National Domestic Preparedness Office (NDPO), staffed by officials from a variety

of federal agencies. This office, housed within the FBI, has overall responsibility for coordinating

the government's efforts to prepare America's communities for terrorist incidents involving

weapons of mass destruction.23

(20) Presidential Memorandum of April 27, 1999: This memorandum directed

the Attorney General (with the Secretaries of Transportation and the Treasury, and other agency

heads as appropriate) to establish the Interagency Commission on Crime and Security in U.S.

Seaports.24

2. Missions, Functions, Purposes. The mission of the Department of Justice is "to enforce the

law and defend the interests of the United States according to the law, provide federal leadership

in preventing and controlling crime, seek just punishment for those guilty of unlawful behavior,

administer and enforce the Nation's immigration laws fairly and effectively and ensure fair and

impartial administration of justice for all Americans."25

A. Major Responsibilities:

(1) Title 28, U.S.C. prescribes several responsibilities for the Attorney General,

including:26

(a) Section 511: The Attorney General shall give his advice and opinion on

questions of law when required by the President [Key National Security Process Relationship:

All];

(b) Section 512: The head of an executive department may require the

opinion of the Attorney General on questions of law arising in the administration of his

department [Key National Security Process Relationship: All];

(c) Section 513: When a question of law arises in the administration of the

Department of the Army, the Department of the Navy, or the Department of the Air Force, the

cognizance of which is not given by statute to some other officer from whom the Secretary of the

military department concerned may require advice, the Secretary of the military department shall

send it to the Attorney General for disposition [Key National Security Process Relationship: All];

and

(d) Section 516: Except as otherwise authorized by law, the conduct of

litigation in which the United States, an agency, or officer thereof is a party, or is interested, and

securing evidence therefore, is reserved to officers of the Department of Justice, under the

direction of the Attorney General [Key National Security Process Relationship: All].

 

22 Freeh, Louis J., Ensuring Public Safety And National Security Under The Rule Of Law: A Report To The American People On

The Work Of The FBI 1993-1998, 1998.

23 For more information on the NIPC and NDPO see Section titled "The Federal Bureau of Investigation."

24 The White House, Office of the Press Secretary, "Presidential Memorandum on Establishment of the Interagency Commission

on Crime and Security in U.S. Seaports," April 27, 1999, from the Federation of American Scientists web site,

http://209.207.236.112/irp/offdocs/990427-wh-d.htm.

25 Department of Justice, FY 1999 Summary Performance Plan, February 1998.

26 Title 28, U.S.C., Chapter 31.
11

(2) The Code of Federal Regulations outlines additional responsibilities for the

Attorney General, including:27

(a) Supervise and direct the administration and operation of the

Department of Justice, including the offices of U.S. Attorneys and U.S. Marshals, which are

within the Department of Justice [Key National Security Process Relationship: All];

(b) Represent the United States in legal matters generally [Key National

Security Process Relationship: All];

(c) Furnish advice and opinions, formal and informal, on legal matters to

the President and the Cabinet and to the heads of the executive departments and agencies of the

Government, as provided by law [Key National Security Process Relationship: All]; and

(d) Appear in person to represent the Government in the Supreme Court of

the United States, or in any other court, in which he may deem it appropriate [Key National

Security Process Relationship: All].

DOJ has absorbed new responsibilities that are not yet documented or reflected in the

mission statement or the Code of Federal Regulations. Examples of these new responsibilities

include deterring and preventing terrorism and training major urban centers to respond to

incidents involving weapons of mass destruction.

(3) The Code of Federal Regulations also describes the responsibilities of the

Deputy Attorney General. These responsibilities include: 28

(a) Coordinating DoJ liaison with White House Staff and the Executive

Office of the President [Key National Security Process Relationship: All]; and

(b) Coordinating and controlling the DoJ's reaction to civil disturbances

and terrorism [Key National Security Process Relationship: All].

B. Subordinate Agencies and Activities: In her/his role as the chief law enforcement of

the United States, the Attorney General is responsible for the following organizations:29

(1) Federal Bureau of Investigation;

(2) Drug Enforcement Administration (DEA);

(3) Immigration and Naturalization Service;

 

27 Code of Federal Regulations, Title 28, Chapter I, Part 0, Section 0.5.

28 Code of Federal Regulations, Title 28, Chapter I, Part 0, Section 0.15.

29 Although the Department is headquartered in Washington, D.C., most of its work takes place outside of Washington and most

of its employees are located in one of more than 2,000 field locations. These locations range from small one- or two-person

border stations to major correctional facilities. Within each of the 94 judicial districts, the Department is represented by a

United States Attorney who prosecutes criminal offenses and represents the United States in civil actions, and by a United

States Marshal who protects the Federal judiciary, detains and transports persons awaiting trial or sentencing, and executes

warrants and court orders. - http://www.usdoj.gov/jmd/mps/plan.htm#IV.
12

(4) United States Marshals Service;

(5) United States Attorneys;

(6) Federal Bureau of Prisons;

(7) Community Relations Service (CRS);

(8) U.S. Parole Commission;

(9) National Drug Intelligence Center;

(10) Board of Immigration Appeals;

(11) Foreign Claims Settlement Commission;

(12) International Criminal Police Organization-United States National Central

Bureau (INTERPOL-USNCB);

(13) Bureau of Justice Assistance;

(14) Bureau of Justice Statistics; and

(15) National Institute of Justice (NIJ).

C. Major Products:

(1) Input for various National Strategies (e.g., National Security Strategy,

International Crime Control Strategy, Counterterrorism Strategy);

(2) Input to various interagency plans (e.g., Federal Response Plan, Chem/Bio

Incident Contingency Plan);

(3) Input to various interagency policies and guidance (e.g., the Coordinating

Subgroup Guidelines for the Mobilization, Deployment, and Employment of U.S. Governmental

Elements in Response to an Overseas Crisis (International Guidelines) and Guidelines for the

Mobilization, Deployment, and Employment of U.S. Government Agencies in Response to a

Domestic Terrorist Threat or Incidence in Accordance with Presidential Decision Directive 39

(Domestic Guidelines));

(4) DoJ specific strategies (e.g., Department of Justice Strategic Plan and the

Attorney General's Strategy to Deter Illegal Entry into the United States along the Southwest

Border);

(5) Legal opinions and advice;

(6) Legal documents (e.g., briefs, advisory letters, consent decrees, guidelines, and

regulations);

(7) Enforcement of federal laws;
13

(8) Department of Justice Budget;

(9) Internal guidance (e.g., including the U.S. Attorneys' Manual, U.S. Attorneys'

Bulletin, Department of Justice Organization and Functions Manual, Attorney General's

Guidelines, and the Department of Justice Legal Activities Book);

(10) Various Reports (e.g., Attorney General Annual Accountability Report,

Office of the Inspector General Audit Reports;30 Annual Foreign Intelligence Surveillance Act

Report to Congress; Foreign Agents Registration Act Semiannual Report to Congress; and

Reports to the President and to Congress concerning foreign efforts to acquire U.S companies

involved in research, development, or production of critical technologies and industrial espionage

activities directed by foreign governments against private U.S. companies; and the Sourcebook of

Criminal Justice Statistics).

3. Vision and Core Competencies.

A. Vision: Although DoJ does not have a published vision, the Attorney General

presented a vision-like statement, as follows:

(1) Continue the trend of decreases in violent crime;

(2) Keep pace with cyber criminals and protect the National infrastructure from the

growing threat of terrorism;

(3) Build three new federal prisons, and activate several other facilities;

(4) Thwart drug traffickers and curb drug abuse; and

(5) Enhance civil rights enforcement efforts.31

B. Core Competencies: Although DoJ does not have published core competencies, the

Department defines its core functions as follows:

(1) Investigation and prosecution of criminal offenses;

(2) Assistance to state and local governments;

(3) Legal representation,

(4) Enforcement of federal laws, and defense of U.S. interests;

(5) Immigration;

 

30 Recent reports include the USDOJ/OIG Special Report: The FBI Laboratory One Year Later: A Follow-Up to the Inspector

General's April 1997 Report on FBI Laboratory Practices and Alleged Misconduct in Explosives-Related and Other Cases

(June, 1998), USDOJ/OIG Special Report: Bombs in Brooklyn: How the Two Illegal Aliens Arrested for Plotting to Bomb the

New York Subway Entered and Remained in the United States (March, 1998), and USDOJ/OIG Special Report: A Review of

the FBI's Performance in Uncovering the Espionage Activities of Aldrich Hazen Ames - Unclassified Executive Summary

(April, 1997).

31 Janet Reno, Attorney General of the United States, United States Department of Justice Press Conference on the Budget,

February 1, 1999.
14

(6) Detention and incarceration;

(7) Protection of the federal judiciary and improvement of the justice system; and

(8) Management.32

4. Organizational Culture.

A. Values: The Attorney General has articulated core values for the entire Department of

Justice. They are meant not only to guide actions, but also to guide the establishment of longrange goals and strategies. These core values are:

(1) Equal justice under the law;

(2) Access to justice;

(3) Honesty and integrity;

(4) Pursuit of excellence;

(5) Accountability to the taxpayer;

(6) Cooperation and partnership;

(7) Importance of the individual; and

(8) Openness in government.33

B. Leadership Traditions:

(1) The President appoints the Attorney General with the advice and consent of the

Senate. The Attorney General is a lawyer and most commonly has extensive experience as both a

prosecutor and in private practice. Within the Department of Justice there is a traditional rotation

of highly qualified lawyers between DoJ leadership positions and private law practices.

(2) Interviews revealed that the primary focus within DoJ is on domestic issues.

DoJ sees itself as the "nation's law firm." The amount of attention national security issues receive

within DoJ is heavily dependent on the leadership. Within DOJ's culture, successful prosecutions

appear to be the thing most recognized and rewarded. Interviewees stated that the last two

Deputy Attorney Generals were interested and highly engaged in national security issues.

C. Staff Attributes:

(1) The Office of the Attorney General is composed of attorneys, investigators,

correctional personnel, and individuals from several other disciplines. Attorneys hold most of the

leadership positions. The Department of Justice hires attorneys through two programs: the

Attorney General's Honor Program and the Experienced Attorney Program. The Honor Program,

 

32 Department of Justice, FY 1999 Summary Performance Plan, February 1998.

33 U.S. Department of Justice: Strategic Plan 1997-2002, Mission, http://www.usDoJ.gov/jmd/mps/plan.htm.
15

which is highly competitive, serves as the Department's recruitment program (for all Department

organizations except the U.S. Attorneys' Offices) for outstanding third-year law students; fulltime graduate law students; and Judicial Law Clerks. Applicants for the experienced attorney

program must have had their J.D. degree for at least one year. Department of Justice attorneys

must be duly licensed and authorized to practice as an attorney under the laws of a state, territory

or the District of Columbia. Attorneys hired through the Experienced Attorney Program, except

those in the U.S. Attorneys Offices, are normally hired in the GS-11 to GS-15 range depending on

the number of years of legal experience. The beginning salary for an Honor Program attorney is

normally GS-11. Appointments of non-U.S. citizens to attorney and law clerk positions are

infrequent.34

(2) In general, law enforcement organizations tend to be reactive in nature–the

mission is to "catch the criminal." This attribute is reflected in the following quote from the DoJ

Strategic Plan:

"Justice law enforcement agents and prosecutors inevitably must respond to the

ebb and flow of crime. Catastrophic events such as the bombing of the Alfred P.

Murrah building or the Exxon-Valdez oil spill demand a rapid and major shift in

priorities and resources, thereby detracting from other activities. Recent

experience suggests that the unexpected will occur whether a sudden influx of

persons seeking political asylum, a prison disturbance, a hostage standoff, a

particularly complex and sensitive case, or some other crisis that strains our time,

attention and resources."35

D. Strategy:

(1) The DoJ Strategic Plan is organized around the seven functional areas (listed

above as Core Competencies) through which the Department carries out its mission. Within each

functional area, the Plan provides an overview of priorities, a description of long range goals,

strategies for achieving those goals, and performance indicators. For example, within the

functional area Investigation and Prosecution of Criminal Offenses, one of the five goals is

"Reduce espionage and terrorism (sponsored by foreign or domestic groups in the United States

and abroad when directed at U.S. citizens or institutions)." The strategies listed are: 36

(a) Prevent, to the extent possible, acts of terrorism and espionage.

Investigate, prosecute, and convict violators of U.S. law who are charged with espionage or acts

of terrorism whether they occur here or abroad37;

(b) Gather and analyze counterintelligence information to identify new

investigative leads;

(c) Improve liaison with foreign and domestic counterparts to facilitate

investigations wherever they may occur; and

 

34 http://www.usdoj.gov/careers/oapm/lab/ae.html.

35Department of Justice, DoJ Strategic Plan 1997-2002, September 1997.

36 U.S. Department of Justice, Strategic Plan 1997-2002, Introduction, http://www.usDoJ.gov/jmd/mps/plan.htm .

37 Many of the new roles and responsibilities in counterterrorism and national infrastructure protection not yet found in DOJ's

mission statement or in the Code of Federal Regulations are prominently mentioned in DOJ's Strategic Plan.
16

(d) Coordinate training with international, federal, state, and local law

enforcement organizations to apprise these agencies of emerging trends and concerns in these

areas.

(2) The Department of Justice's Fiscal Year (FY) 1999 Summary

Performance Plan lists the Attorney General's priorities. The priorities include:

(a) Combating terrorism;

(b) Reducing the availability of illegal drugs;

(c) Reducing violent crime, including organized crime, drug and gangrelated violence and domestic violence;

(d) Reducing white collar crime, including public corruption, health care

fraud and cybercrime; and

(e) Administering and enforcing immigration laws fairly and effectively.38

E. Organizational Structure: The following figure shows the Department of Justice

organizational structure.39

Figure 1: Organizational Structure

 

38 Department of Justice, FY 1999 Summary Performance Plan.

39 Source: http://www.usDoJ.gov/DoJorg.htm.
17

Notes on Organizational Chart:40

(1) The Attorney General serves as head of the Department of Justice and as

chief law enforcement officer of the federal government.

(2) The Deputy Attorney General is authorized to exercise all the power and

authority of the Attorney General, unless any such power or authority is required by law to be

exercised by the Attorney General personally. The Deputy Attorney General advises and assists

the Attorney General in formulating and implementing Department policies and programs and in

providing overall supervision and direction to all organizational units of the Department of

Justice.

(3) The Associate Attorney General is the third-ranking official at the

Department of Justice. The Associate Attorney General is a principal member of the Attorney

General's senior management team, and advises and assists the Attorney General and Deputy

Attorney General on the formulation and implementation of Department of Justice policies and

programs.

(4) Office of the Solicitor General represents the federal government before the

Supreme Court. Another major function of the office is to determine, in all cases where the

United States loses in the trial courts, whether the government should appeal to the intermediate

appellate courts.

(5) Office of the Inspector General conducts investigations of employee

misconduct and performs audits and inspections of Department programs and operations. It also

investigates allegations of fraud by contractors, grantees, and recipients of Department benefits,

and third parties improperly seeking to influence the Department or its employees.

(6) Office of Intelligence Policy and Review (OIPR) advises and assists the

Attorney General on all matters relating to national security. Staff attorneys participate in

development, implementation, and review of U.S. national security and intelligence policies,

including procedures for the conduct of intelligence and counterintelligence activities.

(7) Office of Information and Privacy manages Departmental responsibilities

related to the Freedom of Information Act (FOIA) and the Privacy Act. These responsibilities

include coordinating and implementing policy development and compliance government-wide for

the FOIA, and by the Department for the Privacy Act, and deciding all appeals from denials by

any Department component of access to information under those Acts.

(8) Office of Legal Counsel prepares the formal opinions of the Attorney General,

rendering opinions and legal advice to the various governmental agencies, and assisting the

Attorney General in the performance of his/her functions as legal adviser to the President and as a

member of the Cabinet; prepares or makes necessary revisions of Executive Orders and

proclamations and advising the President with respect to their form and legality; performing the

same functions with respect to regulations and similar matters that require the approval of the

 

40 Notes on the Organizational chart are taken from the United States Attorneys Manual, Title 1 with the exception of those on the

Civil, Environmental and Natural Resources, Tax, Antitrust, Civil Rights, and Criminal Divisions which are derived from the

United States Attorneys Manual, Titles 4, 5, 6, 7, 8, and 9 respectively.
18

President or the Attorney General; and coordinates the work of the Department in connection with

United States participation in the United Nations and related international organizations.

(9) Office of Legislative Affairs advises appropriate components of the

Department on the Congressional positions and preferences in the development of the

Department's official policies with respect to legislation initiated inside the Department, by other

parts of the Executive Branch, or by Members of Congress and to explain and advocate those

policies with maximum effectiveness with the Congress. The Office also serves as the Attorney

General's focal point for dealing with nominees, Congressional oversight, Congressional

correspondence and congressional requests for documents and access to Department employees.

(10) Office of the Pardon Attorney assists the President in the exercise of his

power under Article II, Section 2, Clause 1 of the Constitution (the pardon clause). All requests

for executive clemency are directed to the Pardon Attorney for investigation and review. The

Pardon Attorney prepares the Department's recommendation to the President for final disposition

of each application.

(11) Office of Professional Responsibility is responsible for overseeing

investigations of allegations of criminal and ethical misconduct by the Department's attorneys and

criminal investigators. It is also responsible for overseeing on behalf of the Attorney General the

operations of the Offices of Professional Responsibility in the FBI and DEA.

(12) Office of Policy Development is responsible for planning, developing, and

coordinating the implementation of major policy initiatives of the Attorney General and the

Administration. It also serves as liaison to the Office of Management and Budget (OMB) and

other agencies on regulatory matters.

(13) Office of Public Affairs is the principal point of contact for the Department

of Justice with the public and the news media.

(14) Office of Community Oriented Policing Service (COPS) implements the

Administration initiative to hire 100,000 additional police officers and other policing programs.

(15) Executive Office for United States Attorneys provides general executive

assistance and supervision to the 94 Offices of the United States Attorneys. It facilitates

coordination between the Offices of the U.S. Attorneys and the components of the Department of

Justice. It evaluates the performance of Offices of U.S. Attorneys, and makes reports and takes

corrective action when necessary. It publishes the United States Attorneys' Manual and the

United States Attorneys' Bulletin. It also supervises the Office of Legal Education (OLE).

(16) Executive Office for United States Trustees/United States Trustee

Program supervises the administration of bankruptcy cases, leaving traditional judicial functions

as the sole concern of bankruptcy judges. It oversees administrative functions, monitors parties'

conduct, and acts to ensure compliance with applicable laws and procedures. It also identifies and

helps investigate bankruptcy fraud and abuse in conjunction with United States Attorneys, the

Federal Bureau of Investigation, and other law enforcement agencies.

(17) Office of Intergovernmental Affairs serves as the Attorney General's

representative to state and local governments and the advocacy groups that represent them. The
19

Office also plays a key role in policymaking, as it provides guidance to the Attorney General and

other Department officials on issues that impact state and local communities.

(18) Civil Division represents the United States, its departments and agencies,

Members of Congress, Cabinet officers and other federal employees in general civil litigation in

both trial and appellate courts. Its litigation reflects the diversity of government activities,

involving, for example, the defense of challenges to Presidential actions; national security issues;

benefit programs; energy policies; commercial issues such as contract disputes, banking

insurance, patents, fraud, and debt collection; all manner of accident and liability claims; and

criminal violations of the immigration and consumer protection laws.

(19) Environment and Natural Resources Division represents the United States,

its agencies and officials in matters relating to environmental quality, public lands and natural

resources, Indian lands and native claims, and wildlife and fishery resources. The Division's

responsibilities are varied and include both enforcement and defensive work, in both criminal and

civil cases.

(20) Civil Rights Division is responsible for enforcing federal statutes prohibiting

discrimination on the basis of race, sex, handicap, religion, and national origin.

(21) Antitrust Division promotes and protects the competitive process. It is

responsible for coordinating the Department's antitrust enforcement and public policy advocacy

efforts and has jurisdiction for the antitrust statutes.

(22) Tax Division serves as a general-purpose law firm for its principal client, the

Internal Revenue Service (IRS). On behalf of the IRS, the Division handles virtually all civil

litigation arising under the internal revenue laws except for those cases that are docketed in the

U.S. Tax Court, and enforces the criminal tax laws by supervising or directly handling all

criminal tax prosecutions.

(23) Criminal Division develops, enforces, and supervises the application of all

federal criminal laws except those specifically assigned to other divisions. The Division, and the

93 U.S. Attorneys have the responsibility for overseeing criminal matters under the more than 900

statutes, including enforcement of all criminal laws relating to subversive activities and kindred

offenses directed against the internal security of the United States, including the laws relating to

treason, sabotage, espionage, and sedition, as well as certain civil litigation.

(24) Justice Management Division is the principal organizational unit responsible

for management and administrative support in the Department of Justice. It provides

Department-wide policy guidance for management, administration and organizational matters,

such as evaluation, budget and financial management, records management, and procurement. It

also provides direct administrative services to the Department's offices, boards, divisions, and, to

a limited extent, its bureaus, such as personnel, accounting, and payroll.

(25) Office of Justice Programs provides federal leadership in developing the

nation's capacity to prevent and control crime and delinquency, improve the criminal and juvenile

justice systems, increase knowledge about crime and related issues, and assist crime victims.

(26) Executive Office for Immigration Review is charged with the

administration and enforcement of the Immigration and Nationality Act, and all other laws
20

relating to the immigration and naturalization of aliens. It administers and interprets federal

immigration laws and regulations through the conduct of immigration court proceedings,

appellate reviews, and administrative hearings in individual cases.

(27) Office of Dispute Resolution coordinates the use of Alternative Dispute

Resolution (ADR) for the Department of Justice. The office is responsible for ADR policy

matters, ADR training, assisting lawyers in selecting the right cases for dispute resolution, and

finding appropriate neutrals to serve as mediators, arbitrators, and neutral evaluators.
21

5. Formal National Security Process Involvement. The following table indicates DoJ's major

products and roles in the seven key national security processes.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Input for various National 

Strategies (e.g., National 

Security Strategy, International 

Crime Control Strategy, 

Counterterrorism Strategy)

Products























Attendee (NSC and 

NSC/PC)



Chief law 

enforcement officer 

of the federal 

government



Congressional 

Testimony



Input for various National 

Strategies (e.g., National 

Security Strategy, International 

Crime Control Strategy, 

Counterterrorism Strategy)

Input to various interagency 

plans (e.g., Federal Response 

Plan, Chem/Bio Incident 

Contingency Plan)

Attorney 

Roles

General 

Products

 Various Reports (e.g., Attorney 

General Annual Accountability 

Report, Office of the Inspector 

General Audit Reports; Annual 

Foreign Intelligence Surveillance 

Act Report to Congress; Foreign 

Agents Registration Act 

Semiannual Report to Congress)

Sourcebook of Criminal Justice 

Statistics

Enforcement of Federal laws

DoJ Budget

Internal guidance (e.g., including 

the U.S. Attorneys' Manual, U.S. 

Attorneys' Bulletin, Department 

of Justice Organization and 

Functions Manual, Attorney 

General's Guidelines, and the 

Department of Justice Legal 

Activities Book)

 Input to various interagency 

policies and guidance (e.g., the 

International Guidelines and the 

Domestic Guidelines)

DoJ specific strategies (e.g., 

Department of Justice Strategic 

Plan and the Attorney General's 

Strategy to Deter Illegal Entry 

Into the United States Along the 

Southwest Border)

Legal opinions and advice

Legal documents (e.g., briefs, 

advisory letters, consent 

decrees, guidelines, and 

regulations)
22

A. Strategy Development:

(1) Major Activities:

(a) Input and coordination on the National Security Strategy (NSS).

Sections of NSS that would be of interest to DoJ are international law enforcement cooperation,

terrorism, international crime, drug trafficking, and protection of critical infrastructures.

(b) Development of the International Crime Control Strategy (ICCS). The

NSC directed Justice, State, and the Treasury to develop the ICCS to further the objectives

outlined in PDD 42. The ICCS articulates eight broad goals and thirty related objectives as a

blueprint for an effective, long-term approach to combating international crime.41

(c) Development of the Alien Smuggling Strategy (interagency strategy

that outlines Justice and INS roles (along with the Department of State and Transportation, and

the Coast Guard) in combating and deterring alien smuggling;

(d) The Attorney General and INS Commissioner developed a

comprehensive five-part strategy to strengthen enforcement of the nation's immigration laws,

known as the Attorney General's Strategy to Deter Illegal Entry Into the United States Along the

Southwest Border.42

(e) The Attorney General, as a member of the President's Council on

Counter-Narcotics, contributes to the development of the National Drug Control Strategy. 43

(f) As directed by PDD 9, Justice reviews criminal and civil authorities and

penalties for alien smuggling and recommends alternative prosecution strategies or penalty

increases if appropriate.44

(g) Development of the DoJ Strategic Plan.

(2) Major Stakeholders: NSC, Office of National Drug Control Policy (ONDCP),

DoJ subordinate organizations.

(3) Key Organizational Processes:

(a) DoJ Inputs to National Strategies: The Executive Office for National

Security (EONS), within the Office of the Deputy Attorney General, coordinates DoJ activities

involving national security issues, and acts as a Departmental forum for developing national

security strategy and policy.

(b) DoJ Strategic Plan: DoJ began the planning process by asking its

organizations to develop mission and goal statements as part of their budget requests. Based on

these component-level mission and goal statements and, in a few cases, component level strategic

 

41 "Introduction and Overview", International Crime Control Strategy, June 1998.

42 General Accounting Office, Illegal Immigration: Southwest Border Strategy Results Inconclusive; More Evaluation Needed,

Washington D.C.: U.S. Government Printing Office, December 1997 (Report Number GAO/GGD-98-21).

43 Executive Order 12992, March 15, 1996.

44 Presidential Decision Directive 9, June 18, 1993.
23

plans, it developed a draft department-wide plan. This draft was the subject of extensive review

and comment by the Attorney General and the Department's senior managers, including the

Attorney General's Advisory Committee of U. S. Attorneys and a newly constituted departmentwide long-range planning committee. This internal review process was highly iterative. DoJ

embarked on a series of consultations with members of Congress to obtain their views on the draft

plan. Overall DoJ met with Senate and House representatives on ten separate occasions and made

additional changes to the draft based on the comments provided. DoJ has revised its internal

processes to make the Strategic Plan the foundation for the development of annual budgets and

performance plans. The Strategic Plan is revised and updated as needed.45,

46

(4) Associated Higher-Level Processes: Development of the NSS, ICCS, and

National Drug Control Strategy (See Volume II: Chapter2, the National Security Council, and

Chapter 5, Office of National Drug Control Policy).

(5) Associated Lower-Level Processes: Development of strategies and strategic

plans by DoJ subordinate organizations (See Volume VII: Chapter11, The Federal Bureau of

Investigation, Chapter 12, The Drug Enforcement Administration, Chapter 13, The Immigration

and Naturalization Service, and Chapter 14, The U.S. Marshals Service).

B. Policy, Guidance, and Regulations:

(1) Major Activities:

(a) The Attorney General's Guidelines provide centralized direction,

which allows for greater uniformity and control of national and international law enforcement

efforts. The Attorney General's Guidelines pertain to all agencies of the Department of Justice

engaged in the detection, investigation, and prosecution of federal crimes. The following table

lists the areas for which Attorney General's Guidelines have been developed.47

Attorney General's Guidelines

The Freedom of Information Act

Using Statistics to Assess Performance

Support of National Guard and Reserve Members

Fraud Prevention Initiative

Procedures for Lawful, Warrantless Monitoring of Verbal

Communications

Ensuring Racial Neutrality in Prosecution Practices;

Implementation of Hate Crimes Initiative

Violence Against Providers of Reproductive Health Services

Drug-Induced Violent Crime Prosecutions

Health Care Systemic Reports

Renewing Our Commitment to Victims of Crime

Prosecutive Guidelines and Procedures for the Child Support

Recovery Act of 1992

Violence Against Women Act Prosecutions

The Crime Victims Fund

Victim and Witness Assistance

Vietnamese refugee status determinations

FBI Foreign Intelligence Collection and Foreign

Counterintelligence Investigations

Deportation of Criminal Aliens

Procedures Concerning Allegations of Misconduct by DoJ

Employees

Environmental Crime

Enforcement of the Indian Gaming Regulatory Act

General Crimes, Racketeering Enterprise and Domestic

Security / Terrorism Investigations

Fair Housing Litigation

Department Fine Collection Efforts

Disclosure of Information to Bank Regulatory Agencies

Regarding Safety and Soundness of Financial Institutions

FBI Undercover Operations

Seized and Forfeited Property

FBI Use of Informants and Confidential Sources

 

45 U.S. Department of Justice, Strategic Plan 1997-2002, Introduction, http://www.usDoJ.gov/jmd/mps/plan.htm.

46 U.S. Department of Justice, Strategic Plan 1997-2002, http://www.usDoJ.gov/jmd/mps/plan.htm.

47 http://www.usDoJ.gov/ag/readingroom/ag_foia1.htm.
24

(b) The United States Attorneys' Bulletin provides internal guidance to

the United States Attorneys' offices and other organizational units of the Department concerned

with litigation. Each issue of the Bulletin addresses a specific issue relevant to the U.S.

Attorneys, such as money laundering, tax prosecutions, international legal issues, international

extradition, and electronic investigative techniques.48

(c) The Department of Justice participates in national policy making

through the NSC committee process.

(d) Although not a member of the NSC or NSC Principals Committee

(NSC/PC), the Attorney General is invited to attend meetings pertaining to the Department of

Justice’s jurisdiction.

(e) Similarly, the Deputy Attorney General often attends the NSC Deputies

Committee (NSC/DC).

(f) The Executive Office of National Security is the senior office that

engages in the interagency process for the Attorney General. The director of EONS is included in

NSC Executive Committees (ExComms) when required.

(g) PDD 42 established the Special Coordination Group (SCG) to ensure

sustained and focused attention to international crime. It is an interagency team chaired by a

senior member of the NSC staff and includes a high-level DoJ official.49

(2) Major Stakeholders: NSC, Intelligence community, DoJ subordinate

organizations.

(3) Key Organizational Processes:

(a) The DoJ Office of Intelligence Policy and Review advises and assists

the Attorney General on all matters relating to national security and in carrying out his/her

responsibilities under Executive Order 12333. As the Attorney General's representative on

interdepartmental boards, committees and other groups dealing with intelligence and

counterintelligence activities, staff attorneys participate in development, implementation, and

review of U.S. national security and intelligence policies, including the procedures for the

conduct of intelligence and counterintelligence activities.50 It also represents the Attorney

General on a variety of interagency committees and task forces regarding issues such as

nonproliferation, scientific exchange programs, export administration, information and personnel

security, overflights of U.S. territory by aircraft from foreign countries, and development of

national intelligence topics.51

(b) The Security Policy Board: The Deputy Attorney General is a

member of the Security Policy Board. The Security Policy Board considers, coordinates, and

 

48 http://www.usdoj.gov/usao/eousa/foia/foiamanuals.html.

49 "Optimizing the Full Range of U.S. Efforts," International Crime Control Strategy, June 1998.

50 U.S. Attorneys’ Manual. Section 1-2.106, "Office of Intelligence Policy and Review."

51 United States Department of Justice, Legal Activities Book 1999, "Office of Intelligence Policy and Review,"

http://www.usDoJ.gov/careers/oapm/lab/legal_policy/oipr.html.
25

recommends for implementation to the President, through the Assistant to the President for

National Security Affairs, policy directives for U.S. security policies, procedures, and practices.

It is the principal mechanism for reviewing and proposing to the NSC legislative initiatives and

executive orders pertaining to U.S. security policy, procedures and practices that do not fall under

the statutory jurisdiction of the Secretary of State.52

(c) The National Counterintelligence Policy Board (on which a senior

DoJ official holds membership) considers, develops, and recommends for implementation to the

Assistant to the President for National Security Affairs policy and planning directives for U.S.

counterintelligence. The Policy Board is the principal mechanism for reviewing and proposing to

the NSC staff legislative initiatives and executive orders pertaining to U.S. counterintelligence.

The Policy Board also coordinates the development of interagency agreements and resolves

conflicts that may arise over the implementation of those agreements.53

(d) The Office of Investigative Agency Policies (OIAP) was established

in November 1993, to improve coordination among its law enforcement agencies, reduce

duplication, and better utilize investigative resources. OIAP is headed by a Director–currently the

Director of the Federal Bureau of Investigation–appointed by the Attorney General from among

the heads of the affected investigative agencies–FBI, Drug Enforcement Administration, U.S.

Marshals Service, and Immigration and Naturalization Service–and Justice's Criminal Division.

OIAP is responsible for resolving operational issues among the Justice's investigative agencies

where there is overlapping jurisdiction and for advising the Attorney General regarding

administrative, budgetary, and personnel matters involving these agencies. Among other things,

OIAP has issued resolutions and begun taking actions to improve the use and sharing of federal

drug intelligence; the coordination of violent crime activities; the coordination of the budget

requests of the various investigative agencies; and the location and use of Justice field offices and

resources. OIAP resolutions have created a uniform shooting incident policy and a uniform

deadly force policy.54

(4) Associated Higher-Level Processes: Development of national law

enforcement, counterterrorism, counterdrug, and counterintelligence policies (See Volume II,

Section 2, The National Security Council)

(5) Associated Lower-Level Processes: Development of policies, guidance, and

regulations by DoJ subordinate organizations (See Volume VII: Chapter11, The Federal Bureau

of Investigation, Chapter 12, The Drug Enforcement Administration, Chapter 13, The

Immigration and Naturalization Service, and Chapter 14, The U.S. Marshal's Service).

 

52 The White House, Office of the Press Secretary, Statement by the Press Secretary, September 27, 1994.

53 "White House Fact Sheet on U.S. Counterintelligence Effectiveness," May 3, 1994.

54 General Accounting Office, Management Reform: Implementation of the National Performance Review's Recommendations

(Letter Report, 12/05/94, GAO/OCG-95-1).
26

C. Planning:

(1) Major Activities:

(a) Develop internal and interagency plans. For example, DoJ developed

the interagency plan on counterterrorism and technology crime. This classified five-year plan was

completed in December 1998.

(b) Participate in the development of interagency plans (e.g., Federal

Response Plan and its Terrorism Incident Annex, National Infrastructure Assurance Plan).

(2) Major Stakeholders: NSC, Intelligence community, the Federal Emergency

Management Agency (FEMA), DoJ subordinate organizations.

(3) Key Organizational Processes: DoJ does not have a single formal planning

process equivalent to Department of Defense's (DoD's) deliberate and crisis action planning

processes. The Department tends to modify its planning process based on the topic or situation.

Where appropriate, the responsible functional manager within the Office of the Attorney General

staff will consolidate input from DoJ subordinate organizations (e.g., FBI, DEA, etc.) and external

organizations. For example, to complete the interagency plan on counterterrorism and technology

crime, DoJ consulted with the Departments of Defense, State, Treasury, the Central Intelligence

Agency, private sector representatives and local law enforcement officers, and the FBI.55 , 56

(4) Associated Higher-Level Processes: Development of interagency plans (e.g.,

The Federal Response Plan and the Interagency Domestic Terrorism Concept of Operations Plan)

(See Volume VII: Chapter 11, The Federal Bureau of Investigation, and Chapter20, The Federal

Emergency Management Agency).

(5) Associated Lower-Level Processes: Development of plans by FBI

subordinate agencies and state and local law enforcement organizations.

D. Mission Execution:

(1) Major Activities:

(a) DoJ subordinate organizations (e.g., FBI, DEA, INS, etc.) have the

major mission execution responsibilities.

 

55 General Accounting Office, "Combating Terrorism: Observations on Growth in Federal Programs, "Statement of Mark E.

Gebicke, Director, National Security Preparedness Issues, National Security and International Affairs Division Before the

Subcommittee on Oversight, Investigations, and Emergency Management, Committee on Transportation and Infrastructure,

House of Representatives, GAO/T-NSIAD-99-181, June 9, 1999.

56 Another example of DoJ planning is referenced in the Federal Response Plan: In 1998, at the request of the Congress, the

Attorney General prepared a 5-year plan outlining the Justice Department's strategy for improving the federal, state, and local

response to terrorism. As part of this overall framework, in June 1998, the Office for State and Local Domestic Preparedness

Support (OSLDPS) and its national training center, the Center for Domestic Preparedness (CDP), were created within OJP.
27

(b) The Department of Justice is the lead federal agency (LFA) for crisis

management in the event of a domestic terrorist incident. DoJ delegates this overall LFA role to

the FBI for operational response.57

(c) The Attorney General coordinates FBI requirements for assistance from

other federal agencies in crisis management situations. The Attorney General notifies the

President and NSC groups as warranted that federal crisis response is required and whether the

FBI requires assistance from other agencies, and consults on policy matters concerning the overall

response.58

(d) The Attorney General, or his/her representative, is a member of the

FBI's Strategic Information Operations Center (SIOC), which coordinates national-level response

in the event of a domestic terrorist incident.59

(e) When response moves from crisis management to the consequence

management phase the Attorney General transfers the LFA role from the FBI to FEMA.60, 61

(f) The Criminal Division of DoJ is responsible for enforcement of all

criminal laws relating to subversive activities and kindred offenses directed against the internal

security of the United States, and administration and enforcement of the Foreign Agents

Registration Act (Title 50 of the United States Code, Sections 851-857).62

(g) The Attorney General works with the Department of State to deny visas

to a broad range of international criminals and their families and prevent them from entering the

United States.63

(h) The Department of Justice is designated as a support agency in

information and planning, health and medical services, urban search and rescue, and the

hazardous materials emergency support functions of the Federal Response Plan.64

(i) The Attorney General, as a member of the President's Council on

Counter-Narcotics, ensures coordination among departments and agencies concerning

implementation of the President's national drug control strategy.65

(j) At U.S. embassies and missions around the world, the Chief of Mission

(usually the Ambassador) has the authority and responsibility for the direction, coordination and

supervision of the various activities of all in-country official U.S. Executive Branch personnel,

 

57 Federal Response Plan, April 1999.

58 Federal Response Plan, April 1999.

59 Department of Health and Human Services, Health and Medical Services Support Plan for the Federal Response to Acts of

Chemical/Biological Terrorism, June 21, 1996.

60 Federal Response Plan, April 1999.

61 The Federal Response Plan defines consequence management as "measures to protect public health and safety, restore essential

government services, and provide emergency relief to governments, businesses, and individuals affected by the consequences

of terrorism."

62 Code of Federal Regulations, Title 28, Part 0, Section 0.61.

63 "Optimizing the Full Range of U.S. Efforts," International Crime Control Strategy, June 1998.

64 Federal Response Plan, April 1999.

65 Executive Order 12992, March 15, 1996.
28

except military personnel under the command of a U.S. area military commander. The Chief of

Mission also has the duty to keep fully informed with respect to all activities and operations of the

U.S. Government within that country. To facilitate that process, the Treasury, State and Justice

Departments have signed a memorandum of understanding, dated November 14, 1996, clarifying

the authority the Chief of Mission exercises over many individuals from a multitude of

departments and agencies. The memorandum articulates clearly defined responsibilities with

respect to the coordination, by the relevant Chiefs of Mission, of law enforcement activities

abroad, including agreed principles to enhance coordination between each law enforcement

entity's senior representative at post and the Chief of Mission or Deputy Chief of Mission.

(2) Major Stakeholders: NSC, ONDCP, other Departments within the Executive

Branch, DoJ subordinate organizations.

(3) Key Organizational Processes:

(a) Investigations by FBI subordinate organizations are conducted within

the Attorney General's Guidelines. Some sensitive investigative methods, such as undercover

activities and electronic surveillance, are subject to specific review and approval procedures.

Individual investigative cases in a particular program may receive extensive investigative

attention because of their size, potential impact, or sensitivity.

(b) The Attorney General, pursuant to the Foreign Intelligence Surveillance

Act (Section 1801 of Title 50 of the U.S. Code) and by authority of Executive Order 12949, may

approve physical searches, without a court order, to acquire foreign intelligence information for

periods of up to one year, if the Attorney General makes the required certifications. The Attorney

General is also authorized to approve applications to the Foreign Intelligence Surveillance Court

to obtain orders for physical searches for the purpose of collecting foreign intelligence

information.66 The DoJ’s Office of Intelligence Policy and Review processes applications to the

Foreign Intelligence Surveillance Court.

(c) OIPR may work with the applying agency to draft several versions of

the application and help it meet probable cause requirements. Once approved by the OIPR they

are forwarded to the Attorney General for final approval before being presented to the Court. If

applications are not approved by OIPR, the agency submitting the application can request another

review. In this instance, the Attorney General refers the application to the Executive Office for

National Security in the Deputy Attorney General's Office. If EONS concurs with OIPR and the

agency submitting the application still is not satisfied, then the Attorney General may review the

application with the director of the agency submitting the application.67

(d) OIPR also supervises the preparation of certifications and applications

for orders under the Foreign Intelligence Surveillance Act and the representation of the United

States before the United States Foreign Intelligence Surveillance Court. It also recommends

action by the DoJ with regard to applications for foreign intelligence and counterintelligence

 

66 Executive Order 12949, February 9, 1995.

67 Weekly Press Briefing with Attorney General Janet Reno, May 27, 1999.
29

electronic surveillance, as well as for other investigative activities by Executive Branch

agencies.68

(e) The Attorney General approves or disapproves of state government

applications for federal law enforcement assistance in the event that a state experiences a law

enforcement emergency to which it cannot provide an adequate response under the Justice

Administration Act of 1984 (Sections 10501-10513 of Title 42 of the U.S. Code). If the

application is approved, federal law enforcement assistance may be provided to include

equipment, training, intelligence, and personnel.69 "In determining whether to approve or

disapprove an application for assistance under this section, the Attorney General shall consider:

(i) The nature and extent of such emergency throughout a state or in

any part of a state;

(ii) The situation or extraordinary circumstances which produced

such emergency;

(iii) The availability of state and local criminal justice resources to

resolve the problem;

(iv) The cost associated with the increased federal presence;

(v) The need to avoid unnecessary federal involvement and

intervention in matters primarily of state and local concern; and

(vi) Any assistance which the state or other appropriate unit of

government has received, or could receive, under any provision of title I of the Omnibus Crime

Control and Safe Streets Act of 1968 (42 U.S.C. 3701 et seq.)."70

(f) Each of the U.S. Attorney's Offices has a designated Computer and

Telecommunications Coordinator (CTC) who serves as the expert in that district on high

technology crime and intellectual property protection. The CTC acts as liaison between the

individual U.S. Attorney's Office and other federal, state, and local investigative agencies, the

private sector and headquarters at the Justice Department.71 

(g) In the event that State and local police forces (including the National

Guard operating under State control) are unable to adequately respond to a civil disturbance, a

Governor may request, through the Attorney General, federal military assistance under Chapter

15 of Title 10 of the U.S. Code. The President makes the ultimate determination whether to use

the Armed Forces to respond to an emergency.72

(4) Associated Higher-Level Processes: Interagency law enforcement, counterdrug, counterterrorism, and counterintelligence operations (See Volume II: Chapter 2, the

 

68 Code of Federal Regulations, Title 28, Part 0, Section 0.33b.

69 Sections 10501-10513 of Title 42 of the U.S. Code.

70 Section 10501 of Title 42 of the U.S. Code.

71 "Responding to Emerging International Crime Threats," International Crime Control Strategy, June 1998.

72 Chapter 15 of Title 10 of the U.S. Code, and the Federal Response Plan, April 1999.
30

National Security Council, and Chapter 5, The Office of National Drug Control Policy, Volume

VI, The Intelligence Community, and Volume VII, Chapter 15, The U.S. Coast Guard).

(5) Associated Lower-Level Processes: Law Enforcement operations by DoJ

subordinate organizations (See Volume VII: Chapter11, The Federal Bureau of Investigation,

Chapter 12, The Drug Enforcement Administration, Chapter 13, The Immigration and

Naturalization Service, and Chapter 14, The U.S. Marshal's Service).

E. Observation, Orientation, and Oversight:

(1) Major Activities:

(a) The Attorney General is responsible for overseeing and reporting on the

activities of all of the Department of Justice's subordinate agencies.

(b) DoJ's Office of Intelligence Policy and Review oversees both internal

DoJ and external executive agencies' intelligence activities.

(c) Monitor and report on a broad spectrum of criminal justice data.

(2) Major Stakeholders: The NSC, the intelligence community, DoJ subordinate

organizations, state and local law enforcement organizations.

(3) Key Organizational Processes:

(a) The Attorney General uses the Annual Accountability to summarize the

Department of Justice's performance and major accomplishments of the past fiscal year. The

report examines the ways each of the Department's components has made progress towards

achieving the goals set out for it by, and using the performance indicators defined in, the

Department of Justice Strategic Plan.73

(b) DoJ publishes the Sourcebook of Criminal Justice Statistics annually.

It presents a broad spectrum of criminal justice data from more than 100 sources in 6 sections:

characteristics of the criminal justice systems, public attitudes toward crime and criminal justice

topics, the nature and distribution of known offenses, characteristics and distribution of persons

arrested, judicial processing of defendants, persons under correctional supervision.74

(c) DoJ's Office of Intelligence Policy and Review evaluates Departmental

activities and existing and proposed domestic and foreign intelligence and counterintelligence

activities to determine their consistency with United States intelligence policies and law. OIPR

also monitors intelligence and counterintelligence activities by executive branch agencies to

insure conformity with DoJ objectives."75

(d) OIPR produces periodic and special intelligence reports describing and

evaluating domestic and foreign intelligence and counterintelligence activities and assessing

 

73 Department of Justice, Fiscal Year 1998 Attorney General's Annual Accountability Report.

74 Department of Justice, Sourcebook of Criminal Justice Statistics, October 1999.

75 Code of Federal Regulations, Title 28, Part 0, Section 0.33b.
31

trends or changes in these activities. It also provides a quality control review for all outgoing

intelligence and counterintelligence reports.76

(e) The Attorney General delivers the Annual Foreign Intelligence

Surveillance Act Report to Congress. The report indicates the number of applications for orders

or extensions of orders for electronic surveillance or physical searches presented to the Foreign

Intelligence Surveillance Court. It also specifies the number of applications approved by the

court, and the number of orders entered, which were modified or denied the requested authority.77

(f) The Attorney General submits to Congress a Semiannual Foreign

Agents Registration Act Report. The report lists, according to geographical area or nationality

field, all agents who were registered at any time during the reporting period. It includes the

identities of the agents and their foreign principal(s), a description of the agent's activities, a total

figure for monies received, a description of any informational materials disseminated, and a

listing of all individual agents.78

(g) The Office of the Inspector General conducts audits on all DoJ internal

organizations (such as FBI, DEA, and INS), and of external organizations that receive grants from

DoJ.79

(h) The Office of Professional Responsibility presents an Annual Report

for the Fiscal Year. This report presents a statistical summary of investigations into professional

misconduct handled by the Office and summarizes major policy changes and developments. The

report also presents numerous examples of the cases closed by the Office. It also contains

separate sections that provide statistics and examples of investigations into the conduct of FBI

and DEA employees.80

(i) The Attorney General works with the Secretary of the Treasury, the

Director of Central Intelligence, and the Departments of Commerce, State, Energy, Defense, and

Agriculture to furnish reports to the President and to Congress concerning foreign efforts to

acquire United States companies involved in research, development, or production of critical

technologies and industrial espionage activities directed by foreign governments against private

U.S. companies.81

(j) DoJ reviews and makes recommendations regarding administrative

decisions of the Board of Immigration Appeals and INS field directives pertaining to eligibility

for asylum.82

(k) The National Counterintelligence Operations Board (on which a senior

DoJ official is a member) oversees all coordinating subgroups, resolves specific conflicts

 

76 Code of Federal Regulations, Title 28, Part 0, Section 0.33b.

77 Department of Justice, Annual Foreign Intelligence Surveillance Act Report to Congress, 1997.

78 Department of Justice, Foreign Agents Registration Act: Report to Congress for Six Months Ended June 30, 1997.

79 http://www.usDoJ.gov/oig/igaudit1.htm.

80 Department of Justice, Office of Professional Responsibility Annual Report for Fiscal Year 1997.

81 Executive Order 12919, June 6, 1994.

82 Presidential Decision Directive 9, June 18, 1993.
32

concerning counterintelligence operations, and identifies potential policy conflicts for referral to

the Policy Board.83

(l) The Justice Management Division conducts, directs, reviews, and

evaluates management studies and surveys of the DoJ's organizational structure, functions, and

programs, operating procedures, and supporting systems, and management practices throughout

the Department and makes recommendations to reduce costs and improve productivity.84

(4) Associated Higher-Level Processes: None.

(5) Associated Lower-Level Processes: FBI development of the National

Security Threat List (NSTL) and Uniform Crime Reports (See Volume VII, Chapter 11, The

Federal Bureau of Investigation).

F. Preparation:

(1) Major Activities:

(a) Train federal legal personnel through the Office of Legal Education;

(b) Train state, local, and federal law enforcement officials;

(c) Evaluate new law enforcement programs; and

(d) Participate in the development of new law enforcement technologies.

(2) Major Stakeholders: Federal, state, local and foreign legal and law

enforcement officials.

(3) Key Organizational Processes:

(a) The Office of Legal Education in the Executive Office for U.S.

Attorneys develops, conducts, and authorizes the training of all federal legal personnel. OLE

coordinates legal education and attorney training for the Department of Justice and other

departments and agencies of the Executive Branch. OLE offers training in civil discovery and

trial techniques; negotiation techniques; and administrative law areas such as bankruptcy, FOIA,

ethics, environmental law, federal employment, regulatory processes, government contracts, legal

research and writing for attorneys, and computer law. Most of OLE's courses are given at the

National Advocacy Center (NAC) where more than 10,000 people are expected to train

annually.85

(b) DoJ's Computer Crime and Intellectual Property Section (CCIPS)

organized and chairs the Infotech Training Working Group (ITWG). ITWG's mission is to

 

83 "White House Fact Sheet on U.S. Counterintelligence Effectiveness", May 3, 1994.

84 Code of Federal Regulations, Title 28, Part 0, Section 0.75.

85 The National Advocacy Center is a joint venture by the National District Attorneys Association and the Department of Justice.

The Center provides training for U.S. prosecutors at all levels, including federal, state, and local. -

http://www.usDoJ.gov/usao/eousa/ole/olefacts.html.
33

develop, identify and coordinate training on computer, network and other high-technology crimes

at the federal, state and local levels.86

(c) The Department of Justice provides training to police, fire, hazardous

materials, and medical and emergency management responders in the 120 largest urban

jurisdictions. Training focuses on explosives, incendiary, biological and chemical response (but

not radiological or nuclear response).87

(d) The Municipal Fire and Emergency Medical Services Training and

Technical Assistance Program provides no-cost assistance and training to municipal fire and

emergency services personnel in state and local jurisdictions. This program provides state and

local fire and emergency medical service personnel with basic training in WMD awareness and

incident response and command procedures.88

(e) DoJ's Bureau of Justice Assistance (BJA) State and Local AntiTerrorism Training Program provides state and local law enforcement and prosecutors with a

better awareness and understanding of the domestic terrorism problem and the organizations and

individuals who commit domestic terrorism acts. The program is developed in cooperation with

the FBI and includes presentation of executive-level, three-day comprehensive classes for law

enforcement agency executives and senior commanders; presentation of regional intelligence

training sessions for intelligence collection, analysis, and exchange, including participation by

representatives from the BJA Regional Information Sharing Systems (RISS) program;

development of a training curriculum for state and local law enforcement agencies and one for

prosecutors; and implementation of a "train-the-trainers" program.89

(f) The Department of Justice trains foreign police officers in technical

skills and provides assistance in developing policies and procedures through the International

Criminal Investigative Training Assistance Program (ICITAP). ICITAP enables police

organizations to deliver effective police services, maintain public order, and address the growing

threat from international crime.90

(g) The Training and Technical Assistance Division, within the

Community Oriented Policing Services (COPS) funds the Community Policing Consortium. It

brings together the expertise of five national law enforcement associations to deliver community

policing training primarily to COPS grantees. The Training and Technical Assistance Division

funds regional training conferences focused on topics that support the efforts of grantees.

Additionally, the Regional Community Policing Institutes create partnerships with law

 

86 "Responding to Emerging International Crime Threats." International Crime Control Strategy, June 1998.

87 General Accounting Office, "Combating Terrorism: Observations on Growth in Federal Programs," Statement of Mark E.

Gebicke, Director, National Security Preparedness Issues, National Security and International Affairs Division Before the

Subcommittee on Oversight, Investigations, and Emergency Management, Committee on Transportation and Infrastructure,

House of Representatives, GAO/T-NSIAD-99-181, June 9, 1999.

88 Department of Justice, Office of Justice Programs Fiscal Year 1999 Program Plan.

89 Department of Justice, Fiscal Year 1999 Office of Justice Programs At-A-Glance.

90 Criminal Division, U.S. Department of Justice, International Criminal Investigative Training Assistance Program (ICITAP)

brochure.
34

enforcement, educational institutions and community partners to provide a broad spectrum of

innovative and specialized training both to grantees and non-grantees.91

(h) DoJ's Overseas Prosecutorial Development, Assistance, and Training

(OPDAT) office provides training for prosecutors and judges with investigative responsibilities.92

(i) DoJ's Office of Justice Programs administers a terrorism-related

consequence management training program for firefighters and emergency medical personnel.

The program was developed in conjunction with the Federal Emergency Management Agency.93

(j) The Office of International Programs in the Office of the Deputy

Attorney General coordinates all proposals for, and reviewing and administering ongoing efforts

for, DoJ to provide foreign countries with training or technical assistance in the fields of law

enforcement, administration of justice, legislation, and economic reform and democratic

institution-building initiatives. It assists in the coordination of ICITAP activities and acts as

liaison with the State Department and other appropriate federal, state, local and non-governmental

institutions regarding training and technical assistance for foreign countries.94

(k) The Attorney General has established an Information Technology (IT)

Investment Board chaired by the Deputy Attorney General and composed of the senior leadership

of the Department. The Board reviews and approves major IT investments and monitors

compliance with cost, schedule and performance targets. The Department's Chief Information

Officer (CIO) provides support to the Board and advises the Attorney General on IT policy. DoJ

is developing a department-wide information technology architecture framework.

(l) The Office of Justice Programs Information Technology Executive

Council coordinates OJP's efforts in the area of information technology and to determine how the

federal government can most effectively assist state and local communities meet their information

technology needs. The Executive Council staff meets with state and local policymakers, criminal

justice practitioners, and technology experts across the country to explore what progress has

already been made at the state and local levels in designing integrated justice system projects,

what state and local needs are, and how OJP and state and local jurisdictions could work together

to ensure that information technology resources are being applied effectively, efficiently, and

equitably.95

(m) A Memorandum of Understanding (MOU) between the National

Institute of Justice and the Department of Defense covers the sharing and joint development of

technology systems that can be used for both defense and criminal justice purposes. These efforts

are supported by NIJ's National Law Enforcement and Corrections Technology Center

(NLECTC) system, which is composed of the national center, four regional centers, and special

 

91 http://www.usDoJ.gov/cops/gpa/default.htm.

92 http://www.usDoJ.gov/criminal/opdat.html.

93 General Accounting Office, "Combating Terrorism: Observations on Growth in Federal Programs," Statement of Mark E.

Gebicke, Director, National Security Preparedness Issues, National Security and International Affairs Division before the

Subcommittee on Oversight, Investigations, and Emergency Management, Committee on Transportation and Infrastructure,

House of Representatives, GAO/T-NSIAD-99-181, June 9, 1999.

94 Code of Federal Regulations, Title 28, Part 0, Section 0.26.

95 Department of Justice, Office of Justice Programs FY 99 Program Plan, Chapter 8, "Enhancing Technology's Use in

Addressing Crime,"http://www.ojp.usdoj.gov/99progplan.
35

offices. NLECTC develops, tests, and disseminates information about criminal justice

technology.96, 97

(n) The National Institute of Justice (NIJ) is the principal federal agency

for research on criminal justice issues, testing of new law enforcement and criminal justice

programs, and publication of reports for federal, state and local justice agencies. As the research

and development arm of the Department of Justice, NIJ tests and evaluates programs to improve

and strengthen the criminal justice system. It is charged with investing public funds to develop

knowledge that will reduce crime, enhance public safety, and improve the administration of

justice. It conducts and sponsors basic and applied research into the causes and prevention of

crime and tests and evaluates new approaches, techniques and technologies.

(o) Office of Law Enforcement Standards (OLES) applies science and

technology to the needs of the criminal justice community, including law enforcement,

corrections, forensic science, and the fire service. NIJ supports the development of methods to

test equipment performance and examine evidentiary materials, develop standards for equipment

and operating procedures, develop standard reference materials, and perform other scientific and

engineering tasks required by NIJ.

(4) Associated Higher-Level Processes: Interagency law enforcement and

disaster preparedness training and exercises (See Volume VII: Chapter 11, The Federal Bureau of

Investigation, Chapter 15, The United States Coast Guard, and Chapter 20, The Federal

Emergency Management Agency).

(5) Associated Lower-Level Processes: Training and equipment procurement by

DoJ subordinate organizations and state and local law enforcement organizations.

G. Resourcing:

(1) Major Activities:

(a) Develop the Department of Justice budget;

(b) As directed in PDD 9, the Department of Justice and INS review and

recommend appropriate action on the use of the Immigration Emergency Fund for funding

international repatriation, domestic detention and processing illegal migrants;98

(c) Provide grants to state and local law enforcement organizations; and

(d) Coordinate with the Department of State to negotiate multilateral legal

assistance treaties.99

 

96 Office of Justice Programs FY 99 Program Plan, Chapter 8.

97 This MOU has led, for example, to the development of non-lethal weapons that subdue suspects, and to a variety of

technologies for detecting concealed weapons and other contraband. In other projects with DoD agencies, encouraged by the

establishment of the MOU, NIJ has worked to transfer computer enhanced training developed for the military to a variety of

law enforcement applications.

98 Presidential Decision Directive 9, June 18, 1993.
36

(2) Major Stakeholders: OMB, DoJ subordinate organizations, DoJ grant

recipients.

(3) Key Organizational Processes:

(a) All of the Department of Justice agencies must submit budget requests

through the Department of Justice. The Attorney General has directed component heads to

explicitly relate their budget requests and performance plans to the Department's long-range

strategic goals.100 The Justice Management Division supervises, directs, and reviews the

preparation, justification, and execution of the Department of Justice Budget, including the

coordination and control of the programming and reprogramming of funds.101

(b) Through the State and Local Domestic Preparedness Equipment

Support Program, DoJ provides funds to states and selected metropolitan jurisdictions to procure

personal protective, chemical/biological detection, decontamination, and communications

equipment. This equipment enables fire departments, law enforcement agencies, emergency

medical services, and hazardous materials response units to enhance their response capabilities in

state and local jurisdictions to incidents of domestic terrorism.102

(c) Through the Fire and Emergency Services Equipment Support Grant

Program, DoJ provides funds to local fire departments, hazardous materials response teams, and

emergency medical services agencies to purchase personal protective, decontamination, detection,

and communications equipment to enhance their capabilities to response to terrorist attacks

involving weapons of mass destruction, including nuclear, biological, and chemical agents.103

(d) Through the Fire and Emergency Response Communications

Equipment Support Program, assistance is provided to local jurisdictions to address the issue of

interoperable radio communications equipment for local emergency response agencies to improve

interagency and inter-jurisdictional radio communications.104

(e) Through the State and Local Domestic Preparedness Technical

Assistance Program, DoJ provides grant funds to state and local jurisdictions, including first

responder agencies, to enable these jurisdictions and emergency response agencies to better

respond to WMD incidents.105

(f) DoJ provides funding for the National Domestic Preparedness

Consortium, which supports the cost-effective delivery of training, including situational exercises,

to the nation's state and local emergency response community. Training enhances the capabilities

 

99 U.S. Department of State, Bureau for International Narcotics and Law Enforcement Affairs, International Narcotics Control

Strategy Report, 1996, March 1997.

100 U.S. Department of Justice, Strategic Plan 1997-2002, Introduction, http://www.usDoJ.gov/jmd/mps/plan.htm

101 Code of Federal Regulations, Title 28, Part 0, Section 0.75.

102 Department of Justice, Office of Justice Programs Fiscal Year 1999 Program Plan.

103 Department of Justice, Office of Justice Programs Fiscal Year 1999 Program Plan.

104 Department of Justice, Office of Justice Programs Fiscal Year 1999 Program Plan.

105 Department of Justice, Office of Justice Programs Fiscal Year 1999 Program Plan.
37

of these jurisdictions and individual agencies to better respond to incidents of domestic terrorism

involving chemical and biological agents and radiological and explosive devices.106

(g) DoJ provides a variety of grants and awards through its Community

Oriented Policing Services program. The COPS helps law enforcement agencies hire community

policing officers and provides funds to acquire new technologies and equipment, and hire

civilians for administrative tasks. The COPS Office also provides grants to promote innovative

approaches to solving crime.107

(h) DoJ's Bureau of Justice Assistance provides funding for six Regional

Information Sharing System projects. The RISS Program aims to enhance the ability of state and

local criminal justice agencies to identify, target, and remove criminal conspiracies and activities

spanning jurisdictional boundaries. It provides information sharing, analysis and communications

services. RISS projects focus primarily on narcotics-related crime.108

(i) BJA awards two types of grants through its Edward Byrne Memorial

State and Local Law Enforcement Assistance Program.

(j) BJA is authorized to make formula grants to states and territories. The

states and territories, in turn, make subgrant awards to local units of government within 26

legislatively authorized purpose areas to improve the functioning of the criminal justice system,

with emphasis on drug-related crime, violent crime, and serious offenders. BJA makes these

awards following approval of a required state strategic plan encompassing the use of all criminal

justice resources. These subgrants may provide personnel, equipment, training, technical

assistance, innovative programs, and information systems for more widespread apprehension,

prosecution and rehabilitation of criminals, and may provide assistance (other than compensation)

to victims of crime.109

(k) The Discretionary Grant Program Division provides federal financial

assistance to grantees for the following activities directly related to crime and violence prevention

and control: educational and training programs for criminal justice personnel; technical assistance

to State and local units of government; projects that are national or multi-jurisdictional in scope;

and financial assistance for demonstration programs that, in view of previous research or

experience, are likely to be successful in more than one jurisdiction.110

(4) Associated Higher-Level Processes: Development of the President's Budget

(See Volume II, Chapter 3, The Office of Management and Budget).

(5) Associated Lower-Level Processes: Development of budgets by DoJ

subordinate organizations, applications for DoJ grants by the law enforcement community.

 

106 Department of Justice, Office of Justice Programs Fiscal Year 1999 Program Plan.

107 http://www.usDoJ.gov/cops/gpa/default.htm.

108 General Accounting Office, Drug Control: An Overview of U.S. Counterdrug Intelligence Activities, GAO/NSIAD-98-142,

June 1998.

109 http://www.ojp.usDoJ.gov/BJA/html/byrnef.htm.

110 http://www.ojp.usDoJ.gov/BJA/html/byrned.htm.
38

6. Informal National Security Process Involvement.

A. DoJ frequently interacts with various echelons of the law enforcement community. For

example, DoJ's Office for State and Local Domestic Preparedness Support (OSLDPS) convened a

Stakeholders' Forum in August 1998. The session was intended as a "listening conference" for

federal officials to learn how federal agencies could best assist state and local jurisdictions in their

planning for and response to incidents of domestic terrorism involving chemical and biological

agents and nuclear and explosive devices. Participants of the forum included representatives from

state and local law enforcement, fire and emergency medical service personnel, public works,

emergency response agencies, and state and local government.

B. To assist the Attorney General in the performance of her/his duties, the Attorney

General established the Attorney General's Advisory Committee of the United States Attorneys,

which consists of 15 United States Attorneys representing the geographic areas of the nation.111

C. The Attorney General holds regular meetings with the directors of DoJ subordinate

organizations. For example, the Attorney General holds bi-weekly meetings with the FBI.112

D. The Director of the Executive Office for National Security chairs regular meetings of

an Executive Committee whose membership includes representatives of each of the DoJ

components with significant national security involvement. These meetings identify and

recommend action on national security issues of immediate and long-term concern to DoJ, and

serve as a focal point for information exchange.113

E. DoJ officials and senior leaders from DoJ subordinate organizations frequently hold

informal discussions in a number of different venues to discuss substantive issues. Sometimes

these discussions occur during cooperative investigations. Sometimes they occur as staff

personnel try to build consensus for Departmental or interagency proposals or recommendations.

Sometimes they occur as sidebars at conferences, meetings, or seminars. Most DoJ personnel are

networked to a broader functional legal and law enforcement communities. An example of a

relevant informal forum is the American Bar Association's Standing Committee on Law and

National Security, which sponsors several conferences each year designed to provide a forum for

discussion of topical law and national security issues. These networks are an important lubricant

for the national security process at large.

7. Funding and Personnel.

A. Authorizations and Appropriations: As a Department within the executive branch,

the Department of Justice is authorized and appropriated its own funding. Funds for its

subordinate organizations (e.g., FBI, DEA, U.S. Marshals Service, etc.) are included in the overall

DoJ authorization and appropriation.

 

111 U.S. Attorneys’ Manual, Section 1-2.101 Office of the Attorney General.

112 Weekly Press Briefing with Attorney General Janet Reno, May 27, 1999.

113 Department of Justice, "New Executive Office for National Security Announced", Press Release 94-564, October 3, 1994.
39

B. Budget:

Department of Justice Budget114

Fiscal Year Total Appropriations

(in $ thousands)

FY 1998 19,983,118

FY 1999 20,809,003

FY 2000 21,093,043

In addition to the DoJ budget, funding for DoJ's International Criminal Investigation

Training Assistance Program is provided to DoJ by the State Department and the Agency for

International Development (AID). Historically, this funding has been $20-30 million.115

C. Manpower: The Department of Justice employs approximately 126,000 people,

including attorneys, investigators, correctional personnel and other employees.116

8. Observations.

A. The Department of Justice, which is perceived by many inside and outside the

Department as domestic legal and law enforcement organization, has become increasingly

involved in the national security arena due to the emerging threats from terrorism, infrastructure

protection, narcotics, economic espionage, and transnational organized crime. In fact, the first

priority mentioned in DoJ's FY99 Summary Performance Plan is combating terrorism. DOJ has a

distinct culture that may hinder its ability to fulfill many of their new roles. The Department’s

centralized bureaucracy, number of layers and lawyers, and prosecutorial focus work against its

effectiveness in dealing with local governments.

B. A significant number of Executive Orders and Presidential Decision Directives

specifically address the activities of DoJ and its subordinate organizations (e.g., FBI, DEA, INS,

etc.). Although PDD 2 includes the Attorney General as an invitee to National Security Council

meetings when topics pertaining to the Department of Justice’s jurisdiction are discussed, the

evolving national security landscape appears to justify a permanent, formal seat for the Attorney

General on the NSC.

C. Although the Executive Office for National Security (EONS) was established in the

office of the Deputy Attorney General to coordinate DoJ activities involving national security

issues, and act as a Departmental forum for developing national security strategy and policy, the

organizational structure of the Department does not appear to reflect DoJ's increased role in the

national security arena. For example, there is no Division–which would be led by an Assistant

Attorney General–charged with national security responsibilities. Within the Criminal Division,

responsibility for national security functions (e.g., terrorism, espionage, sabotage, organized

crime, and narcotics) is dispersed across several Deputy Assistant Attorney Generals.

 

114 Source: FY 99 and FY 00 President's Budget.

115 Department of Justice Paper, "The Experience of ICITAP in Assisting the Institutional Development of Foreign Police

Forces," March 10. 1998.

116 United States Department of Justice Legal Activities Handbook 1999, http://www.usdoj.gov/careers/oapm/intro.html.
ORGANIZATIONAL DESCRIPTION

FEDERAL BUREAU OF INVESTIGATION (FBI)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

The Federal Bureau of Investigation

Overview.

The Federal Bureau of Investigation (FBI), under the Department of Justice (DoJ), has

stayed close to its traditional role as a fact-finding and reporting agency. The results of FBI

investigations are furnished without recommendation or conclusion to the United States

Attorney's Office or the Department for appropriate action. The FBI's investigative authority is

the broadest of all federal law enforcement agencies. The FBI has investigative jurisdiction over

violations of more than 200 categories of federal crimes, which the bureau manages according to

seven investigative programs: Applicant Matters, Civil Rights, Counterterrorism, Foreign

Counterintelligence, Organized Crime/Drugs, Violent Crimes and Major Offenders, and Financial

Crime.1 Notwithstanding its traditional roles, the Bureau has undertaken a transformation in the

areas of preventing terrorist acts and of training personnel to deal with consequence

management.

The FBI has always played a significant role in the U.S. national security apparatus, but its

responsibilities have grown in recent years. For example, Congress increased the FBI's authority

by passing the Economic Espionage Act, which gives the FBI the authority to combat a major

threat to national and economic security. In another national security area, Presidential Decision

Directive (PDD) 63, which addresses critical infrastructure protection, designates the

Department of Justice, through the FBI, as the lead agency for sector liaison with the emergency

law enforcement services, and as the lead agency for the special function of law enforcement

and internal security. It also created the National Infrastructure Protection Center (NIPC),

which is housed in the FBI, to assess threats to critical national infrastructure and provide

warnings to all government agencies and to the private sector.2 Similarly, the NDPO, an

interagency organization under direction of the FBI, provides state and local agencies across the

nation a single point-of-contact to coordinate training and readiness.

Additional resources accompanied these increases in responsibility. The FBI's

counterterrorism budget more than tripled from Fiscal Year 1996 to 1999. In the same period,

the FBI annual budget has increased from $2.1 billion to $3.0 billion. The authorized personnel

levels have grown nearly 16 percent from 1994 to 1999, including the addition of more than 1,300

new Special Agents.

Organization.

The FBI is a field-oriented organization in which nine divisions and three offices at FBI

headquarters (FBIHQ) in Washington, D.C., provide program direction and support services to 56

field offices, approximately 400 satellite offices known as resident agencies, four specialized field

installations, and 34 foreign liaison posts. The foreign liaison offices, each of which is headed by a

 

1 Department of Justice, Department of Justice Organization and Functions Manual, U.S. Attorneys' Manual Title 1 Resource

Manual, June 3, 1998.

2 Freeh, Louis J., Ensuring Public Safety And National Security Under The Rule Of Law: A Report To The American People

On The Work Of The FBI 1993-1998, 1998.
3

Legal Attache or Legal Liaison Officer, work abroad with American and local authorities on

criminal matters within FBI jurisdiction. The FBI has approximately 10,100 Special Agents and

13,700 other employees who perform professional, administrative, technical, clerical, craft, trade,

or maintenance operations. Approximately 7,300 employees are assigned to FBIHQ;

approximately 16,000 are assigned to field installations.3

Role in Formal and Informal National Security Processes.

The following matrix depicts the relationship of FBI products and roles to the seven key

national security processes.

 

3Department of Justice Organization and Functions Manual, U.S. Attorneys' Manual Title 1 Resource Manual.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Input for various National 

Strategies (e.g., National 

Security Strategy, International 

Crime Control Strategy)



 























 

 





Products

Training for federal, state, local, 

and foreign law enforcement 

officers

Various operational and 

response groups (e.g., Joint 

Terrorism Task Forces, Critical 

Incident Response Group)

Inputs to the National Security 

Threat List

Interagency Guidelines (e.g., 

Domestic Guidelines, Handbook 

of Forensic Services)

Threat Assessments

FBI Strategic Plan

Internal Policies and Guidance

Input to various interagency 

plans (e.g., Federal Response 

Plan, Chem/Bio Incident 

Contingency Plan)

Various reports (e.g., Uniform 

Crime Report, Report on 

Terrorism in the United States)

Investigative information for 

federal prosecuters)

Forensic Examinations

Expert Testimony

Various information 

clearinghouses (e.g., 

fingerprints, National Crime 

Information Center)

Individual and Organizational 

Profiles

FBI Budget

Input for various National 

Strategies (e.g., National 

Security Strategy, International 

Crime Control Strategy)

Input for various DoJ strategies 

and policies (e.g., DoJ Strategic 

Plan, Attorney General 

Guidelines)

 









Director of DoJ's 

Office of 

Investigative Policy 

Board



Congressional 

Testimony 

Roles

Lead Federal agency for 

domestic terrorist incident 

response

Member, National 

Counterintelligence Policy Board

Host for the National 

Infrastructure Protestion Center

Member of multiple Interagency 

Working Groups (e.g., 

Interagency Intelligence 

Committee on Terrorism, Special 

Coordination Group on 

International Crime)

Participant in the National 

Counter Drug Intelligence Center

FBI

Director
4

Strategy Development. The FBI provides input to the National Security Council (NSC)

for the development of the National Security Strategy (NSS). The NSS contains sections on

international law enforcement cooperation, terrorism, international crime, drug trafficking,

managing the consequences of Weapons of Mass Destruction (WMD) incidents, and protection

of critical infrastructures. The Bureau also provides input for the development of the

International Crime Control Strategy (ICCS), the National Drug Control Strategy, and the DoJ

Strategic Plan. The FBI has also developed an internal Strategic Plan.

Policy, Guidance, and Regulation. The FBI develops internal and interagency

policies. For example, as lead federal agency for domestic terrorist crisis response, the FBI

drafted "Guidelines for the Mobilization, Deployment, and Employment of U.S. Government

Agencies in Response to a Domestic Terrorist Threat or Incidence in Accordance with

Presidential Decision Directive 39." The Bureau also participates in the development of policy

recommendations through membership in various formal interagency groups, including the

National Counter Intelligence Policy Board, the Special Coordination Group (SCG) on

International Crime, the Interagency Intelligence Committee on Terrorism, and the

Nonproliferation and Arms Control Technology Working Group. The director of the FBI also

serves as the Director of DoJ's Office of Investigative Agency Policies (OIAP), which was

established to improve coordination among law enforcement agencies, reduce duplication, and

better utilize investigative resources.

Planning. The FBI has developed several plans, including the "Interagency Domestic

Terrorism Concept of Operations Plan" (CONPLAN), the FBI Nuclear Incident Contingency

Plan, and the FBI Chemical/Biological Incident Contingency Plan. In addition, the Bureau

provided input to the development of several interagency and Departmental plans, including the

Federal Response Plan (FRP), the National Infrastructure Assurance Plan, and the Interagency

Plan on Counterterrorism and Technology Crime.

Mission Execution. The FBI conducts investigations regarding violation of federal law

as authorized. The Bureau acts as the lead agency for all terrorism investigations for acts

committed domestically and overseas. It also investigates the activities of countries that relate

to any of the issue threats developed in the National Security Threat List (NSTL). The FBI

operates the NIPC, an interagency body housed at the FBI, that is the focal point for gathering

information on threats to the national infrastructures. The Bureau also supports criminal,

counterterrorism and espionage field investigations for the FBI and other agencies through FBI

laboratory services. Forensic disciplines include chemistry, DNA, trace evidence, photography,

document examinations, firearms, and latent fingerprints.

Observation, Orientation, and Oversight. The FBI provides threat assessments to

government and private organizations. It develops the NSTL, which includes an Issues Threat

List and a classified Country Threat List. The Bureau produces individual or organizational

intelligence profiles and investigative intelligence reports. The FBI maintains information on

critical facilities throughout the United States to assist in contingency planning should these

facilities become terrorist targets through the Infrastructure Vulnerability/ Key Asset Protection

Program. In addition, the Bureau provides Uniform Crime Reports and a variety of other

publications. The FBI performs objective, formal evaluations of FBI investigative,

administrative and service programs, support systems, procedures and policies in order to

provide executive management with recommendations designed to improve FBI operations.
5

Preparation. The FBI provides initial and recurring training for FBI personnel,

operates the FBI National Academy to train selected state, county, and local police officers, and

conducts training for state, county, and local police officers at the local level. The Bureau also

operates the National Domestic Preparedness Office (NDPO) and coordinates the establishment

of training curriculum and standards for first responder training in the event of a WMD attack.

The FBI participates in interagency crisis management and disaster preparedness training

exercises and co-chairs with the State Department the Interagency Exercise Subgroup

established by the NSC. The Exercise Subgroup is meant to promote interagency discussions of

exercises and improve preparedness for terrorist incidents. Also in the area of preparation, the

FBI conducts research and development for critical law enforcement technologies and

capabilities.

Resourcing. The FBI develops its budget for inclusion in the DoJ budget through a

strategic management system and has integrated these elements into the budget process. The

FBI Strategic Plan provides the roadmap for justifying and prioritizing future budget

enhancements. Individual program plans establish the specific goals, strategies, critical success

factors, resources, and performance measures necessary to conduct proactive program

management in line with the overall FBI Strategic Plan. Field Office plans establish the

regional component of this strategic management system, with Special Agents in Charge

(SACs) prioritizing their efforts and committing to performance targets. In addition, as director

of OIAP, the Director of the FBI provides advice to the Attorney General and the Deputy

Attorney General on the budgetary and resource requests of the criminal investigative agencies

of the Department.

Observations.

As the U.S. government continues to adjust to emerging national security threats, including

terrorism, narcotics, and organized crime, significant responsibility is being consolidated within

the FBI. The extent of the FBI's "leading role" is evidenced by the following:

• Increased formal responsibilities (e.g., lead federal agency for domestic terrorist

incident response, host organization for the National Infrastructure Protection Center);

• Increased resources (e.g., Since Fiscal Year 1994, authorized personnel levels have

grown by nearly 16 percent and the FBI budget has increased by $900 million);

• Internal reorganization (e.g., Creation of two new offices within FBI Headquarters:

the Counterterrorism Division and the Investigative Services Division); and

• Increased priority for national security issues within the FBI (e.g., national and

economic security given highest priority in FBI Strategic Plan).
6

In response to its new responsibilities, the FBI appears to be reshaping its organizational

culture. For example, the Bureau has initiated efforts to delegate authority to lower levels of the

organization. The FBI Director is also committed to stronger, more open relationships with law

enforcement agencies at the local, state, and federal levels, as well as cooperation with law

enforcement agencies in other countries. In many cases the FBI is using a task force approach

with a variety of law enforcement agencies–both in the United States and abroad.

In addition to the stronger emphasis on national security issues, the FBI is no longer

serving merely as a crime solving organization. It has broadened its mission to also become a

clearinghouse for information for other law enforcement and national security agencies. Some

agents in the FBI's field offices may be resistant to the recent change in mission because of the

perception that it will create an excessive workload when placed atop of the Bureau's traditional

mission.4

 

4 An article in the Legal Times, found on the FBI's web site, questions whether field offices properly staffed and equipped to

handle the new responsibilities. - "Skolnik, Sam, "A New Mission for G-Men," Legal Times, November 9, 1998

(http://www.fbi.gov/nipc/legaltimes.htm).
7

ORGANIZATIONAL DESCRIPTION

THE FEDERAL BUREAU OF INVESTIGATION

1. Legal Specifications, Authorizations and Responsibilities.

A. Authorizing Statute:

(1) Title 28, U.S.C., Section 531 establishes the Federal Bureau of Investigation

(FBI) under the Department of Justice (DoJ).5 Title 28, U.S.C., Section 533, authorizes the

Attorney General to appoint officials to detect and prosecute crimes against the United States.

(2) Title 18, U.S.C., Section 3052, specifically authorizes Special Agents and

officials of the FBI to make arrests, carry firearms, and serve warrants. Title 18, U.S.C.,

Section 3107, empowers Special Agents and officials to make seizures under warrant for

violation of federal statutes.6

(3) The FBI's authority to investigate specific criminal violations is conferred by

numerous other congressional statutes.

(4) Title 28, Code of Federal Regulations, Section 0.85, outlines the

investigative and other responsibilities of the FBI.7

B. Department Directives:

(1) The United States Attorneys’ Manual8 and the Department of Justice

Organization and Functions Manual describe the FBI’s law enforcement roles.

(2) Attorney General Guidelines: These Guidelines afford centralized direction

for specific categories of investigations, such as domestic security and terrorism, racketeering,

and undercover operations. The Guidelines promote greater uniformity and control of national

and international law enforcement efforts.

C. Interagency Directives:

(1) Executive Order 12333: The FBI conducts foreign intelligence and

counterintelligence investigations under the authority of Executive Order 12333.9

(2) Executive Order 12949: By Executive Order 12949, the Director of the FBI

is designated as an official who can make certifications required by the Foreign Intelligence

 

5 Title 28, United States Code, Sections 531-533.

6 Title 18, United States Code, Sections 3052 and 3107.

7 Title 28, Code of Federal Regulations (CFR), Section 0.85.

8 The U.S. Attorney's Manual contains general policies and some procedures relevant to the work of the United States

Attorneys' offices and to their relations with the legal divisions, investigative agencies, and other components within DoJ.

The document is intended to be a comprehensive collection of DoJ policies. When the contents of this Manual conflicts with

earlier Department statements, except for Attorney General's statements, the Manual will control. – U.S. Attorneys' Manual,

Title 1.

9 Executive Order 12333, December 4, 1981.
8

Surveillance Act (Section 1801 of Title 50 of the U.S. Code) in support of applications to

conduct physical searches for the purpose of collecting foreign intelligence information.10

(3) Executive Order 10450: The FBI conducts investigations of civilian

employees and applicants in the Executive Branch of government under the authority of

Executive Order 10450, which prescribes the procedures for the federal employees security

program.11

(4) Executive Order 13010: Executive Order 13010 created the President's

Commission on Critical Infrastructure Protection, of which an FBI official was a member, to

make recommendations to the President. It also established an Infrastructure Protection Task

Force (IPTF) within the Department of Justice, chaired by the Federal Bureau of

Investigation.12

(5) Executive Order 13110: Executive Order 13110 created the Nazi War

Criminal Working Group, on which the FBI Director is a member. The Working Group's

mission is to locate, inventory, recommend for declassification, and make available to the public

at the National Archives and Records Administration all classified Nazi war criminal records of

the United States, subject to certain designated exceptions.13

(6) Presidential Decision Directive (PDD) 14: PDD 14 provides a policy

framework for U.S. international drug control. It directs all federal agencies to change the

emphasis in U.S. international drug programs from the past concentration on stopping narcotics

shipments to a more evenly distributed effort across three programs: assisting source countries

in addressing the root causes of narcotics production and trafficking, combating international

narco-trafficking organizations, and emphasizing more selective and flexible interdiction

programs near the U.S. border, in the transit zone, and in source countries.14

(7) PDD 24: PDD 24 on U.S. Counterintelligence Effectiveness created specific

initiatives to improve effectiveness. It did not amend or change any of the responsibilities laid

out in Executive Order 12333. It created a National Counterintelligence Policy Board (Policy

Board), which includes a senior representative from the FBI. The position of chairman is

rotated between the FBI, Central Intelligence Agency (CIA), and Department of Defense

(DoD). It established a National Counterintelligence Operations Board (Operations Board)

under the Policy Board also with representation and rotating chairmanship including the FBI. It

also established a National Counterintelligence Center and requires the exchange of senior

managers between the FBI and CIA.15

(8) PDD 27: PDD 27 on Nonproliferation Science and Technology Strategy

created the Nonproliferation and Arms Control Technology Working Group (NPAC TWG).

The purpose of the NPAC TWG is to ensure coordination of Research and Development (R&D)

in the areas of arms control and nonproliferation and guarding against redundant arms control

 

10 Executive Order 12949, February 9, 1995.

11 Executive Order 10450, May 28, 1953.

12 Executive Order 13010, July 15, 1996.

13 Executive Order 13110, January 11, 1999.

14 The White House, Office of the Press Secretary, Statement by the Press Secretary, November 3, 1993.

15 White House Fact Sheet on U.S. Counterintelligence Effectiveness, May 3, 1994.
9

and nonproliferation R&D programs. The FBI is represented on the NPAC TWG at the R&D

Program Manager level or above.16

(9) PDD 35: PDD 35 defines U.S. intelligence requirements. It gives high

priority (after support of U.S. troops and intelligence on countries hostile to the U.S.) to

intelligence support to activities addressing counterproliferation, international terrorism,

organized crime and drugs.17

(10) PDD 39: PDD 39 on counterterrorism policy reaffirms the FBI's role as lead

agency for crisis response and confers upon it responsibility for reducing vulnerability to

terrorism through an expanded counterterrorism program. PDD 39 also makes the FBI

responsible for the Domestic Emergency Support Team (DEST) in the event of domestic

terrorist incidents. The FBI, acting for the Department of Justice, is also charged by PDD 39

with establishing and maintaining procedures, in coordination with the Departments of State,

Defense, and Transportation, “to ensure the efficient resolution of terrorist hijackings.”18

(11) PDD 42: PDD 42 ordered all agencies of the executive branch to increase

the priority and resources devoted to fighting international crime, to improve internal

coordination, to work more closely with foreign governments to develop a response to the

threat, and to use aggressively all legal means available in combating international crime.19

(12) PDD 44: PDD 44 on Heroin Control Policy makes heroin control a major

foreign policy objective. It calls for implementing coordinated international law enforcement

efforts to disrupt and destroy heroin trafficking organizations. It also directs agencies to address

the underground banking systems that finance trafficker operations.20

(13) PDD 62: PDD 62 made fighting terrorism a top priority. PDD 62

reinforced the mission of U.S. agencies charged with roles in counterterrorism. It also codified

roles in counterterrorism programs such as apprehension and prosecution of terrorists and

enhancing response capabilities.21

(14) PDD 63: PDD 63 on critical infrastructure protection designated the

Department of Justice, through the FBI, as the lead agency for sector liaison with the emergency

law enforcement services and the lead agency for the special function of law enforcement and

internal security. It also created the National Infrastructure Protection Center (NIPC), which is

housed in the FBI, to assess threats to critical national infrastructure and provide warnings to all

government agencies and to the private sector.22, 23

 

16 Federation of American Scientists Fact Sheet on PDD 27, http://www.fas.org/irp/offdocs/pdd27.htm

17 Federation of American Scientists, Fact Sheet on PDD 35, http://209.207.236.112/irp/offdocs/pdd35.htm

18 Presidential Decision Directive-39, June 21, 1995.

19 As described in International Crime Control Strategy, "Introduction and Overview", June 1998.

20 Federation of American Scientists, Fact Sheet on PDD 44, http://209.207.236.112/irp/offdocs/pdd44.htm

21 White House Fact Sheet on Presidential Decision Directive-62, May 22, 1998.

22 White Paper: The Clinton Administration's Policy on Critical Infrastructure Protection: Presidential Decision Directive 63,

May 1998.

23 The creation of NIPC was largely a result of the recommendations of the Commission on Critical Infrastructure Protection

established by Executive Order 13010.
10

2. Missions, Functions, Purposes. "The Mission of the FBI is to uphold the law through the

investigation of violations of federal criminal law; to protect the United States from foreign

intelligence and terrorist activities; to provide leadership and law enforcement assistance to

federal, state, local, and international agencies; and to perform these responsibilities in a manner

that is responsive to the needs of the public and is faithful to the Constitution of the United

States."24

A. Major Responsibilities: Title 28, Code of Federal Regulations, Section 0.85

describes the FBI's responsibilities as follows: 25, 26

(1) Investigate violations of the laws, including the criminal drug laws, of the

United States and collect evidence in cases in which the United States is or may be a party in

interest, except in cases in which such responsibility is by statute or otherwise specifically

assigned to another investigative agency [Key National Security Process Relationship: Mission

Execution].27

(2) Conduct the acquisition, collection, exchange, classification and preservation

of fingerprint cards and identification records from criminal justice and other governmental

agencies, including fingerprint cards voluntarily submitted by individuals for personal

identification purposes; provide expert testimony in federal, state and local courts as to

fingerprint examinations; and provide fingerprint training and provide identification assistance

in disasters and for other humanitarian purposes [Key National Security Process Relationship:

Observation, Orientation, and Oversight; Preparation].

(3) Conduct personnel investigations requisite to the work of the Department of

Justice and whenever required by statute [Key National Security Process Relationship: Mission

Execution; Preparation].

(4) Take charge of investigative work in matters relating to espionage, sabotage,

subversive activities, and related matters. [Key National Security Process Relationship: Mission

Execution].

(5) Establish and conduct law enforcement training programs to provide training

for state and local law enforcement personnel; operate the Federal Bureau of Investigation

National Academy; develop new approaches, techniques, systems, equipment, and devices to

improve and strengthen law enforcement and assist in conducting state and local training

programs [Key National Security Process Relationship: Preparation].

(6) Operate a central clearinghouse for police statistics under the Uniform Crime

Reporting Program, and a computerized nationwide index of law enforcement information

under the National Crime Information Center [Key National Security Process Relationship:

Observation, Orientation, and Oversight].

 

24 FBI Mission Statement, http://www.fbi.gov/yourfbi/facts/fbimission.

25 Title 28, Code of Federal Regulations (CFR), Section 0.85.

26 New roles and responsibilities in counterterrorism and national infrastructure protection, including responsibility for the

NIPC and NDPO are not yet listed in the Code of Federal Regulations."

27 The Director's authority to investigate violations of and collect evidence in cases involving the criminal drug laws of the

United States is concurrent with such authority of the Administrator of the Drug Enforcement Administration.
11

(7) Operate the Federal Bureau of Investigation Laboratory to serve not only the

Federal Bureau of Investigation, but also to provide, without cost, technical and scientific

assistance, including expert testimony in federal or local courts, for all duly constituted law

enforcement agencies, other organizational units of the Department of Justice, and other federal

agencies, which may desire to avail themselves of the service. The Federal Bureau of

Investigation Laboratory may also be made available to foreign law enforcement agencies and

courts [Key National Security Process Relationship: Mission Execution].

(8) Investigate alleged fraudulent conduct in connection with operations of the

Department of Housing and Urban Development and other alleged violations of the criminal

provisions of the National Housing Act [Key National Security Process Relationship: None].

(9) Exercise the power and authority vested in the Attorney General to approve

and conduct exchanges of identification records with officials of federally chartered or insured

banking institutions to promote or maintain the security of those institutions [Key National

Security Process Relationship: Mission Execution].

(10) Exercise Lead Agency responsibility in investigating all crimes for which it

has primary or concurrent jurisdiction and which involve terrorist activities or acts in

preparation of terrorist activities within the statutory jurisdiction of the United States. Within

the United States, this would include the collection, coordination, analysis, management and

dissemination of intelligence and criminal information as appropriate [Key National Security

Process Relationship: Mission Execution].28

(11) Carry out DoJ's responsibilities under the Hate Crime Statistics Act [Key

National Security Process Relationship: Mission Execution].

(12) Exercise the authority vested in the Attorney General to accept from federal

departments and agencies the services of law enforcement personnel to assist the Department of

Justice in the investigation and prosecution of fraud or other criminal or unlawful activity in or

against any federally insured financial institution or the Resolution Trust Corporation, and to

coordinate the activities of such law enforcement personnel in the conduct of such

investigations and prosecutions [Key National Security Process Relationship: Mission

Execution].

(13) Carry out the responsibilities conferred upon the Attorney General under

the Communications Assistance for Law Enforcement Act [Key National Security Process

Relationship: Mission Execution].

 

28 If another federal agency identifies an individual who is engaged in terrorist activities or in acts in preparation of terrorist

activities, that agency is requested to promptly notify the FBI. Terrorism includes the unlawful use of force and violence

against persons or property to intimidate or coerce a government, the civilian population, or any segment thereof, in

furtherance of political or social objectives.
12

The following table illustrates the range of federal matters investigated by the FBI.

Category Examples29

General

Crimes

• Antiracketeering

• Antitrust

• Assassination, Kidnapping, or

Assaulting the President,

Vice-President, Presidential Staff

Member, or Vice-Presidential

Staff Member

• Assassination, Kidnapping, or

Assaulting a Member of

Congress

• Assassination, Kidnapping, or

Assaulting an Executive

Department Head or Director,

CIA

• Assassination, Kidnapping, or

Assaulting a Supreme Court

Justice

• Assaulting or Killing a Federal

Officer

• Bank Burglary

• Bank Fraud and Embezzlement

• Bank Larceny

• Bank Robbery

• Bombing Matters

• Bond Default

• Bribery

• Civil Rights

• Congressional Assassination

Statute

• Conspiracy (in matters under

FBI jurisdiction)

• Conspiracy to Impede or Injure

an Officer

• Contempt of Court

• Copyright Matters

• Credit and/or Debt Card Fraud

• Crime Aboard Aircraft

• Crimes on Government

Reservations

• Crimes on Indian Reservations

• Crimes within the Maritime

Jurisdiction

• Destruction of Aircraft or Motor

Vehicles Used in Interstate or

Foreign Commerce

• Domestic Security

• Election Laws

• Employee Retirement Income

Security Act

• Escaped Federal Prisoners, Escape

and Rescue

• Espionage

• Ethics in Government Act of 1978

• Extortion

• Extortionate Credit Transactions

• Falsely Claiming Citizenship

• False Entries in Records of

Interstate Carriers

• Federal Aviation Act

• Federal Housing Administration

Matters

• Federal Regulation of Lobbying

Act

• Federal Tort Claims Act

• Federal Train Wreck Statute

• Foreign Agents Registration Act

• Fraud Against the Government

• Fraud by Wire

• Fraudulent Practices Concerning

Certain Military and Naval

Documents and Seals of

• Department or Agencies of the

United States

• Government Property - Theft,

Robbery, Embezzlement, Illegal

Possession, and Destruction

• Harboring

• Hobbs Act

• Illegal Gambling Business

• Illegal Manufacture, Use,

Possession, or Sale of Emblems

and Insignia

• Illegal Use of Government

Transportation Requests

• Illegal Wearing of the Uniform

and Related Statutes

• Impersonation

• Interception of Communications

• Interference with Discrimination

in Housing, Civil Rights Act of

1964, and federally protected

activities

• Interstate Gambling Activities

• Interstate Obscene or Harassing

Telephone Calls

• Interstate Transportation in Aid of

Racketeering

• Interstate Transportation of

Gambling Devices

• Interstate Transportation of

Lottery Tickets

• Interstate Transportation of

Obscene Matter

• Interstate Transportation of

Prison-made Goods

• Interstate Transportation of Stolen

Cattle

• Interstate Transportation of Stolen

Motor Vehicle or Aircraft

• Interstate Transportation of Stolen

Property

• Interstate Transmission of

Wagering Information

• Interstate Transportation of

Wagering Paraphernalia

• Involuntary Servitude and Slavery

• Irregularities in Federal Penal

Institutions

• Kickback Racket Act

• Kidnapping

• Labor Management Relations Act,

1974

• Mann Act

• Migratory Bird Act

• Narcotics Violations

• National Bankruptcy Act

• Obstruction of Justice

• Perjury

• Protection of Foreign Officials

• Racketeer Influenced and Corrupt

Organizations

• Railway Labor Act

• Sabotage

• Security Matters

• Selective Service Matters

• Sexual Exploitation of Children

• Sports Bribery

• Theft from Interstate Shipment

• Unlawful Flight to Avoid

Prosecution, Custody,

Confinement, and Giving

testimony

• Veterans Administration Matters

 

29 Department of Justice Organization and Functions Manual, U.S. Attorneys' Manual Title 1 Resource Manual.
13

Accounting

Matters and

Civil Cases

• Admiralty Matters

• Alien Property Custodian

Matters

• Ascertaining Financial Ability to

Pay Claims, Fines, and

Judgments

• Civil Rights Act of 1964, public

accommodations, public

education, public facilities,

employment (involving only

governmental agencies, state,

county, municipal, and in the

private sector only where the

employee is under contract to the

United States), discrimination in

housing

• Contract Settlement Act

• Federal Reserve Act

• Federal Tort Claims Act

• Mail Fraud (accounting phases)

• National Bankruptcy Act

• Real Estate Settlement Procedures

Act of 1974

• False Claims (civil)

Applicant

Investigations

• Application for Executive

Clemency (Only those cases

where originally convicted of an

offense within jurisdiction of

FBI)

• Application for pardon after

completion of sentence

• Departmental applicants

• FBI applicants

B. Subordinate Agencies and Activities: 30

(1) FBI Field Offices are located in 56 major cities (55 in the United States and

one in Puerto Rico). Each Field Office has responsibility for the FBI activities in its region.

Each FBI field office is overseen by a Special Agent in Charge (SAC), except for those located

in Los Angeles, New York City, and Washington, D. C. Due to their large size, each of those

offices are managed by an Assistant Director in Charge (ADIC). The ADICs are assisted by

SACs responsible for specific programs.

(2) FBI Resident Agencies are satellite offices of the FBI Field Offices. There

are approximately 400 resident agencies. The Resident Agencies report to the Field Office that

covers its area. The number of resident agencies reporting to each Field Office varies according

to the size of the region.

(3) FBI Legal Attaches establish and maintain liaison with principal law

enforcement and intelligence/security services in foreign countries. There are currently thirtyfour Legal Attache Offices, located in U.S. embassies in the countries to which they are

accredited, around the world.31

(4) Information Technology Centers (ITCs) provide information services to

support field investigative and administrative operations. The four ITCs are located in

Pocatello, Idaho; Fort Monmouth, New Jersey; Butte, Montana; and Savannah, Georgia.

C. Major Products:

 

30 http://www.fbi.gov/yourfbi/facts/fbimission.htm#structure.

31 Legal Attaché Offices are located in Athens, Greece; Bern, Switzerland; Berlin, Germany; Brussels, Belgium; Cairo, Egypt;

Kiev, Ukraine; London, England; Madrid, Spain; Moscow, Russia; Paris, France; Pretoria, South Africa; Riyadh, Saudi

Arabia; Rome, Italy; Tallinn, Estonia; Tel Aviv, Israel; Vienna, Austria; Warsaw, Poland; Bangkok, Thailand; Bogota,

Colombia; Bridgetown, Barbados; Buenos Aires, Argentina; Canberra, Australia; Caracas, Venezuela; Hong Kong, Peoples

Republic of China; Islamabad, Pakistan; Manila, Philippines; Mexico City, Mexico; Montevideo, Uruguay; Ottawa, Canada;

Panama City, Panama; Santiago, Chile; and Tokyo, Japan. In November 1998, the Congress approved creation of five

additional Legal Attache offices, in Almaty, Kazakhstan; Ankara, Turkey; Copenhagen, Denmark; Brasilia, Brazil, and

Singapore.
14

(1) Input for various National Strategies (e.g., National Security Strategy,

International Crime Control Strategy);

(2) Input for various DoJ strategies and policies (e.g., DoJ Strategic Plan,

Attorney General Guidelines);

(3) FBI Strategic Plan;

(4) Internal Policies and Guidance;

(5) Input to various interagency plans (e.g., Federal Response Plan,

Chemical/Biological Incident Contingency Plan);

(6) Various reports (e.g., Uniform Crime Report, Report on Terrorism in

the United States);

(7) Interagency Guidelines (e.g., Domestic Guidelines, Handbook of

Forensic Services);

(8) Inputs to the National Security Threat List;

(9) Threat Assessments;

(10) Investigative information for federal prosecutors;

(11) Various operational and response groups (e.g., Joint Terrorism Task

Forces, Critical Incident Response Group);

(12) Forensic Examinations;

(13) Expert Testimony;

(14) Various information clearinghouses (e.g., fingerprints, National Crime

Information Center);

(15) Individual and Organizational Profiles;

(16) Training for federal, state, local, and foreign law enforcement officers;

(17) FBI Budget.

3. Vision and Core Competencies.

A. Vision: The FBI does not have a published vision. However, the following statement

by the current Director, Louis J. Freeh, can be construed as his vision for the organization.

"My continuing commitment for the FBI as we enter the new millennium is the same as

when I took office. First, that the FBI maintain its Core Values . . . Ninety years of changes in

technology, jurisdiction and mission have only reinforced the critical requirement that FBI

employees always tell the truth, promote justice, and act with fairness and compassion to protect

the people and uphold the Constitution. Second, that the FBI maintains the resources and
15

jurisdiction to ensure its competence. Third, that the FBI develop to the highest potential its

cooperation and assistance with its federal, state, local and foreign law enforcement and national

security counterparts. Our greatest successes will flow from the willingness to "share our toys"

with our partners and avoid the dysfunctional turf-fighting that detracts from our mission.

Finally, that the FBI remain free from inappropriate political interference and all attempts to

politicize its work."32, 33

B. Core Competencies: The FBI's core competencies are not published. However, the

Bureau is widely recognized for its investigative capabilities. The FBI is a fact-finding and

reporting agency only. The results of FBI investigations are furnished to the United States

Attorney's Office or to DoJ for the determination of appropriate action.34 Director Freeh has

described "what the FBI does best" in congressional testimony: "catch criminals, drug

traffickers, terrorists, and spies; provide training, investigative assistance, and forensic and

identification services to our law enforcement partners; and develop new crime-fighting

technologies and techniques."35

4. Organizational Culture.

A. Values: The stated FBI values include:

(1) Rigorous obedience to the Constitution of the United States;

(2) Respect for the dignity of the people it protects;

(3) Compassion;

(4) Fairness; and

(5) Uncompromising personal and institutional integrity.36

B. Leadership Traditions:

(1) Section 203 of Public Law 94-503, enacted on October 15, 1976 provides for

the appointment of the FBI Director by the President with the advice and consent of the Senate.

The term of the Director is limited to ten years. There have been five directors of the FBI, not

including people who served as interim directors or people who served as head of the office of

investigation while it was still inside DoJ. They are J. Edgar Hoover, Clarence Kelley, William

H. Webster, William Steele Sessions, and Louis J. Freeh. Hoover worked for DoJ in several

capacities before becoming assistant director of the Bureau (while it was still an office in DoJ).

Hoover, Webster, Sessions, and Freeh all held law degrees. Webster, Sessions and Freeh had

served as judges, and Sessions and Freeh also served as U.S. Attorneys. Freeh was also an FBI

 

32 Freeh, Ensuring Public Safety And National Security Under The Rule Of Law.

33 Although the FBI has made cooperation with other law enforcement organizations a priority, the Bureau has been perceived

in the past as an organization that closely guards its information and methods.

34 Department of Justice, U.S. Attorneys' Manual, Washington, DC: U.S. Government Printing Office, September 1997,

Title 1.

35 Freeh, Louis J., Director, Federal Bureau of Investigation, Testimony before the Senate Committee on Appropriations,

Subcommittee for the Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies, March 24, 1999.

36 FBI Core Values, http://www.fbi.gov/values.htm.
16

agent for six years. Kelley was the Chief of Police in Kansas City before being appointed

Director and had been an FBI agent for approximately 20 years.

(2) The FBI is a hierarchical organization, and the various subordinate levels

have defined "chains-of-command" that run from the individual agents, through the Special

Agents in Charge, to the headquarters Sections and Assistant Directors, to the Director. The

FBI has initiated efforts to delegate authority to lower levels of the organization. Project Forge,

initiated in February 1992, was a comprehensive internal evaluation designed to review the

FBI's organizational structure and design; the role, responsibilities, and authority of FBI

Headquarters (FBIHQ) managers; communication networks; and the management ties between

FBIHQ and field offices. Changes that resulted, in part from Project Forge, include:

reconfiguring several FBIHQ divisions along functional lines, thereby reducing the number of

management layers; consolidating or removing redundant FBIHQ administrative/operational

functions; and delegating additional operating authority to field offices.37

C. Staff Attributes:

(1) The FBI is a career service; its employees are selected without regard to

political affiliation and political considerations. Special Agents come from a broad range of

educational disciplines and professions. The FBI Professional Support Staff also comprise a

wide variety of disciplines, including crime scene specialists, laboratory technicians, fingerprint

experts, and language specialists. FBI agents and support staff must be U.S. citizens.

(2) There are four entry programs for special agents: Law, Accounting,

Language, and Diversified. Law Program applicants must have a Doctor of Jurisprudence (JD)

degree from a resident law school. Accounting Program applicants must have a Bachelor of

Science (BS) degree with a major in accounting or a related discipline, and be eligible to take

the Certified Public Accountant (CPA) examination. Language Program applicants must have a

BS or Bachelor of Arts (BA) degree in any discipline and be proficient in a language that meets

the needs of the FBI. Diversified Program applicants must have a BS or BA degree in any

discipline, plus three years of full-time work experience, or an advanced degree accompanied by

two years of full-time work experience.38

(3) Special Agents enter service as GS 10 employees on the government pay

scale. Newly appointed Special Agents are assigned to one of the FBI's field offices. Agents can

generally expect to remain in their first office of assignment for a minimum of four years.

Agents can advance to the GS 13 grade level in field non-supervisory assignments. Promotions

to supervisory, management, and executive positions are available in grades GS 14 and GS 15

as well as in the Senior Executive Service.39

(4) Within the FBI culture, success in the apprehension of criminals appears to

be the most recognized and rewarded accomplishment.

D. Strategy: The FBI Strategic Plan 1998-2003 identifies three major functional areas

that determine the FBI's priorities: national and economic security; criminal enterprises and

 

37 FBI Organizational Initiatives, http://www.fbi.gov/yourfbi/history/orginits.htm.

38 http://www.fbi.gov/employment/agent2.htm.

39 http://www.fbi.gov/employment/agent1.htm.
17

public integrity; and individuals and property. Within each functional area, the FBI has set

strategic goals emphasizing the need to "position itself to prevent crimes and counterintelligence

activities, rather than just reacting to such acts after they occur."40

(1) National and economic security is given the highest priority among the three.

The strategic goals in national and economic security are:

(a) Identify, prevent, and defeat intelligence operations conducted by any

foreign power within the United States, or against U.S. interests abroad, that constitute a threat

to U.S. national security;

(b) Prevent, disrupt, and defeat terrorist operations before they occur;

(c) Create an effective and ongoing deterrent to prevent criminal

conspiracies from defrauding major U.S. industries and the U.S. government; and

(d) Deter the unlawful exploitation of emerging technologies by foreign

powers, terrorists, and criminal elements.41

(2) The second FBI priority–criminal and public integrity–also contains a

national security aspect. Goals is this area include:

(a) Identify, disrupt, and dismantle existing and emerging organized

crime enterprises whose activities affect the United States; and

(b) Identify, disrupt, and dismantle targeted international and national

drug-trafficking organizations.42

(3) To achieve its strategic goals, the FBI has developed five operational support

strategies:

(a) Intelligence;

(b) Information technology;

(c) Applied science and engineering;

(d) Management; and

(e) Assistance to state, local, and international law enforcement

partners.43

(4) The roots of the FBI strategic plan can be found in the Department of Justice

Strategic Plan 1997-2002. The DoJ Strategic Plan not only outlines goals and strategies, but

also lists performance indicators for each goal. One of the DoJ goals is to "Reduce espionage

 

40 Freeh Testimony of March 24, 1999.

41 Freeh Testimony of March 24, 1999.

42 Freeh Testimony of March 24, 1999.

43 Freeh Testimony of March 24, 1999.
18

and terrorism (sponsored by foreign or domestic groups) in the United States and abroad when

directed at U.S. citizens or institutions."44 The performance indicators in this area are:

(a) Estimate of terrorist incidents prevented in the United States.

(b) Neutralization of foreign intelligence activities (through maintaining

diverse offensive counterintelligence techniques).

(c) Indictments and convictions in highest priority cases.

(d) Production of quality analysis and assessments on foreign intelligence

and terrorist activities for law enforcement and counterintelligence purposes.

(e) Increased exchange of personnel collaboration between the FBI and

other agencies, which support or assist the FBI's investigative efforts in espionage and terrorism

matters.45

E. Organizational Structure: The following figure shows the FBI Headquarters

structure.46

Figure 1: FBI Organizational Structure

 

44 Department of Justice, U.S. Department of Justice: Strategic Plan 1997-2002, "Department of Justice Goals and Strategies,"

October 1997 (http://www.usdoj.gov/jmd/mps/plan.htm).

45 Department of Justice, U.S. Department of Justice: Strategic Plan 1997-2002.

46 Source: http://www.fbi.gov/yourfbi/history/hqorg.htm.

Organizational Structure

Office of the

General Council Chief of Staff Inspection Division

Office of Public and

Congressional

Affairs

Office of Equal

Opportunity

Employment Affairs

Office of

Professional

Responsibility

Director

Deputy

Director

Criminal

Investigative

Division

Laboratory Division

Criminal Justice

Information

Services Division

Training Division

Finance Division

Counterterrorism

Division

Investigative

Services Division

Administrative

Services Division

Information

Resources Division

National Security

Division

Field Offices

Resident Agencies

Legal Attaches

Specialized Field Installations

Field Offices

Resident Agencies

Legal Attaches

Specialized Field Installations

Field Offices

Resident Agencies

Legal Attaches

Specialized Field Installations

Field Offices

Resident Agencies

Legal Attaches

Specialized Field Installations

Field Offices

Resident Agencies

Legal Attaches

Specialized Field Installations

Field Offices

Resident Agencies

Legal Attaches

Specialized Field Installations

Field Offices

Resident Agencies

Legal Attaches

Specialized Field Installations

Field Offices

Resident Agencies

Legal Attaches

Specialized Field Installations

Field Offices

Resident Agencies

Legal Attaches

Specialized Field Installations
19

(1) Notes on Organizational Chart:

(a) The Director, supported by a Deputy Director and a Chief of Staff,

heads the FBI. The FBI Director reports to the Attorney General of the United States. An

Assistant Director heads each of the Headquarters divisions, the Office of Public and

Congressional Affairs, and the Office of Professional Responsibility. The FBI’s General

Counsel heads the Office of the General Counsel, and the Office of Equal Employment

Opportunity Affairs is administered by the Equal Employment Manager. FBIHQ divisions and

offices usually are arranged along broad functional lines into sections, and then into smaller,

more specialized work groups known as units.

(b) The FBI is a field-oriented office in which divisions and offices at

FBIHQ in Washington, D.C. provide program direction and support to fifty six field offices,

approximately four hundred satellite offices (known as resident agencies), four specialized field

installations, and thirty four foreign liaison posts (known as Legal Attaches). These divisions

and offices are: 48

(i) Office of the General Counsel provides legal advice to the

Director and other FBI officials. It also researches legal questions surrounding law enforcement

and national security matters, and coordinates the defense of civil litigation and administrative

claims involving the FBI.

(ii) Inspection Division is responsible for conducting

examinations of the FBI's investigative and administrative operations at FBIHQ and field

offices to ensure compliance with regulations and make recommendations for improved

organizational effectiveness and efficiency.

(iii) Office of Professional Responsibility is responsible for the

investigation of, and the supervision of the investigation of, allegations of criminal conduct and

serious misconduct by FBI employees, and for the adjudication of discipline. It also maintains

liaison with the Department of Justice's Offices of Professional Responsibility and of the

Inspector General.

(iv) Office of Equal Employment Opportunity Affairs ensures

equality of opportunity for all employees/applicants. It handles complaint processing, training

and monitoring of employment practices.

(v) Office of Public and Congressional Affairs communicates

information on FBI investigations, services, programs, policy, and accomplishments to the

public, Congress, and the media.

(vi) Administrative Services Division manages and provides

executive direction in all aspects of FBI personnel and recruitment matters, and is responsible

for the management and security of all FBI facilities.

 

48 FBI Divisions and Offices, http://www.fbi.gov/employment/division2.htm.
20

(vii) Information Resources Division provides centralized

management and planning for information resources within the FBI. It develops and maintains

architectures that specify how information is to be collected, managed, and used.

(viii) National Security Division coordinates investigative

matters concerning foreign counterintelligence and counterespionage.

(ix) Criminal Justice Information Services Division serves as

the focal point and central repository for criminal justice information services in the FBI. It

provides identification and information services to state, local, federal, and international

criminal justice communities.

(x) Training Division manages the FBI Academy in Quantico,

Virginia and trains FBI special agents and professional support staff, as well as local, state,

federal, and international law enforcement personnel.

(xi) Criminal Investigative Division coordinates the FBI's

efforts to fulfill its broad investigative mandate.

(xii) Laboratory Division provides leadership and service in

scientific solution and prosecution of crimes throughout the United States. Its activities include

crime scene searches, special surveillance photography, latent fingerprint examinations, forensic

examinations of evidence, court testimony, and other scientific and technical services. FBI

offers these services, free of charge, to all law enforcement agencies in the United States.

(xiii) Finance Division manages the FBI budget and accounting

matters, the procurement process, and Chief Financial Officers Act requirements.

(xiv) Counterterrorism Division oversees the NIPC, the

National Domestic Preparedness Office (NDPO), and all other counterterrorism initiatives.49

(xv) Investigative Services Division coordinates the FBI's

international activities, integrates its analytical capacities, and oversees crisis management

functions.50

5. Formal National Security Process Involvement. The table on the following page indicates

the FBI's major products and roles in the seven key national security processes.

 

49 The establishment of this division was announced on November 11, 1999. The National Security Division previously

oversaw counterterrorism. - FBI National Press Office, "FBI Announces a Major Restructuring of FBI Headquarters,"

November 11, 1999, (http://www.fbi.gov/pressrm/pressrel/restruct.htm).

50 The establishment of this division was announced on November 11, 1999. In the past, these tasks were the responsibility of

the Criminal Investigative Division. The Investigative Services Division will house a new Information, Analysis and

Assessments Branch. - FBI National Press Office, "FBI Announces a Major Restructuring of FBI Headquarters", November

11, 1999, (http://www.fbi.gov/pressrm/pressrel/restruct.htm).
21

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Input for various National 

Strategies (e.g., National 

Security Strategy, International 

Crime Control Strategy)



 























 

 





Products

Training for federal, state, local, 

and foreign law enforcement 

officers

Various operational and 

response groups (e.g., Joint 

Terrorism Task Forces, Critical 

Incident Response Group)

Inputs to the National Security 

Threat List

Interagency Guidelines (e.g., 

Domestic Guidelines, Handbook 

of Forensic Services)

Threat Assessments

FBI Strategic Plan

Internal Policies and Guidance

Input to various interagency 

plans (e.g., Federal Response 

Plan, Chem/Bio Incident 

Contingency Plan)

Various reports (e.g., Uniform 

Crime Report, Report on 

Terrorism in the United States)

Investigative information for 

federal prosecuters)

Forensic Examinations

Expert Testimony

Various information 

clearinghouses (e.g., 

fingerprints, National Crime 

Information Center)

Individual and Organizational 

Profiles

FBI Budget

Input for various National 

Strategies (e.g., National 

Security Strategy, International 

Crime Control Strategy)

Input for various DoJ strategies 

and policies (e.g., DoJ Strategic 

Plan, Attorney General 

Guidelines)

 









Director of DoJ's 

Office of 

Investigative Policy 

Board



Congressional 

Testimony



Roles

Lead Federal agency for 

domestic terrorist incident 

response

Member, National 

Counterintelligence Policy Board

Host for the National 

Infrastructure Protestion Center

Member of multiple Interagency 

Working Groups (e.g., 

Interagency Intelligence 

Committee on Terrorism, Special 

Coordination Group on 

International Crime)

Participant in the National 

Counter Drug Intelligence Center

FBI

Director
22

A. Strategy Development:

(1) Major Activities:

(a) Provide input to the National Security Council (NSC) for the

development of the National Security Strategy (NSS). The NSS contains sections on

international law enforcement cooperation, terrorism, international crime, drug trafficking,

managing the consequences of WMD incidents, and protection of critical infrastructures.

(b) Provide input for the development of the International Crime Control

Strategy (ICCS). To further the objectives outlined in PDD 42, the NSC directed the

Departments of Justice, State, and the Treasury to develop and implement a comprehensive

national strategy to attack international crime. The resulting ICCS articulates eight broad goals

and thirty related objectives as a blueprint for an effective, long term approach to combating

international crime.51

(c) Provide input to the Office of National Drug Control Policy

(ONDCP) for the Development of the National Drug Control Strategy.

(d) Provide input for the development of the DoJ Strategic Plan.

(e) Develop the FBI Strategic Plan.

(2) Major Stakeholders: NSC, DoJ, and ONDCP.

(3) Key Organizational Processes: The FBI Strategic Plan was developed by a

task force headed Deputy Director Robert M. Bryant. The task force conducted strategy

sessions with every FBI investigative program, and met with FBI Special Agents in Charge and

other field office representatives. The task force not only identified the national priorities for

the FBI, but also performed a self-assessment of FBI capabilities.52

(4) Associated Higher-Level Processes: Development of the NSS, ICCS,

National Drug Control Strategy, and DoJ Strategic Plan [See sections on the National Security

Council, the Office of National Drug Control Policy, and the Office of the Attorney General].

(5) Associated Lower-Level Processes: Development of individual formal or

informal strategies by FBI subordinate organizations (e.g., field offices, resident agencies, legal

attaches).

 

51 International Crime Control Strategy, "Introduction and Overview", June 1998.

52 Freeh Testimony of March 24, 1999.
23

B. Policy, Guidance, and Regulation:

(1) Major Activities:

(a) The FBI, as lead federal agency for domestic terrorist crisis response,

drafted "Guidelines for the Mobilization, Deployment, and Employment of U.S. Government

Agencies in Response to a Domestic Terrorist Threat or Incidence in Accordance with

Presidential Decision Directive 39." The document is also known as the Domestic Guidelines.

(b) Participate in policy development as a member of the National

Counter Intelligence Policy Board.

(c) Provide input to a broad range of departmental policies, such as the

State Department's "Coordinating Subgroup Guidelines for the Mobilization, Deployment, and

Employment of U.S. Government Elements in Response to an Overseas Crisis." This document

is also known as the International Guidelines.53

(d) Participate in the development of policy recommendations through

membership in various formal interagency groups. For example:

(i) PDD 42 established the Special Coordination Group (SCG) to

ensure sustained and focused attention to international crime. It is an interagency team chaired

by a senior member of the NSC staff and includes a high-level FBI official.54

(ii) The FBI is also a member of the Interagency Intelligence

Committee on Terrorism. This committee is designed to enhance the sharing and analyzing of

information by the more than 40 agencies on the committee.55

(iii) As a member of the Nonproliferation and Arms Control

NPAC TWG, the FBI participates in: exchanges information and coordinates arms control and

nonproliferation research and development (R&D); advises agencies on nonproliferation and

arms control R&D priorities; facilitates the conduct of cooperative interagency programs;

reviews nonproliferation and arms control R&D programs and identifies overlaps and gaps;

frames interagency issues and differences for decisions by adjudicating bodies; advises policy

Interagency Working Groups on R&D capabilities and limitations; and makes recommendations

to the NSC on coordination of all nonproliferation and arms control R&D programs in the

President's budget submission to Congress.56

(iv) As director of DoJ's Office of Investigative Agency Policies

(OIAP), the FBI Director provides advice to the Attorney General and the Deputy Attorney

 

53 General Accounting Office, Combating Terrorism: Issues to Be Resolved to Improve Counterterrorism Operations,

Washington DC: U.S. Government Printing Office, May 1999 (Report Number GAO/NSIAD-99-135).

54 International Crime Control Strategy, "Optimizing the Full Range of U.S. Efforts," June 1998.

55 General Accounting Office, Combating Terrorism: Federal Agencies' Efforts to Implement National Policy and Strategy,

Washington DC: U.S. Government Printing Office, September 1997 (Report Number GAO/NSIAD-97-254).

56 Federation of American Scientists Fact Sheet on PDD 27, http://209.207.236.112/irp/offdocs/pdd27.htm.
24

General on all investigative policies, procedures and activities that warrant uniform treatment or

coordination among the criminal investigative agencies of the Department.57

(2) Major Stakeholders: NSC, DoJ, Federal Emergency Management Agency

(FEMA), DoD, Health and Human Services (HHS), Environmental Protection Agency (EPA),

and CIA.

(3) Key Organizational Processes:

(a) The Domestic Guidelines describe the specific procedures and

responsibilities of deploying the interagency DEST, particularly in Weapons of Mass

Destruction (WMD) incidents.58 The FBI coordinated drafts of the Domestic Guidelines with

FEMA, DoD, HHS, and the EPA.59

(b) The National Counterintelligence Policy Board (on which a senior

FBI official holds membership) considers, develops, and recommends for implementation to the

Assistant to the President for National Security Affairs policy and planning directives for U.S.

counterintelligence. The Policy Board is the principal mechanism for reviewing and proposing

to the NSC staff legislative initiatives and executive orders pertaining to U.S.

counterintelligence. The Policy Board also coordinates the development of interagency

agreements and resolves conflicts that may arise over the implementation of those agreements.60

The National Counterintelligence Operations Board (on which a senior FBI official is a

member) oversees all coordinating subgroups, resolves specific conflicts concerning

counterintelligence operations, and identifies potential policy conflicts for referral to the Policy

Board.61

(c) The Office of Investigative Agency Policies was established in

November 1993, to improve coordination among its law enforcement agencies, reduce

duplication, and better utilize investigative resources. OIAP is headed by a Director–currently

the Director of the FBI–appointed by the Attorney General from among the heads of the

affected investigative agencies–FBI, Drug Enforcement Administration (DEA), U.S. Marshals

Service, and Immigration and Naturalization Service (INS)–and Justice's Criminal Division.

OIAP is responsible for resolving operational issues among the Justice's investigative agencies

where there is overlapping jurisdiction and for advising the Attorney General regarding

administrative, budgetary, and personnel matters involving these agencies. Among other things,

OIAP has issued resolutions and begun taking actions to improve the use and sharing of federal

drug intelligence; the coordination of violent crime activities; the coordination of the budget

requests of the various investigative agencies; and the location and use of Justice field offices

and resources. OIAP resolutions have created a uniform shooting incident policy and a uniform

deadly force policy.62

 

57 Title 28, CFR, Sec. 0.17. Office of Investigative Agency Policies.

58 GAO/NSIAD-99-135.

59 GAO/NSIAD-99-135.

60 White House Fact Sheet on U.S. Counterintelligence Effectiveness, May 3, 1994.

61 White House Fact Sheet on U.S. Counterintelligence Effectiveness, May 3, 1994.

62 General Accounting Office, Management Reform: Implementation of the National Performance Review's Recommendation,

Washington, DC: U.S. Government Printing Office, December 4, 1994 (Letter Report, GAO/OCG-95-1).
25

(4) Associated Higher-Level Processes: Development of policy

recommendations by the NSC committee system [See section on the National Security Council].

(5) Associated Lower-Level Processes: Development of local policies by FBI

subordinate organizations.

C. Planning:

(1) Major Activities:

(a) The FBI has developed several plans, including:

(i) The Interagency Domestic Terrorism Concept of Operations

Plan (CONPLAN). The CONPLAN provides overall guidance to federal, state, and local

officials on how the federal government is structured to respond to a terrorist threat or incident

in the U.S.63

(ii) The FBI Nuclear Incident Contingency Plan.

(iii) The FBI Chemical/Biological Incident Contingency Plan.64

(b) The FBI provided input to the development of several interagency

and Departmental plans, including:

(i) The Federal Response Plan (FRP). Both DoJ and the FBI are

signatories to the Terrorism Incident Annex of the FRP.

(ii) The National Infrastructure Assurance Plan as required by

PDD 63.

(iii) The Interagency Plan on Counterterrorism and Technology

Crime, a classified five-year plan completed in December 1998.65

(c) The National Domestic Preparedness Office (NDPO), within the FBI

Counterterrorism Division, coordinates all federal efforts, including those of the Department of

Defense, Federal Emergency Management Agency, Department of Health and Human Services,

Department of Energy, and the Environmental Protection Agency, to assist state and local first

responders with planning, training, equipment, and exercise necessary to respond to a

conventional or non-conventional weapon of mass destruction (WMD) incident.

(2) Major Stakeholders: NSC, DoJ, federal, state, and local law enforcement

officials.

 

63 GAO/NSIAD-99-135.

64 GAO/NSIAD-97-254.

65 Gebicke, Mark E., Director, National Security Preparedness Issues, National Security and International Affairs Division,

General Accounting Office, Combating Terrorism: Observations on Growth in Federal Programs, Statement Before the

Subcommittee on Oversight, Investigations, and Emergency Management, Committee on Transportation and Infrastructure,

House of Representatives, June 9, 1999 (Report Number GAO/T-NSIAD-99-181).
26

(3) Key Organizational Processes: The FBI does not have a single formal

planning process equivalent to DoD's deliberate and crisis action planning processes. The

Bureau tends to modify its planning process based on the topic or situation. Where appropriate,

FBI headquarters will consolidate information from field organizations and external agencies.

For example, the FBI coordinated drafts of the Interagency Domestic Terrorism CONPLAN

with FEMA, DoD, HHS, and the EPA.66

(4) Associated Higher-Level Processes: Development of Interagency plans

through the NSC committee system and development of DoD plans [See sections on the

National Security Council and the Office of the Attorney General].

(5) Associated Lower-Level Processes: Development of local plans by FBI

subordinate organizations.

D. Mission Execution:

(1) Major Activities:

(a) Conduct investigations regarding violation of federal law as

authorized. The FBI is charged with gathering and reporting facts, locating witnesses, and

compiling evidence in cases involving federal jurisdiction. FBI investigations are categorized in

the following areas: Applicant Matters; Civil Rights; Counterterrorism; Foreign

Counterintelligence; Organized Crime/Drugs; Violent Crimes and Major Offenders; and

Financial Crime.

(b) Investigate the activities of countries that relate to any of the issue

threats developed in the National Security Threat List (NSTL). These issue threats are

terrorism, espionage, proliferation, economic espionage, targeting the national information

infrastructure, targeting the U.S. Government, perception management, and foreign

intelligence.67

(c) Act as the lead agency for all terrorism investigations – for acts

committed domestically and overseas.69

(d) Investigate threats involving the misuse of a nuclear weapon, special

nuclear material, or dangerous radioactive material.70 The FBI is also responsible for all search

and recovery operations involving nuclear weapons conducted in the United States, District of

Columbia, Commonwealth of Puerto Rico, and U.S. possessions and territories, including those

conducted on military installations.71

(e) Operate the NIPC, an interagency body housed at the FBI, that is the

focal point for gathering information on threats to the national infrastructures.

 

66 GAO/NSIAD-99-135.

67 FBI-ANSIR Program, http://www.fbi.gov/programs/ansir/ansir.htm.

68 Joint Publication 3-07.2, Joint Tactics, Techniques, and Procedures for Antiterrorism, March 17, 1998.

69 GAO/NSIAD-97-254.

70 Joint Publication 3-07.2, Joint Tactics, Techniques, and Procedures for Antiterrorism, March 17, 1998.

71 Joint Publication 3-07.2.
27

(f) Support criminal, counterterrorism and espionage field investigations

for the FBI and other agencies through FBI laboratory services.72 Forensic disciplines include

chemistry, DNA, trace evidence, photography, document examinations, firearms, and latent

fingerprints. Its Disaster Squad identifies the remains of victims at major disaster scenes and

prepares evidence to enhance court testimony for law enforcement.73

(2) Major Stakeholders: NSC, DoJ, federal, state, and local law enforcement

officials.

(3) Key Organizational Processes:

(a) Investigations (General): Investigations are conducted within the

Attorney General's Guidelines. These guidelines pertain to a wide variety of subjects, including

racketeering enterprises, general criminal investigations, undercover operations, criminal

information matters, extraterritorial investigations, and domestic security/terrorism matters.

Some sensitive investigative methods, such as undercover activities and electronic surveillance,

are subject to specific review and approval procedures. Individual investigative cases in a

particular program may receive extensive investigative attention because of their size, potential

impact, or sensitivity. The FBI's investigative philosophy emphasizes close relations and

information sharing with other federal, state, local and international law enforcement and

intelligence agencies. A significant number of FBI investigations are conducted in concert with

other law enforcement agencies or as part of joint task forces. For example, in the investigation

of a threat involving the misuse of a nuclear weapon, special nuclear material, or dangerous

radioactive material the FBI cooperates with the Departments of Energy and Defense, the

Nuclear Regulatory Commission, and the Environmental Protection Agency as well as several

states that have established nuclear threat emergency response plans.74

(b) Investigations (Outside the United States): FBI Legal Attaches

work with their foreign counterparts to investigate crimes committed against U.S. citizens and

businesses outside the United States. They locate, apprehend, and return to the United States

the perpetrators of such crimes through extradition, expulsion or other lawful means. They also

facilitate the arrest and extradition of international fugitives located in the United States who are

wanted abroad.75

(c) Domestic Terrorist Incident Response: (See Appendix 1 for process

map). The FBI works to combat terrorism on the domestic front through participation in Joint

Terrorism Task Forces (JTTFs). JTTFs are composed of FBI special agents, U.S. Marshals, and

members of the Department of State, the U.S. Customs Service, the Immigration and

Naturalization Service, the U.S. Secret Service, the Bureau of Alcohol, Tobacco and Firearms,

and state and local law enforcement agencies. Although supervision is shared by the involved

agencies, the FBI maintains overall responsibility for the operation of JTTFs.76 FBI has

 

72 The Laboratory has established partnerships with the Department of Energy, Department of Defense, other government

agencies, national laboratories, and other Federal, State, and local laboratories and industry. - Freeh, Ensuring Public Safety

And National Security Under The Rule Of Law.

73 FBI Cooperative Law Enforcement Services, http://www.fbi.gov/yourfbi/history/services.htm.

74 Joint Publication 3-07.2.

75 International Crime Control Strategy, "Extending the First Line of Defense", June 1998.

76 Federal Bureau of Investigation, Terrorism in the United States, 1996.
28

numerous assets in its Critical Incident Response Group (CIRG) that it can employ in the event

of a terrorist incident. They are hostage negotiators, behaviorists, surveillance assets and

agents, Hostage Rescue Team, and Special Weapons and Tactics (SWAT) teams.77 The FBI's

Hazardous Materials Response Unit provides direct technical assistance to FBI investigators and

coordinates the various federal scientific, technical, and medical assets responding to

chemical/biological/ nuclear terrorism.78 The FBI process for responding to a domestic terrorist

incident is outlined below:

(i) The FBI is the lead agency for crisis management79 in the

event of a domestic terrorist incident, an incident that takes place in a U.S. territory, or an

incident in international waters and that does not involve the flag vessel of a foreign country.80

(ii) The FBI notifies FEMA and other federal agencies providing

direct support to the FBI of a credible threat of terrorism. FBI initiates a threat assessment

process involving close coordination with federal agencies with technical expertise, in order to

determine the viability of the threat.81

(iii) The FBI provides initial notification to law enforcement

authorities within the affected State(s) of a threat or occurrence that the FBI confirms as an act

of terrorism.82

(iv) If warranted, the FBI implements an FBI response and

simultaneously notifies the Attorney General, who notifies the President and NSC groups as

appropriate, that a Federal crisis management response is required. If authorized, the FBI can

activate a multi-agency crisis management structure.83 No higher level approvals or

coordination (e.g., from the NSC Deputies Committee) is required unless the FBI's capabilities

are insufficient to handle the crisis.84

(v) In the event of a crisis, FBI creates a Strategic Information

Operations Center (SIOC) at its headquarters. SIOC coordinates national-level crisis

management response. Federal agencies requested by the FBI deploy a representative(s) to the

FBI HQ SIOC. The SIOC is commonly staffed by the following officials or their

representatives: Attorney General; Director of the FBI; Assistant Director of the National

Security Division, FBI; Domestic Terrorism Chief, FBI; a FEMA representative; a HHS

representative; and a DoD representative.85

 

77 GAO/NSIAD-97-254.

78 General Accounting Office, Combating Terrorism: FBI's Use of Federal Funds for Counterterrorism-Related Activities (FYs

95-98), Washington DC: U.S. Government Printing Office, November 1998 (Report Number GAO-GGD-99-7).

79 According to the Federal Response Plan, "'Crisis management' refers to measures to identify, acquire, and plan the use of

resources needed to anticipate, prevent, and/or resolve a threat or act of terrorism."

80 Presidential Decision Directive 39, June 21, 1995, and Federal Response Plan, April 1999.

81 Federal Response Plan.

82 Federal Response Plan.

83 Federal Response Plan.

84 GAO/NSIAD-97-254.

85 Department of Health and Human Services, Health and Medical Services Support Plan for the Federal Response to Acts of

Chemical/Biological Terrorism, June 21, 1996.
29

(vi) The FBI Field Office performs regional and local

coordination.

(vii) On-scene coordination is the responsibility of the FBI

Command Post, which is commanded by an FBI Special Agent in Charge, known as the OnScene Commander (OSC).86 The OSC is generally the SAC from the FBI field office nearest

the incident and is under the supervision of the FBI director.87 The OSC convenes meetings

with operational decision makers to formulate incident action plans, define priorities, review

status, resolve conflicts, identify issues that require decisions from higher authorities, and

evaluate the need for additional resources.88

(viii) Based upon the preliminary threat assessment, the FBI

Director, through the Attorney General, can create an interagency DEST. Upon the Attorney

General's approval, each agency's representatives to the DEST are expected to deploy quickly.

The FBI determines the composition of the DEST with coordination by the Attorney General.89

The Attorney General advises the President and NSC groups as warranted.90

(ix) The FBI incorporates the DEST into its existing crisis

management structure. The DEST Team Leader (who is from the FBI) advises the OSC of

other federal agencies' capabilities and makes recommendations to OSC. The DEST Team

Leader then assigns tasks to DEST members based on the OSC's specified courses of action.

The FBI Command Post becomes a Joint Operations Center (JOC).91

(x) The FBI establishes a Joint Information Center (JIC) under the

operational control of a Public Information Officer. Before the JIC is activated, public affairs

offices of the responding agencies coordinate release of information through the FBI SIOC.92

(xi) Military force may be used only with the approval of the

President. Upon notification of such approval, the Attorney General will advise the FBI

director, who in turn notifies the OSC. The Attorney General also notifies the Secretary of

Defense, who will advise the military commander.93

(xii) The military commander and the OSC will coordinate the

transfer of operational control to the military commander. Responsibility for the tactical phase

of the operation is transferred to military authority when the OSC relinquishes command and

control of the operation and the on-site military commander accepts it. However, the OSC may

revoke the military force commitment at any time before the assault phase if the OSC

determines that military intervention is no longer required and the military commander agrees

that a withdrawal can be accomplished without seriously endangering the safety of military

personnel or others involved in the operation. When the military commander determines that

 

86 GAO/NSIAD-97-254.

87 Joint Publication 3-07.2.

88 Federal Response Plan.

89 GAO/NSIAD-97-254.

90 Federal Response Plan.

91 GAO/NSIAD-97-254.

92 Federal Response Plan.

93 Joint Publication 3-07.2.
30

the operation is complete and military personnel are no longer in danger, command and control

will be promptly returned to the OSC.94

(xiii) When military force is used, the FBI maintains

responsibility for coordinating: the activities of all federal agencies assisting in the resolution of

the incident and in the administration of justice in the affected area; and these activities with

those state and local agencies similarly engaged.95

(xiv) In consequence management96 of terrorist incidents the FBI

also performs the following functions: provides the HHS Office of Emergency Preparedness

(HHS/OEP) with relevant intelligence information of any credible threat or other situation that

could threaten public health; in coordination with HHS/OEP makes appropriate notifications to

health and medical services agencies; assists federal health and medical response operations in

victim identification; provides state and local governments legal advise concerning the

identification of the dead; designates an incident on-scene manager; and provides support for

logistics and physical security at the incident scene.97

(xv) An FBI representative serves as liaison between the JOC

Consequence Management Group and the FBI OSC.98

(xvi) Rapid Deployment Teams: The FBI instituted the Rapid

Deployment Team (RDT) concept to more effectively deploy large numbers of personnel to

crime scenes in nations that are receptive to ongoing joint investigations. The teams are located

in FBI field offices in Los Angeles, Miami, New York, and the Washington Field Office, which

has two teams. A Special Agent in Charge leads each of the five Rapid Deployment Teams. As

RDTs are designed to be fully deployed in response to bombings of United States interests, a

cadre of Special Agent Bomb Technicians augments them. Evidence Response Teams and

security specialists also join the deploying RDT from the host field office or from other

available divisions. Communicators and logisticians are encompassed in the RDT concept, as

are language specialists, as needed, and expert forensics personnel from the FBI Laboratory.

Future major deployments of the FBI to foreign locations are expected to consist of three

distinct tiers.

The initial responders to the crime scene will include the assigned Legal Attache from a post

abroad who will have the ability to communicate initial reports upon which the main body

deployment team will rely for appropriate staffing and equipment.

Within four hours of notification of an incident predicating RDT response, an Advance Team

will depart from the Washington, D.C., area in a fast jet aircraft. The Advance Team will

include a command element, an investigative component, logistics personnel, communicators,

 

94 Joint Publication 3-07.2.

95 Joint Publication 3-07.2.

96 The Federal Response Plan defines consequence management as "measures to protect public health and safety, restore

essential government services, and provide emergency relief to governments, businesses, and individuals affected by the

consequences of terrorism."

97 Health and Medical Services Support Plan for the Federal Response to Acts of Chemical/Biological Terrorism.

98 Federal Response Plan.

99 Federal Response Plan.
31

personnel from the Critical Incident Response Group who will be able to assist in the structuring

of a forward command post, and physical security specialists who will report on the perceived

continuing threat to responding FBI personnel and the need for additional physical security at

the crime scene and housing for FBI personnel.

The third tier of the FBI response potentially involves a full RDT, which consists of

approximately 160 members. As the needs of the scene dictate and with the concurrence of the

host nation, the FBI will dispatch additional personnel to accomplish evidence gathering and

investigative missions.100

(d) Counterdrug:

(i) The FBI is a participating agency in the National Drug

Intelligence Center (NDIC). The goal of the NDIC is to provide a strategic picture of drug

distribution organizations.101

(ii) FBI supports joint counterdrug intelligence projects. It works

with the Drug Enforcement Administration to identify organizational drug trafficking trends.102

It also coordinates with the DEA and the U.S. Customs Service in an effort to prevent illegal

drugs from entering the United States.103

(iii) FBI cooperates with the Defense Intelligence Agency on the

Dominant Chronicle Project, which supports U.S. counterdrug initiatives through the multiagency sharing of comprehensive analytical reports derived from documents seized by foreign

law enforcement agencies.104

(iv) The FBI's Organized Crime and Drug Branch was created to

implement the National Drug Control Strategy by increasing its ability to coordinate with other

agencies; authorize, direct, and review its own sensitive multistage drug investigations; and

represent the FBI in a unified manner with the drug law enforcement community.105

(v) The FBI maintains liaison with the Joint Interagency Task

Forces (JIATFs), which conduct counterdrug detection and monitoring under the supervision of

DoD, to expedite coordination. The FBI also receives support from the JIATFs on pertinent

counterdrug cases and provides information to the JIATFs involving specific operations. JIATF

counterdrug efforts are coordinated through the DoD's Joint Drug Intelligence Group.106

(e) The NIPC provides threat warnings and assessments of dangers to

critical infrastructure to other government agencies and to the private sector. NIPC also will

 

100 Freeh, Ensuring Public Safety And National Security Under The Rule Of Law.

101 FBI Organizational Initiatives, http://www.fbi.gov/yourfbi/history/orginits.htm

102 Joint Publication 3-07.4, Joint Counterdrug Operations, February 17, 1998.

103 International Crime Control Strategy, "Responding to Emerging International Crime Threats", June 1998.

104 General Accounting Office, Drug Control: An Overview of U.S. Counterdrug Intelligence Activities, Washington, DC: U.S.

Government Printing Office, June 1998 (Report Number GAO/NSIAD-98-142).

105 Joint Publication 3-07.4.

106 Joint Publication 3-07.4.
32

coordinate the government's response in the event of an incident.107 Representatives from the

Departments of Defense, State, Commerce, Transportation, Treasury, and Energy, the Central

Intelligence Agency, the National Security Agency, the U.S. Secret Service, the Environmental

Protection Agency, and the U.S. Postal Service also serve on the NIPC. The FBI was chosen to

house the NIPC because of its existing programs to investigate acts of espionage and terrorism,

and due to the difficulty of determining the identity, location, objective, and scope of cyber

attacks.108

(f) Criminal Justice Information Services (CJIS): The FBI maintains a

CJIS, which is a national clearinghouse of information based on fingerprints of arrested persons.

The fingerprint cards on file in this Division include the fingerprints of arrested persons, as well

as prints submitted by the Office of Personnel Management, the Military Services, and others.

When the fingerprints of an arrested person are received from a law enforcement agency, they are

searched through the criminal files and the contributing agency is advised of any previous arrest

record in these fingerprint files. If there is no previous record, the contributing agency likewise is

advised of this fact. Whenever arrests are made in cases investigated by the FBI, the arrest record

is included in the reports of the special agents. The CJIS Division of the Bureau also receives and

records wanted notices, and renders many other services wherein fingerprint identification is vital

such as in disasters.

(g) National Crime Information Center (NCIC): The FBI manages and

operates the NCIC system. NCIC is a nationwide computerized information system, which

serves all levels of the criminal justice community – federal, state, and local. Its purpose is to

improve the administration of criminal justice through the more efficient exchange of

documented criminal justice information. Participants in the NCIC system are linked to the

FBI's computer at Washington, D.C., through a nationwide telecommunications network, which

allows them to enter and access records in a matter of seconds. The NCIC database contains

records on wanted persons, stolen property (vehicles, license plates, guns, securities, boats, and

other serially numbered articles), and missing persons who meet certain criteria. NCIC also

contains criminal history records on persons arrested and fingerprinted for serious or significant

offenses.

(h) Information Resources Division (Engineering): Services of the FBI

Engineering Section that are made available to local, county, state, and foreign law enforcement

agencies and courts are generally in the area of expert testimony related to forensic

examinations of magnetic tape recordings. Examples of examinations include audio

enhancements and tests for tape authenticity and copyrights. Additionally, the Engineering

Section provides testimony related to and conducts examinations of electronic devices such as

illegal interception of communication devices.

(4) Associated Higher-Level Processes: Interagency operations focused on

counterterrorism, counterintelligence, counterdrug, and other federal crimes.109

 

107 The White House, A National Security Strategy for a New Century, October 1998.

108 Vatis, Michael A., Director, National Infrastructure Protection Center, Federal Bureau of Investigation, Statement before

the Senate Armed Services Committee, Subcommittee on Emerging Threats and Capabilities, March 16, 1999.

109 For example, the FBI is actively engaged in WMD exercises at all levels. Recently, the FBI and the Department of Defense

hosted an interagency, national-level WMD field training exercise (FTX) during which the FBI established an interagency
33

(5) Associated Lower-Level Processes: Specific operations by FBI field

organizations, often in concert with local law enforcement officials.

E. Observation, Orientation, and Oversight:

(1) Major Activities:

(a) Develop the NSTL, which includes an Issues Threat List and a

classified Country Threat List. The Issues Threat List details foreign intelligence activities

directed against U.S. critical technologies and the collection of corporate proprietary economic

information and technology. The NSTL provides a basis for prioritizing counterintelligence

targets, and is now widely used throughout the counterintelligence community.110

(b) Produce threat assessments; individual or organizational intelligence

profiles (includes information on an organization's members, businesses, operations, finances,

and communications); and investigative intelligence reports, such as telephone toll analyses or

post-seizure analyses of documents or other evidence seized during investigations.111

(c) Maintain information on critical facilities throughout the United

States to assist in contingency planning should these facilities become terrorist targets through

the Infrastructure Vulnerability/Key Asset Protection Program.112

(d) Provide Uniform Crime Reports and a variety of other publications,

such as CyberNotes, which is published by the NIPC every two weeks. CyberNotes supports

security and information system professionals with timely information on cyber vulnerabilities,

hacker exploit scripts, hacker trends, virus information, and other critical infrastructure-related

best practices.

(e) The FBI performs objective, formal evaluations of FBI investigative,

administrative and service programs, support systems, procedures and policies in order to

provide executive management with recommendations designed to improve FBI operations. All

investigative programs are evaluated on a three-year cycle with approximately eight evaluations

conducted each year.113

(2) Major Stakeholders: NSC, DoJ, Intelligence Community, subordinate FBI

organizations, U.S. businesses, federal, state, and local law enforcement officials.

 

Joint Operations Center (JOC) and Joint Information Center (JIC). Other examples include six interagency regional training

seminars hosted by the FBI Milwaukee Field Division that focused on tracking potential terrorists and understanding WMD

statutes. The Oklahoma City Field Division hosted a domestic preparedness conference attended by the governors and city

officials from four states as well as representatives from DOD and FEMA. - Freeh, Ensuring Public Safety And National

Security Under The Rule Of Law.

110 FBI-ANSIR Program, http://www.fbi.gov/programs/ansir/ansir.htm.

111 GAO/NSIAD-98-142.

112 GAO-GGD-99-7.

113 Department of Justice Strategic Plan 1997-2002.
34

(3) Key Organizational Processes:

(a) Automated Systems:

(i) National Threat Warning System: The FBI provides

terrorism-related information to law enforcement agencies through the Terrorist Threat Warning

System.114 The system reaches across the law enforcement and intelligence communities and is

designed to help prioritize issues and countries at which to direct national efforts. Currently,

more than 45 federal agencies involved in the U.S. Government's counterterrorism effort receive

information via secure teletype through this system. The messages also are transmitted to all

FBI Field Offices and Foreign Liaison Posts.115

(ii) Awareness of National Security Issues and Response

(ANSIR) Program: The FBI transmits unclassified information to businesses through its

ANSIR Program. Information is disseminated via ANSIR-email and ANSIR-fax. ANSIR-FAX

is a facsimile transmission system for the dissemination of unclassified counterintelligence and

terrorism threat warning information to approximately 25,000 corporate directors. ANSIR-FAX

is used to provide corporate America with updates on economic espionage. Briefings have been

provided to American corporations overseas. Corporate security directors and other personnel

in Australia, Ireland, New Zealand, Panama, South Korea, and the United Kingdom have

received briefings on economic espionage. Local and national government officials in the

Czech Republic, Austria, the Slovak Republic, and Hungary were also briefed. ANSIR focuses

on the techniques of espionage when relating information to industry. In this manner tangible

information is provided that allows executives to discover their own vulnerabilities. In each of

the FBI’s 56 field offices, there is a Special Agent assigned as the ANSIR coordinator who

deals directly with the corporate security directors in their region. 116, 117

(iii) National Law Enforcement Telecommunications System

(NLETS): If threat information requires nationwide unclassified dissemination to all federal,

state, and local law enforcement agencies, the FBI transmits messages via the National Law

Enforcement Telecommunications System. NLETS is a sophisticated message-switching

network that links all law enforcement and criminal justice agencies in the United States; Puerto

Rico; and, through a computerized link, to the International Police Organization (INTERPOL)

Canada. Agencies include state and local law enforcement agencies, motor vehicle and

licensing departments, and a wide variety of federal enforcement agencies. The latter includes

Customs, FBI, DoJ, Secret Service, Naval Criminal Investigative Service, Air Force Office of

Special Investigations, Department of State, Department of the Army, and Department of the

Interior. 118, 119

 

114 GAO-GGD-99-7.

115 Freeh, Louis J., Director, Federal Bureau of Investigation, "U.S. Government's Response to International Terrorism,"

Testimony Before the Senate Judiciary Committee, September 3, 1998.

116 Freeh, Louis J., Director, Federal Bureau of Investigation, "Threats to U.S. National Security," Statement Before the

Senate Select Committee on Intelligence, January 28, 1998.

117 FBI-ANSIR Program, http://www.fbi.gov/programs/ansir/ansir.htm.

118 Freeh Testimony of September 3, 1998.

119 http://www.gao.gov/special.pubs/soi/soi_ch4.htm#PAGE150.
35

(iv) Law Enforcement On-Line (LEO): LEO provides a

communications mechanism to link all levels of law enforcement throughout the United States,

supporting broad, immediate dissemination of information concerning the best technologies and

practices in law enforcement. Although the national networks such as the NCIC and the

NLETS allow access to local, state, and federal databases, there had been no system that served

the needs of the individual officer or law enforcement manager. Although in its early stages,

LEO currently provides law enforcement officers with the ability to communicate in a secure

mode with members of other law enforcement agencies throughout the United States and to

share information on topics of mutual concern. As of March 1, 1999, LEO had over 12,000

registered users and was projected to grow to 18,000 users by the end of Fiscal Year (FY) 1999

and 30,000 users by the end of FY 2000.120

(b) Joint Threat and Vulnerability Assessments: The Bureau conducts

Joint Threat and Vulnerability Assessments with the Federal Aviation Administration (FAA) at

every airport determined to be "high risk" at least every three years under the Federal Aviation

Reauthorization Act of 1996 (P.L. 104-264). The FBI provides threat data that the FAA uses to

develop assessments specific to each high-risk airport or the metropolitan area in which it is

located. FBI officials are also among the teams completing questionnaires to assess, quantify,

and rank airport vulnerabilities.121

(c) The Computer Investigations and Infrastructure Threat

Assessment Center (CITAC): The CITAC manages computer investigations and

infrastructure threat assessment matters. The CITAC Watch Office monitors threats to the U.S.

Critical Infrastructures and provides front-end analysis of threats.

(d) The Domestic Counterterrorism Center: Eighteen federal agencies

maintain a regular presence in this FBI Center and participate in its daily operations. These

agencies include the CIA, the Defense Intelligence Agency, and the United States Secret

Service, among others. This multi-agency arrangement is designed to facilitate informationsharing and real-time intelligence analysis among the various components of the American

intelligence community.

(e) Uniform Crime Reporting: Law enforcement agencies throughout

the United States at city, county, and state levels submit to the FBI information on crime within

their jurisdiction. From this information, the FBI annually publishes a book entitled "Crime in

the United States - Uniform Crime Reports," which contains a nationwide view of crime,

including the extent of crimes known to the police, crime trend tables, arrest statistics, and other

related crime data. In addition to the annual publication, the FBI publishes preliminary releases

concerning crime and crime trends on a semiannual basis. Also, the FBI publishes on a periodic

basis information concerning the number of law enforcement officers killed, assaults on federal

officers, and nationwide bombing information.

(4) Associated Higher-Level Processes: Development of the National Security

Threat List.

 

120 Freeh, Ensuring Public Safety And National Security Under The Rule Of Law.

121 General Accounting Office, Combating Terrorism: Threat and Risk Assessments Can Help Prioritize and Target Program

Investments, Washington, DC: U.S. Government Printing Office, April 1998 (Report Number GAO/NSIAD-98-74).
36

(5) Associated Lower-Level Processes: Response to threat assessments and

crime reports by both government and private organizations.

F. Preparation:

(1) Major Activities:

(a) Provide initial and recurring training for FBI personnel.

(b) Operate the FBI National Academy to train selected state, county, and

local police officers.

(c) Conduct training for state, county, and local police officers at the

local level.

(d) Operate the NDPO and coordinate the establishment of training

curriculum and standards for first responder training in the event of a WMD attack.

(e) Participate in crisis management and disaster preparedness training

exercises.122

(f) Co-chair with the State Department the Interagency Exercise

Subgroup established by the NSC. The Exercise Subgroup is meant to promote interagency

discussions of exercises and improve preparedness for terrorist incidents. The FBI chairs for

domestic exercises. Department of State chairs for international exercises.123

(g) Conduct research and development for critical law enforcement

technologies and capabilities.

(2) Major Stakeholders: FBI personnel, local domestic and foreign law

enforcement officials.

(3) Key Processes that Support Preparation:

(a) The FBI trains its own personnel at the FBI Academy, Quantico,

Virginia.

(b) The FBI operates the FBI National Academy to train selected local

police officers. Annually, up to 1,000 local police officers attend the National Academy for

advanced training in law enforcement topics. The FBI Academy also holds special police

schools, seminars, and symposia covering a broad spectrum of timely matters for police officers

and other members of the criminal justice community. Additionally, instruction in forensic

science is provided to state and local investigative and crime laboratory personnel at the FBI

Academy's Forensic Science Research and Training Center.

 

122 GAO-GGD-99-7.

123 GAO/NSIAD-99-135.
37

(c) The FBI's Hazardous Devices School trains state and local bomb

technicians how to locate, identify, render safe, and dispose of improvised explosive devices,

including devices containing materials classified as weapons of mass destruction.124

(d) The FBI participates in the State Department-funded International

Law Enforcement Academy in Budapest, Hungary. Training programs are geared towards

improving the investigative capabilities of foreign law enforcement agencies.125

(e) The FBI, with the DoD, trains and equips foreign law enforcement

officials, judges, and prosecutors from the former Soviet Union and Eastern Europe to counter

nuclear material smuggling and trafficking, and chemical and biological weapons

proliferation.126,127

(f) The FBI supports international drug law enforcement training by

either conducting or facilitating courses in drug-related topics.128

(g) The FBI's Technical Support Center is responsible for keeping law

enforcement officials up to date on the rapid changes in encryption and communication

technology.129

(h) The NDPO was established to facilitate and coordinate the efforts of

the federal government to provide the responder community with the detection, protection,

analysis, and decontamination equipment necessary to prepare for, and respond to, an incident

involving WMD. The NDPO coordinates the establishment of training curriculum and

standards for first responder training. It seeks to develop consistency based upon training

objectives and tailors training opportunities to meet the needs of the responder community. The

NDPO exercise program is designed to provide state and local governments with the resources

and expertise necessary to design, conduct, and evaluate exercise scenarios involving WMD.130

(i) The National Infrastructure Protection Center, under the FBI

Counterterrorism Division, is responsible for detecting, deterring, assessing, warning, and

responding to, and investigating intrusions and illegal acts that target or involve our critical

infrastructures, whatever the source. The NIPC has established an Outreach Program designed

to establish and build strong relationships with the public and private owners and operators of

the critical infrastructures, as well as with federal, state, and local government agencies. In

addition, the Center augments the physical presence of these representatives by establishing

 

124 Freeh Testimony of March 24, 1999.

125 GAO/NSIAD-97-254.

126 GAO/NSIAD-97-254.

127 In the summer of 1994, the FBI Director led a delegation of high-level diplomatic and federal law enforcement officials to

meet with senior officials of 11 European nations on international crime issues. At the outset, Richard Holbrooke, U.S.

Ambassador to Germany, declared, "This is the evolving American foreign policy. Law Enforcement is at the forefront of

our national interest in this part of the world." Meetings were held with officials of Russia, Germany, the Czech Republic,

the Slovak Republic, Hungary, Poland, the Ukraine, Austria, Lithuania, Latvia, and Estonia. - http://www.fbi.gov/yourfbi/

history /hist.htm.

128 GAO/NSIAD-97-75.

129 FBI Programs, Support & Law Enforcement Services, http://www.fbi.gov/yourfbi/facts/fbiprograms.htm.

130 NDPO, Our Services, http://www.fbi.gov/programs/ndpo/services.htm.
38

electronic connectivity to the many different entities in government and the Private sector who

might have- - or need -- information about threats to national infrastructures.

(j) The FBI participates in Nunn-Lugar-Domenici Domestic

Preparedness Program training events (run by DoD), designed to improve federal, state, and

local responders' capability to deal with incidents involving weapons of mass destruction.131

(k) Research and Development: During 1998, the FBI Laboratory

received $5 million through the Attorney General's Counterterrorism Fund to pursue several

major Research and Development efforts. In support of these R&D projects, the FBI used two

primary acquisition vehicles. First, the FBI awarded 11 R&D projects through a Broad Agency

Announcement. Second, a Memorandum of Understanding between the FBI and the

Department of Energy was established and funding was provided for 18 major R&D projects.

The following highlights the critical technology initiatives for targeted R&D efforts: Explosives

Detection Technology; Forensic Evidence Analysis and Crime Scene Technology; Information

Infrastructure Technology; Victim/Terrorist Identification; and Specialized Training. The

Laboratory has also initiated relationships with several universities, industry partners, and

national laboratories to further develop the Laboratory's extramural R&D program. In addition,

the Laboratory has increased support/membership in relevant working groups, domestic and

international, to achieve synergistic collaboration for current and future R&D efforts.132

(4) Associated Higher-Level Processes: Departmental and interagency training

events and exercises.

(5) Associated Lower-Level Processes: FBI subordinate organization training

events and exercises.

G. Resourcing:

(1) Major Activities:

(a) Develop the FBI budget.

(b) As director of OIAP, the Director of the FBI provides advice to the

Attorney General and the Deputy Attorney General on the budgetary and resource requests of

the criminal investigative agencies of the Department.133

(2) Major Stakeholders: DoJ and FBI subordinate organizations.

(3) Key Organizational Processes.

(a) The FBI has implemented the major elements of a strategic

management system and has integrated these elements into the budget process. The FBI

Strategic Plan brings results-oriented program management to resource allocation; the threetiered structure of its operational strategic goals is the roadmap for justifying and prioritizing all

 

131 GAO-GGD-99-7.

132 Freeh, Ensuring Public Safety And National Security Under The Rule Of Law.

133 Title 28, CFR, Sec. 0.17. Office of Investigative Agency Policies.
39

future budget enhancements. Individual program plans establish the specific goals, strategies,

critical success factors, resources, and performance measures necessary to conduct proactive

program management in line with the overall FBI Strategic Plan. Field Office plans establish

the regional component of this strategic management system, with SACs prioritizing their

efforts and committing to performance targets. For the Fiscal Year 2000 budget, FBI program

managers used the Strategic Plan, 1998-2003, and the five operational support strategies as

guides for developing their resource requirements.134

(b) The FBI budget is submitted to Congress as part of the DoJ budget.

Within DoJ, the Office of Budget and Management Services (OBMS) manages a wide variety

of budget execution, formulation, and presentation activities.

(4) Associated Higher-Level Processes: Development of DoJ's budget.

(5) Associated Lower-Level Processes: Development of FBI subordinate

agency budget requests.

6. Informal National Security Process Involvement.

(a) The FBI relies on personnel exchanges and liaison officers to conduct

its mission for example:

(i) An FBI official serves as the deputy director of the

Counterterrorist Center at the Central Intelligence Agency, and a CIA official serves as the

deputy chief of the International Terrorism Section at the FBI.138

(ii) The FBI has placed agents in several DEA offices overseas.139

(iii) The FBI sends liaison officers to the Department of State

regularly to help coordinate investigative and training assistance.140

(b) The FBI has close ties to nationally recognized law enforcement

organizations, including the International Association of Chiefs of Police, the National Sheriffs'

Association, and the Major City Chiefs. The FBI cooperates closely with the organization

representing the police chiefs of major U.S. cities. It has built strong ties to federal prosecutors,

colleagues in the Department of Justice, and the National District Attorneys Association and the

National Association of Attorneys General.141

(c) FBI special agents and senior leaders frequently hold informal

discussions in a number of different venues to discuss substantive issues. Sometimes these

 

134 Freeh, Ensuring Public Safety And National Security Under The Rule Of Law.

135 International Crime Control Strategy, "Optimizing the Full Range of U.S. Efforts", June 1998.

136 GAO/NSIAD-97-75.

137 International Crime Control Strategy, "Optimizing the Full Range of U.S. Efforts", June 1998.

138 International Crime Control Strategy, "Optimizing the Full Range of U.S. Efforts", June 1998.

139 GAO/NSIAD-97-75.

140 International Crime Control Strategy, "Optimizing the Full Range of U.S. Efforts", June 1998.

141 Freeh, Ensuring Public Safety And National Security Under The Rule Of Law.
40

discussions occur during cooperative investigations. Sometimes they occur as staff personnel

try to build consensus for interagency proposals or recommendations. Sometimes they occur as

sidebars at conferences, meetings, or seminars. Most members of the FBI are networked to a

broader functional law enforcement community. These networks are an important lubricant for

the national security process at large. In addition to these networks, the FBI director and his

deputies are in frequent contact with other senior government leaders from the Department of

Justice and NSC.

B. The Attorney General holds biweekly meetings with FBI leadership.142

7. Funding and Personnel. 143

A. Authorizations and Appropriations: Funds for the FBI are appropriated under the

Department of Justice budget.

B. Budget: 144

FY Total

($ Thousands)

Salaries &

Expenses

Health Care Fraud and

Abuse Control Account

Construction

1998 3,037,612 2,937,106 56,000 44,506

1999 3,059,128 2,991,841 66,000 1,287

2000 3,369,664 3,283,377 76,000 10,287

C. Manpower: The FBI has approximately 11,500 Special Agents and 16,300 other

employees who perform professional, administrative, technical, clerical, craft, trade or

maintenance operations. Approximately 8,700 employees are assigned to FBIHQ;

approximately 19,100 are assigned to field installations.

8. Observations.

A. As the U.S. government continues to adjust to emerging national security threats,

including terrorism, narcotics, and organized crime, significant responsibility is being

consolidated within the FBI. The extent of the FBI's "leading role" is evidenced by the

following:

(1) Increased formal responsibilities (e.g., Lead federal agency for

domestic terrorist incident response, host organization for the National Infrastructure

Protection Center).

 

142 Department of Justice, Weekly Press Briefing with Attorney General Janet Reno, May 27, 1999.

143 Since Fiscal Year 1994, authorized personnel levels have grown by nearly 16 percent, including the addition of more than

1,300 new Special Agent positions and almost 2,600 new professional support positions. In terms of dollars, the FBI's

budget has increased from $2.1 billion in Fiscal Year 1994 to $3.0 billion in Fiscal Year 1999. Factors that led Congress to

increase the FBI's budgets include the major problems and threats of terrorism, organized crime, drug trafficking, new

crime threats from abroad, health care fraud and other white collar crime, and crimes against children. - Freeh, Ensuring

Public Safety And National Security Under The Rule Of Law.

144 http://www.usdoj.gov/jmd/2k-summary/2k-pg4.htm.
41

(2) Increased resources (e.g., Since Fiscal Year 1994, authorized personnel

levels have grown by nearly 16 percent and the FBI budget has increased by $900

million).

(3) Internal reorganization (e.g., Creation of two new offices within FBI

Headquarters: the Counterterrorism Division and the Investigative Services Division).

(4) Increased priority for national security issues within the FBI (e.g.,

national and economic security given highest priority in FBI Strategic Plan).

B. In response to its new responsibilities, the FBI appears to be reshaping the

organizational culture. For example, the Bureau has initiated efforts to delegate authority to

lower levels of the organization. The FBI Director is also committed to stronger, more open

relationships with law enforcement agencies at the local, state, and federal levels, as well as

cooperation with law enforcement agencies in other countries. In many cases the FBI is using a

task force approach with a variety of law enforcement agencies–both in the United States and

abroad. However, the FBI effort to effect these changes will be an uphill battle, and the FBI

culture may hinder its ability to fulfill many of their new roles. The Bureau’s centralized

bureaucracy, number of layers and lawyers, and criminal apprehension focus work against its

effectiveness in dealing with local governments. 

C. In addition to the stronger emphasis on national security issues, the FBI is no longer

serving merely as a crime solving organization. It has broadened its mission to also become a

clearinghouse for information for other law enforcement and national security agencies. Some

agents in the FBI's field offices may be resistant to the recent change in mission because of the

perception that it will create an excessive workload when placed atop of the Bureau's traditional

mission.145

 

145An article in the Legal Times, found on the FBI's web site, questions whether field offices properly staffed and equipped to

handle the new responsibilities. - " Skolnik, Sam, "A New Mission for G-Men," Legal Times, November 9, 1998

(http://www.fbi.gov/nipc/legaltimes.htm).
APPENDICES
FBI - Key Process – (Formal) – Mission Execution – Domestic Terro

NSC/President FBI

Federal, State and

Local Law Enforcement

Authorities

Interagency Inter-Branch IWG (Interagency Working

group)

Coordinate

National-Level

Crisis

Management

Response

(SIOC)

Authorize

Response?

Start

Identify Credible

Threat ofTerrorism

Notify

AppropriateAgencies of

Threat

Determine

Threat Viability Viable?

Monitor Threat 

Notify

Appropriate Law

Enforcement

Authorities

Warranted

FBI

Response?

Implement FBI

Response

Notify Attorney

General

Activate

Multi-Agency Crisis

Management

Structure

Create Strategic

Information

Operations Center

Convene M

with Oper

Decision 

(OS

Take

Appropriate

Action

End

Provide Technical

Expertise (FEMA

and Other

Agencies)

Notify President and

NSC that Federal

Crisis Management

Response is Required

(Attorney General)

A

A

No

Yes Yes

No

Yes

No
ORGANIZATIONAL DESCRIPTION

DRUG ENFORCEMENT ADMINISTRATION (DEA)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Drug Enforcement Administration

Overview.

The Drug Enforcement Administration (DEA), an agency of the Department of Justice,

was established by Executive Order 11727 on July 6, 1973. DEA's priority mission is to:

• Enforce the drug laws and regulations of the United States and bring drug traffickers

to justice; and

• Recommend and support non-enforcement programs aimed at reducing the

availability of illegal drugs in domestic and international markets.

DEA is also the lead federal agency for coordinating and pursuing drug investigations in

foreign countries. DEA's core competencies are enforcing U.S. drug laws and regulations and

collecting and analyzing drug information and intelligence.1

Organization.

The DEA Administrator, supported by the Deputy Administrator, oversees DEA's six

divisions:

• Human Resources;

• Operational Support;

• Operations;

• Intelligence;

• Inspection; and

• Financial Management.

The Human Resources Division is headed by an Assistant Administrator and provides

administrative support and services to DEA. An Assistant Administrator who oversees DEA’s

forensic labs and provides information technology expertise and support heads the Operational

Support division. The Chief of Operations, who oversees the bulk of DEA’s enforcement

programs both abroad and domestically, heads the Operations Division. The Intelligence

Division is headed by the Chief of Intelligence and manages the El Paso Intelligence Center and

provides intelligence for DEA's domestic and international programs. The Inspection Division is

headed by the Chief Inspector and serves as the Inspector General of DEA, ensuring that DEA's

various divisions are functioning efficiently and following regulations. The Financial

 

1 DEA Survey Response. Request for information for the U.S. Commission on National Security/21st Century.
3

Management division is headed by a Chief Financial Officer and provides accounting,

acquisition, and resource management services.

Role in Formal and Informal National Security Processes.

DEA's programs formally support the following two principal objectives of the National

Drug Control Strategy:

• Combat drug related violence, disrupt criminal organization, and arrest the leaders of

illegal drug syndicates; and

• Disrupt and dismantle major international drug trafficking organizations and arrest,

prosecute, and incarcerate their leaders.

DEA also serves as the lead agency for the development of overall federal drug

enforcement strategy, programs, planning, and evaluation.

Conclusions and Observations.

The Drug Enforcement Administration, an agency of the Department of Justice, is the

lead federal agency in enforcing narcotics and controlled substances laws and regulations. It

enforces the provisions of the controlled substances act and chemical diversion and trafficking

laws and regulations of the United States, and operates on a worldwide basis. In addition, DEA

creates, manages, and supports programs – domestically and internationally – aimed at reducing

the availability of and demand for controlled substances. Through these activities, DEA supports

the National Drug Control Strategies goals of dismantling and disrupting drug trafficking

organizations.

A recent Government Accounting Office (GAO) report examined how well DEA

strategies and operations worked to reduce the supply and demand of drugs. GAO's study

concluded that while DEA has initiated and maintained a number of successful programs, the

agency needs to develop clear metrics to better link its goals and outcomes.2 DEA staff

concurred with GAO's recommendations and indicated that the increasing importance of the war

on drugs warrants the creation of metrics. DEA staff also indicated that there needs to be a more

formal liaison between DEA and the National Security Council. Currently, DEA's numerous

interagency efforts to combat drug trafficking develop independently of one another.3

 

2 Government Accounting Office. Drug Control DEA's Strategies and Operations in the 1990s. Washington, D.C.:

Government Printing Office, July 1999 (Report Number GAO/GDD-99-108)

3 Interview with DEA staff.
4

ORGANIZATIONAL DESCRIPTION

DRUG ENFORCEMENT ADMINISTRATION

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive:

(1) Reorganization Plan No. 2 of 1973, merged four separate drug law

enforcement agencies, and created the Drug Enforcement Administration (DEA) within the

Department of Justice.

(2) Executive Order 11727, issued on July 6, 1973, implemented Reorganization

Plan No. 2 of 1973 and ordered the Attorney General to transfer responsibility for the

enforcement of drug laws and regulations to the newly created DEA.

(3) The Controlled Substance Act (title 21 U.S.C. Chapter 13), as amended,

outlines which substances are controlled. DEA is responsible for enforcing the provisions of the

Act.

(4) Presidential Decision Directive 14 (PDD 14) instructs Federal agencies to

more evenly emphasize their international drug programs across the following three areas:4

(a) Assisting source countries address the root causes of narcotics

production through assistance for sustainable development, strengthening democratic

institutions, and cooperative programs to target and counter money laundering by drug

traffickers.

(b) Combating international narcotics trafficking organizations.

(c) Emphasizing more flexible interdiction programs near the U.S. border,

within the transit zone, and in source countries.

Since the signing of PDD 14, DEA has implemented and expanded interdiction and

demand reduction programs, both with other Federal agencies and law enforcement agencies

abroad.

(5) PDD 42 declares that international crime is a threat to U.S. national security

and orders the Departments of Justice, Treasury, and State, the Coast Guard, National Security

Council, Intelligence Community, and other federal agencies to step up and integrate their efforts

against international crime syndicates and money laundering. Since the signing of PDD-42,

DEA has and continues to participate in a number of interagency operations targeting money

laundering operations.5

 

4 PDD-14 is classified. Information on PDD-14 provisions is taken from Statements of the White House Press Secretary

on November 3, 1993. www.fas.org

5 PDD-42 is classified so details of interagency coordination are not publicly available.

www.fas.org/irp/offdocs/pdd42.htm.
5

(6) PDD 44 outlines the Clinton Administration's Heroin Control Policy. PDD-44

calls for boosting international awareness and cooperation on dealing with Heroin traffickers and

their organizations. The policy also calls for greater law enforcement coordination abroad,

aimed at disrupting and destroying heroin trafficking organizations. DEA interdiction, money

laundering, intelligence, and interagency programs reflect the policy prescribed by PDD-44.6

B. Department/Agency Directives: None available.7

2. Missions/Functions/Purposes.

A. Major Responsibilities: According to DEA's mission statement, DEA was

established to "enforce the controlled substances laws and regulations of the United States and to

bring to the criminal and civil justice system of the United States or any other competent

jurisdiction, those organizations, and principal members of organizations, involved in the

growing, manufacture, or distribution of controlled substances appearing in or destined for illicit

traffic in the United States; and to recommend and support non-enforcement programs aimed at

reducing the availability of illicit controlled substances on the domestic and international

markets."8 In carrying out its mission, DEA is the lead agency responsible for the development

of overall Federal drug enforcement strategy, programs, planning, and evaluation. DEA's

primary responsibilities include:

(1) Investigation and preparation for prosecution of major interstate and

international violators of controlled substances laws;

(2) Management of a national drug intelligence system in cooperation with

federal, state, local, and foreign officials to collect, analyze, and disseminate strategic and

operational drug intelligence information;

(3) Seizure and forfeiture of assets derived from or traceable to illicit drug

trafficking;

(4) Enforcement of the provisions of the Controlled Substances Act as they

pertain to the manufacture, distribution, and dispensing of legally produced controlled

substances;

(5) Coordination and cooperation with federal, state and local law enforcement

officials on mutual drug enforcement efforts and enhancement of such efforts through

exploitation of potential interstate and international investigations beyond local or limited federal

jurisdictions and resources;

(6) Coordination and cooperation with other federal, state, and local agencies, and

with foreign governments, in programs designed to reduce the availability of illicit drugs on the

 

6 PDD-44 is classified, so the actual text of the document is not publicly available. A general description of its

provisions was provided through an examination of testimony and discussion before the Senate Caucus on International

Narcotics Control. www.fas.org

7 Requests for agency directives were made to both DEA and the Department of Justice. Both organization were unable

to provide any directives.

8 DEA Mission Statement. http://www.usdoj.gov/dea/agency/mission.htm.
6

United States market through nonenforcement methods such as crop eradication, crop

substitution, and training of foreign officials;

(7) Responsibility, under the policy guidance of the Secretary of State and U.S.

Ambassadors, for all programs associated with drug law enforcement counterparts in foreign

countries; and

(8) Liaison with the United Nations, INTERPOL, and other organizations on

matters relating to international drug control programs.

B. Major Programs: DEA executes its responsibilities through 14 major programs.

(1) The Asset Forfeiture Program enforces the federal law, which provides that

the profits and proceeds of designated crimes, as well as property used to facilitate drug

trafficking crimes, are subject to forfeiture to the government. DEA seizes property when it

determines that the property is a tool for, or the proceeds of, drug trafficking, organized crime, or

money laundering.

(2) The Aviation Operations Program provides sophisticated electronic, airbased intelligence, and assistance to federal, state, and local law enforcement agencies. The

program consists of 95 aircraft and 117 special agents who are pilots.

(3) The Demand Reduction Program was created in1983 and places a Demand

Reduction Coordinator (DRC) in each of DEA's 22 field divisions throughout the United States.

DRC's are experts who work with local agencies and organizations to develop drug prevention

and education programs.

(4) The Diversion Control Program is responsible for enforcing the laws that

prohibit the diversion of controlled substances of licit origin, and the diversion of controlled

chemicals into the illegal drug trade.

(5) The Intelligence Program is responsible for the collection, analysis, and

dissemination of drug-related intelligence in coordination with other federal, state, local, and

foreign law enforcement organizations.

(6) Laboratories Program consists of eight labs that provide forensic support to

the law enforcement community. Labs provide analysis of drugs, field assistance at clandestine

lab seizures, and crime scene investigations by forensic chemists. Specialists also evaluate

digital evidence, and develop, monitor, and process hazardous waste cleanups. Scientists also

provide expert testimony for the prosecution of drug traffickers. DEA's labs are located in New

York City, Chicago, Miami, Dallas, National City (CA), McLean (VA), San Francisco, and

Washington D.C.

(7) The Organized Crime Drug Enforcement Task Forces (OCDETF)

Program was initiated in 1982 to combine federal, state, and local law enforcement efforts into a

comprehensive attack against organized crime and drug traffickers. OCDETF is a nationwide

structure of 9 regional task forces which utilize the combined resources of its member agencies
7

in cooperation with state and local prosecutors to identify, investigate, and prosecute members of

high level drug trafficking and related enterprises.9

(8) The State and Local Task Forces Program carries out one of the DEA's

priority initiatives–addressing the problem of drug–related violent crime with state and local

counterparts. The program provides a federal presence in sparsely populated areas where the

DEA would not otherwise be represented. DEA funds a total of 188 state and local task forces.

(9) The Mobile Enforcement Team (MET's) Program is a cooperative program

with state and local law enforcement that seeks to address the problem of drug-related violent

crime in towns and cities across the nation. Mobile Enforcement Teams deploy to jurisdictions

that request their assistance. MET teams work with local and state law enforcement to target

drug traffickers and their organizations. Afterwards, MET teams meet with the requesting

agency to evaluate the success of the deployment. There have been 173 deployments as of

January 1999.

(10) The Foreign Cooperation Program maintains 79 offices in 56 countries.

These offices support DEA domestic investigations through foreign liaison, training for host

country officials, bilateral investigations, and intelligence gathering. The program promotes

international cooperation through its liaison activities, and trains host country police agencies at

DEA facilities in Quantico, Virginia. DEA agents also provide intelligence to host country

authorities, and if requested, play an active role in investigations. Finally, DEA agents help host

nation forces build strong law enforcement institutions that promote anti–drug laws.

(11) The Office of National Drug Control Policy administers the High

Intensity Drug Trafficking Areas (HIDTA) Program. Its mission is to reduce drug trafficking

throughout the country by coordinating federal, state, and local law enforcement efforts. There

were 5 HIDTAs in 1990; there were 20 HIDTAs in 1998.

(12) The National Drug Pointer Index Program is a national database system

that alerts law enforcement agencies if they are focused on the same drug target, thus enhancing

coordination in investigations.

(13) The Domestic Cannabis Eradication and Suppression Program funds

eradication programs in all 50 states.

(14) The DEA Training Program provides training to DEA basic agents and

support personnel, as well as state and local police, international law enforcement officials, and

other law enforcement employees in a variety of areas. These include forensic chemistry,

diversion investigation, money laundering investigations, conspiracy law, and drug intelligence.

DEA's numerous training programs are tailored for the intended audience, but each program

provides a fundamental overview of drug trafficking issues.

B. Subordinate Activities and Agencies: The El Paso Intelligence Center (EPIC) was

created in 1974 to increase border security and to serve as a strategic drug and border

enforcement facility. It coordinates enforcement intelligence with state, local, and other federal

 

9 www.whitehousedrugpolicy.gov/policy/budget98
8

law enforcement agencies. EPIC also serves as the training center and real-time information

outlet for Operation Pipeline, a national highway interdiction program.

3. Vision and Core Competencies.

A. Vision: DEA does not have a published vision statement.

B. Core Competencies: 10

(1) Enforcing U.S. drug laws and regulations.

(2) Collecting and analyzing drug information and intelligence.

4. Organizational Culture.

A. Values: None published.

B. Leadership Traditions: The Administrator of DEA and the Deputy Administrator of

DEA are both nominated by the President and approved by the Senate. The heads of the DEA's

six divisions are career civil servants.

C. Staff Attributes: The DEA staff possesses a combination of area specific knowledge

and specialized skills. Staff involved in drug investigations and operations possess a detailed

knowledge of field operations and a broad understanding of the global drug trade and trafficking

routes and methods.11

D. Strategy: DEA's strategy is to utilize its expertise and partnerships (domestically and

internationally) to target the supply of drugs, the organizations that coordinate that supply, and

the demand for drugs by educating communities and helping build strong law enforcement and

community institutions.

 

10. DEA Survey Response.

11 DEA Survey Response.
9

E. Organization Chart:

Figure 1: Organization of the Drug Enforcement Agency (DEA)

(1) DEA's Administrator, with assistance from the Deputy Administrator,

oversees DEA's six divisions. The Office of the Administrator also oversees the Office of

Congressional and Public Affairs and the Office of the Chief Counsel. These two offices report

to the Administrator of DEA and work to support the Administrator and DEA's programs.

The Office of Congressional and Public Affairs is headed by a Director and is responsible

for establishing and maintaining effective liaison with Congress, Department of Justice, and

other agencies and the public. The Office of the Chief Counsel provides legal advice to the

Administrator, the Deputy Administrator, and staff.

(2) The Office of the Chief Inspector serves as the Inspector General of DEA.

The Office works to ensure that DEA is functioning efficiently and that the DEA staff adheres to

DEA's rules and regulations.

(3) The Office of the Chief of Intelligence manages the El Paso Intelligence

Center and provides intelligence for DEA's domestic and international programs.12 DEA's

intelligence programs collect, analyze, and disseminate drug-related intelligence in coordination

with other federal, state, local, and foreign law enforcement organizations. DEA intelligence

plays a key supporting role in both domestic and oversees investigations and operations.

(4) The Office of the Chief Financial Officer provides accounting, acquisition,

and resource management services to DEA.

 

Office of the

Assistant

Administrator of

Human Resources

Office of the

Chief of

Operations

Office of the Chief

of Intelligence

Office of the

Chief Financial

Officer

Office of the

Administrator

Office of the

Assistant

Administrator of

Operational

Support

Office of the

Chief Inspector
10

(5) The Office of the Chief of Operations oversees the majority of DEA's

programs (all except intelligence and forensic labs) both abroad and domestically.13

(6) The Office of the Assistant Administrator for Human Resources provides

administrative support and personnel services to DEA.

(7) The Office of the Assistant Administrator of Operational Support

oversees DEA's forensic labs and provides information technology expertise and support. DEA's

forensic experts provide support for field operations and investigations, while information

technology experts work to recover data from computers used by drug traffickers and their

organizations.

5. Formal National Security Process Involvement: DEA's programs formally support two

principal objectives of the National Drug Control Strategy. The first objective is to combat drug

related violence, disrupt criminal organization, and arrest the leaders of illegal drug syndicates;

and the second objective is to disrupt and dismantle major international drug trafficking

organizations and arrest prosecute, and incarcerate their leaders. DEA also serves as the lead

agency for the development of overall Federal drug enforcement strategy, programs, planning,

and evaluation.

A. Strategy Development: DEA helped develop aspects of the 1999 National Drug

Control Strategy, which focuses on combating drug related violence domestically, disrupting

criminal organizations, and arresting the leaders of illegal drug syndicates; and disrupting and

dismantling major international drug trafficking organizations and arresting, prosecuting, and

incarcerating their leaders.14

B. Policy, Guidance, and Regulation: DEA is responsible for regulating the

transportation and use of controlled substances under the Controlled Substance Act of 1970, as

amended.

C. Planning: DEA engages in a number of drug interdiction and supply reduction

planning initiatives with local, state, and international law enforcement authorities.

D. Mission Execution: DEA is the lead agency for drug enforcement programs.

E. Observation, Orientation, and Oversight: No involvement.

F. Preparation: DEA provides extensive training in forensic science, investigative

techniques, intelligence, and drug law to its own agents as well as local, state, and international

law enforcement.

G. Resourcing: DEA plays a role in the resourcing of its own programs and also

provides resources for state and local authorities that participate in its State and Local Task Force

program. DEA funds 188 State and Local Task Forces.

 

13 See paragraph 2a for a description of DEA's major programs.

14 Interview with DEA Official.
11

6. Informal Formal National Security Process Involvement: No evidence of DEA's role in

informal national security processes.

7. Funding and Personnel.

A. Authorization and Appropriations: The relevant authorizing committee are the

House Committee on Commerce; the House Commerce subcommittee on Commerce, Justice,

State, and the Judiciary; the House Judiciary Committee; the House Judiciary Subcommittee on

Crime; the Senate Judiciary Committee; the Senate Intelligence Committee; and the Senate

Governmental Affairs Committee. The Senate Appropriations Committee and the House

Appropriations Committee have jurisdiction over DEA budgets.15

B. Funding Sources: DEA is funded as an agency within the Department of Justice.

C. Budget: The Fiscal Year 99 budget for DEA was $1.52 billion.16

D. Personnel: DEA has 9,046 positions for Fiscal Year 99.17

8. Conclusions and Observations: The Drug Enforcement Administration, an agency of the

Department of Justice, is the lead federal agency in enforcing narcotics and controlled substances

laws and regulations. It enforces the provisions of the controlled substances act and chemical

diversion and trafficking laws and regulations of the United States, and operates on a worldwide

basis. In addition, DEA creates, manages, and supports enforcement-related programs–

domestically and internationally–aimed at reducing the availability of and demand for controlled

substances. Through these activities DEA supports the National Drug Control Strategy's goals of

dismantling and disrupting drug trafficking organizations.

A recent Government Accounting Office (GAO) report examined how well DEA

strategies and operations worked to reduce the supply and demand of drugs. GAO's study

concluded that while DEA has initiated and maintained a number of successful programs, the

agency needs to develop clear metrics to better link its goals and outcomes.18 DEA staff

concurred with GAO's recommendations and indicated that the increasing importance of the war

on drugs warrants the creation of metrics. DEA staff also indicated that there needed to be a

more formal liaison between DEA and the National Security Council. Currently, DEA's

numerous interagency efforts to combat drug trafficking develop independently of one another.

DEA believes that the organization's lead role in drug control warrants a more direct liaison with

the National Security Council staff.19

 

15 www.thomas.loc.gov and Interview with DEA Official.

16 DEA Survey Response.

17 DEA Survey Response.

18 GAO/GDD-99-108.

19 Interview with DEA staff.
ORGANIZATIONAL DESCRIPTION

IMMIGRATION AND NATURALIZATION SERVICE (INS)

Prepared for the U.S. Commission on National Security/21st Century
EXECUTIVE SUMMARY

Immigration and Naturalization Service

Overview.

The Immigration and Naturalization Service (INS), an agency of the Department of

Justice, was established by the Immigration and Nationality Act (INA) of 1952 as amended

under title 8 U.S.C., Section 1101.1 INS focuses on:

• Facilitating the legal entry of visitors and/or immigrants to the United States;

• Granting benefits under the Immigration and Nationality Act, as amended, including

providing assistance to individuals seeking permanent resident status or naturalization;

• Preventing the unlawful entry, employment, or receipt of benefits by those who are

not entitled to them; and

• Apprehending and/or removing illegal aliens.

Organization.

The Commissioner of INS, supported by the Deputy Commissioner, oversees INS' four

divisions:

• The Office of Field Operations;

• The Office of Management;

• The Office of Policy and Planning; and

• The Office of Programs.

An Executive Associate Commissioner (EAC) heads each of INS’ four divisions. The

Office of Field Operations (OFO) oversees 33 districts and 21 Border Patrol sectors through its

three regional offices in the Eastern, Central, and Western United States. INS' field offices

provide direct services to applicants for benefits under the INA and also carry out regional

enforcement responsibilities. The Office of Management provides technical and administrative

support for INS operations. The Office of Policy and Planning supports INS leadership in policy

development, strategic planning, and statistical analysis. The Office of Programs oversees seven

of INS' eight primary programs that enforce the requirements of immigration law and administer

benefits.2

 

1 Interview with INS Public Affairs Office. 11/1/99

2 Interview with INS Public Affairs Office. 11/1/99
3

INS is authorized an end strength of 30,800 people for Fiscal Year 99, with a Fiscal Year

99 budget of $3.876 billion.3

Role in Formal and Informal National Security Processes.

INS' programs support the counterterrorism and drug interdiction goals and objectives of

the National Security Strategy (NSS). INS' Inspectors and Investigators work with the Central

Intelligence Agency (CIA) as well as the Departments of Justice, State, and Treasury, to identify,

track, and take into custody aliens suspected of terrorist involvement. INS' border patrol agents

and inspectors also work with Customs and other law enforcement agencies, such as the Drug

Enforcement Agency (DEA) and the Coast Guard, in apprehending drugs and other illegal goods

at border crossing and other points of entry.

Conclusions and Observations.

INS has a dual mission of providing immigration information and services to the general

public, while also enforcing immigration laws and apprehending and removing illegal aliens. In

performing its enforcement mission, INS works with the Federal Bureau of Investigation (FBI),

U.S. Customs, DEA, and the Coast Guard. INS also shares information and cooperates with the

Departments of State, CIA, and Department of Defense. INS' enforcement activities support the

interdiction objectives of the National Drug Control Strategy and the counter terrorism

provisions of the National Security Strategy.

INS was reorganized into four divisions in 1994, and the restructuring was supposed to

streamline the operations of the agency and improve its service to the public and also improve

the effectiveness of its enforcement programs. A recent GAO report revealed that while INS has

made some improvements, the restructuring has not solved many of the underlying financial

management and communications issues that have hampered INS' performance in the past.

These management challenges continue to hinder some of INS' key programs. Surveys

distributed to INS confirmed many of GAO's findings. Staff indicated that changes to the

Immigration and Nationality Act resulted in an increased demand for certain services. For

example changes to the INA resulted in many more applications for Naturalization and also

called upon INS' Investigators to take on a greater role in counter terrorism operations. Both of

these changes require additional funding and better allocation of resources within INS. The

GAO report indicated that while INS' reorganization and reforms have made a difference,

management must continue to work closely with field offices to implement the new changes.4

 

3 http://www.usdoj.gov/jmd/2k-summary/2k-pg101-2.htm

4 Government Accounting Office. Immigration and Naturalization Service: Overview of Management and Program

Challenges. Washington D.C.: Government Printing Office, 7/29/99
4

ORGANIZATIONAL DESCRIPTION

IMMIGRATION AND NATURALIZATION SERVICE

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive: The Immigration and Nationality Act (INA) of 1952 as

amended under title 8 U.S.C., Section 1101 established the INS.5

B. Department/Agency Directives: None available.6

2. Missions/Functions/Purposes.

A. Major Responsibilities: The INS is responsible for "enforcing the laws regulating

the admission of foreign born persons (i.e. aliens) to the United States and for administering

various immigration benefits, including the naturalization of resident aliens."7 INS also works

with the Department of State, the Department of Health and Human Services, and the United

Nations in the admission and resettlement of refugees through its three regional offices in

Bangkok, Mexico City, and Rome, as well as its agents located in U.S. embassies abroad.

INS' major responsibilities include:8

(1) The Border Patrol (BP) is responsible for maintaining control of U.S.

borders by preventing the illegal crossings by aliens between ports of entry. The Border Patrol

also serves as the primary force for drug interdiction between ports of entry. BP assists other

Federal and local law enforcement agencies in preventing illegal drugs from reaching U.S.

markets. The Border Patrol is a uniformed force that patrols 8,000 miles of international

boundaries in vehicles, aircraft, boats, as well as on horseback or on foot. BP works closely with

the Drug Enforcement Agency, U.S. Customs, the FBI, and the Department of Defense.9 Active

and reserve component military components have helped the Border Patrol by building border

fencing and access roads to those fences. Military units also provide the BP with transportation

and reconnaissance support.

(2) The Investigations Program enforces immigration laws within the interior of

the United States through a force of plainclothes special agents. Agents participate in multiagency task forces against narcotics trafficking, violent crime, document fraud, and organized

crime. Agents also work to detect, apprehend, and prosecute alien smuggling operations.

These activities are often coordinated with other agencies through the Organized Crime

Drug Enforcement Task Force (OCDETF). OCDETF is a nationwide structure of 9 regional task

forces which utilizes the combined resources of its member agencies in cooperation with state

and local prosecutors to identify, investigate, and prosecute members of high level drug

 

5 Interview with INS Public Affairs Office. 11/1/99

6 Requests for agency directives were made to both INS and the Department of Justice (DoJ). Both organizations were

unable to provide any directives.

7 www.ins.usdoj.gov

8 Interview with INS Public Affairs Office 11/1/99

9 Statement of Doris M. Meissner Commissioner Immigration and Naturalization Service before the Senate Caucus on

International Narcotics Control. May 14, 1997.
5

trafficking and related enterprises. INS, along with the U.S. Marshals Service, the Federal

Bureau of Investigation, and the Drug Enforcement Agency receives funding for OCDETF

activities through the Interagency Crime and Drug Enforcement Appropriation.10

Agents also participate in anti-terrorist operations through the Joint Terrorism Task

Forces. Participation in JTTF's varies by case, but INS' agents have been able to help the FBI

and other agencies by prosecuting terrorists for immigration violations, which are often easier to

prove than charges of terrorist intent. As a result INS agents are often able to prosecute and

disrupt terrorist organizations. Agents also maintain a liaison presence with the FBI

Headquarters International Terrorism Operations Section, and the CIA's Counterterrorism

Center.

(3) The Intelligence Program collects, evaluates, analyzes and disseminates

information relating to all INS missions.

(4) The Detention and Deportation Program (DDP) takes criminals and illegal

aliens into custody pending proceedings to determine either their status or their removal from the

United States. DDP operates nine detention facilities that are known as Service Processing

Centers (SPC), and when necessary, places detainees in approved contract facilities or State and

local jails.

(5) The Inspections Program is responsible for screening all travelers arriving in

the United States by air, land, or sea through over 250 ports of entry. Inspectors examine and

verify the authenticity of travel documents for every alien seeking entry into the United States.

Inspectors are tasked with preventing the entry of known or suspected terrorists, drug traffickers,

criminals, and other individuals that may subvert the national interest. Inspectors work with the

U.S. Customs Service and the United States Coast Guard in fulfilling their counter-drug and

counterterrorism missions. Inspectors also interact with the Department of State, the Federal

Bureau of Investigation (FBI), and the Central Intelligence Agency (CIA) in the course of the

above mission. The Department of State provides inspectors with information regarding aliens

who they do and do not want admitted. The FBI informs Inspectors of wanted criminals, and

asks Inspectors to assist the entry of witnesses, track the movement of individuals of interest,

identify and take custody of suspected terrorists and/or intelligence agents. The CIA shares

information and intelligence with Inspectors, and requests that Inspectors help identify and track

suspected terrorists and/or intelligence agents.11

(6) The Adjudications and Nationality Program receives and examines a

variety of applications for immigration benefits, including petitions for citizenship.

(7) Service Center Operations oversee the work of Immigration Examiners and

processing systems in four Service Centers in St. Albans, Vermont; Lincoln, Nebraska; Dallas,

Texas; and Laguna Niguel, California. The majority of applications and petitions for

immigrations benefits are adjudicated at these centers.

(8) The Administrative Appeals Program handles petitions from unsuccessful

applicants who wish to be reconsidered.

 

10 www.whitehousedrugpolicy.gov/policy/budget98

11 U.S. Commission on National Security/21st Century Survey INS Inspections/OPS.
6

B. Subordinate Activities and Agencies: None

3. Vision and Core Competencies.

A. Vision: None published.

B. Core Competencies: None published.

4. Organizational Culture.

A. Values: None published.

B. Leadership Traditions: A Commissioner who is nominated by the President and

confirmed by the Senate heads the INS. The Commissioner reports to the Attorney General. The

Commissioner with the assistance of the Deputy Commissioner, who is appointed by the

President, oversees INS' four divisions. An Executive Associate Commissioner (EAC) heads

each of INS’ four divisions. EAC's are career civil servants.

C. Staff Attributes: INS' staff is made up of both law enforcement and policy

professionals.

D. Strategy: INS initiated a strategic planning process in the spring of 1993 that brought

together program representatives and managers to look at how INS was going to meet future

immigration challenges. INS' resulting strategic plan, Toward INS 2000, focuses on eight areas

that the organization believes will enable it to better provide immigration benefits and services,

while concurrently enforcing immigration laws.12 INS believes that it must focus on:

(1) Facilitating compliance with immigration laws;

(2) Deterring unlawful immigration;

(3) Reinventing INS work processes;

(4) Building partnerships with other agencies across government to manage the

immigration system;

(5) Promoting professionalism within INS' workforce;

(6) Improving INS' immigration record databases;

(7) Allocating resources based on risk assessments; and

(8) Measuring results rather than levels of activity.

 

12 INS Strategic Plan: Toward INS 2000 Accepting the Challenge. www.usdoj.ins.gov
7

E. Organization Chart:13

Figure 1: Organization of the Immigration and Naturalization Service

(1) The Commissioner of INS, with assistance from the Deputy Commissioner

of INS, oversees INS' four divisions. INS' four divisions are Field Operations, Management,

Policy and Planning, and Programs. The Office of the Commissioner also includes and oversees

the Office of Congressional Relations, Office of the General Counsel, Office of Public Affairs,

and the Office of Internal Audit. These four offices report to the Commissioner and work to

support the Commissioner and INS' program offices.

The Office of Congressional Relations is headed by a Director and is responsible for

establishing and maintaining effective liaison with the Congress, Department of Justice, and

other agencies on such matters as bills, mark-ups, hearings, and Congressional inquiries. The

Office of the General Counsel provides legal advice to the Commissioner, the Deputy

Commissioner, and staff; prepares legislative reports; assists in litigation; prepares briefs and

other legal memoranda when necessary; oversees the professional activities of all Service

attorneys assigned to field offices; and makes recommendations on all personnel matters

involving Service attorneys. The Office of Public Affairs is headed by a Director, and is

responsible for establishing and maintaining public affairs policy, serving as liaison with the

public and news organizations to communicate INS initiatives, such as naturalization and

 

13 www.ins.usdoj.gov

Office of the

Executive

Associate

Commissioner of

Field Operations

Office of the

Executive

Associate

Commissioner of

Management

Office of the

Executive

Associate

Commissioner

of Policy and

Planning

Office of the Commissioner

------------------------------

Office of the Deputy

Commissioner

------------------------------

Congressional Relations

Office

-----------------------------

General Counsel Office

------------------------------

Internal Audit Office

-------------------------------

Public Affairs Office

Office of the

Associate

Commissioner

for Programs
8

employer education. The Office of Internal Audit is headed by a Director, and promotes

efficiency and effectiveness within INS by managing the INS' systems for resolving alleged

mismanagement and misconduct by Service employees; reviewing and evaluating the efficiency

and effectiveness of Service operations and programs; collecting and analyzing data to identify

patterns of deficiencies or other weaknesses warranting investigative follow-up; making

recommendations on INS' disciplinary policies and procedures; overseeing INS' systems to

eliminate fraud, waste, and abuse in the workplace; and acting as INS' liaison with outside

audit/inspection agencies. These duties are executed in coordination with other components of

INS and other Department of Justice components.

(2) The Office of the Executive Associate Commissioner for Programs is

responsible for policy development and review as well as integration of INS' enforcement and

examinations programs. This office has primary responsibility for the planning, oversight, and

advancement of programs engaged in interpretation of the immigration and nationality laws and

the development of regulations to assist in activities, including:

(a) The granting of benefits and privileges to those qualified to receive

them;

(b) Withholding of benefits from those ineligible;

(c) Control of the borders and prevention of illegal entry into the United

States;

(d) Detection, apprehension, detention, and removal of illegal aliens; and

(e) Enforcement of employer sanctions and other provisions of

immigration-related law.

In addition to overseeing enforcement and examination policy matters, the Office of

Programs is responsible for maintaining a database of immigration records. The Executive

Associate Commissioner for Programs promulgates policy, provides direction and supervises the

activities of seven of INS' eight Enforcement and Examination programs.14

(3) The Office of the Executive Associate Commissioner of Field Operations

directs the activities of INS' 33 districts and 21 Border Patrol sectors throughout the United

States and INS' three district offices in Bangkok, Rome, and Mexico City and 39 area offices

outside the United States.15

(4) The Office of the Executive Associate Commissioner for Management

promulgates INS' administrative policies and coordinates all financial, human resource,

administrative, and information resources management functions. The latter includes

maintaining both an automated and a manual system for immigrations records and providing

service to the public through a toll free information line.

 

14 See section 2a for a detailed account of INS' Enforcement and Examination programs.

15 See section 2a for a detailed account of the Border Patrol.
9

(5) The Office of the Executive Associate Commissioner for Policy and

Planning directly supports the INS leadership in policy development, strategic planning,

program evaluation, and statistical analysis and reporting. The Office also serves as the central

clearinghouse for disseminating information about immigration policy in coordination with

policy leaders within INS and the White House, Department of Justice, and other government

agencies. The Office also serves as a liaison between non-governmental organizations that have

a stake in national immigration policy.

5. Formal National Security Process Involvement: INS supports the National Security

Strategy's objectives for countering terrorism and drug trafficking. INS works with the

Departments of State, Defense, Treasury, and other Department of Justice agencies to "prevent,

disrupt, and defeat terrorist operations before they occur."16 INS also supports the U.S. National

Drug Control Strategy's interdiction goals by stopping the flow of drugs at and between ports of

entry. These interdiction efforts are undertaken in cooperation with the U.S. Coast Guard,

Customs, FBI, and DEA.

A. Strategy Development: No involvement.

B. Policy, Guidance, and Regulation: No involvement.

C. Planning: No involvement.

D. Mission Execution: INS works with other law enforcement agencies and the

Departments of State, Defense, and the CIA to interdict the flow of drugs at and between ports of

entry and also to investigate, capture, and prosecute aliens involved in terrorist activities. INS’

Border Patrol, Inspectors, and Investigative Special Agents execute these missions.

E. Observation, Orientation, and Oversight: No involvement.

F. Preparation: INS conducts a 14 1/2 week training course for its Border Patrol agents

and Investigators and Inspectors. Agents are trained in immigration law, law enforcement

techniques, detection of fraudulent documents, firearms use, computer skills, and how to work

with other national security agencies.

G. Resourcing: INS plays a role in resourcing its own programs and also receives

additional funding through the Interagency Crime and Drug Enforcement appropriation for its

participation in the Organized Crime Drug Enforcement Task Force.

6. Informal National Security Process Involvement: No evidence of INS' role in informal

national security processes.

7. Funding and Personnel.

A. Authorization and Appropriations: The relevant authorizing committees are the

House Commerce Committee; the House Judiciary Committee; the House Subcommittee on

Immigration and Claims; the House Committee on Ways and Means; the Senate Committee on

Governmental Affairs; the Senate Judiciary Committee; and the Senate Subcommittee on

 

16 The White House. A National Security Strategy for a New Century, May 1997, p. 10
10

Immigration. The Senate Appropriations Committee and House Appropriations Committee have

jurisdiction over INS' budget.

B. Funding Sources: INS is funded as an agency of the Department of Justice and also

receives funds through the Interagency Crime and Drug Enforcement appropriation.

C. Budget: INS' Fiscal Year 99 budget is $3.876 billion.17

D. Personnel: INS is authorized an end strength of 30,800 people for Fiscal Year 99.18

8. Conclusions and Observations: INS has a dual mission of providing immigration

information and services to the general public, while also enforcing immigration laws and

apprehending and removing illegal aliens. In performing its enforcement mission, INS works

with the Federal Bureau of Investigation (FBI), U.S. Customs, DEA, and the Coast Guard. INS

also shares information and cooperates with the Department of State, CIA, and Department of

Defense. INS' enforcement activities support the interdiction objectives of the National Drug

Control Strategy and the counter terrorism provisions of the National Security Strategy. INS'

Fiscal Year 99 budget is $3.876 billion and it is authorized an end strength of 30,800 people for

Fiscal Year 99.

INS was reorganized into four divisions in 1994, and the restructuring was supposed to

streamline the operations of the agency, improve its service to the public, and also improve the

effectiveness of its enforcement programs. A recent GAO report revealed that while INS has

made some improvements, the restructuring has not solved many of the underlying financial

management and communications issues that have hampered INS' performance in the past.

These management challenges continue to hinder some of INS' key programs. Surveys

distributed to INS confirmed many of GAO's findings. Staff indicated that changes to the

Immigration and Nationality Act resulted in an increased demand for certain services. For

example changes to the INA resulted in many more applications for Naturalization and also

called upon INS' Investigators to take on a greater role in counter terrorism operations. Both of

these changes require additional funding and better allocation of resources within INS. The

GAO report indicated that while INS' reorganization and reforms have made a difference,

management must continue to work closely with field offices to implement the new changes.19

 

17 http://www.usdoj.gov/jmd/2k-summary/2k-pg101-2.htm

18 http://www.usdoj.gov/jmd/2k-summary/2k-pg101-2.htm

19 GAO Report 7/29/99
ORGANIZATIONAL DESCRIPTION

UNITED STATES MARSHALS SERVICE (USMS)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

U.S. Marshals Service

Overview.

The United States Marshals Service (USMS), an agency of the Department of Justice,

was established by title 28 U.S.C. section 561.1 USMS focuses on:

• Protecting judges and providing security for federal court facilities;

• Executing court orders, and the seizure, maintenance, and disposal of assets;

• Providing for the secure transportation and production of federal pre–trial detainees;

and

• Ensuring the safety of protected government witnesses.

Organization.

The Director of the U.S. Marshals, supported by the Deputy Director of the U.S.

Marshals, oversees USMS' four program divisions:

• Judicial Security Division (JSD);

• Investigative Services Division (ISD);

• Prisoner Services Division (PSD); and

• Business Services Division (BSD).

An Assistant Director, who is a career civil servant, heads each of USMS’ four program

divisions. The Judicial Security Division works to ensure the safe conduct of judicial

proceedings, and to ensure the safety of judges, jurors, and members of the judiciary. The

Investigative Services Division oversees programs that conduct investigations involving escaped

federal prisoners; probation, parole, bond default violators; and fugitives who are wanted on drug

warrants. ISD also oversees the Witness Security program, which ensures that federally

protected witnesses are protected both before and after providing their testimony. The Prisoner

Services Division assumes custody of individuals arrested by all federal agencies. PSD houses

prisoners awaiting trial in federal, state, and local jails and also transports prisoners to trial and

back to jail if convicted. The Business Services Division oversees the asset forfeiture program.

All criminal assets seized by Department of Justice agencies are disposed of via USMS' Business

Services Division.

USMS' Director and Deputy Director are both nominated by the President and confirmed

by the Senate. The Director of USMS along with the Deputy Director also oversee 95 district

 

1 www.thomas.loc.gov.
3

offices, which implement USMS' programs throughout the United States and its territories. A

U.S. Marshal, who is appointed by the President, heads each district office.

The Deputy Director of USMS coordinates assignments for the Special Operations Group

(SOG). The SOG is a group of highly trained Deputy Marshals who provide rapid response to a

variety of emergency situations. The SOG also provides "security and law enforcement

assistance to the U.S. Air Force when Minuteman and cruise missiles are moved between

military facilities."2 USMS is authorized an end strength of 4,486 positions with a Fiscal Year

99 budget of $502.6 million.3

Role in Formal and Informal National Security Processes.

The United States Marshals Service does not have a direct (formal or informal) role in National

Security Processes. Instead, USMS' programs support the efforts of other law enforcement

agencies. USMS' investigations programs, SOG, and Witness Security program support

agencies such as the Drug Enforcement Administration (DEA), Federal Bureau of Investigation

(FBI), the Department of State, and the U.S. Air Force. USMS' investigations programs work

with other federal, state, and local agencies to help arrest federal fugitives, many of whom are

wanted by DEA on drug trafficking charges. USMS' SOG provides rapid response assistance for

a variety of emergency situations, including natural disasters, terrorist attacks, and other federal

emergencies. The Witness Security program ensures the safety of government witnesses and

their immediate dependents whose lives are in danger as a result of their testimony against

organized crime, drug traffickers, terrorists, and other major criminals. The activities undertaken

by USMS support the drug enforcement, National Emergency Preparedness, and organized crime

objectives outlined in the National Security Strategy.

Conclusions and Observations.

The USMS is responsible for apprehending fugitives, transporting prisoners, seizing and

disposing of criminal assets, protecting the judiciary, and protecting federal witnesses. USMS

also engages in a number of special operations that support other law enforcement agencies in

emergency situations. The USMS national security role is one of support. USMS' programs

support the National Security Strategy's drug interdiction, organized crime, and National

Emergency Preparedness objectives. USMS' survey response indicated that while the

organization plays a supporting role in a number of national security missions (drug fugitive

apprehension, witness protection, and national emergency response), there is little interagency

coordination regarding those missions. Any move to increase such coordination will require

both increased funding and manpower.

 

2 http://www.usdoj.gov/marshals/factsheets/general.html

3 USMS Survey Response.
4

ORGANIZATIONAL DESCRIPTION

U.S. MARSHALS SERVICE

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive:

(1) Title 28 U.S.C. section 561 established the United States Marshals Service

(USMS) within the Department of Justice.4

(2) The Organized Crime Control Act of 1970 (Public Law 91-452)

established the Witness Security Program within the U.S. Marshals Service.

(3) The Comprehensive Crime Control Act of 1984 created the Department of

Justice Assets Forfeiture Fund. The USMS oversees the Assets Forfeiture Fund and ensures that

the proceeds from the sale of forfeited cars, real estate, jewelry and other property, as well as

tainted cash, are reinvested into law enforcement activities.5

B. Department/Agency Directives: None available.

2. Missions/Functions/Purposes.

A. Major Responsibilities: The mission of the United States Marshals Service is to

"protect the federal courts and ensure the effective operation of the judicial system." The USMS

accomplishes this mission through "protecting judges and other participants in the judicial

process; providing for the security of federal court facilities; executing court orders, including

certain arrest warrants and the seizure, maintenance, and disposal of assets; providing for the

secure confinement, transportation and production of federal pre—trial detainees; and ensuring

the long term safety of government witnesses."6

B. Subordinate Activities and Agencies: None.

3. Vision and Core Competencies.

A. Vision: None published.

B. Core Competencies:7

(1) Finding and arresting fugitives;

(2) Administering the Witness Security Program; and

 

4 www.thomas.loc.gov.

5 http://www.usdoj.gov/marshals/factsheets/bus-svcs.html

6 USMS Survey.

7 USMS Survey.
5

(3) Rapid response to civil disturbances, natural disasters, and other crisis

situations.

4. Organizational Culture.

A. Values: None published.

B. Leadership Traditions: The Director and Deputy Director are each nominated by the

President and confirmed by the Senate. The 95 U.S. Marshals, who supervise district operations,

are Presidential appointees. The Assistant Directors of the Marshal's four program divisions are

career civil servants.8

C. Staff Attributes: USMS staff possesses specialized skills including the ability to

respond quickly to emergency situations and defuse potentially volatile situations.9

D. Strategy: USMS believes that it must improve its internal accounting system and

increase its formal interagency coordination, while maintaining its focus on the following key

missions:

(1) Fugitive Investigations;

(2) Protecting the Courts;

(3) Prisoner Custody and Transportation;

(4) Witness Security;

(5) Asset Seizure; and

(6) Special Operations.

 

8 USMS Survey.

9 USMS Survey.
6

E. Organization Chart:

Figure 1: Organization of the United States Marshals Service

(1) The Office of the Director of the USMS, with the assistance of the Deputy

Director of USMS, oversees the USMS' four program divisions. In addition to the four program

divisions, the Office of the Director also oversees the Office of General Counsel, the Executive

Services Division, the Management and Budget Division, and the Human Resources Division.

These four offices report to the Director and work to support the Director and USMS' program

offices.

The Office of the General Counsel provides legal advice to the Director, the Deputy

Director, and staff, prepares briefs and other legal memoranda when necessary, and deals with

Freedom of Information Act requests by the public. The Human Resources division is headed by

an Assistant Director and provides career and organization development support to USMS staff

as well as training. Human Resources also handles support functions such as pay and benefits

and oversees hiring. The Management and Budget division is headed by an Assistant Director

and is responsible for preparing USMS' budget request, reviewing programs, and allocating

information technology resources throughout the USMS. The Executive Services division is

headed by an Assistant Director and provides public affairs and congressional liaison services to

USMS.

(2) The Office of the Deputy Director oversees and coordinates the activities of

the Special Operations Group (SOG), the Missile Escort Program, and the Judgement

Enforcement Teams.

(a) The Special Operations Group (SOG) is a specially trained tactical

unit that responds to emergencies anywhere in the United States or its territories. Members of

SOG are Deputy Marshals who have volunteered. SOG members remain on call 24 hours a day

Office of the

Assistant

Director of the

Investigative

Services

Division

Office of the

Assistant

Director of the

Judicial

Services

Division

Office of the

Assistant

Director of the

Prisoner

Services

Division

Office of the

Director

Office of the

Assistant

Director of

the Business

Services

Division

Office of the Deputy

Director
7

for SOG missions. SOG also maintains a small, full-time operational cadre stationed at the

Marshals Service Tactical Operations Center at Camp Beauregard, LA., where all SOG deputies

undergo training in tactics and weaponry. The group's missions include: fugitive apprehension,

dignitary protection, court security, transporting high profile and dangerous prisoners, witness

security, and asset seizures.

(b) The Missile Escort Program provides specially trained Deputy

Marshals to provide security and law enforcement assistance to the Department of Defense and

the U.S. Air Force during the movement of selected missiles and nuclear warheads between

military facilities.

(c) The Judgment Enforcement Teams (JET) consist of specially

trained Deputy Marshals that provide an enforcement capability to the Financial Litigation Units

of selected U.S. Attorney Offices. These Deputy Marshals investigate cases where individuals

have reneged on debts owed to the government, such as for criminal fines, financial fraud, and

medical training. The Deputies identify debtor assets, facilitate pre-judgement and postjudgment remedy planning, and enforce other judgment requirements.

(3) The Office of the Assistant Director of the Investigative Services Division

provides analytical and electronic surveillance support to the 95 U.S. Marshals district offices

while coordinating the investigations and Witness Security programs.10

(a) The Investigations Program is responsible for conducting and

investigating fugitive matters involving escaped federal prisoners, probation, parole, and bond

default violators, and warrants generated by DEA investigations and other related felony cases.

The Marshals Service also sponsors 65 multiagency fugitive task forces comprised of federal,

state, and local agencies, concentrating their investigative efforts on fugitives wanted for crimes

of violence and drug trafficking. The Marshals Service representatives also help monitor

domestic, drug-related crimes at the National Drug Intelligence Center in Johnstown, PA, and the

El Paso Intelligence Center (EPIC) in El Paso, TX. The Marshals Service is also the primary

American agency responsible for returning fugitives wanted in the United States from foreign

countries. The Service also apprehends fugitives in the U.S. who are wanted abroad. The Office

also oversees the extradition of fugitives captured by U.S. Marshals.

(b) The Witness Security Program (WITSEC) provides for the security,

health, and safety of government witnesses and their immediate dependents, whose lives are in

danger as a result of their testimony against organized crime, drug traffickers, terrorists, and

other major criminals. This program serves as a tool in the government's war against major

criminal conspiracies and organized crime.

The Attorney General makes final determination that a witness qualifies for WITSEC

protection. The decision is based on recommendations by U.S. Attorneys assigned to major

federal cases throughout the nation. In a state court case, the determination is based on a request

from a State Attorney General through the appropriate U.S. Attorney's office. After the witness

receives a pre-admittance briefing by Marshals Service personnel and agrees to enter the

program, the witness and his or her family are immediately removed from the danger area and

relocated to a secure area selected by the Marshals Service. Witnesses are given new names and

 

10 http://www.usdoj.gov/marshals/factsheets/inve-svcs.html
8

new identities with authentic documentation for the witness and family. Among the types of

assistance provided to the witness are: housing, medical care, job training, and employment.

Subsistence funding to cover basic living expenses also is provided to the witness until the

program participants become self-sufficient.

The Marshals Service provides 24-hour protection to all witnesses while they are in a

"threat" environment and upon their return to a danger area for pre-trial conferences, testimony at

trials, or other court appearances.

(4) The Office of the Assistant Director of the Judicial Services Division

oversees the USMS' Judicial Security programs.11 They are:

(a) The Court Security Program provides personal protection to federal

judges, court officials, witnesses, and jurors and is a principal mission of the U.S. Marshals

Service. The U.S. Marshals provide such protection in 95 districts ensuring security and

maintaining decorum within the courtroom itself, as well as providing personal protection for

judicial officers, witnesses, and jurors away from court facilities.

(b) The Court Security Officer (CSO) Program provides 3,000 Court

Security Officers who secure building entrances at 450 court facilities in the United States and its

territories. CSOs are contractors hired by the USMS. The CSO program is responsible for

administering the contracts for CSOs. Many CSOs have extensive law enforcement experience

with state and local police departments.

(c) The Judicial Security Systems Program provides primary security

services to the federal judiciary. These services consist of providing electronic protection for

court proceedings, court officials, and court chambers, as well as security for support areas.

(d) The Central Courthouse Management Program provides planning

and design assistance when federal courthouses are being built or space is being allocated. The

Marshals service provides a security perspective to decision makers, ensuring that federal

facilities are built and organized in such a way that personnel, the judiciary, and the general

public are safe. These include court security, CSO contracts, and Courthouse construction and

design.

(5) The Office of the Assistant Director of the Prisoner Services Division is

responsible for the housing and transportation of prisoners from the time they are brought into

federal custody until they are either acquitted or incarcerated. Individuals who are arrested or

detained for violation of a federal statute must be brought before a magistrate or judge for an

initial hearing. After the hearing, prisoners may be released or remanded into the custody of the

Marshals Service to stand trial. If convicted, it is the Marshals Service's responsibility to deliver

the prisoner to an institution to serve the imposed sentence. In order to house all these prisoners,

the Marshals Service contracts with approximately 1,200 state and local governments to rent

space, on a space available basis, for federal prisoners. Nearly two-thirds of the prisoners in

Marshals Service custody are detained in state and local facilities. In locations where detention

space is scarce, the Marshals Service provides selected state and local governments with

 

11 http://www.usdoj.gov/marshals/factsheets/jud-svcs.html
9

Cooperative Agreement Program (CAP) funds to improve local jail facilities and to expand jail

capacities.12

(6) The Office of the Assistant Secretary of the Business Services Division

oversees and advertises USMS' asset forfeiture program. The Asset Forfeiture Program manages

and disposes of properties seized and forfeited by all federal law enforcement agencies and U.S.

Attorneys nationwide. Most property in the Marshals Service's custody comes from drug

trafficking, money laundering, organized crime, and fraud cases. Monies from the Asset

Forfeiture Fund are available to the Marshals Service to pay for costs incurred while maintaining

these properties. Ninety-four Marshals Service district offices administer seized assets. The

Marshals secure custody, inventory, appraise, store, and maintain property until the final court

order is entered. Much of the work in this program is contracted out to professional companies.

The Marshals Service provides property services to the Drug Enforcement Administration,

Federal Bureau of Investigation, Immigration and Naturalization Service, U.S. Postal Inspection

Service, and the Food and Drug Administration. At the conclusion of forfeiture cases,

participating state and local agencies can apply for a share of the proceeds. The Office also

maintains the property and vehicles that the USMS and other federal law enforcement agencies

seize.13

5. Formal National Security Process Involvement. The United States Marshals Service's

programs support the drug interdiction, organized crime, and National Emergency Preparedness

objectives of the National Security Strategy. This is achieved through the investigation and

apprehension of drug traffickers and other wanted criminals; the protection of federal witnesses

who have agreed to testify against organized crime, drug traffickers, and terrorists; and the

deployment of the Special Operations Group during national emergencies, disasters, and other

domestic disturbances.

A. Strategy Development: No involvement.

B. Policy, Guidance, and Regulation: No involvement.

C. Planning: No involvement.

D. Mission Execution: The USMS is responsible for apprehending fugitives wanted on

DEA warrants as well as ensuring the safety of federal witnesses testifying against organized

crime and drug trafficking organizations.

E. Observation, Orientation, and Oversight: No involvement.

F. Preparation: USMS' staffs are provided specialized training that focuses on

protecting the judiciary, carrying out investigations, transporting prisoners, and protecting

government witnesses.

G. Resourcing: The USMS plays a role in resourcing its own programs.

 

12 http://www.usdoj.gov/marshals/factsheets/pris-svcs.html

13 http://www.usdoj.gov/marshals/factsheets/bus-svcs.html
10

6. Informal Formal National Security Process Involvement. No evidence of USMS' role in

informal national security processes.

7. Funding and Personnel.

A. Authorization and Appropriations: The relevant authorizing committees are the

House Judiciary Committee, the House Judiciary Subcommittee on Crime, and the Senate

Judiciary Committee. The Senate Appropriations Committee and the House Appropriations

Committee have jurisdiction over USMS' budget.14

B. Funding Sources: USMS is funded as an agency within the Justice Department.

C. Budget: The FY 99 budget for USMS was $502.6 million.

D. Personnel: USMS has 4,486 employees for FY 99.

8. Conclusions and Observations. The USMS is responsible for apprehending fugitives,

transporting prisoners, seizing and disposing of criminal assets, protecting the judiciary, and

protecting federal witnesses. USMS also engages in a number of special operations that support

other law enforcement agencies in emergency situations. The USMS national security role is

one of support. USMS' programs support the National Security Strategy's drug interdiction,

organized crime, and National Emergency Preparedness objectives.

USMS' survey response indicated that while the organization plays a supporting role in a

number of national security missions (drug fugitive apprehension, witness protection, and

national emergency response) there is little interagency coordination regarding those missions.

Any move to increase such coordination will require both increased funding and manpower.

 

14 www.loc.thomas.gov
ORGANIZATIONAL DESCRIPTION

UNITED STATES COAST GUARD

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

The United States Coast Guard

Overview.

The Coast Guard is a military service within the Department of Transportation with four

distinct roles:

• Law enforcement;

• Environmental protection;

• Safety; and

• National defense.

The Coast Guard is the nation's principal maritime law enforcement agency, and it is the

only Federal agency with jurisdiction on the high seas as well as in U.S. territorial waters. The

Coast Guard is unique among the Armed Forces in that it has statutory law enforcement

authority and is not subject to the limits of the Posse Comitatus Act. When directed by the

President or upon a formal declaration of war by Congress, the Coast Guard becomes a Service

in the Department of the Navy. The President may transfer as much or as little of the Coast

Guard as is required by the contingency. The Coast Guard also may assist the Navy, without

transferring forces, by placing units under the operational control of a naval commander. 1, 2

In addition to its military capabilities for coastal warfare defense, the Coast Guard has

assets and capabilities that can be brought to bear on a wide range of emerging national security

threats, including destabilizing arms traffic, the smuggling of drugs, aliens, technologies, and

untaxed cargoes, depletion of fish and other resources in the U.S. Exclusive Economic Zone,

violation and circumvention of environmental protection laws, challenges to the nation's critical

infrastructure base, attempts to violate economic sanctions, piracy and terrorism, and

uncontrolled mass migration.3

In carrying out its day-to-day missions, the Coast Guard interacts with many federal,

state, and local government entities, including the Departments of Transportation, Defense,

Justice, State, Interior, and Energy; the Drug Enforcement Administration (DEA); the Federal

Emergency Management Agency (FEMA); the Federal Bureau of Investigation (FBI); the

Immigration and Naturalization Service (INS); the Office of National Drug Control Policy

(ONDCP); the U.S. Marshals Service; the Bureau of Alcohol, Tobacco & Firearms; the U.S.

Customs Service; the National Marine Fisheries Service; the Environmental Protection Agency

(EPA); and state police, natural resource departments, park rangers, criminal investigation

bureaus and state prosecutors.

 

1 Joint Publication 3-07.4, Joint Counterdrug Operations, February 17, 1998.

2 Loy, James M.,Admiral, USCG, Shaping America’s Joint Maritime Forces: The Coast Guard in the 21st Century.

3 United States Coast Guard Annual Report, 1998, p. 26.
3

Organization.

The basic Coast Guard organizational structure reflects a military command and control

network. The Commandant of the Coast Guard, a four-star admiral, reports directly to the

Secretary of Transportation. Primary organizational elements include USCG Headquarters; two

Area Commands; nine District Commands; two Maintenance and Logistics commands; various

Activity, Section, Support Center and Group commands; and individual field and headquarters

units. The USCG work force includes 38,000 active duty members (about 30,000 enlisted

personnel), 8,000 reservists, 36,000 auxiliaries, and 6,000 civilian employees. Equipment

includes over 200 cutters (vessels 65 feet in length or more) and boats (watercraft less than 65

feet in length), plus 68 fixed-wing and 166 rotary-wing aircraft.4

Role in Formal and Informal National Security Processes.

The following chart shows the relationship between Coast Guard products and roles and

the seven key national security processes.

 

4 http://www.uscg.mil/hq/g%2Dci/sect%2Diold.htm.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Input to National Security Strategy, National 

Military Strategy, and National Drug Control 

Strategy















 











 



Head of a military Service under 

the Department of the 

Transportation



Head of a military Service under 

the Department of the Navy 

when directed by the President



Head of a Federal law 

enforcement organization 

Subordinate Operational 

Commanders to the 

Commandant



Maritime Defense Zone 

Commanders and Subordinate 

Commanders to CINCLANTFLT 

and CINCPACFLT



Area

Commanders

Roles

Commandant

Input to DoD Deliberate and Crisis Planning 

Systems

Coast Guard Budget

Coast Guard Performance Plan and Annual 

Report

Coast Guard Business Plans

Coast Guard Regional Strategic Assessments

Forces designed for law enforcement, maritime 

safety, marine environmental protection, and 

DoD operations and exercises

SORTS Reports

Coast Guard Lessons Learned System 

(CGULLS) Reports and Inputs to the Navy 

Lessons Learned System

Coast Guard Acquisition Documents

Products

Input to National Security Strategy, National 

Military Strategy, and National Drug Control 

Strategy

Input to DOT Strategic Plan

USCG Strategic Plan, Vision Document, and the 

Commandant's Direction

Commandant's Instructions

Federal Regulations

Input to Civil/Disaster Preparedness Planning
4

Strategy Development. The Coast Guard provides input to the National Security

Council (NSC) during the development of the National Security Strategy (NSS), provides input

to the National Military Strategy (NMS) through the Joint Staff, and participates in the Joint

Staff's Joint Strategy Review. It also participates in the development of the National Drug

Control Strategy and the DoT Strategic Plan. Internally, the Coast Guard develops the Coast

Guard vision document—Coast Guard 2020, the Coast Guard Strategic Plan, and the

Commandant's Direction, which establishes the Commandant's personal priorities and areas of

emphasis. Coast Guard strategy development is grounded in the framework of the Government

Performance Review Act (GPRA).

Policy, Guidance, and Regulations. The Commandant issues regulations and

directives that relate to the organization, internal administration, and personnel of the Coast

Guard. The Commandant also issues maritime regulatory documents for commercial

enterprises and the public. The Commandant, an Assistant Commandant, or the Secretary of

Transportation sign Regulations, work plans, and Federal Regulatory Notices, depending on

their level of importance.

Planning. The Coast Guard is tied into the military deliberate and crisis planning

processes in a manner similar to the other military Services. Coast Guard participation in DoD

deliberate and crisis action planning is accomplished primarily at the headquarters of the two

Area Commands (Atlantic and Pacific). The Area Command staffs also plan for contingency

requirements for severe weather response operations, low water response operations, flood

response operations, marine disaster response operations, terrorism response operations, civil

disturbance response operations, Marine Environmental Response, Alien Migrant Interdiction

Operations (AMIO), and earthquake response operations. The Coast Guard participates in

planning with a multitude of other federal, state, and local government agencies. An example is

the Coast Guard's role in the development of the National Search and Rescue Plan, an

interagency plan developed with the participation of the Departments of Transportation

(USCG), Defense, Commerce, the FCC, and NASA. The Coast Guard also develops internal

plans including the performance plans, specialized plans, business plans, and campaign plans

such as STEEL WEB, the Coast Guard’s multiyear campaign plan to position the requisite

interdiction forces where they best counter the evolving narco-trafficking threats.

Mission Execution. Coast Guard forces operate continuously in support of the four

major Coast Guard areas of responsibility (i.e., Law Enforcement, Maritime Safety, Marine

Environmental Protection, and National Security). The Coast Guard conducts law enforcement

operations in conjunction with many federal and state agencies. While Coast Guard law

enforcement responsibilities encompass all federal laws and regulations applicable in the

maritime realm, Coast Guard activities focus primarily on protecting fisheries and other marine

resources, combating illicit drug trafficking, interdicting illegal migrants at sea, ensuring

compliance with recreational and other vessel safety laws, enforcing of environmental

protection statutes and responding to vessel incidents involving violent acts or other criminal

activity. The Coast Guard also conducts several non-law enforcement domestic operations in

the areas of aids to navigation, waterways management, polar and domestic icebreaking, and

search and rescue. The Coast Guard’s national defense role is to provide non-redundant,

complementary assets that support the National Military Strategy. The Coast Guard provides

capabilities over a range of naval warfare duties, including: battle group operations; military

sealift and commercial shipping escort; search and rescue; surveillance and interdiction; visit,
5

board, search and seize teams; aids to navigation; and force protection of military shipping at

U.S. seaports of embarkation and overseas ports of debarkation.5

Observation, Orientation, and Oversight. The Coast Guard provides and assesses

information on Coast Guard units through DoD's Status of Resources and Training System

(SORTS) and provides and assesses lessons learned regarding Coast Guard activities through

the Coast Guard Lessons Learned System (CGULLS).

Preparation. As a subordinate entity of the Department of Transportation, the Coast

Guard follows the acquisition procedures contained in the Transportation Acquisition Manual

(TAM). Two councils—the Coast Guard Acquisition Review Council (CGARC) and the

Department of Transportation Systems Acquisition Review Council (TSARC), review Coast

Guard acquisition decisions. Also in the area of preparation, the Coast Guard determines the

requirements, plans, and provides resources for the Coast Guard training program. The Coast

Guard conducts and participates in contingency preparedness exercises to test Coast Guard

plans, policies and procedures in response to a wide variety of possible scenarios, including

man-made and natural disasters, maritime terrorism, transportation infrastructure casualties,

national defense emergencies, maritime spills of oil and hazardous substances, and civil

disturbances. Preparedness exercises provide opportunities to test the interoperability between

the Coast Guard and DoD and between the Coast Guard and civilian agencies.

Resourcing. Coast Guard resourcing processes and decisions are integrated through the

Coast Guard "Family of Plans" which is GPRA based. Programs are derived from outcomes.

They account for both potential threats and anticipated demand. Each regional commander is

responsible for conducting an annual Regional Strategic Assessment. The Coast Guard

programs for resources a year ahead and updates quarterly through a quarterly asset allocation

process. Within the Coast Guard, budget formulation is essentially a continuous effort, with a

gradual change in focus from broad program to specific line item requests. The Coast Guard

budget request is processed through the Department of Transportation. Most of the Coast

Guard's funding comes from the Department of the Treasury's General Fund. Since FY82,

Congress has annually authorized about $300M in DoD funds to be transferred to the Coast

Guard to help fund national security functions in support of DoD. In addition to this funding,

the Navy also provides logistical support to the Coast Guard for Navy equipment on USCG

ships and aircraft.

Observations.

The Coast Guard has enthusiastically embraced GPRA and uses its framework as the

foundation for strategy development, planning, preparation, and resourcing processes. The

refinement of these processes is still ongoing, but the Coast Guard is beginning to develop

consistency among it various business areas through a GPRA approach. Among national

security organizations, it appears to be a good "study case" for the effectiveness of GPRA.

The Coast Guard is an organization that has great experience operating in the

interagency environment. It interfaces on a daily basis with DoT, DoD, DoJ, and DoS for its

law enforcement, national security, safety, and environmental missions. Because of its high

 

5 United States Coast Guard, Deepwater Project Team (G-ADW) Modeling and Simulation Master Plan, Washington, DC:

United States Coast Guard, September 21, 1998, Ph. 1 V1.0.
6

level of interagency connections, Coast Guard effectiveness depends on a network of liaison

officers and a host of interagency Memoranda of Understanding and Agreement (MOUs and

MOAs). This may be a "fact of life" for an organization that works closely with so many other

agencies. However, it also may reflect an "ad hoc" approach to interagency operations due to

the lack of robust processes within the current interagency structure.

Due to its extensive interagency operational expertise, the Coast Guard may prove to be

the model for future interagency operations and may merit a more in-depth assessment for

additional "lessons learned."
7

ORGANIZATIONAL DESCRIPTION

THE UNITED STATES COAST GUARD

1. Legal Specifications, Authorizations and Responsibilities

A. Authorizing Statute: The United States Coast Guard (USCG) was established in

January 1915 (14 U.S.C. 1) and became a component of the Department of Transportation in

April 1967 pursuant to the Department of Transportation Act (49 U.S.C., Sec. 108).

(1) Title 49 defines the Coast Guard as a part of the Department of

Transportation, and specifies that the Commandant of the Coast Guard reports directly to the

Secretary of Transportation.6

(2) Title 14 contains the principal legal authority for the Coast Guard. It defines

the Coast Guard as a military Service and a branch of the U.S. Armed Forces. Title 14 also

establishes the Coast Guard as a Service in the Department of Transportation, except when the

President directs that it operate as a Service in the Navy.

7

(3) The Code of Federal Regulations, Title 33 delegates various authorities to

Coast Guard officers and specifies Coast Guard jurisdiction.8

B. Department Directives:

(1) Department of Transportation (DoT): The primary DoT direction to the

Coast Guard, including Secretary of Transportation delegation of powers and duties to the

Commandant, is contained in the Code of Federal Regulations, Title 49. This document

specifies Coast Guard responsibilities and delegates broad legal authority to the Commandant.

This authority to carry out all the activities of the Coast Guard, includes, but is not limited to,

law enforcement; safety of life and property at sea; aids to navigation; search and rescue;

icebreaking; oceanographic research; and military readiness functions.9

(2) Department of Defense (DoD):

(a) DoD Directive (DODD) 5100.1, which describes the functions of the

major DoD components states that during peacetime, the Department of Transportation is

responsible for maintaining the United States Coast Guard in a state of readiness so that it may

function as a specialized Service in the Navy in time of war or when the President directs. The

Coast Guard may also perform its military functions in times of limited war or defense

contingency, in support of Naval Component Commanders, without transfer to the Department

of the Navy.10

(b) U.S. Navy Regulations, Chapter 6, titled "The United States Coast

Guard (when Operating as a Service in the Navy)," outlines relationships between the Navy and

 

6 Title 49 United States Code, Section 108.

7 Title 14 United States Code, Section. 1.

8 Code of Federal Regulations (CFR), Title 33, Sec. 1.01-1 – Sec. Sec. 2.05-1.

9 Code of Federal Regulations (CFR), Title 49, Subtitle A, Sec 1.4 and Subpart C, Sec. 1.46.

10 DODD 5100.1, Functions of the Department of Defense and Its Major Components, September 25, 1987.
8

the Coast Guard as well as Coast Guard duties and responsibilities when operating as a Service

of the Department of the Navy.11

C. Interagency Directives:

(1) The 1995 Memorandum of Agreement between the Secretaries of

Defense and Transportation for Use of Coast Guard Resources in Support of the National

Military Strategy requires the Coast Guard to more closely align its capabilities with

increasingly demanding national defense requirements. This includes:

(a) Deployed Port Operations, Security and Defense (DPOSD) to keep

ports and harbor areas free of hostile threats, terrorist actions and safety deficiencies that could

delay critical logistics;

(b) Maritime Interception Operations to enforce the seaward portion of

certain sanctions against another nation or group of nations;

(c) Environmental Defense Operations to mitigate the effects of massive

marine pollution incidents or environmental disasters that could disrupt defense operations; and

(d) Peacetime Military Engagement activities to train and work with

other nations' navies/coast guards. 12

(2) Presidential Decision Directive (PDD) 27, Interagency Coordination for

Non-military Incidents: This PDD requires coordination within the Executive Branch for all

non-military incidents, which could have an adverse affect on the conduct of U.S. foreign

relations, such as boardings of foreign or stateless vehicles in international waters or entry by

Coast Guard personnel into the waters of a foreign state.13

(3) National Drug Control Strategy: The National Drug Control Strategy,

developed by the Office of National Drug Control Policy (ONDCP), contains a classified annex

that assigns specific missions to the Coast Guard regarding shielding air, land, and sea frontiers

from drug threats and breaking foreign and domestic drug sources of supply.14

(4) PDD 9: Coast Guard migrant interdiction operations are directed by national

security goals under Executive Order 12807 (E.O. 12807) and PDD 9. President Bush issued

E.O. 12807 in 1992, directing the Secretary of Transportation to issue appropriate instructions

to the Coast Guard to enforce the suspension of the entry of undocumented aliens into the U.S.

by sea and to interdict the vessels carrying them. President Clinton issued PDD 9 in June 1993,

directing the Coast Guard and other Federal law enforcement agencies to cooperate in the

 

11 The Coast Guard has a unique relationship with the U.S. Navy. By statute, the entire Coast Guard may become a specialized

Service in the Department of the Navy when directed by the President or upon a formal declaration of war by Congress. The

President may transfer as much or as little of the Coast Guard as is required by the contingency. The Coast Guard also may

assist the Navy, without transferring forces, by placing units under the operational control of a naval commander. –

Commandant Instruction M3061.1, USCG Manpower Mobilization and Support Plan (MMSP), Section A.

12 http://www.uscg.mil/lantarea/psu/307/intro.htm.

13 Presidential Directive 27, "Procedures for Dealing with Non-Military Incidents," January 18, 1978.

14 Presidential Directive 27.
9

suppression of alien smuggling. This includes interdicting illegal migrants at sea and

responding to new illegal migration threats. 15

(5) National Search and Rescue Committee Agreement: This Agreement

provides for a federal-level committee to coordinate civil search and rescue (SAR) matters of

interagency interest within the United States. The National Search and Rescue Committee

membership includes the Departments of Transportation, Commerce, and Defense; the Federal

Communications Commission; and the National Aeronautics and Space Administration.16

(6) Federal Response Plan (FRP): This document implements the provisions of

the Stafford Act (Public Law (P.L.) 93-288, as amended by P.L. 100-707). The Stafford Act

provides authority for the Federal Government to respond to disasters and emergencies in order

to provide assistance to save lives and protect health, safety and property. A Presidential

declaration of a major disaster or emergency activates the Federal Response Plan. Coast Guard

assets are often tasked under this plan (See Volume VI, Chapter 20, The Federal Emergency

Management Agency).17 

(7) National Oil and Hazardous Substances Pollution Contingency Plan

(NCP): This plan provides the organizational structure and procedures for bringing together

federal and state government agencies to prepare for and respond to discharges of oil and

releases of hazardous substances, pollutants, and contaminants.18

(8) Memorandum of Understanding (MOU) Concerning Civil Disturbance

between the Department of the Army and the U. S. Coast Guard: This document defines

and limits the Coast Guard's role in civil disturbances outside regular statutory responsibilities.

(9) Basic Agreement Between the United States Navy and the United States

Coast Guard for Interservice Logistics Support: This document covers the broad policy and

procedural aspects of interservice support between the Navy and the Coast Guard.19

(10) Because its mission requires the Coast Guard to interface with many

federal, state, and local government agencies, several other MOUs exist between the Coast

Guard and these entities to govern specific operations.

2. Missions, Functions, Purposes.20 The following mission statements pertain to the main

components of the Coast Guard:

 

15 Tangeman, Anthony, S., Captain, United States Coast Guard, Testimony on "Coast Guard Migrant Interdiction Operations"

before the Subcommittee on Immigration and Claims, Committee on the Judiciary, U. S. House of Representatives , May

18, 1999.

16 United States National Search and Rescue Plan, 1999.

17 Commandant Instruction 16451.1, Disaster Related Pollution Response Activities Under The Federal Response Plan (FRP)

and Cost Reimbursement from the Stafford Act, December 19, 1996.

18 Title 40, CFR Sec 300.1.

19 "Basic Agreement Between the United States Navy and the United States Coast Guard for Interservice Logistics Support,"

April 21, 1987.

20 An Interagency Task Force on Coast Guard Roles and Missions, which will report directly to the President through the

Secretary of Transportation, was convened in 1999. The task force will seek to identify and distinguish which Coast Guard

role, missions, and functions may be added or enhanced, maintained at current levels of performance, reduced or eliminated.

It also will consider whether these roles, missions, or functions may be better performed by private organizations, public

authorities, local or state governments, or other federal agencies - US DoT News, April 16, 1999.
10

United States Coast Guard: "The United States Coast Guard is a multi-missioned

maritime service and one of the Nation's five Armed Forces. Its mission is to protect the public,

the environment, and U.S. economic interests–in the Nation's ports and waterways, along the

coast, on international waters, or in any maritime region as required to support national

security." 

Coast Guard Reserve: The Coast Guard Reserve is a military organization that is

organized, trained, administered, and supplied under the direction of the Commandant of the

United States Coast Guard. The purpose of the Coast Guard Reserve is to provide trained and

qualified personnel available for active duty in time of war or national emergency and at such

other times as the national security requires.

Coast Guard Auxiliary: The purpose of the Auxiliary is to assist the Coast Guard as

authorized by the Commandant, in performing any Coast Guard function, power, duty, role,

mission, or operation authorized by law.21 Current Coast Guard Auxiliary Missions include:

Courtesy Marine Examinations, Commercial Fishing Vessel Examinations, Public Education,

Recreational Boating Safety, Marine Environmental Protection, Search & Rescue, Air

Operations, Aids to Navigation/Chart Updating, State Liaison Programs, Recruiting, Public

Affairs, Bridge Administration, Merchant Mariner Exam Administration, and Training.22

A. Major Responsibilities:

(1) Title 14 prescribes the following duties for the Coast Guard:23

(a) Enforce or assist in the enforcement of all applicable Federal laws on,

under, and over the high seas and waters subject to the jurisdiction of the United States [Key

National Security Process Relation: Mission Execution];

(b) Engage in maritime air surveillance or interdiction to enforce or assist

in the enforcement of the laws of the United States [Key National Security Process Relation:

Mission Execution];

(c) Administer laws and promulgate and enforce regulations for the

promotion of safety of life and property on and under the high seas and waters subject to the

jurisdiction of the United States covering all matters not specifically delegated by law to some

other executive department [Key National Security Process Relation: Mission Execution];

(d) Develop, establish, maintain, and operate, with due regard to the

requirements of national defense, aids to maritime navigation, ice-breaking facilities, and rescue

facilities for the promotion of safety on, under, and over the high seas and waters subject to the

jurisdiction of the United States [Key National Security Process Relation: Mission Execution];

(e) Pursuant to international agreements, develop, establish, maintain,

and operate ice-breaking facilities on, under, and over waters other than the high seas and

waters subject to the jurisdiction of the United States [Key National Security Process Relation:

Mission Execution];

 

21 Title 14 United States Code, Section 822.

22 http://www.cgaux.org/cgauxweb/public/pubframe.htm.

23 Title 14 United States Code, Section 2.
11

(f) Engage in oceanographic research of the high seas and in waters

subject to the jurisdiction of the United States [Key National Security Process Relation:

Preparation];

(g) Maintain a state of readiness to function as a specialized service in the

Navy in time of war, including the fulfillment of Maritime Defense Zone command

responsibilities [Key National Security Process Relation: Preparation, Mission Execution].

(2) The Coast Guard responsibilities can be categorized in four mission areas:

(a) Law Enforcement: 24 The Coast Guard is the lead federal agency for

maritime drug interdiction and shares lead responsibility for air interdiction with the U.S.

Customs Service. The Coast Guard conducts Law Enforcement operations in conjunction with

many federal and state agencies. These include: Department of State, Department of Justice

(through local U.S. Attorneys), Department of the Treasury, Department of Defense, Drug

Enforcement Administration, Federal Bureau of Investigation, Immigration & Naturalization

Service, U.S. Marshals Service, Bureau of Alcohol, Tobacco & Firearms, U.S. Customs Service

(INS), National Marine Fisheries Service, Internal Revenue Service, U.S. Secret Service, the

Office of National Drug Control Policy, and state agencies. State agencies might include the

state police, natural resource departments, park rangers, criminal investigation bureaus and state

prosecutors.25 , 26

(b) Maritime Safety: Enforcement of Maritime Safety Regulations is

designed to assure that ships are equipped and operated in accordance with U.S. law. Coast

Guard personnel inspect ships and cite offenders for safety violations. The Coast Guard is

responsible for several non-law enforcement domestic responsibilities, including marine safety,

boating safety, aids to navigation, waterways management, polar and domestic icebreaking, and

search and rescue. 27

(c) Marine Environmental Protection: Protection of Living Marine

Resources is the new term for the traditional mission of fisheries protection and is designed to

secure marine life habitats and enforce adherence to relevant international treaties and domestic

laws and regulations.28

 

24 As a statutory law enforcement agency, the Coast Guard has four principle missions: Interdiction of Contraband is the major

law enforcement mission and was the reason for the original formation of the predecessor agencies to the Coast Guard. The

Coast Guard works with the Customs Service and other agencies to intercept, search, and seize contraband to prevent its

entry in the United States or to assure that proper duties are paid. The largest program in this mission area is drug

interdiction. Interdiction of Alien Migrants is designed to prevent illegal entry into the United States by ship or boat. In

recent years, this mission has involved operations to intercept and turn back or detain Cubans and Haitians trying to travel

by sea to the United States. The Coast Guard also patrols the Pacific Coast to intercept illegal immigrants from Asia. -

http://www.uscg.mil/reserve/pubs/ida/idachp2/idachap2.htm.

25 United States Coast Guard, Deepwater Project Team (G-ADW) Modeling and Simulation Master Plan - Ph. 1 V1.0.

26 Title 10 United States Code., Section. 379 authorizes assignment of Coast Guard personnel to naval vessels for law

enforcement purposes. It states "The Secretary of Defense and the Secretary of Transportation shall provide that there be

assigned on board every appropriate surface naval vessel at sea in a drug-interdiction area members of the Coast Guard who

are trained in law enforcement and have powers of the Coast Guard under title 14, including the power to make arrests and

to carry out searches and seizures.

27 http://www.uscg.mil/reserve/pubs/ida/idachp2/idachap2.htm.

28 http://www.uscg.mil/reserve/pubs/ida/idachp2/idachap2.htm.
12

(d) National Security:29 The Coast Guard’s national defense role is to

provide non-redundant, complementary assets that support the National Military Strategy.

Through General Defense Operations (GDO), the Coast Guard forces, using expertise obtained

from fulfilling their peacetime functions, can provide capabilities over a range of naval warfare

duties, including: battle group operations; military sealift and commercial shipping escort;

search and rescue; surveillance and interdiction; visit, board, search and seize teams; aids to

navigation; and force protection of military shipping at U.S. seaports of embarkation and

overseas ports of debarkation. GDO also includes domestic port security, providing part of the

overall capability for the defense of the U.S. homeland. The Maritime Defense Zone (MDZ)

commanders are responsible for providing force protection for the maritime infrastructure and

Military Sealift Command ships embarking equipment in U.S. strategic seaports. The Coast

Guard ensures that shipping channels are open and marked and that transport ships are provided

safe passage from the harbor to the Sea Line of Communications (SLOC).30, 31

B. Subordinate Agencies and Activities:

(1) Active and Reserve Components: The United States Coast Guard has

integrated its Active and Reserve Components into a unified organization called Team Coast

Guard. Coast Guard personnel of several different kinds – regulars, reserve program

administrators, selected reservists, and civilian employees – work together on the full range of

Coast Guard missions, share a common administrative system, and, with the exception of three

reserve port security units (PSUs), are assigned to the same units. 32, 33

(2) Related Activities:

(a) Joint Interagency Task Forces (JIATFs) East and West: U.S.

Southern Command (SOUTHCOM) and U.S. Pacific Command (PACOM) oversee regional

JIATFs that conduct counterdrug detection and monitoring within their respective areas of

responsibility (AORs). Their missions are to bring DoD resources to support U.S. and foreign

nations' law enforcement agencies and U.S. embassies in their efforts to disrupt international

 

29 The Coast Guard’s national security mission is to augment the United States Navy with its armed vessels and aircraft and

with certain special capabilities, such as port security. The Coast Guard is a statutory Armed Force, and in time of a National

Emergency or War, the President may transfer the Coast Guard to the Department of the Navy, as was done during World

Wars I and II. Although the Coast Guard was not transferred to the Department of the Navy during the Korean War,

Vietnam War, Persian Gulf War, or lesser military operations of the 1980s, Coast Guard ships, aircraft, and personnel did

augment the Navy in these operations and stand ready to do so again in future conflicts. -

http://www.uscg.mil/reserve/pubs/ida/idachp2/idachap2.htm

30 DODD 5100.1 describes the specific wartime functions of the Coast Guard are as follows:

• To provide an integrated port security and coastal defense force, in coordination with the other Military Services, for

the United States.

• To provide specialized Coast Guard units, including designated ships and aircraft, for overseas deployment required

by naval component commanders.

• To organize and equip, in coordination with the other Military Services, and provide forces for maritime search and

rescue, icebreaking, and servicing of maritime aids to navigation.

31 United States Coast Guard, Deepwater Project Team (G-ADW) Modeling and Simulation Master Plan - Ph. 1 V1.0.

32 http://www.uscg.mil/reserve/pubs/ida/idachp2/idachap2.htm.

33 PSUs are an important part of DPOSD force that supports military operations worldwide. They provide waterborne and

limited land-based protection for shipping and critical port facilities at the end points of United States' SLOCs. PSUs

conduct operations in conjunction with Harbor Defense Commands, Mobile Inshore Undersea Warfare Units, Explosive

Ordnance Disposal detachments and other U.S. or coalition rear area forces. PSUs are deployable 117-person units

organized for sustained operations. They can deploy within 96 hours and must be prepared to establish limited operations

within 24 hours of arrival in theater. PSUs are equipped for an initial 30 days of sustained operations. There are 6 PSUs in

the Coast Guard. - http://www.uscg.mil/lantarea/psu/307/intro.htm.
13

drug trafficking. Coast Guard flag officers have traditionally served as the directors of these

JIATFs.

(i) The National Response Center (NRC).

 34 The Coast Guard

operates the National Response Center in association with its own Operations Center. The

primary function of the National Response Center is to serve as the sole national point of

contact for reporting all oil, chemical, radiological, biological, and etiological discharges into

the environment anywhere in the United States and its territories. In addition to gathering and

distributing spill data for Federal On-Scene Coordinators and serving as the communications

and operations center for the National Response Team (NRT), the NRC maintains agreements

with a variety of federal entities to make additional notifications regarding incidents meeting

established trigger criteria. On behalf of other Federal Agencies, the NRC provides the

following services to enhance the Federal Response System. These agencies include

Environmental Protection Agency (EPA), the Federal Emergency Management Agency

(FEMA), the Nuclear Regulator Commission (NRC) the Department of Energy (DoE), the

Department of Interior (DoI), the Department of Defense, the Department of Justice (DoJ), the

Department of Health and Human Services, and the Federal Railroad Administration.

Additionally, the NRC is the contact point for activation of the National Response Team and

provides facilities for the NRT to use in coordinating a national response action when required.

C. Major Products:

(1) Input to the National Security Strategy (NSS), the National Military Strategy

(NMS), and the National Drug Control Strategy;

(2) Input to the DoT Strategic Plan;

(3) The Coast Guard Strategic Plan, Vision Document, and the Commandant's

Direction;

(4) Commandant's Instructions;

(5) Federal Regulations;

(6) Input to DoD Deliberate and Crisis Planning Systems;

(7) Input to Civil/Disaster Preparedness Planning;

(8) Forces designed for law enforcement, maritime safety, marine environmental

protection, and DoD operations and exercises;

(9) Status of Resources and Training System (SORTS) Reports;

(10) Coast Guard Lessons Learned System (CGULLS) Reports and Inputs to the

Navy Lessons Learned System;

(11) Coast Guard Acquisition Documents;

 

34 http://www.nrc.uscg.mil/index.html.
14

(12) Coast Guard Budget;

(13) Coast Guard Performance Plan and Annual Report;

(14) Coast Guard Business Plans; and

(15) Coast Guard Regional Strategic Assessments.

3. Vision and Core Competencies.

A. Vision:

(1) The Coast Guard vision statement is: "The World's Best Coast Guard. . .

Ready Today. . . Preparing for Tomorrow."

(2) In addition, the Coast Guard's vision document, Coast Guard 2020, contains

the following vision statements:

(a) "The Coast Guard will remain America's Lifesaver and Guardian of

the Sea.

(b) The Coast Guard will guarantee that America has safe and reliable

gateways to the world.

(c) The Coast Guard will be an unfailing Steward of the Marine

Environment.

(d) The Coast Guard will remain America's Maritime Law Enforcer.

(e) The Coast Guard will remain always ready as a member of the U.S.

Armed Forces."35

The current Commandant, Admiral James M. Loy, wrote the following words, which further

describe the Coast Guard's vision as it relates to national security:

"For the Coast Guard three core objectives of national security policy are critical to

politico-military plans, programs, and operations: bolstering economic prosperity,

promoting democracy abroad, and enhancing security by effective diplomacy and with

forces that are ready to fight and win. These compelling and enduring objectives will

continue to shape the Coast Guard’s vision. They indicate how the multi-mission Coast

Guard–as the Nation’s premier maritime agency–will respond to needs at home and

abroad even as it prepares for unknown future requirements that will inevitably be thrust

upon it. Challenges to our security today and tomorrow–especially maritime security–

will no longer be strictly military threats from other countries. A variety of transnational

threats and challenges have much broader effects that envelop the environmental,

 

35 Loy, James M., Admiral. Coast Guard 2020, Ready Today. . . Preparing for Tomorrow, Washington DC: United States

Coast Guard.
15

economic, and social well-being of our citizenry and are thus a critical focus for the

Coast Guard of tomorrow."36

B. Core Competencies: Coast Guard 2020 describes the following Coast Guard core

competencies:

(1) Well-grounded in maritime competencies, with the skills to operate safely in

all climates and conditions;

(2) Adaptable, flexible, and always ready to perform any assigned role;

(3) Discipline that contributes to efficient and effective accomplishment of all

missions; and

(4) A spirit of cooperation and collaboration.37

4. Organizational Culture. The Coast Guard values highly its multi-mission responsibilities

and also its distinctiveness from the U.S. Navy as an instrument of national security.38 The

Coast Guard is rightfully proud of its contributions to the defense of the nation. The following

quote by the Master Chief Petty Officer of the Coast Guard reflects this attitude.

"Our service has actively participated in every major war and conflict in our

almost 209 years of existence, where literally thousands have died in battle. Our

service was an active participant in World War II, especially during the attack on

Pearl Harbor. Ask any Marine who fought in World War II at the battle of

Guadalcanal, and I'm sure you would hear an earful about the Coast Guard's

active participation in helping the Marines secure their victory. It was the U. S.

Coast Guard Cutter TANEY, which under fire from enemy attack was able to get

out of the harbor and mount a counterattack. It was the Coast Guard's active

participation in Vietnam along the Mekong Delta and rivers, searching Vietcong

junks for weapons and contraband. It was the Coast Guard's proactive and proud

involvement enforcing the security harbors of the Persian Gulf during

OPERATION DESERT STORM. Even today, we are still actively involved as

part of the U. S. Peacekeeping missions in the Persian Gulf by enforcing the UN

Embargo Act against Iraq with Coast Guard boarding teams inspecting cargo in

that region from aboard U. S. Navy vessels. We also have a U. S. Coast Guard

cutter involved in military operations off Kosovo. Although we're viewed mostly

in the public's eye as a humanitarian service that is responsible and dedicated to

the protecting and saving lives and property at sea, other missions including

marine environmental protection, maritime safety, and law enforcement in our

nation's waterways are indeed major contributions. Above all, we are proud of

 

36 Loy, James M., Admiral. Shaping America’s Joint Maritime Forces: The Coast Guard in the 21st Century

(http://www.uscg.mil).

37 Loy, Coast Guard 2020, Ready Today. . . Preparing for Tomorrow.

38 Loy, James M., Admiral USCG, "A Unique Instrument of National Security," speech at the Naval War College,

Providence, RI, December 14, 1998.
16

the fact of our multi-missioned peacetime responsibilities as well as our

obligation to serve in combat when needed."39

A. Values: The Coast Guard Core Values are Honor, Respect, and Devotion to Duty.40

B. Leadership Traditions: There is an exceptionally strong military self-concept

among Coast Guard officers. Each Coast Guard flag officer goes through Capstone, the DoD

Joint Flag Officer Orientation Course. Coast Guard officers also participate in DoD

Professional Military Education. The Coast Guard has about 7,500 officers at ranks O-5 and

below. All start their careers as general line officers. Some later specialize in fields such as law

and naval engineering. The Coast Guard gives vast responsibility to junior people. Coast

Guard O-3s, in command of ships, operate independently and have tremendous authority and

autonomy.

C. Staff Attributes: The Coast Guard staff members associate themselves with two

camps: the regulatory specialists (e.g., environmental, safety, certification) and the operators

(e.g., ship drivers, aviators). Coast Guard headquarters staff officers in both camps have

demonstrated a high degree of field expertise. As a Service that must deal with numerous

federal, state, and local agencies, the Coast Guard is known for its ability to compromise. One

strength of the organization is its ability to bring disparate groups together. Often, if there are

no "manuals to follow" when dealing with non-military missions, the Coast Guard staff officers

can leverage their experience with DoD processes.

D. Strategy: The Coast Guard's strategy is focused on the following five strategic goals.

To measure progress in moving toward its strategic goals, the Coast Guard has developed a set

of performance goals and annual performance targets for these goals.41

(1) Safety: Eliminate deaths, injuries, and property damage associated with

maritime transportation, fishing, and recreational boating.

(2) Protection of Natural Resources: Eliminate environmental damage and

natural resource degradation associated with maritime transportation, fishing, and recreational

boating.

(3) Mobility: Facilitate maritime commerce and eliminate interruptions and

impediments to the economical movement of goods and people, while maximizing recreational

access to and enjoyment of the water.

(4) Maritime Security: Protect the nation's maritime borders from all intrusions

by halting the flow of illegal drugs, aliens, and contraband into this country through maritime

routes; preventing illegal fishing; and suppressing violations of federal law in the maritime

region.

 

39 Patton, Vincent W. III. The Master Chief Petty Officer of the Coast Guard quoted at http://www.uscg.mil/hq/mcpocg/1faq/

uscgmil.htm.

40 Patton, Vincent W. III.

41 United States Coast Guard Annual Report, p. 8, 1998.
17

(5) National Defense: Defend the nation as one of the five U.S. Armed Services.

Enhance regional stability in support of the National Security Strategy, through unique and

relevant maritime capabilities.

E. Organizational Structure: The following figure shows the USCG organizational

structure.

Figure 1: Coast Guard Organization Chart

Notes on Organizational Chart 42

(1) The Commandant, a four-star admiral, is the head of the Coast Guard. The

Commandant is selected by the President and approved by the Senate. Assisted by the

headquarters staff, the Commandant plans, supervises and coordinates overall Coast Guard

activities.

 

42 This information was derived from the various organizational descriptions found at http://www.uscg.mil.

USCG Organizational Structure

Commandant and

Vice Commandant

Congressional and Governmental Affairs Staff

Public Affairs Staff

International Affairs Staff

Civil Rights Directorate

Chaplain of the CG

Chief Administrative Law Judge

Quality Management Staff

Strategic Planning Staff

Director of

Resources

Director of

Finance and

Procurement

Chief of Staff

Headquarters

Units Director of Acquisition

Atlantic

 Area

Pacific

 Area

MLC

Atlantic

MLC

Pacific

1st District

5th District

7th District

8th District

9th District

11th District

13th District

14th District

17th Distric

Systems Directorate Headquarters Units

Headquarters Units

Headquarters Units

Headquarters Units

Human Resources

Directorate

Chief Counsel

Maritime Safety

Directorate

Operations

Directorate
18

(2) Several organizations within the headquarters staff report directly to the

Commandant, including the Congressional and Governmental Affairs Staff, the Public Affairs

Staff, the International Affairs Staff, the Civil Rights Directorate, the Chaplain of the Coast

Guard, the Chief Administrative Law Judge, the Quality Management Staff, and the Strategic

Planning Staff. Each of these organizations advises, informs, and assists the Commandant in

their respective functional areas. For example, the International Affairs Staff advises, informs,

and assists the Commandant on strategies, foreign policy matters, and the general impact of

Coast Guard programs and operations on international affairs. The staff works with the Office

of the Secretary of Transportation, the Department of State, and the Department of Defense to

coordinate all aspects of Coast Guard international affairs, including negotiating agreements,

participating in international organizations, training foreign personnel, arranging visits by

foreign officials, providing technical assistance to foreign governments, and monitoring travel

of Coast Guard personnel abroad.

(3) The Chief of Staff oversees several functional areas within the

Headquarters, including the Directors of Resources, Finance and Procurement, Acquisition,

Systems, Human Resources, Maritime Safety, Operations, and the Chief Counsel. These

organizations develop Coast Guard-wide policy and advise the Commandant in their respective

functional areas.

(4) Headquarters units operate under the direct control of the Commandant and

are independent of the district in which they are located. These units service the entire Coast

Guard. For instance, the Coast Guard Yard at Curtis Bay, Md., is the sole major industrial

establishment of the Coast Guard. It is responsible for major ship repairs to Coast Guard

vessels. Other Headquarters units include the Coast Guard Academy, the Pay and Personnel

Center, the Coast Guard Institute and the training centers.

(5) There are two Coast Guard Areas: Atlantic and Pacific. Each area is

under the command of a three-star admiral. Area Commanders act as an intermediate level of

command between the Commandant and the district commanders. As senior operational

commanders, they control designated area units. Area Commanders oversee operations in their

areas and schedule major resources, such as high-endurance and medium-endurance cutters.

The day-to-day operations are typically handled at the level of district commander or below.

When an Area Commander determines that a particular operation requires a highly coordinated

effort or forces in addition to those available to a district commander, the Area Commander is

authorized to exercise operational control and to effect the full use of any forces under his/her

jurisdiction. In this event, the district commander is under the operational control of the Area

Commander. For example, if a hurricane devastates coastal regions in the First, Fifth and

Seventh Districts, the Atlantic Area Commander might decide to coordinate the response at an

Area level in order to assure maximum effectiveness.

(6) There are nine Coast Guard Districts. Each district is under the command

of a district commander, a one- or two-star admiral. District Commanders provide for the

administrative and general direction of district units. They are responsible for carrying out the

functions and duties of the Coast Guard and for assuring that these duties are performed

efficiently, safely, and economically.

(7) The Maintenance and Logistics Commands (MLCs) are responsible for

providing support to district commanders. They also provide maintenance support for all
19

Headquarters units in their geographic area. As the overseers of all support, MLCs play a key

role in the allocation of support resources. MLC commanders have approval for ships and shore

installations for which they are type managers. The MLCs are intended for internal support of

Coast Guard units and do not deliver services directly to the public.43

5. Formal National Security Process Involvement. The USCG interacts with all seven of the

key national security processes. The following figure summarizes the participation of the

USCG with these processes.

 

43 Other organizational entities include Section commands, which are located outside the continental United States. Under the

direction of the district commander, the section commander exercises operational and administrative control of all units –

floating, shore and aircraft–within the geographic limits of the section. There are three section commands: Greater Antilles,

Far East, and Marianas. Coast Guard Activities, Europe, was established as a special command to control all Coast Guard

activities in Europe and adjacent territories. The European Commander serves as the principal agent and representative of

the Commandant. The European Command consists of staff offices and individual units such as Loran stations.

Strategy

Development

Policy, Guidance,

and Regulations

Planning

Mission Execution

Observation, 

Orientation,

and Oversight

Preparation

Resourcing

Products

Input to National Security Strategy, National 

Military Strategy, and National Drug Control 

Strategy















 











 



Head of a military Service under 

the Department of the 

Transportation



Head of a military Service under 

the Department of the Navy 

when directed by the President



Head of a Federal law 

enforcement organization



Subordinate Operational 

Commanders to the 

Commandant



Maritime Defense Zone 

Commanders and Subordinate 

Commanders to CINCLANTFLT 

and CINCPACFLT



Area

Commanders

Roles

Commandant

Input to DoD Deliberate and Crisis Planning 

Systems

Coast Guard Budget

Coast Guard Performance Plan and Annual 

Report

Coast Guard Business Plans

Coast Guard Regional Strategic Assessments

Forces designed for law enforcement, maritime 

safety, marine environmental protection, and 

DoD operations and exercises

SORTS Reports

Coast Guard Lessons Learned System 

(CGULLS) Reports and Inputs to the Navy 

Lessons Learned System

Coast Guard Acquisition Documents

Products

Input to National Security Strategy, National 

Military Strategy, and National Drug Control 

Strategy

Input to DOT Strategic Plan

USCG Strategic Plan, Vision Document, and the 

Commandant's Direction

Commandant's Instructions

Federal Regulations

Input to Civil/Disaster Preparedness Planning
20

A. Strategy Development:

(1) Major Activities:

(a) Provide input to the National Security Council (NSC) during the

development of the National Security Strategy;

(b) Participate in the Joint Staff's Joint Strategy Review and provide

input to the National Military Strategy;

(c) Participate in the development of the National Drug Control Strategy;

(d) Participate in the development of the DoT Strategic Plan; and

(e) Develop the Coast Guard strategic direction and publish the Coast

Guard vision document—Coast Guard 2020, the Coast Guard Strategic Plan, and the

Commandant's Direction, which establishes the Commandant's personal priorities and areas of

emphasis.

(2) Major Stakeholders: DoD, DoT, and DoJ.

(3) Key Organizational Processes:

(a) Coast Guard input to the NSS, NMS, and National Drug Control

Strategy: The Coast Guard makes inputs to the NSS in three ways. First, the Commandant's

Office of Strategic Analysis has an informal relationship with the NSC Staff. This office

receives a copy of the draft NSS framework and replies with comments directly to NSC. The

Coast Guard also participates through the formal document coordination process, and

coordinates on the final NSS through both DoT and the Joint Staff. The Coast Guard maintains

two liaison officers on the Joint Staff. These officers coordinate Coast Guard participation and

input to Joint Strategic Planning System (JSPS) and the development of the NSS. The Coast

Guard is heavily involved with the development of the National Drug Control Strategy through

the Office of National Drug Control Policy. The Coast Guard works directly with, ONDCP as

well as through DoT, which integrates Federal Aviation Administration (FAA) and Coast Guard

inputs to the National Drug Control Strategy.

(b) Internal Coast Guard Strategy Development Processes: The Coast

Guard uses the Government Performance Review Act (GPRA) as the framework for its strategy

development, planning, and resourcing processes.

(i) The Coast Guard internal strategy development process is the

basis for its "Family of Plans." The components of the "Family of Plans" that pertain to strategy

development are the Coast Guard vision document–Coast Guard 2020, the Coast Guard

Strategic Plan, and the Commandant's Direction.

(ii) The Coast Guard Leadership Council (CGLC) is the Coast

Guard's most senior leadership forum responsible for developing strategic guidance for the
21

organization. 44 The CGLC meets periodically, usually three times per year. The CGLC

develops the Commandant's Direction and develops linkages and promotes alignment between

Coast Guard strategic planning and the DoT Strategic Plan. The Commandant's Strategic

Planning Staff presents and facilitates strategic issues for the CGLC agenda.45

(4) Associated Higher-Level Processes: NSC development of the National

Security Strategy; ONDCP development of the National Drug Control Strategy; DoT

development of the DoT Strategic Plan.

(5) Associated Lower-Level Processes: Headquarters USCG development of

the USCG Performance Plan and Business Plan; Area and District Commander development of

Regional Strategic Assessments.

B. Policy, Guidance, and Regulation:

(1) Major Activities:

(a) Development of Commandant's Instructions and Commandant's

Instruction Manuals; and

(b) Development of federal regulations pertaining to commercial vessel

safety; port safety and security; marine safety; and environmental protection.

(2) Major Stakeholders: USCG organizational entities (e.g., Area, District, and

Maintenance and Logistics Commands), commercial maritime transportation industry,

government and private organizations controlling U.S. ports, and recreational boaters.

(3) Key Organizational Processes:

(a) The Commandant issues rules, orders, and instructions, consistent

with law, that relate to the organization, internal administration, and personnel of the Coast

Guard. The following documents are issued through the process described in Commandant's

Instruction Manual 5000.3B.46

(i) U.S. Coast Guard Regulations that contain the principal rules

for the organization, internal administration, and personnel of the Coast Guard. They also

include procedures and rules that are relatively permanent in nature.

(ii) Directives, including instructions and notices, that support

and supplement the material in U.S. Coast Guard Regulations, but are not permanent.

(b) The Commandant also issues maritime regulatory documents for

commercial enterprises and the public in accordance with process outlined in Presidential

Executive Order 12866, titled "Regulatory Planning and Review," and Volume 44, Number 9 of

the Federal Register, which establishes and outlines federal policy for rulemaking. The DoT

 

44 CGLC members include the Commandant, the Vice Commandant, the Commanders of the Atlantic and Pacific Areas, the

Chief of Staff, and the Master Chief Petty Officer of the Coast Guard.

45 Commandant Instruction 5420.40, The Coast Guard Leadership Council (CGLC), July 8 1998.

46 See Commandant's Instruction Manual 5000.3B, United States Coast Guard Regulations, September 22, 1992 and

Commandant's Instruction Manual 5215.6C, The Coast Guard Directives System, July 9, 1998.
22

policy for rulemaking is contained in DoT Regulatory Policies and Procedures, Federal

Register, Vol. 44, No. 39. Through forums such as the Marine Safety Council, the Coast Guard

develops regulations, work plans, and Federal Regulatory Notices. Some are signed by the

Commandant, some by an Assistant Commandant, and some by the Secretary of Transportation,

depending on their level of importance.

(4) Associated Higher-Level Processes:

(a) The Navy Coast Guard (NAVGARD) Board was established in

1980 by the Chief of Naval Operations (CNO) and the Commandant of the Coast Guard to

provide high-level coordination and recommendations on major policy issues of mutual interest.

The functions of the Board include:

(i) Advising and making recommendations to the CNO and

Commandant on policies, concepts, and issues which require high-level Navy-Coast Guard

coordination;

(ii) Considering and recommending Navy-Coast Guard positions

on DoD initiatives and DoT initiatives which mutually affect their Services;

(iii) Considering and making recommendations on naval warfare

capabilities, doctrines, objectives, and related requirements in support of national strategy;

(iv) Evaluating CINC requirements for Coast Guard national

defense capabilities.47

(5) Associated Lower-Level Processes: Implementation by those organizations

and individuals governed by USCG regulations and directives.

C. Planning:

(1) Major Activities:

(a) Participate in the development of the Unified Commander's

Operational Plans (OPLANS), Concept Plans (CONPLANS), Theater Engagement Plans

(TEPs), and functional plans as part of the DoD deliberate planning process across the full range

of Coast Guard capabilities.48

(b) Participate in DoD crisis action planning.

 

47 Commandant Instruction 5420.23D, Navy and Coast Guard (NAVGARD) Board, November 25, 1997.

48 For example, By Memorandum of Agreement (MOA) between the DoD and DoT, the Navy and Coast Guard agree that it is

appropriate and desirable that the Coast Guard participates with the Navy in military environmental defense operations

(EDO) and pollution response activities. Specifically, the Coast Guard will actively participate in the joint operational

planning process, including anticipation of environmental response during hostilities and the development of related

intelligence to facilitate response and minimize operational interference and environmental damage. These operations have

wide scope and include such issues as environmental response, eco-terrorism, prevention or mitigation and recovery from

intentional or accidental environmental disasters that impact military operations. The U.S. Coast Guard maintains

responsibility for CONUS military environmental response operations. Coast Guard Captain of the Ports (COTPs), as the

HDC, directly manage military environmental response operations within their assigned geographic areas – Deepwater

Project Team (G-ADW) Modeling and Simulation Master Plan - Ph. 1 V1.0.
23

(c) Participate in planning with a multitude of other federal, state, and

local government agencies, including DoJ, FBI, DEA, Immigration and Naturalization Service

(INS), the Federal Emergency Management Agency, the Environmental Protection Agency, and

the U.S. Customs Service. An example is the Coast Guard's role in the development of the

National Search and Rescue Plan, an interagency plan developed with the participation of the

Departments of Transportation, Defense, Commerce, the Federal Communications Commission

(FCC), and the National Aeronautics and Space Administration (NASA).

(d) Develop internal plans including the Coast Guard Performance Plan,

specialized plans, business plans, and campaign plans such as STEEL WEB, the Coast Guard’s

multiyear campaign plan to position the requisite interdiction forces where they best counter the

evolving narco-trafficking threats.49, 50 The Coast Guard also participates in the development of

the DoT Performance Plan.

(2) Major Stakeholders: DoD, DoJ, DoS, INS, U.S. Customs Service, DEA,

FBI, EPA, and FEMA.

(3) Key Organizational Processes:

(a) The Coast Guard is tied into the military deliberate and crisis

planning processes like the other Services. However, the Coast Guard does not participate in

the supporting DoD processes, such as Unified Command Integrated Priority Lists (IPLs),

Defense Planning Guidance (DPG), or DoD's Planning, Programming, and Budgeting System

(PPBS). Coast Guard participation in DoD deliberate and crisis action planning is primarily

accomplished at the headquarters of the two Area Commands (Atlantic and Pacific). For

example, the commander of the U.S. Maritime Defense Zone, Atlantic

(COMUSMARDEZLANT) is responsible to Commander in Chief, U.S. Atlantic Fleet, a

component command of U.S. Joint Forces Command (USJFCOM, formerly USACOM).

COMUSMARDEZLANT is CINCLANTFLT's designated operational commander for Naval

Coastal Warfare and for coordinating for Naval Coastal Warfare expeditionary forces. The

Atlantic Area headquarters staff is responsible for developing and reviewing OPLANS,

CONPLANS and Functional Plans for the employment of Naval Coastal Warfare (NCW) forces

in support of USJFCOM, U.S. Southern Command, U.S. European Command (EUCOM), and

NATO.

(b) The Area Command staffs are also responsible for contingency

planning efforts, including civil/disaster preparedness and military operational planning. For

example, the Atlantic Area Command headquarters develops the LANTAREA OPLAN 9700 to

meet Coast Guard contingency requirements for severe weather response operations, low water

response operations, flood response operations, marine disaster response operations, terrorism

response operations, civil disturbance response operations, Marine Environmental Response,

Alien Migrant Interdiction Operations (AMIO), and earthquake response operations. Those

interviewed related that there is no deliberate planning for the work the Coast Guard does with

 

49 USCG specialized plans are comprehensive plans for the Coast Guards major capital assets, including workforce, systems,

and information. USCG Business Plans are the means by which each headquarters directorate documents the strategies,

measures, and objectives it will use, and the resources required, to implement the Coast Guard's mission, vision, and

strategic goals. An explanation of the Coast Guard's "Family of Plans" can be found in Appendix B of the USCG Strategic

Plan.

50 Riutta, Ernest R.., Rear Admiral, USCG, Testimony on "Coast Guard Drug Interdiction" Before the House of

Representatives Subcommittee on Coast Guard and Maritime Transportation, June 10, 1998.
24

DoJ and very little deliberate planning in the customs arena. There is planning involved with

the Immigration and Naturalization Service; however, there does not appear to be a standardized

planning process.

(c) Coast Guard District Commanders also develop plans for their

districts, which are reviewed by the Area Command staffs. For example, the Atlantic Area

Command staff reviews Coast Guard District 5 Port Plans for Baltimore, MD; Hampton Roads,

VA; Wilmington, NC; and Philadelphia, PA. The infrastructure protection planning issues are

complex, because many seaports are privately owned or controlled by a variety of local

governmental organizations.

(d) The Area Command Staffs are also responsible for providing Coast

Guard representation to the applicable FEMA regions. The Coast Guard is actively engaged

with FEMA in the development of the National Response Plan.

(4) Associated Higher-Level Processes: Unified Command development of

OPLANS, CONPLANS, Functional Plans, TEPS. Development of a multitude of plans by

other government agencies (e.g., National Response Plan, National Contingency Plan).

(5) Associated Lower-Level Processes: Development of Coast Guard Area

OPLANS and Coast Guard District Plans.

D. Mission Execution:

(1) Major Activities:

(a) Coast Guard forces operate continuously in support of the four major

Coast Guard areas of responsibility (i.e., Law Enforcement, Maritime Safety, Marine

Environmental Protection, and National Security). 51 For example:

(i) The Coast Guard is responsible for the 200-mile Maritime

Defense Zones (MDZ). The Atlantic and Pacific Area Commanders are responsible for coastal

warfare, defense planning, and exercises within their respective zones. In war, or when an

MDZ is activated, Coast Guard Area Commanders become the MDZ commanders and conduct

port security and U.S. coastal defense operations. The MDZ commands integrate Coast Guard

and Navy forces, both active and reserve.52

(ii) The Coast Guard deploys major cutters to the Baltic, the

Mediterranean, the Persian Gulf, the Black Sea, and other spots throughout the globe in

response to CINC requests for support of their engagement plans.53,

 54

 

51 While Coast Guard law enforcement responsibilities encompass all federal laws and regulations applicable in the maritime

realm, Coast Guard activities primarily focus on protecting fisheries and other marine resources, combating illicit drug

trafficking, interdicting illegal migrants at sea, ensuring compliance with recreational and other vessel safety laws, enforcing

of environmental protection statutes and responding to vessel incidents involving violent acts or other criminal activity.

52 http://www.uscg.mil/lantarea/bjc/military.htm.

53 Loy, "A Unique Instrument of National Security."

54 International Deployed Operations are generally performed outside the normal command and control and logistics support

infrastructure of the Coast Guard. Operations can take place anywhere in the world and are generally outside the other

defined regions. This creates the requirement for Coast Guard assets to integrate into the command and control and logistic

environment of Navy and Joint Operations - Deepwater Project Team (G-ADW), Modeling and Simulation Master Plan -

Ph. 1 V1.0.
25

(iii) Coast Guard Deployed Port Operations, Security, and

Defense (DPOSD) forces ensure that port and harbor areas are maintained free of threats and to

support re-supply of other deployed forces. The primary focus of DPOSD operations is

expeditionary in nature. Expeditionary DPOSD operations are those that take place outside the

Continental United States (CONUS) and U.S. overseas possessions or protectorates. DPOSD

operations are conducted in support of the Naval Component Commander (NCC)/Naval Coastal

Warfare Commander (NCWC), Joint Force Maritime Component Commander (JFMCC), Joint

Rear Area Coordinator (JRAC), and the Harbor Defense Commander (HDC), and have a major

goal of maintaining unimpeded access for friendly shipping to required ports and harbors.55

(iv) The Coast Guard conducts patrols and coordinates with other

federal agencies and foreign countries to interdict undocumented migrants at sea, denying them

entry via maritime routes to the United States, its territories and possessions.56

(v) The U.S. Navy Fleet Commanders and the USCG Atlantic and

Pacific Area Commanders have drafted memoranda of agreement (MOAs) to govern Law

Enforcement Detachment (LEDET) procedures. Under these MOAs, the Navy fleet

commanders, and occasionally the USCG commanders, provide ships and cutters to operate

under JIATF tactical control for the counterdrug detection and monitoring mission. The USCG

deploys LEDETs aboard U.S. Navy combatants to perform law enforcement activities.

(vi) U.S. Domestic Fisheries support a $24 billion dollar

industry. Fisheries Management Plans (FMPs) are developed by regional management

councils, each of which have a non-voting Coast Guard member. The Coast Guard is

responsible for enforcing these FMPs at sea, in conjunction with National Marine Fisheries

Service enforcement ashore. In addition to FMP enforcement, Coast Guard forces enforce laws

to protect marine mammals and endangered species. The Coast Guard also works closely with

the Department of State to develop and enforce international fisheries agreements. For

example, the Coast Guard enforces the United Nations High Seas Driftnet Moratorium in the

North Pacific. 57

(vii) The Coast Guard operates a Command Center that serves as

the primary notification and information flow management body for Coast Guard Headquarters.

The center serves as the National Response Center, the sole national point of contact for

reporting all oil, chemical, radiological, biological, and etiological discharges into the

environment anywhere in the United States and its territories.58 The Command Center also

serves as the DoT Command Center for all non-aviation transportation incidents.59

(2) Major Stakeholders: DoT, DoD, DoJ, DoS, INS, Customs, DEA, FBI,

EPA, FEMA, and several other federal, state, and local government agencies.

 

55 United States Coast Guard, Deepwater Project Team (G-ADW) Modeling and Simulation Master Plan - Ph. 1 V1.0.

56 http://www.uscg.mil/hq/g-o/g-opl/mle/AMIO.htm.

57 http://www.uscg.mil/hq/g-o/g-opl/mle/LMR.htm.

58 http://www.nrc.uscg.mil/nrcback.htm.

59 http://www.uscg.mil/hq/commandcenter/oc.htm.
26

(3) Key Organizational Processes:

(a) If a Unified CINC wants to use a Coast Guard asset, he/she makes a

request through JCS, which forwards the request to DoT and the Coast Guard. Once approved,

the Coast Guard asset would come under the operational control of the CINC. If a foreign

government wants to use a Coast Guard asset, it makes a request through the local U.S.

embassy, which forwards the request through DoS to DoT and the Coast Guard.

(b) Activation of the Maritime Defense Zone Commands: The U.S.

Navy Commanders-in-Chief of the Atlantic and Pacific fleets have the option, when needed, of

timely activation of MDZ commands to provide for the safeguard of strategic lift during

contingencies. The Coast Guard MDZ commanders will, after activation, require the

operational assignment of units from both the Coast Guard and the Navy to conduct assigned

missions.

The unique status of the Coast Guard as an armed force within the Department of

Transportation requires two executive orders to make MDZ commands true operational entities.

At the request of USCINCLANT, USCINCPAC or the Chief of Naval Operations (CNO), the

JCS will consider the activation of MDZ commands. Coast Guard Area Commanders can

recommend MDZ activation to the fleet commander-in-chief.60 MDZ command activation will

be accompanied by assignment of Coast Guard forces as agreed upon by Commandant and

CNO. A JCS fact sheet with necessary memoranda and two prepared executive orders, one to

activate the MDZ commands and one to transfer appropriate Coast Guard operational forces to

the Navy is on file in the Joint Staff should MDZ activation be requested.

(c) Law Enforcement Operations: Coast Guard law enforcement

operations are primarily conducted at the District level or below. The two Area Commanders

coordinate taskings across their Districts. For example, the Eleventh Coast Guard District

enforces federal drug laws on navigable waters in or near the states of California, Nevada,

Arizona, and Utah, and exercises tactical oversight of maritime interdiction in the Eastern

Pacific Ocean. This region includes international waters near Central and South America. The

Eleventh Coast Guard District works closely with the Joint Interagency Task Forces (East and

West) in order to conduct effective drug law enforcement and interdiction efforts. Through this

cooperation the Coast Guard is able to detect, monitor, interdict and apprehend drug smugglers

before they and their illegal cargo reach U.S. soil. In an effort to deny drug trafficking

organizations access to maritime smuggling routes near Northern Baja California, Mexico, the

Eleventh Coast Guard District initiated Operation Border Shield. The initiative, launched in

April 1997, focuses on stemming the illegal flow of marijuana into Southern California and

relies on inter-agency cooperation within the Maritime Task Force in San Diego. This task

force includes the U.S. Coast Guard, the U.S. Customs Service, the U.S. Border Patrol, the San

Diego District Attorney's Office, the Chula Vista Police Department, the Coronado Police

Department, the Drug Enforcement Administration, and the California Bureau of Narcotic

Enforcement.61

 

60 Commandant Instruction 3010.17, Activation of Maritime Defense Zone (MDZ) Commands, March 18, 1988.

61 http://www.uscg.mil/D11/ops/drug.htm.
27

(d) JIATF Counterdrug Operations: The JIATFs hold periodic

scheduling conferences to match counterdrug detection and monitoring requirements, Navy

ships, and USCG Law Enforcement Detachments (LEDETs). While under JIATF TACON, any

surface vessel with a LEDET aboard will coordinate to shift tactical control to either a USCG

area or district commander when it detects a target deemed suitable for interception and

boarding. Boardings are conducted in accordance with USCG law enforcement procedures and

policy. U.S. Navy ships carrying LEDETs must display the USCG ensign. These U.S. Navy

ships are categorized as either "specially designated ships" or "ships of opportunity." Specially

designated ships are ships being used in direct support of a Coast Guard operation and under

Coast Guard tactical control. Ships of opportunity are ships transiting through areas of potential

drug trafficking and under exclusive Coast Guard mission tasking. The U.S. Navy

Commanders-in-Chief of the Atlantic and Pacific fleets offer Navy ships for these missions to

Coast Guard Area Commanders. Normally, a U.S. Coast Guard boarding team is deployed

whenever a U.S. Navy ship offered for LEDET deployment operates in or transits through

possible drug trafficking areas.62

(e) Activation of the Federal Response Plan (FRP): FEMA FRP

activities and Coast Guard cost reimbursement procedures for disaster relief services are

governed by the following procedures.

(i) Upon occurrence of an event, which may result in a

Presidential declaration of a major disaster or emergency, FEMA may direct the Coast Guard to

operate under the Stafford Act. The Act provides for FEMA to coordinate employment of

Federal agencies and resources in support of state and local governments' disaster relief efforts.

(ii) The FRP uses a functional approach to group the types of

Federal assistance most likely to be needed under twelve Emergency Support Functions (ESFs).

Under the FRP, departments/agencies are assigned primary and secondary responsibilities for

supporting an ESF. For example, ESF-10 is hazardous material response, which includes both

oil spills and hazardous material releases and their associated response. The U.S.

Environmental Protection Agency is designated as the primary agency for this support function.

(iii) Departments/agencies assigned ESF primary agency

responsibilities are authorized to task other Federal agencies to assist with relief efforts. For

example, the EPA as the primary agency assigned for ESF-10, often tasks Coast Guard units to

assist with incidents involving hazardous materials or oil spills in the marine environment.

However, FEMA may also task the Coast Guard directly, in which case the primary agency

should be notified. The Stafford Act provides for reimbursements of agency funds expended in

support of FEMA disaster relief efforts when support is provided under a valid Mission

Assignment (MA). The Mission Assignment is a work order issued by FEMA directing an

agency to complete a specified task. A Coast Guard unit may receive tasking from several

different ESF primary agencies, which have received separate MAs from FEMA during one or

more disasters. Because of the large number of agencies involved in disaster relief operations,

requests for Coast Guard assistance may come from a wide variety of sources.63

 

62 Commandant Instruction 16240.1, Law Enforcement Detachment (LEDET) Administration and Operating Guidelines, RCSG-OlEe-2134, May 17, 1988.

63 Commandant Instruction 16451.1, Disaster Related Pollution Response Activities Under the Federal Response Plan (FRP)

and Cost Reimbursement from the Stafford Act, December 19, 1996.
28

(f) Support Under the National Contingency Plan (NCP): The

National Contingency Plan (NCP) requires On-Scene Coordinators (OSCs) to direct response

efforts and coordinate all other actions at the scene of a spill or release of oil and hazardous

substances. The NCP describes the basic format for the response management system–a

structure that brings together federal and state governments, and the responsible party, to

achieve an effective and efficient response, where the OSC retains ultimate authority. This

structure is commonly referred to as a Unified Command (UC, not to be confused with a

military Unified Command as described in Title 10 U.S.C.). Whenever possible and practical,

the Coast Guard incorporates a Unified Command structure. The Unified Command includes

the pre-designated Federal On-Scene Coordinator (FOSC), the pre-designated State Incident

Commander representing state and local response agencies, and the Responsible Party. The

Unified Command is responsible for the overall management of the incident with the FOSC

retaining ultimate authority. Some incidents will call for other organizations to be represented

in the UC. For example, the local fire department when an incident includes both pollution and

fire, or other law enforcement organizations in a pollution incident associated with sabotage. 64

(g) Support during Civil Disturbances: The Department of the Army

Civil Disturbance Plan (GARDEN PLOT) is the governing publication for planning,

deployment, employment, and redeployment of federal military resources involved in

countering domestic civil disturbances. Coast Guard units may be placed within a DoD task

force under operational control of the designated task force commander in GARDEN PLOT

operations. The secretary of the Army is the Executive Agent for DoD in matters pertaining to

civil disturbances. The U. S. Army Director of Military Support (DOMS) is the action agent

and the DoD point of contact in all such matters. The Coast Guard, as well as the other

Services, is required to maintain support plans. Military assistance to civil authorities is a

peacetime matter, not to be confused with military support of civil defense (MSCD), which is a

wartime function.

(i) The Coast Guard's role in civil disturbances outside regular

statutory responsibilities is defined and limited by a Memorandum of Understanding between

the U. S. Army and the U. S. Coast Guard. In the event of civil unrest upon the high seas and

waters subject to the jurisdiction of the United States, where in the Coast Guard has standing

statutory responsibility, Coast Guard units will in all likelihood be legitimately involved in law

enforcement operations well before any Presidential invocation of civil disturbance plans. The

Coast Guard character for law enforcement and cooperation with civil authorities is much

broader than that of DoD Services. DoD Services are subject to law enforcement restrictions

that are not applicable to the Coast Guard. For policy reasons (i.e., to ensure unity of command

and control), there may be instances when these restrictions are imposed upon Coast Guard

personnel under a DoD task force commander's operational control.

(ii) Coast Guard area and district commanders are responsible for

developing procedures for the employment of Coast Guard forces in support GARDEN PLOT.

The Commandant and USCG headquarters staff maintain liaison with Department of the Army,

Director of Military Support (DOMS) and Commander, U. S. Army Forces Command

(FORSCOM) for planning, coordinating and executing GARDEN PLOT operations. USCG

Area Commanders establish and maintain liaison with the commanding generals of the

applicable numbered continental U. S. Armies, and the Navy components of appropriate

 

64 Commandant Instruction 16471.1, Incident Command System, February 9, 1996.
29

Unified Commands and provide available resources as required to assist DoD elements in

GARDEN PLOT operations.65

E. Observation, Orientation, and Oversight:

(1) Major Activities:

(a) Provide and assess information on Coast Guard units through DoD's

Status of Resources and Training System.

(b) Provide and assess lessons learned regarding Coast Guard activities

through the Coast Guard Lessons Learned System.

(2) Major Stakeholders: Unified Commands, Joint Chiefs of Staff, Coast

Guard subordinate headquarters and units.

(3) Key Organizational Processes:

(a) SORTS: Coast Guard operational units are required to report in

SORTS. However, those interviewed related that although SORTS works adequately for DoD

processes, it is not adequate for the full range of Coast Guard military and non-military tasks.

The Coast Guard is currently initiating a major study on how to best measure Coast Guard

readiness.

(b) Lessons Learned: The Coast Guard Lessons Learned System

(CGULLS) is designed to continually compile, review and address USCG-wide lessons learned

from application of plans, policies, operations and tactics, in order to improve program

initiatives.66 When Coast Guard personnel are involved in exercises or real world operations

outside the Coast Guard chain of command, lessons learned are submitted into the Navy

Lessons Learned System (NLLS). Lessons learned are an important part of the feedback cycle

for exercise and contingency planning. Lessons learned are periodically disseminated to Coast

Guard commanders and planners, providing them with access to a library of knowledge and

experience gained through contingency exercises and real world operations.67

(4) Associated Higher-Level Processes: JCS Readiness assessment and

reporting. Navy Lessons Learned System. Joint After Action and Reporting System (JAARS).

F. Preparation:

(1) Major Activities:

(a) Acquisition: Determine requirements and acquire equipment and

material to support the Coast Guard mission.

(b) Training: Determine the requirements, plan, and provide resources

for the Coast Guard training program.

 

65 Commandant Instruction M3010.14, Civil Disturbances Support Plan, Coast Guard (COGARD GARDEN PLOT), May 27,

1986.

66 Commandant Instruction M3010.19, Coast Guard Universal Lessons Learned System (CGULLS), August 23, 1991.

67 Commandant Instruction Manual 3010.13A,Contingency Preparedness Planning Model, Volume III, May 26, 1994.
30

(2) Major Stakeholders: U.S. Coast Guard subordinate units, DoT, DoD

Unified Commanders, multiple government agencies that benefit from Coast Guard assets.

(3) Key Organizational Processes:

(a) Acquisition: As a subordinate entity of the Department of

Transportation, the Coast Guard follows the acquisition procedures contained in the

Transportation Acquisition Manual (TAM). The TAM is written and maintained under the

direction of the Department of Transportation Director of the Office of Acquisition and Grant

Management. For major acquisition projects, the process is guided by Office of Management

and Budget (OMB) Circular A-109, which is the principal guidance for acquiring major systems

for the federal government. OMB Circular A-109 specifies five major phases: (1) determine

mission needs, (2) identify and explore alternative design concepts, (3) demonstrate alternative

design concepts, (4) undertake full-scale development and limited production, and (5) commit

to full production. The Coast Guard is in the process of revising its internal acquisition process

to bring it closer in line with the procedures outlined in OMB Circular A-11, Part III: Planning,

Budgeting, and Acquisition of Capital Assets.68,69

(i) Coast Guard acquisition decisions are reviewed by two

councils—the Coast Guard Acquisition Review Council (CGARC) and the Transportation

Systems Acquisition Review Council (TSARC). The TSARC is an advisory body for the

Department of Transportation Acquisition Executive (TAE) on major acquisitions. The TSARC

consists of the Deputy Secretary of Transportation (Chairperson); the Assistant Secretary for

Administration; the Assistant Secretary for Budget and Programs; the Assistant Secretary for

Policy and International Affairs; the General Counsel; and the head of the Operating

Administration requesting the action, which is the Commandant in the case of the U.S. Coast

Guard.70

(ii) Coast Guard Major Acquisition projects are designated as

DoT Level I, Level II, Level IIIA, or Level IIIB projects. This designation is made by the DoT

Transportation Acquisition Executive (TAE). Level I acquisitions are defined as Large Scale

Projects for New or Replacement Items or Systems in the general cost range of over $250M.71 

(iii) DoT Level I acquisitions begin with Key Decision Point 1

(KDP 1) approval and designation of a major acquisition level by the TAE. In making the

designation of a level, the TAE will consider the complexity of the project, the risks involved,

the Total Acquisition Cost, and the need for continuing direct oversight of the acquisition

executive.

 

68 The Coast Guard is currently developing a framework for force planning to ensure that future platforms and personnel are

appropriate in number and functional capability to meet objectives in the future. This framework is planned to integrate

several ongoing initiatives, including the Coast Guard's scenario-based strategic planning process, the Deepwater Project

Modeling and Simulation Master Plan (MSMP), and the efforts of the Coast Guard Research and Development Center

regarding its Model Requirements Study – CRM 00-75, "Suggested Coast Guard Force Planning Framework," Center for

Naval Analysis, September 1999.

69 The Coast Guard is also pursuing a "National Fleet" concept with the Navy. National Fleet is a process for closer cooperation

to synchronize planning, training and procurement to provide the highest level of maritime capabilities for the nation’s

investment. It is a way for both services to support national security objectives and our stewardship responsibilities. It is a

way to ensure inter-operability and to avoid redundancy. - Loy, "A Unique Instrument of National Security."

70 Transportation Acquisition Manual, Chapter 1234, Appendix A. Major Acquisition Policies and Procedures (MAPPS).

71 Commandant Instruction Manual 4150.2E, Systems Acquisition Manual, December 11, 1997.
31

(iv) Before a major acquisition formally begins, the project must

be initiated and its requirements defined. The Project Initiation/Requirements Definition Phases

culminate in the development of a Mission Need Statement (MNS). For Level I acquisitions,

after a project's mission need is approved by the TAE, four acquisition phases may be

applicable to the project: Concept Exploration; Demonstration and Validation; Full Scale

Development; and Production and Deployment. To minimize acquisition cost and time, these

phases may be tailored to each project's specific requirements and circumstances consistent with

the mission need and the degree of risk inherent in developing the system. A KDP follows each

specific phase of the acquisition process. Approval authority for all Level I acquisition KDPs is

retained by the TAE. Level I acquisition projects are reviewed at each KDP by the CGARC and

then by the TSARC. At each KDP review, the project must demonstrate successful progress

and a readiness to enter the next acquisition phase.72

(b) Training: The Coast Guard Training System is developed and

maintained at USCG Headquarters. The Headquarters Performance Systems Division and

Reserve Training Division define training needs, and ensure that any requirements for people,

dollars, buildings, training aids, quotas, operating procedures, and policy are met. Training

Managers consult with program and force managers to design, develop, implement, and

evaluate the instructional materials and training.

(c) Contingency Preparedness Exercises: Contingency preparedness

exercises test Coast Guard plans, policies, and procedures in response to a wide variety of

possible scenarios, including man-made and natural disasters, maritime terrorism, transportation

infrastructure casualties, national defense emergencies, maritime spills of oil and hazardous

substances, and civil disturbances. The chief function of these exercises is to test, assess, and

improve the Coast Guard's ability to conduct effective contingency operations. Also,

preparedness exercises provide opportunities to test the interoperability between the Coast

Guard and DoD and between the Coast Guard and civilian agencies. There are two broad

categories of contingency preparedness exercises: defense and non-defense. For both

categories, each echelon of command–Commandant, Area Commanders, district commanders,

port-level commanders, unit commanding officers and officers-in-charge–plays a distinct role

regarding the tasking, scheduling, funding, and reporting of contingency preparedness exercises.

(i) Generally, tasking flows down the chain of command.

However, requests for exercise support may be received at any level of command. All requests

for exercise support are considered in light of the overall contingency preparedness program to

avoid inefficient tasking of scarce resources. The Commandant provides overall planning and

budgeting guidance for contingency preparedness exercises. Area Commanders have tasking

authority over district commanders, maintenance and logistics commands, and area-controlled

assets. Tasking of all Coast Guard forces (regardless of origin) must flow through the Coast

Guard chain of command unless and until tasking from other sources is authorized or

operational control is transferred. District commanders have broad responsibilities for all

aspects of contingency preparedness and may task subordinate commands to conduct and

participate in preparedness exercises. While various memoranda of understanding may exist

with military and non-military requesting agencies, the actual level of support given these

exercises is determined in proportion to the gain in improved Coast Guard contingency

 

72 Commandant Instruction Manual 4150.2E, Systems Acquisition Manual, December 11, 1997.
32

preparedness. An operational commander may choose to fully participate as an exercise player,

provide only that operational support which is minimally necessary, or decline to participate.

(ii) Funding for costs related to the planning, management,

execution, and evaluation of an exercise are requested from the appropriate program manager

through the normal budgetary process. The Commandant provides Service-wide oversight and

coordination of funding in support of the Contingency Preparedness Support and the Reserve

Training programs. The headquarters staff reviews requirements specified in the exercise

proposals submitted by Area Commanders and develops necessary documentation in support of

future exercise participation via the budgetary process. Area Commanders allocate funding to

maintenance and logistics commands and district commanders for all exercises in which Coast

Guard forces in their area of responsibility are expected to participate.

(iii) Post-Exercise Reports are used to validate budgetary support

for future exercise participation. In addition, operational commanders and Headquarters

program managers use results from exercises and real-world operations to evaluate the Service's

ability to carry out its missions and statutory responsibilities. Lessons learned identify strengths

or weaknesses in plans, policies, doctrine, tactics, force structure, and support infrastructure.

They are used to resolve USCG-wide deficiencies and share corporate experience. Lessons

from Coast Guard exercises and operations are submitted through CGULLS and NLLS.73

(4) Associated Higher-Level Processes: DoT Acquisition Process. The DoD

Joint Exercise program.

(5) Associated Lower-Level Processes. Development of subordinate unit

training plans.

G. Resourcing:

(1) Major Activities:

(a) Development of the Coast Guard "Family of Plans" including

formulation of the Coast Guard Budget.

(2) Major Stakeholders: DoT, Coast Guard subordinate units and headquarters,

and agencies that rely on Coast Guard capabilities.

(3) Key Organizational Processes:

(a) The Coast Guard Family of Plans: Coast Guard resourcing

processes and decisions are integrated through the "Family of Plans" as discussed in the

preceding section on strategy development.

(b) Programming: Coast Guard programming is GPRA based.

Programs are derived from outcomes. They account for both potential threats and anticipated

demand. Each regional commander is responsible for conducting an annual Regional Strategic

Assessment. Within this process, each district will identify its top four to five problems and

 

73 Commandant Instruction Manual 3010.13A, Contingency Preparedness Planning Model, Volume III, May 26, 1994.
33

request capabilities. The Coast Guard programs for resources a year ahead and updates through

a quarterly asset allocation process.

(c) The Coast Guard Budget Process: Within the Coast Guard, budget

formulation is essentially a continuous effort, with a gradual change in focus from broad

program to specific line item requests. There are, however, discrete actions, which serve to

divide the process into five phases or "stages."

(i) The "Forecast Stage" is a six-month period that commences

approximately 15 to 21 months in advance of the Budget Year. Coast Guard commanders at

each level forecast their requirements for the upcoming budget cycle.

(ii) The "OST Stage" involves the preparation and presentation

of the Coast Guard's initial submission of its detailed budget requirements to the Office of the

Secretary of Transportation (OST). The OST Stage budget reflects the impact of program

guidance prescribed by the OST during the April-May time period. OST does not normally

establish specific resource ceilings or limitations for the submission during this process.

Through an annual re-issuance of OMB Circular A-11, the President prescribes instructions for

the preparation and submission of the annual budget estimates. While these instructions are

directed primarily toward the OMB and Congressional Stage submissions, OST requires the

implementation of most of the OMB instructions in preparing the OST Stage budget. An

internal Coast Guard preparation, review, and prioritized ranking process usually culminates in

mid-to-late June with the submission of a budget, reflecting the Commandant's decisions on

resource requirements, to OST by early to mid-July. Headquarters managers are involved in the

Coast Guard budget formulation process. Requests are developed by Headquarters Program

Managers, reviewed, ranked, and consolidated by the Programs Division within the Office of

the Chief of Staff at Headquarters. The formats for submission of the OST and OMB stages do

not normally vary from year to year. The presentations may be incremental or zero-based,

depending upon the nature of the appropriation being addressed. By mid-to-late August, the

Secretary of Transportation provides the "mark" or allowance on the Coast Guard's budget

request, an appropriation by appropriation ceiling on budget authority, program (obligation)

level, outlays, military and civilian positions, full time equivalent (FTE) levels of employment,

and end-of-year employment. The Commandant normally has a short period of time in which to

appeal any of these allowances to the Secretary.

(iii) The "Office of Management and Budget Stage" involves

the preparation, presentation, and defense of a formal and detailed budget document to OMB,

leading eventually to the receipt of Presidential allowances (called the "OMB pass back") in late

November-early December, some 10 months prior to the start of the Budget Year. In order to

meet OMB's 1 September submission deadline, the Coast Guard Headquarters staff begin

revising the budget immediately after the Commandant receives the final "marks" from the

Secretary of Transportation. OMB's review of the Coast Guard budget normally lasts until late

November or early December and involves a formal hearing with top Coast Guard management,

usually the Commandant, Vice Commandant, Chief of Staff, Director of Resources, and

selected office chiefs. The mark and appeal process is much the same as that for the OST Stage

with most major decisions being made by the Director of OMB. However, some major issues

with broader implications may be resolved by the President (See Volume II, Chapter 3, The

Office of Management and Budget).
34

(iv) The "Congressional Stage" involves preparation and

presentation of the final budget request to Congress in early January. This document normally

contains much more detailed exhibits and tabular presentations than the two previous stages.

The Coast Guard prepares the Congressional Stage submission using an incremental basis for its

"annual" or "one-year" appropriation, i.e., the narrative justification is geared toward explaining

changes to the previous year's level. For its "multi-year" and "no-year" appropriations, the

format shifts to a "zero-based" presentation, i.e., the narrative justification is geared toward

explaining all proposed budget-year project requirements. After receiving OMB's final mark,

Coast Guard Headquarters begins to make appropriate revisions to the resource levels contained

in the technical budget schedules that comprise the Coast Guard's input to the Federal Budget.

OST and OMB review copies of this document prior to it being transmitted, by the Coast Guard,

to the Transportation Subcommittees of the House and Senate Appropriations Committees. The

President submits this document to the Congress on or before the first Monday in February

following the annual State of the Union address in January. The subsequent congressional

hearings, reviews, and allowance process is usually completed in the July-September time frame

with enactment of authorization and appropriation statutes. Coast Guard Headquarters will

annually publish a summary of congressional guidance and action items with the final operating

stage budget (See Volume III; Chapter 1, House of Representatives Committee on

Appropriations, and Chapter 7, Senate Committee on Appropriations).

(v) The "Operating Stage" refers to the entire budget execution

phase, from the time the appropriation is enacted through September of the following year. The

Operating Stage budget provides more detailed information as to how appropriations will be

used.74

(4) Associated Higher-Level Processes: Development of the President's

Budget.

(5) Associated Lower-Level Processes: Development of USCG subordinate

unit budget requests.

6. Informal National Security Process Involvement.

A. Because it must interface with a wide variety of Federal agencies, the Coast Guard

relies heavily on full time liaison officers assigned to the various agencies. There are Coast

Guard liaison officers at many organizations, including the Joint Staff, DoS and DoJ. Those

interviewed related that liaison officers are vital to Coast Guard effectiveness. Funding for

some of the liaison positions are reimbursed by the host agency, but the Coast Guard funds

others.

B. Similarly, because the Coast Guard has a wide variety of governmental interfaces, it

relies heavily on Memoranda of Understanding and Agreement.

C. Although the CNO formerly represents the Commandant of the Coast Guard on the

Joint Chiefs of Staff, the Commandant is invited to JCS meetings when Coast Guard items of

interest are on the agenda.

 

74 Commandant Instruction Manual 7100.3A, Financial Resource Management Manual, January 29, 1999.
35

D. The Coast Guard has an informal partnership with industry regarding issues such as

security on board cruise industry vessels. The Coast Guard also works with the International

Maritime Organization on international maritime standards and then works with industry to

implement the standards in a non-regulatory way.

7. Funding and Personnel.

A. Authorizations and Appropriations: Coast Guard activities are principally funded

through DoT. Since FY82, Congress has annually authorized DoD funds to be transferred to

the Coast Guard to help fund national security functions in support of DoD.75

B. Budget: The Coast Guard budget includes funds authorized under DoT plus the funds

transferred from DoD as described above. Operating expenses account for nearly three-fourths

of this amount; the remainder is mainly for military retirement pay and capital purchases (see

the following figure for a further breakout of operating expenses). 76

Figure 2: USCG Operating Expenses

Most of the Coast Guard's funding comes from the Department of the Treasury's General

Fund. The agency also receives moneys from the Oil Spill Liability Trust Fund (for the

prevention and cleanup of oil spills) and from the Boat Safety Account of the Aquatic

Resources Trust Fund (for a national recreational boating safety program). In addition to the

funding it receives from the DoD for national security activities, the Navy also provides support

to the Coast Guard for Navy Equipment on USCG ships and aircraft. This is equipment that is

Navy bought and Navy owned. It is installed by the Coast Guard but maintained by the Navy.

The Coast Guard may also receive emergency funding. For example, in fiscal year 1999, the

Coast Guard initially received $3.9 billion in appropriated funds to carry out its missions. It

received another $377 million in emergency funding to pay for additional equipment and

operations, most of which was for expanding its anti-drug efforts.77, 78 The following table

shows the Coast Guard budget for FY 97– FY 99.

 

75 General Accounting Office, U.S. Coast Guard – Use of DoD Funds for National Security Functions, Washington, DC: U.S.

Government Printing Office, April 1998 (Report Number GAO/NSIAD-98-110).

76 The Annual Report of the U.S. Coast Guard, 1998, p. 30.

77 Anderson, John H. Jr., Director, Transportation Issues, Resources, Community, and Economic Development Division,

General Accounting Office, Testimony on Coast Guard: Key Budget Issues for Fiscal Years 1999 and 2000, before the

Subcommittee on Coast Guard and Maritime Transportation, Committee on Transportation and Infrastructure, U.S. House

of Representatives, Washington, DC: U.S. Government Printing Office, February 11, 1999 (Report Number GAO/TRCED-99-83).

78 GAO/NSIAD-98-110.

USCG 1998 Operating Expenses by 

Percentage

19%

26%

26% 3%

26% Mobility

Maritime Security

National Defense

Safety

Natural Resources
36

USCG Budget (in $ millions)79

Fiscal Year As an

organization

under DoT

Transferred

from DoD

FY 1997 $3,854 $300

FY 1998 (est) $3,997

FY 1999 (est) $4085

C. Manpower: The Coast Guard consists of 38,000 active-duty men and women, 8,000

Reservists, and 35,000 Auxiliaries.

D. Equipment: The Coast Guard operates over 200 cutters (vessels 65 feet in length or

more) and boats (watercraft less than 65 feet in length), plus 68 fixed-wing and 166 rotary-wing

aircraft.80

8. Observations

A. The Coast Guard has enthusiastically embraced GPRA and uses its framework as the

foundation for strategy development, planning, preparation, and resourcing processes. The

refinement of these processes is still ongoing, but the Coast Guard is beginning to develop

consistency among it various business areas through a GPRA approach. Among national

security organizations, it appears to be a good "study case" for the effectiveness of GPRA.

B. The Coast Guard is an organization that has great experience operating in the

interagency environment. It interfaces on a daily basis with DoT, DoD, DoJ, and DoS for its

law enforcement, national security, safety, and environmental missions. Because of its high

level of interagency connections, Coast Guard effectiveness depends on a network of liaison

officers and a host of interagency MOUs and MOAs. This may be a "fact of life" for an

organization that works closely with so many other agencies. However, it also may reflect an

"ad hoc" approach to interagency operations due to the lack of robust processes within the

current interagency structure.

C. Due to its extensive interagency operational expertise, the Coast Guard may prove to

be the model for future interagency operations and may merit a more in-depth assessment for

additional "lessons learned."

 

79 Source: FY 99 President's Budget.

80 http://www.uscg.mil/hq/g%2Dci/sect%2Diold.htm.
ORGANIZATIONAL DESCRIPTION

BUREAU OF ALCOHOL, TOBACCO AND FIREARMS (ATF)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Bureau of Alcohol, Tobacco, and Firearms

Overview.

The Bureau of Alcohol, Tobacco and Firearms (ATF) is an enforcement and regulatory

bureau within the Department of the Treasury. There is no one piece of legislation establishing

the ATF; rather the Bureau evolved as laws were developed to manage revenue collection on

imported and domestic distilled spirits and tobacco products.

The ATF can trace its roots back to the implementation of the first taxes on imported

alcohol products in 1789 and taxes on domestic production in 1791. However, it is the newest of

the tax-collecting agencies. It became a stand-alone bureau in 1972 by means of Treasury

Department Order No. 120-1 (formerly No. 221), in which the ATF's jurisdiction was separated

from the Internal Revenue Service.

The ATF enforces the federal laws and regulations relating to alcohol, tobacco, firearms,

explosives and arson by working directly and in cooperation with others to:

• Suppress and prevent crime and violence through enforcement, regulation, and

community outreach;

• Ensure fair and proper revenue collection;

• Provide fair and effective industry regulation;

• Support and assist federal, state, local, and international law enforcement; and

• Provide innovative training programs in support of criminal and regulatory

enforcement functions.

Organization.

The ATF originated as a revenue collecting agency with a specific mandate focused on

the alcohol and tobacco industries. Through the Bureau's evolution, it now plays a dual role in

enforcement and regulation of the alcohol, tobacco, firearms, and explosives industries. A

Director, who is appointed by the Secretary of the Treasury, and is traditionally a member of the

Senior Executive Service, heads the Bureau. In Treasury's organization, ATF falls under the

Office of the Under Secretary for Enforcement and is broken down into the following divisions,

each headed by an Assistant Director:

• Liaison and Public Information;

• Science and Technology;

• Management;
3

• Alcohol and Tobacco;

• Firearms, Explosives, and Arson;

• Field Operations;

• Training and Professional Development; and

• Inspection.

Role in Formal and Informal National Security Processes.

Traditionally, the U.S. national security community has focused its efforts on limiting the

proliferation of weapons of mass destruction and more recently, biological and chemical

weapons. However, it is the proliferation of small arms within the United States that has made

weapons easily available to both American and foreign criminals and terrorists. Similarly,

alcohol diversion is a major source of revenue for organized crime. These examples demonstrate

threats to U.S. national security interests and are issues in which the ATF has expertise and

jurisdiction.

Observations.

The ATF potentially could contribute more in preparing to meet the new threats to

national security and in carrying out the U.S. national security mission. However, as the

intelligence community and the military traditionally lead in the national security process, the

expertise that the ATF and law enforcement agencies can contribute to national security

activities is often overlooked. Involving law enforcement at the strategic level–in planning,

coordination, and the budget process–may result in fewer redundancies and gaps in managing

national security issues.

Additionally, expanding the ATF's international training activities could provide foreign

governments, law enforcement agencies, and militaries better skills and knowledge for assisting

the United States in tackling transnational criminal and terrorist activities that threaten U.S.

national security.
4

ORGANIZATIONAL DESCRIPTION

BUREAU OF ALCOHOL, TOBACCO, AND FIREARMS

1. Legal Specifications, Authorizations, and Responsibilities.

A. Congressional Statutes: There is no one piece of legislation establishing the Bureau

of Alcohol, Tobacco, and Firearms (ATF); rather the Bureau evolved as laws were developed to

manage revenue collection on imported and domestic distilled spirits and tobacco products. The

scope of ATF's jurisdiction expanded as Treasury's Office of Internal Revenue was passed

responsibility for revenue collection and enforcement on firearms and explosives.

The ATF can trace its roots back to the implementation of the first taxes on imported

alcohol products in 1789 and taxes on domestic production in 1791. However, it is the newest of

the tax-collecting agencies. It became a stand-alone bureau in 1972 by means of Treasury

Department Order No. 120-1 (formerly No. 221), in which the ATF's jurisdiction was separated

from the Internal Revenue Service. Other legislation important in defining the jurisdiction and

responsibility of the ATF include:

(1) The Act of 1 July, 1862 established the Office of Internal Revenue, which was

charged with the collection of taxes on distilled spirits and tobacco products. The following year,

Congress authorized under this act "'the hiring ... of three detectives to aid in the prevention,

detection and punishment of tax evaders.' These laws are the trunk of a family tree that includes

both ATF and the Internal Revenue Service."1

(2) The Federal Alcohol Administration Act (U.S.C. Title 27, Chapter 8,

Subchapter I) was enacted in August 1935, assigning the Treasury Department the role of

regulating the alcohol industry and is considered "one foundation of ATF's enabling

legislation."2

(3) Title XI of the Organized Crime Control Act of 1970 incorporated explosives

as a branch of ATF's expertise.

B. Department/Agency Directives: In 1952, the Bureau of Internal Revenue was

reorganized to become the Internal Revenue Service, and its firearms and tobacco tax

responsibilities were then shifted to the newly named Alcohol, Tobacco and Firearms Division.

In 1972, Treasury Department Order No. 120-1 (formerly No. 221) established the ATF as a

stand-alone bureau under Treasury's Office of the Under Secretary for Enforcement, separating

its jurisdiction from that of the Internal Revenue Service.

2. Missions/Functions/Purposes. The Bureau of Alcohol, Tobacco, and Firearms has a

"combination of responsibilities dedicated to reducing violent crime, collecting revenue, and

protecting the public."3

 

1 "A Brief History of ATF from Oxford University Press, Inc. 1789-1998." Bureau of Alcohol, Tobacco, and Firearms, U.S.

Treasury Department. (http://www.atf.treas.gov/about/hist/hist.htm.)

2 "A Brief History of ATF from Oxford University Press, Inc. 1789-1998.

3 ATF Mission statement. "Strategic Plan for the Bureau of Alcohol, Tobacco and Firearms." Department of the Treasury.

Revised August 1997.
5

A. Functions: ATF enforces the federal laws and regulations relating to alcohol,

tobacco, firearms, explosives and arson by working directly and in cooperation with others to:

(1) Suppress and prevent crime and violence through enforcement, regulation, and

community outreach;

(2) Ensure fair and proper revenue collection;

(3) Provide fair and effective industry regulation;

(4) Support and assist federal, state, local, and international law enforcement; and

(5) Provide innovative training programs in support of criminal and regulatory

enforcement functions.

B. Major Responsibilities: The major responsibilities of the ATF include:

(1) Using its jurisdiction, skills, and assets to assist federal, state, and local law

enforcement in the fight against crime and violence through enforcement of the federal firearms,

explosives, and arson laws; education; and prevention efforts;

(2) Collecting taxes on alcohol, tobacco, firearms, and ammunition with the least

amount of burden to the taxpayer; and

(3) Overseeing the production and distribution of alcohol, firearms, ammunition,

and explosives and ensuring compliance through education, inspection, and investigation.

C. Subordinate Activities and Agencies: The ATF has no subordinate agencies or

activities.

3. Vision and Core Competencies.

A. Vision: The vision of the ATF states that "The Bureau of Alcohol, Tobacco and

Firearms (ATF) must respond to the public outcry against crime, violence, and other threats to

public safety. We must also continue to do our part to maintain the economic stability of the

country. Our vision will help us chart the course to change the way we serve the public and

achieve new levels of effectiveness and teamwork."4

B. Core Competencies: In an effort to become more efficient, the ATF has designed its

operations similar to that of a business and has highlighted the following as "critical business

tools" to effectively accomplish its task:5

(1) Collect, consolidate, analyze, and exchange information that enhances ATF's

contribution toward protecting America from crime, violence, and other threats to public safety;

 

4 Department of the Treasury, Bureau of Alcohol, Tobacco, and Firearms web site,

http://www.atf.treas.gov/about/plan/vision.htm.

5 "Strategic Plan for the Bureau of Alcohol, Tobacco and Firearms." Department of the Treasury. Revised August 1997.
6

(2) Invest in science and technology to develop and improve methods of analysis,

enabling the ATF to use its resources more efficiently and better anticipate and respond to

employee and customer needs;

(3) Partner and cooperate with other government agencies, industry, academia,

and others to remove barriers and develop better solutions in addressing key issues and problems

in conducting investigations and in regulatory matters; and

(4) Provide training to ATF employees and other federal, state, local, and foreign

enforcement organizations to achieve mutual goals.

4. Organizational Culture. The Bureau of Alcohol, Tobacco and Firearms is an enforcement

and regulatory bureau within the Department of the Treasury. The ATF originated as a revenue

collecting agency with a specific mandate focused on the alcohol and tobacco industries. In the

Bureau's evolution it now plays a dual role in enforcement and regulation of the alcohol, tobacco,

firearms and explosives industries.

A. Values: ATF values state that "We value each other and those we serve. We will set

and uphold the highest standards of excellence and integrity; provide quality service and promote

strong external partnerships; and develop a diverse, innovative, and well-trained work force in

order to collectively achieve our goals."6

B. Leadership Traditions: The Director of the ATF is appointed by the Secretary of the

Treasury and is traditionally a member of the Senior Executive Service. The Director reports to

the Under Secretary for Enforcement. Currently, the Director of the ATF is a career law

enforcement officer.

Due to the law enforcement mission of the ATF, the leadership is flexible in its

management style and interacts closely with employees. The varied responsibilities of the ATF

require it to adapt to change in response to fulfilling its role in law enforcement and regulatory

matters. As ATF staff act in many risky environments, the leadership takes on an important

responsibility to control the degree of risk in certain situations. Consequently, the leadership

encourages creativity and innovation to find the optimal of many possible solutions that exist for

any given challenge.

C. Staff Attributes: ATF employees have specific knowledge, skills, and abilities to

fulfill their roles as law enforcement officers, investigators, or regulatory inspectors. For

example, ATF staff needs skills and knowledge to conduct investigations of firearms trafficking,

bombing and arson scenes, and/or an understanding of explosive device construction. Some of

these experts include auditors, forensic chemists, fire protection engineers, explosives

enforcement officers, explosive detection canines, explosive and bomb disposal experts, and

experts in fire origin and cause.

In addition, the ATF provides training to its respective special agents, regulatory

inspectors, and various specialists upon entering the Bureau. This one-year, on-the-job training

program is required to provide a sound experiential learning environment for those who

 

6 "Strategic Plan for the Bureau of Alcohol, Tobacco and Firearms." Department of the Treasury. Revised August 1997.
7

successfully complete the program. Subsequent in-service training is mandated for further

specialization within each particular field.

D. Strategy: The strategic goals of the ATF include:7

(1) Effectively contributing to a safer America by reducing the future number and

cost of violent crimes;

(2) Maintaining a sound revenue management and regulatory system that

continues reducing payer burden, improving service, collecting the revenue due, and preventing

illegal diversion; and

(3) Protecting the public and preventing consumer deception in ATF's regulated

commodities.

E. Organization Chart:

Figure 1: Organization of the Bureau of Alcohol, Tobacco, and Firearms

The Ombudsman, Strategic Planning Office, Executive Assistant for Legislative Affairs,

and the Executive Assistant for Equal Opportunity are standard overhead functions and provide

administrative support to the Director.

(1) The Liaison and Public Information division consists of media affairs,

liaison, disclosure, the ATF library, and the representative to the Treasury Department. The

Assistant Director of Liaison and Public Information travels with the Director and is responsible

for meeting logistics. Media affairs manages issues with regard to the press. The liaison

manages communications with foreign embassies and is responsible for arranging meetings with

 

7 "Strategic Plan for the Bureau of Alcohol, Tobacco and Firearms." Department of the Treasury. Revised August 1997.

Director

Bureau of Alcohol,

Tobacco, and Firearms

Assistant Director

Liaison & Public

Information

Assistant Director

Science & Technology

Assistant Director

Management

Assistant Director

Alcohol & Tobacco

Assistant Director

Firearms, Explosives &

Arson

Assistant Director

Field Operations

Assistant Director

Training & Professional

Development

Assistant Director

Inspection

Ombudsman

Executive Assistant

Legislative Affairs

Strategic Planning Office

Executive Assistant

Equal Opportunity
8

foreign dignitaries. Disclosure determines what information can be made available to the press

and research groups. The library is for internal use only and contains all publications produced

by the ATF. The representative to the Treasury relays major issues to the Department, whether

they are enforcement or regulatory issues.

(2) The Science and Technology division oversees the ATF's three major

laboratories, their operations, and all computer-based initiatives and programs. The ATF

laboratories are forensic labs as well as testing labs to test the content of all imported alcohol

products.

(3) The Management division handles all budget and monetary issues including

the distribution of resources among the ATF and provides cost-benefit analyses.

(4) The Alcohol and Tobacco division is responsible for all aspects of

enforcement and regulation regarding the alcohol and tobacco industries. This includes

interdiction efforts and monitoring manufacturing operations.

(5) The Firearms, Explosives, and Arson division often works closely with the

Field Operations division. The Division is responsible for investigations and industry regulation.

This includes ensuring that manufacturers are abiding by the laws regarding excise taxes,

standards, and product storage. Additionally, this Division manages many program initiatives.

(6) The Field Operations division oversees the field offices, all agents and work

accomplished in the field, and ensures that the field offices and agents are following the required

protocol.

(7) The Training and Professional Development division oversees all ATF

training programs in each field division and in ATF headquarters. The Training division

manages the ATF National Academy in Glynco, Georgia, and other state, local, and international

training programs, which includes specialized and standard training programs. The Professional

Development initiatives are for supervisors and inspectors.

(8) The Inspection division oversees internal operations of the ATF and is

broken down into two oversight categories: integrity and reconciliation. Integrity refers to the

actions of ATF agents and the Inspection division investigates complaints against ATF agents.

Reconciliation ensures that each field office is operating as prescribed by ATF rules and

protocol. Through periodic inspections, the Inspection division determines that each field office

is managing its budget, manpower, evidence storage, etc., properly.

5. Formal National Security Process Involvement. Traditionally, the U.S. national security

community has focused its efforts on limiting the proliferation of weapons of mass destruction

and more recently, biological and chemical weapons. However, it is the proliferation of small

arms within the United States that has made weapons easily available to both American and

foreign criminals and terrorists. Similarly, alcohol diversion is a major source of revenue for

organized crime. These examples demonstrate threats to U.S. national security interests and are

issues in which the ATF has expertise and jurisdiction. Violations of laws that regulate the

alcohol, tobacco, firearms, and explosives industries threaten U.S. national security by providing

criminals, criminal organizations, and terrorists the resources and means to further their criminal

activity against Americans, U.S. property and personnel overseas, and the United States in
9

general. The ATF acts independently and in cooperation with other U.S. government agencies

and foreign law enforcement organizations in interdicting illegal weapons trafficking, alcohol

and tobacco diversion, and identifying and seizing criminal and terrorists assets.

(The Bureau of Alcohol, Tobacco, and Firearms, Intelligence Division provided the

following information, in response to a survey prepared by the U.S. Commission on National

Security/21st Century.)

As U.S. national security concerns are shared by foreign governments, the ATF finds its

jurisdiction crosses international boundaries. Therefore, the ATF has increased its cooperation

with foreign law enforcement agencies and international organizations to address these

transnational criminal activities and participates in international groups and forums that address

illegal international firearms trafficking. The ATF also coordinates with the U.S. Customs

Service (part of the Treasury Department) and the Department of State in assessing and

evaluating the illegal international firearms trafficking problems of foreign countries.

A. Strategy Development: The Bureau of Alcohol, Tobacco, and Firearms has no direct

role in strategy development.

B. Policy Guidance and Regulation: The ATF is responsible for the regulation of those

industries that fall under its jurisdiction: alcohol, tobacco, firearms, and explosives (including

fireworks manufacturers). The ATF monitors and regulates these industries to ensure that laws

and regulations are upheld by industry manufacturers, distributors, and retailers, in order to

prevent any tax diversion schemes, and ensure these sensitive products do not get into the hands

of criminals, criminal organizations, or terrorists. For example, the ATF ensure alcohol industry

compliance with regulatory labeling requirements, and enforces requirements that explosives

manufacturers add "detection agents" in plastic explosives.

As there are only about 700 inspectors to oversee the regulation of a large volume of

manufacturers, the ATF has worked to developed partnerships with these industries encouraging

manufacturers to be self-regulating. Additionally, this partnering relationship with industry

manufacturers assists the ATF in remaining abreast of new products and capabilities that may be

available both to legitimate consumers and criminals. The ATF's revenue collection service

center has developed a system of automated payments for the manufacturers in order to minimize

the burden on taxpayers.

C. Planning: The Bureau of Alcohol, Tobacco, and Firearms has no direct role in

planning.

D. Mission Execution: The ATF's formal involvement in the national security process

includes participating in Interagency Working Groups and crisis action teams. Additionally, the

ATF often cooperates and partners with other U.S. government agencies to share information

and resources for tactical activities. The ATF is involved in mission execution through

implementing the laws and policies designed to protect U.S. national security interests

specifically concerning the flow of illegal weapons, eliminating diversion of tobacco and alcohol

products, and identifying and seizing criminal and terrorist assets. Below are examples of ATF's

participation at the interagency level as well as other programs established to carry out the ATF's

mission and minimize threats to national security:
10

(1) The ATF participates in projects established and coordinated by the Technical

Support Working Group (TSWG) of the National Security Council in which the ATF works

alongside staff from Army Corps of Engineers (part of the Department of the Army) and the

Defense Special Weapons Agency. These projects are aimed at allowing more effective

deployment of investigative resources and quicker analysis of recovered evidence after events

such as the bombings of the World Trade Center, the Alfred Murrah Federal building, and the

U.S. Embassies in Kenya and Tanzania.

(2) The ATF participates in 22 Joint Terrorism Task Forces sponsored by the

Federal Bureau of Investigation (FBI).

(3) The ATF has formed a partnership with the intelligence community to

advance the investigations of transnational groups who use firearms and explosives to further

their criminal enterprises.

(4) The ATF maintains close coordination with the Defense Intelligence Agency

(DIA) and five major Pentagon Commands (EUCOM, PACOM, CENTCOM, SOCOM and

ACOM) regarding international weapons trafficking investigations of mutual interest that have

national security ramifications.

(5) The ATF's National Response Teams (NRT) provide expertise in

investigations of major explosive and fire-related incidents. These NRT's are specially equipped

and available to any law enforcement agency and fire department in the country. The ATF

provides a similar, but more limited, service to foreign governments with its International

Response Teams (IRT), which respond when requested by the State Department, Office of

Diplomatic Security.

(6) The ATF's National Firearms Tracing Center (NTC) traces crime guns taken

into police custody in the United States as well as thousands of U.S.-source firearms recovered in

foreign countries and is an effort to curb the flow of illegal firearms.

(7) The ATF implemented a ballistic imaging system capable of matching fired

projectiles and shell casings from disparate crime scenes to each other and to the firearm used to

fire them. The technology developed for this system allows firearms examiners to quickly

compare evidence from crime scenes anywhere in the country to a constantly growing database

of information to determine if the same firearm was used to commit more than one crime. This

technology may be used in foreign countries as well.

(8) ATF maintains the Congressionally mandated Arson and Explosives National

Repository that allows ATF to trace stolen explosives, compare recovered explosive device

components from different incidents, and compare the motives of potential suspects.

In order to better cooperate in tactical operations, the ATF assigns liaison representatives

to the Federal Bureau of Investigation, the Central Intelligence Agency (CIA), the National Drug

Intelligence Center (NDIC), the El Paso Intelligence Center (EPIC), the Financial Crimes

Enforcement Center (FinCen), and the International Criminal Police Organization (INTERPOL).

The National Security Agency (NSA) assigned a representative to the ATF, and ATF recently

entered into a cooperation agreement with the National Reconnaissance Office (NRO).
11

E. Observation, Orientation, and Oversight: The Bureau of Alcohol, Tobacco, and

Firearms has no direct role in observation, orientation, and oversight.

F. Preparation: In the national security preparation process, the ATF provides support to

other agencies through training, education, supplying technical equipment, and technical

expertise. The ATF's investment in technological advancements and modernization has

positioned the Bureau to offer its expertise to federal, state, local and foreign agencies to better

prepare them in responding to national security threats and ensuring these agencies are ready to

accomplish their goals. Similarly, the ATF maintains a close working relationship with the

National Security Agency and the Defense Intelligence Agency, which offer ATF staff training

opportunities as well. Some training programs the ATF has initiated and other efforts to prepare

federal, state, and local law enforcement agencies include:

(1) ATF special agents trained as Certified Explosives Specialist lead a program

to assist federal, state, local, and foreign law enforcement and fire service agencies in the

conduct of explosives investigations and prevention techniques.

(2) ATF special agents are trained as Certified Fire Investigators to develop their

skills in determining the cause and origin of fires, which reduces the costs of arson to the

insurance industry and the American public.

(3) The ATF makes available its explosive and accelerant detection canines to

federal, state and local agencies to improve their effectiveness at preventing bombing incidents

and investigating suspected arson fires. Currently the CIA, FBI, the Internal Revenue Service

(IRS), and numerous state and local departments use ATF detection canines.

(4) An Explosives Study Group (ESG) was established to study the feasibility of

tagging explosives for identification; reviewing state and local regulations pertaining to

explosives; and the study of precursor chemicals used to manufacture explosives.

Currently, most of the ATF's international training programs are focused in Latin

America, the Caribbean, and former communist countries. Training programs are planned for

countries in Africa and Asia. These international training programs are designed to reduce the

flow of illegal firearms and explosives abroad. Foreign law enforcement and military officials

are trained to recognize, describe, and initiate firearms tracing actions designed to identify the

sources of illegal firearms. Other international training courses focus on explosives

identification, arson and explosives investigations, and tax diversion training.

In its education campaign, the ATF has initiated the “Be Aware for America” program in

partnership with the explosives and fertilizer industries to report suspicious attempts to acquire

explosive materials.

G. Resourcing: The Bureau of Alcohol, Tobacco, and Firearms has no direct role in

resourcing.

6. Informal Formal National Security Process Involvement. The ATF participates in

informal consultations with other government agencies on issues of mutual interest and

jurisdiction. Because of the ATF's focused jurisdiction, it is often called upon to participate and
12

coordinate in prevention and training exercises, and provide input and support on investigations

with national security aspects.

Managers and special agents develop personal relationships with staff from the other

government agencies with whom the ATF cooperates. These informal, personal relationships

may be used in sharing information, coordinating activities between agencies, or instigating new

initiatives.

7. Funding and Personnel.

A. Authorization and Appropriations: The primary authorizing committees for the

Bureau of Alcohol, Tobacco & Firearms include: the Senate Judiciary Committee; the Senate

Finance Committee; the House Judiciary Committee; and the House Ways and Means

Committee.

The appropriations committees with oversight of ATF include the Treasury, Postal

Service and General Government Subcommittee of the House Appropriations Committee and the

Treasury and General Government Subcommittee of the Senate Appropriations Committee.

B. Funding Sources: ATF receives its funding by means of the Treasury Department's

appropriations.

C. Budget: The fiscal year 1999 budget request for ATF was $636.3 million, a net 3.9

percent increase from fiscal year 1998, which was $614.2 million. Approximately 11 percent (or

$70 million) of ATF's budget was allocated to national security activities in fiscal year 1999.

D. Personnel: In fiscal year 1998, there were 4,073 full time-employees authorized for

the ATF, which increased to 4,141 in fiscal year 1999. It is undetermined how many full-time

employees are dedicated to national security activities.

8. Observations. Traditionally, law enforcement agencies and efforts were reserved to manage

domestic criminal activities. However, with the changing national security environment, law

enforcement agencies play an important role, especially regarding trafficking and terrorist

activities. But law enforcement agencies are often overlooked by the intelligence community

when addressing national security concerns. While the ATF does maintain working relationships

with the intelligence community, an established coordinating group at the principals’ levels

would serve to better organize the flow of information and integrate law enforcement agencies

with the intelligence community at the strategic level, instead of just at the operational level.

Additionally, expanding the ATF's international training activities could provide foreign

governments, law enforcement agencies, and militaries better skills and knowledge for assisting

the United States in tackling transnational criminal and terrorist activities that threaten U.S.

national security. However, an increase in international training activities may require additional

funding and/or resources.
ORGANIZATIONAL DESCRIPTION

U.S. CUSTOMS SERVICE

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

U.S. Customs Service

Overview.

Shortly after the United States declared its independence, it established a revenue

collection regime in order to fund the newly created federal government. The field organization

of collection districts established to collect tariffs and excise taxes created the foundation of the

Customs Service. Through its evolution, the Customs Service now is responsible for enforcing

many provisions outlined in over 130 other laws as well as many international conventions,

agreements, and treaties.

Organization.

The Customs Commissioner "establishes policy and supervises all activities" within the

Customs Service.1 The Commissioner is traditionally a political appointee and was previously

appointed by the Secretary of the Treasury. This has changed and the Commissioner now is

appointed by the President and confirmed by the Senate. The functional offices include:

• The Office of Planning.

• The Office of Investigations.

• The Office of International Affairs.

• The Office of Regulations and Rulings.

• The Office of Strategic Trade.

• The Office of Field Operations.

• The Office of Information and Technology.

• The Office of Internal Affairs.

Role in Formal and Informal National Security Process.

The Customs Service was "founded as the premier law enforcement agency" due to its

role as the "collector and protector of the revenue."2 Customs maintains responsibility for

collecting tariffs and excise taxes, but now supports other U.S. law enforcement and government

agencies in combating threats to U.S. national security, such as narcotics trafficking, money

laundering, and domestic and foreign terrorist actions.

 

1 "U.S. Customs History." U.S. Customs web page: http://www.customs.treas.gov/about/about.htm

2 "U.S. Customs History."
3

Customs plays a critical role in the regulation and oversight of over 300 ports of entry for

the United States and enforces or implements hundreds of provisions in a variety of laws

designed to "protect citizens from dangerous drugs, hazardous materials, unsafe products, [and]

environmental degradation . . . "3 In this respect, Customs is critical in ensuring trade

compliance so that damaging products are not imported into the United States and sensitive

products and technologies are not exported.

Conclusions.

While some consider the military to be the protector of America's borders, the U.S.

Customs Service is the principal border control agency.

The U.S. Customs Service has emerged as a key player in the implementation and

enforcement of counter-narcotics efforts, anti-money laundering activities, counterterrorism, and

export controls. A number of government agencies and federal programs rely on the support

from the Customs Service to fulfill mission strategies. As criminal activities expand and are

increasingly transnational, it is essential to include the Customs Service in the interagency

coordination process. With close participation with law enforcement and the intelligence

community, Customs can increasingly support initiatives to combat transnational criminal

activities and protect and prevent the export of sensitive dual use defense items and technologies.

 

3 "1997 U.S. Customs Service Strategic Plan." U.S. Customs, Plans & Reports. (http://www.customs.treas.gov/about/about.htm).
4

ORGANIZATIONAL STRUCTURE

U.S. CUSTOMS SERVICE

1. Legal Specifications, Authorizations, and Responsibilities. Shortly after the United States

declared its independence, it established a revenue collection regime in order to fund the newly

created federal government. The Tariff Act of 1789, the second act of the first Congress,

determined which items to tax and the amount of tax. Consequently, the fifth act of Congress

created collection districts and ports of entry to implement this revenue collection system. The

field organization of collection districts was designated under the jurisdiction of the Treasury

Department, and was responsible for the collection of tariffs. The field organization of collection

districts created the foundation of the Customs Service.

A. Congressional Statutes: Title 19 (Customs Duties) and Title 18 (Crimes and

Criminal Procedure) of the U.S.C. provide the statutory authority for the Customs Service.

Additionally, the Customs Service is responsible for enforcing many provisions outlined in over

130 other laws as well as many international conventions, agreements, and treaties. Sample

legislation that directs Customs Service activities with regard to national security includes:4

(1) The National Defense Stockpile Amendments of 1987 (50 U.S.C., Section

98h-4) requires that "the importation of materials determined to be strategic and critical under

the Act may not be prohibited or regulated."

(2) The International Emergency Economic Powers Act (50 U.S.C. Section

1701-1706) determines that "when the President declares a national emergency with respect to a

threat to the national security, foreign policy, or economy of the United States, Customs enforces

any import or export provisions and economic sanctions imposed."

(3) The Trading with the Enemy Act (50 U.S.C. Section 1-5(b)) requires that

"Customs aids in the enforcement of this Act which prohibits the unauthorized importation into

the United States of certain articles by any enemy as defined by the Act."

(4) The Export Administration Act of 1969 (50 U.S.C. Section 2401-2420)

requires that "Customs enforces the export controls and declaration regulations established under

the Act."

B. Department/Agency Directives: In 1927 under Treasury Decision 42102, the

Customs Service changed from the Division of Customs to the Bureau of Customs. Then, in

1973, it became a stand-alone service under the Treasury Department by Treasury Order 165-23

and its name again was changed to its current form, the U.S. Customs Service.

C. Interagency Directives: Executive Order No. 12880 (1993) and Executive Orders

No. 12992 and No. 13023 (1996) assign the Office of National Drug Control Policy (ONDCP)

responsibility within the executive branch for leading drug-control policy and developing an

outcome-measurement system. The Customs Service is responsible for adhering to ONDCP's

drug control strategy. Customs develops its narcotics control strategy to reflect the

 

4 "Rules & Regulations." U.S. Customs Compendium of Laws. Title 50 – War and National Defense. U.S. Customs web page

(http://www.customs.treas.gov/imp-exp2/pubform/compend/title_50.htm).
5

Administration's priorities outlined in the National Drug Control Strategy. (For a more detailed

description of the National Drug Control Strategy, see section entitled The Office of National

Drug Control Policy.)

2. Missions/Functions/Purposes. "The mission of the United States Customs Service is to

ensure that all goods and persons entering and exiting the United States do so in accordance with

all United States laws and regulations."5

A. Major Responsibilities: The Customs Service major responsibility is ensuring that

all imports and exports comply with U.S. laws and regulations. This includes:6

(1) Protecting the general welfare and security of the United States by enforcing

import and export restrictions and prohibitions (including the export of critical technology used

to develop weapons of mass destruction and money laundering);

(2) Assessing and collecting Customs duties, excise taxes, fees, and penalties due

on imported merchandise;

(3) Interdicting and seizing contraband, including narcotics and illegal drugs;

(4) Processing persons, baggage, cargo and mail, and administering certain

navigation laws;

(5) Detecting and apprehending persons engaged in fraudulent practices designed

to circumvent Customs and related laws;

(6) Protecting American business, labor, and intellectual property rights by

enforcing U.S. laws intended to prevent illegal trade practices (including quotas and the marking

of imported merchandise; the Anti-Dumping Act; and by providing Customs recordations for

copyrights, patents, and trademarks); and

(7) Collecting accurate import and export data for compilation of international

trade statistics.

B. Subordinate Activities and Agencies: The U.S. Customs Service has no subordinate

activities or agencies.

3. Vision and Core Competencies.

A. Vision: The U.S. Customs Service vision statement provides a focus for Customs'

employees in accomplishing its mission: "To protect the public against violations which threaten

the national economy and health and safety through targeted enforcement and informed

compliance and to be the national resource for information on goods and people crossing our

borders."7

 

5 "About U.S. Customs." Mission Statement and Organizational Chart. U.S. Customs web page

(http://www.customs.treas.gov/about/about.htm).

6 "U.S. Customs History."

7 "1997 U.S. Customs Service Strategic Plan."
6

B. Core Competencies: While the Customs Service has no stated core competencies, its

1997 Strategic Plan identifies the following ongoing responsibilities to be administered by

Customs:8

(1) Revenue collection;

(2) Accurate collection and reporting of import and export statistics; and

(3) Protection of domestic industry and jobs from illegal and unfairly subsidized

imports.

4. Organizational Culture.

A. Values: The U.S. Customs Service has no published values statement.

B. Leadership Traditions: The Customs Commissioner "establishes policy and

supervises all activities" within the Customs Service.9 The Commissioner is traditionally a

political appointee and was previously appointed by the Secretary of the Treasury. More

recently, this has changed as the Commissioner now is appointed by the President and confirmed

by the Senate.

C. Staff Attributes: Most U.S. Customs Service staff are career civil service employees

and typically maintain a degree of specialization. For example, Customs' staff consist of

customs inspectors, canine enforcement officers, marine enforcement officers, aviation

enforcement officers, investigators, chemists, pilots, intelligence research specialists, import

specialists, financial technicians, and computer specialists.

D. Strategy: The 1997 U.S. Customs Service Strategic Plan outlines the following

strategic goals:10

(1) Facilitate international trade while achieving the highest degree of compliance

with United States export laws, national security, economic interests, and the health and safety of

the American people;

(2) Prevent the smuggling of narcotics into the United States, by creating an

effective narcotics interdiction, intelligence, and investigative capability that disrupts and

dismantles smuggling organizations;

(3) Identify, disrupt, and dismantle the systems and criminal organizations that

launder the proceeds generated by smuggling, trade fraud, and export violations;

(4) Maximize trade compliance through a balanced program of informed

compliance, targeted enforcement actions, and the facilitation of complying cargo;

 

8 "1997 U.S. Customs Service Strategic Plan."

9 "U.S. Customs History."

10 "1997 U.S. Customs Service Strategic Plan."
7

(5) Ensure compliance by targeting, identifying, and examining high-risk

travelers, and to allow the expeditious movement of low-risk travelers;

(6) Maximize the use of information and technology to enhance productivity,

support business processes, and meet the challenges of the Customs mission;

(7) Provide the highest quality, most cost-effective financial management services

through customer involvement, an empowered work force, and modern and integrated financial

systems; and

(8) Provide high quality, low cost Human Resources Management services that

support the Customs Service mission and are responsive to the needs of managers.

E. Organization Chart:11

Figure 1: Organization of the United States Customs Service

The Equal Employment Opportunity (EEO) Office, Chief Counsel, Trade Ombudsman,

Office of Human Resources Management, Office of Congressional and Public Affairs, and

Office of Finance are standard overhead functions and provide administrative support to the

Director.

(1) The Office of Planning supports strategic and tactical planning and provides

statistical and survey research methodologies needed to develop institutionalized compliance

measurements and measurements of Customs performance.

 

11 " Mission Statement and Organizational Chart." U.S. Customs web page (http://www.customs.treas.gov/about/about.htm).

Office of the Commissioner

Office of Human

Resources Management

Office of Investigations Office of International

Affairs

Office of Congressional

and Public Affairs

Office of Field Operations

Office of Regulations and Rulings

Office of Strategic

Trade

Office of Finance

Office of Information

& Technology

Office of Internal Affairs

EEO Office Chief Counsel

Trade Office of Planning Ombudsman
8

(2) The Office of Investigations has oversight of the foreign and domestic

investigative offices and the air and marine interdiction programs. The office coordinates with

other Customs offices involved in law enforcement activities, and manages and controls

operational programs regarding investigations, tactical interdiction, intelligence, and

enforcement support. Additionally, the office cooperates with Treasury's Financial Crimes

Enforcement Network (FinCEN), the Department of Justice's Organized Crime and Drug

Enforcement Task Force (OCDETF) and High Intensity Drug Trafficking Area (HIDTA)

programs. (See also the section entitled Financial Crimes Enforcement Network.)

(3) The Office of International Affairs oversees the implementation of all

international agreements, manages international activities and programs, and directs bilateral and

multilateral relations with foreign countries.

(4) The Office of Regulations and Rulings develops, implements, and evaluates

Customs programs, policies, and procedures regarding regulations affecting the Customs

Service. The office provides compliance information to the business and trade community and

defines the application of Customs and other laws, regulations, and procedures administered by

the Customs Service.

(5) The Office of Strategic Trade identifies and addresses major trade issues

facing the United States. It publishes Customs compliance data and assesses the level of trade

compliance. The office also coordinates with other U.S. government agencies involved in trade

and with the business/trade community.

(6) The Office of Field Operations manages the operations at the ports of entry

relating to the processing of carriers, goods, and people entering and leaving the U.S. This

includes collecting duties, detecting and intercepting contraband, ensuring imports meet the

requirements for legal entry, properly classifying goods, and verifying import statistics. This

office also coordinates with the international trade and travel communities on implementing

trade programs, passenger initiatives, and export requirements.

(7) The Office of Information and Technology implements and supports

information technology, research and development functions, and automation and technological

strategies designed to meet mission-related needs.

(8) The Office of Internal Affairs ensures compliance with all Customs'

programs and policies regarding security activities. The office oversees internal security,

integrity, and management inspections programs.

5. Formal National Security Process Involvement. The Customs Service was "founded as the

premier law enforcement agency" due to its role as the "collector and protector of the revenue."12

Customs maintains responsibility for collecting tariffs and excise taxes but now supports other

U.S. law enforcement and government agencies in combating threats to U.S. national security,

such as narcotics trafficking, money laundering, and domestic and foreign terrorist actions.

Because it plays a critical role in the regulation and oversight of over 300 ports of entry

for the United States, the Customs Service is responsible for enforcing or implementing hundreds

 

12 "U.S. Customs History."
9

of provisions in over 130 laws designed to "protect citizens from dangerous drugs, hazardous

materials, unsafe products, [and] environmental degradation . . . "13 The Customs Service

participates in a number of interagency working groups to address issues of concern.

The burgeoning global market has created an unprecedented flow of trade for the United

States. The Customs Service is critical in ensuring trade compliance so that damaging products

are not imported into the United States and sensitive products and technologies are not exported.

In addition to its responsibilities concerning trade compliance, the Customs Service has

identified and developed strategies to "further disrupt and dismantle smuggling organizations."14

As the Customs Service is the lead government agency in seizing illegal narcotics, as well as a

sizable amount of currency, it cooperates and coordinates its efforts against money laundering

activities and narcotics trafficking with other law enforcement and government agencies.

A. Strategy Development: The U.S. Customs Service has no direct role in strategy

development.

B. Policy, Guidance, and Regulation: The U.S. Customs Service regulates imports,

exports, people, and currency passing through America's borders by monitoring all ports of

entry. In doing so, Customs ensures imported and exported goods comply with U.S. trade laws

and international agreements; collects tariffs and excise taxes, which are a significant revenue

source for the government; and enforces export controls.

Additionally, Customs provides guidance to importers as trade laws become more

complex and the number of international trade agreements (such as the North American Free

Trade Agreement and the Uruguay Round) require increased reporting from importers.

C. Planning: The U.S. Customs Service has no direct role in planning.

D. Mission Execution: The Customs Service implements U.S. trade laws and

international agreements, and enforces U.S. policy concerning smuggling (including arms,

explosives, people, etc.), export controls, and money laundering. Customs implements the

Administration's policies outlined in its narcotics control strategy. In doing so, Customs

coordinates its efforts with a number of other government agencies such as the Department of

Justice (the Drug Enforcement Agency, the Federal Bureau of Investigation, and the Immigration

and Naturalization Service), the Department of Commerce, and other Treasury offices and

bureaus (Financial Crimes Enforcement Network; Bureau of Alcohol, Tobacco, and Firearms) in

order to fulfill its mission with regard to drug interdiction, money laundering, and export

controls. Additionally, Customs coordinates with commercial air carriers and shippers to

identify high-risk passengers and cargo.

E. Observation, Orientation, and Oversight: The U.S. Customs Service is responsible

for overseeing and regulating ports of entry to United States. This includes collecting customs

duties and excise taxes and collecting import and export statistics. This trade data is provided to

the Department of Commerce (Bureau of the Census) for analysis and assists domestic industries

in market evaluation.

 

13 "1997 U.S. Customs Service Strategic Plan.

14 "U.S. Customs Service – Operations." (http://www.fas.org/irp/agency/ustreas/customs/ops.htm).
10

F. Preparation: The U.S. Customs Service has no direct role in preparation.

G. Resourcing: The U.S. Customs Service has no direct role in resourcing.

6. Informal National Security Process Involvement. The U.S. Customs Service partners with

a number of federal agencies, state and local law enforcement, airport and port authorities, and

air and sea carriers in an effort to identify threats of trafficking, terrorism, and smuggling.

Customs investigators and intelligence analysts provide critical tactical information not

only to other Customs divisions, but also to federal, state, and local law enforcement agencies in

an effort to coordinate interdiction efforts. In an effort to foster interagency cooperation,

Customs encourages joint participation in a "cross functional" component comprised of a number

of Customs specialists created to "target commercial shipments for examination and followup."15 Additionally, there are ongoing efforts to cultivate partnerships with the Departments of

State, Defense, Justice, and state and local agencies.

Other partnership activities include Customs' participation in a number of internal and

external groups that address export control issues. Agencies that Customs partners with to solve

export issues include the Departments of Commerce, State, Defense, Energy, the Federal Bureau

of Investigation, and the Central Intelligence Agency.16

7. Funding and Personnel.

A. Authorization and Appropriations: The primary authorization committees in

Congress with oversight of the Customs Service include the Senate Finance Committee, the

House Ways and Means Committee, the Senate Judiciary Committee, and the House Judiciary

Committee.

The appropriations committees with oversight of Customs include the Treasury, Postal

Service and General Government Subcommittee of the House Appropriations Committee and the

Treasury, and General Government Subcommittee of the Senate Appropriations Committee.

B. Funding Sources: The Customs Service receives its primary funding by means of the

Treasury Department's appropriations. Customs' training programs devoted to international

narcotics interdiction, money laundering, and counterterrorism efforts are funded by the

Department of State through the international affairs budget (Function 150).

C. Budget: The President's fiscal year 1999 budget request for the Customs Service was

$1.8 billion, an increase of $123.4 million (or 7.3 percent) from the enacted fiscal year 1998

budget.

D. Personnel: There are approximately 19,000 employees of the U.S. Customs Service.

It is undetermined how many have a direct role in the national security process.

8. Conclusions. While many consider the military as the protector of America's borders, the

U.S. Customs Service is the principal border control agency.

 

15 "U.S. Customs Service – Operations" (http://www.fas.org/irp/agency/ustreas/customs/ops.htm).

16 "U.S. Customs Service – Operations"
11

The U.S. Customs Service has emerged as a key player in the implementation and

enforcement of counter-narcotics efforts, anti-money laundering activities, counterterrorism, and

export controls. A number of government agencies and federal programs rely on the support

from the Customs service to fulfill mission strategies designed to address newly identified

national security threats. As criminal activities expand and are increasingly transnational, it is

essential to include the Customs Service in the interagency coordination process. With close

participation with law enforcement and the intelligence community, Customs can increasingly

support initiatives to combat transnational criminal activities and protect and prevent the export

of sensitive dual use or defense items and technologies.
ORGANIZATIONAL DESCRIPTION

FINANCIAL CRIMES ENFORCEMENT NETWORK (FinCEN)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Financial Crimes Enforcement Network (FinCEN)

Overview.

The Financial Crimes Enforcement Network (FinCEN) was established by the Secretary

of the Treasury in 1990 by Treasury Order 105-08 to administer the regulatory and enforcement

authorities of the following legislation:

• The Bank Secrecy Act of 1970;

• The Money Laundering Control Act of 1986;

• The Annunzio-Wylie Money Laundering Act of 1992; and

• The Money Laundering Suppression Act of 1994.

FinCEN supports federal, state, local, and international law enforcement agencies in antimoney laundering efforts by linking them to the financial community through providing

information and analysis of financial transactions.

Organization.

The Director of FinCEN is appointed by the Secretary of the Treasury and reports to the

Under Secretary for Enforcement. Traditionally, the Director is a career law enforcement

officer. FinCEN is composed of functional offices under the Director's oversight with the Legal

Counsel, Security, and Program Development within the Office of the Director. The functional

offices include:

• Office of Management;

• Office of Information Technology;

• Office of Communications;

• Office of International Program;

• Office of Compliance and Regulatory Enforcement;

• Office of Research and Analysis;

• Office of Investigative Support; and

• Office of Data Systems Support.
3

Role in Formal and Informal National Security Processes.

The Financial Crimes Enforcement Network's primary focus is on anti-money laundering

efforts and the regulation of financial institutions to detect suspicious or fraudulent financial

activity. For national security purposes, it is necessary to maintain a sound financial industry

and structure. Fraudulent activities in the financial industry cause instability in financial markets

resulting in consequences that reverberate throughout the economy. FinCEN administers those

laws that regulate financial institutions in order to combat fraudulent financial transactions and

financial crimes.

Observations.

While FinCEN is a small organization, it provides essential services that supplement

investigations and support those agencies critical in the national security process. FinCEN's

strong focus on money laundering activities is designed to assist law enforcement agencies in

targeting narcotics traffickers, arms smugglers, and other criminal operations that pose a threat to

U.S. national security.

FinCEN structures its services to best accommodate its users and customers–those in the

law enforcement community. However, its services could be expanded to assist the intelligence

community as well by providing valuable information regarding the financial activities of

suspected terrorists and anti-U.S. organizations.
4

ORGANIZATIONAL DESCRIPTION

FINANCIAL CRIMES ENFORCEMENT NETWORK (FINCEN)

1. Legal Specifications, Authorizations, and Responsibilities.

A. Congressional Statutes: The Financial Crimes Enforcement Network (FinCEN) was

not established through a Congressionally legislated mandate; rather the Secretary of the

Treasury created it in 1990 by Treasury Order 105-08. However, the following statutes outline

the regulatory and enforcement authorities FinCEN administers:

(1) The Bank Secrecy Act of 1970 (BSA) (Public Law 91-508, Titles I and II)

provides the backdrop to the establishment of FinCEN. This law requires banks and financial

institutions to retain records of financial transactions and financial institutions report certain

types of financial transactions.

(2) The Money Laundering Control Act of 1986 (Public Law 99-570)

supplemented the BSA by stiffening compliance with the reporting requirements established in

the BSA and it "made money laundering a crime in its own right . . . "1

(3) In 1992, the BSA was amended by the Annunzio-Wylie Money Laundering

Act, which required financial institutions "to report any suspicious transaction relevant to a

possible violation of law or regulation."2 This act also allowed the Secretary of the Treasury to

require financial institutions to establish anti-money laundering programs, and created the BSA

Advisory Committee. The Advisory Committee is a public-private partnership between

representatives from the financial community and federal and state regulatory and law

enforcement agencies.

(4) The Money Laundering Suppression Act of 1994 (MLSA) further amended

the BSA by easing some regulatory requirements of the financial institutions but, more

importantly, it directed Treasury to designate one agency to act as a clearinghouse for all reports

of suspicious financial transactions. This act also required that all organizations involved in

financial transactions register with the Treasury Department.

B. Department/Agency Directives: The Financial Crimes Enforcement Network was

created by the Secretary of the Treasury on April 25, 1990 (Treasury Order 105-08). The

organization was initially established to focus on the detection of financial crimes by providing

analytical support to law enforcement investigations. However, in 1994, FinCEN's role in antimoney laundering activities was expanded as it merged with the Office of Financial

Enforcement. Hence, FinCEN acquired responsibility for administering the BSA. In combining

these offices, Treasury "created a single anti-money laundering agency, that could combine

regulatory, intelligence, and enforcement missions."3

2. Missions/Functions/Purposes. "The mission of the Financial Crimes Enforcement Network

is to support and strengthen domestic and international anti-money laundering efforts and to

 

1 "Banks and Beyond Timeline." FinCEN web page (http://www.treas.gov/fincen/helpfin.html).

2 "Banks and Beyond Timeline."

3 "Banks and Beyond Timeline."
5

foster interagency and global cooperation to that end through information collection, analysis

and sharing, technological assistance, and innovative and cost-effective implementation of

Treasury authorities."4

A. Major Responsibilities: The major responsibilities of FinCEN include:

(1) Providing a link between the law enforcement, the financial, and regulatory

communities to combat money laundering;

(2) Encouraging and assisting international efforts to build effective countermoney laundering policies and cooperation around the world;

(3) Administering the Bank Secrecy Act; and

(4) Improving the understanding and application of state-of-the-art technologies

on counter-money laundering efforts.

B. Subordinate Activities and Agencies: FinCEN has no subordinate activities or

agencies.

3. Vision and Core Competencies.

A. Vision: FinCEN has no stated vision but its goal is: "[p]roviding law enforcement

through information analysis and the creation of new information resources for the prevention,

detection, and prosecution of money laundering."5

B. Core Competencies: While FinCEN has no identified core competencies, it is

designated as "one of Treasury's primary agencies to establish, oversee and implement policies to

prevent and detect money laundering."6 This is accomplished by:

(1) Using counter-money laundering laws to require reporting and record keeping

by banks and other financial institutions; and

(2) Providing intelligence and analytical support to law enforcement.

4. Organizational Culture.

A. Values: FinCEN is a service-based organization that provides financial information,

analysis, and support to its customers who include federal, state, local and international law

enforcement agencies.

B. Leadership Traditions: The Director of FinCEN is appointed by the Secretary of the

Treasury and reports to the Under Secretary for Enforcement. The FinCEN Director does not

 

4 U.S. Treasury Department, Financial Crimes Enforcement Network mission statement. (http://www.treas.gov/fincen/).

5 "Strategic Plan 1997-2002." U.S. Department of the Treasury, Financial Crimes Enforcement Network.

(http://www.treas.gov/fincen/strtpl97.pdf).

6 "FinCEN – Operations." (http://www.fas.org/irp/agency/ustreas/fincen/ops.htm).
6

require Senate confirmation. Traditionally, the Director is a member of the Senior Executive

Service and the current Director, James F. Sloan, is a career law enforcement officer.

C. Staff Attributes: FinCEN staff consist of professionals with specializations in

intelligence, the financial industry, and computers.

D. Strategy: FinCEN's strategy states that "the Financial Crimes Enforcement Network

(FinCEN) works to make the prevention, detection, and prosecution of money laundering more

effective by adding to the knowledge and resources that law enforcement and regulatory

agencies can use to fight financial crime. FinCEN's 'support toolbox' or strategies includes:

(1) A broad-based network for information sharing;

(2) Application of technology to analyze and share information;

(3) The information collection and anti-money laundering authorities of the Bank

Secrecy Act;

(4) Concentrated and sophisticated intelligence analysis about trends and patterns

in money laundering; and

(5) Activities to foster international cooperation to deter and detect money

laundering."7

E. Organization Chart:

Figure 1: Organization of the Financial Crimes Enforcement Network

 

7 "Strategic Plan 1997-2002." p. 3.

Office of the Director

Associate Director

Office of Program

Development Legal Counsel

Security

Office of Management Office of Communications

Office of Investigative Support

Office of Compliance &

Regulatory Enforcement

Office of International Programs Office of Research/Analysis

Office of Information Technology

Office of Data Systems Support

Program

Development Staff
7

The Legal Counsel, Security, Office of Management, and Office of Communications are

standard overhead functions that provide administrative support to the Director. The Office of

Management has responsibility for personnel, training, logistics, and budget issues. The Office

of Communications is responsible for congressional and public affairs.

(1) The Office of Program Development directs policy and compliance

programs with regard to the Bank Secrecy Act, including coordinating federal and state programs

concerning the administration and enforcement of the BSA.

(2) The Office of Information Technology works to enhance domestic and

international anti-money laundering efforts through technological innovations. By implementing

technology advancements, this office improves information collection, analysis, and sharing

efforts in a cost-effective manner.

(3) The Office of International Programs develops, coordinates, and promotes

bilateral and multilateral anti-money laundering standards, policies, and programs. This office is

involved in and supports international efforts to combat financial crimes, advises foreign

governments on anti-money laundering countermeasures and participates in or advises the

Treasury representative to international forums on financial crimes issues.

(4) The Office of Compliance and Regulatory Enforcement serves as

FinCEN's liaison to federal, state, and local financial regulatory and law enforcement agencies to

ensure cooperation in implementing and enforcing BSA requirements, and implementing antimoney laundering programs.

(5) The Office of Research and Analysis identifies trends, patterns, and issues

associated with money laundering and other financial crimes then distributes the information to

aid in the prevention, detection and enforcement of financial crimes.

(6) The Office of Investigative Support assists federal, state, local and

international law enforcement and regulatory agencies in financial crimes investigations and

prosecution actions concerning violations of insurance, securities, and banking laws, money

laundering, and other financial crimes.

(7) The Office of Data Systems Support is responsible for the development,

operation, and administration of on-line intelligence research capabilities and information

sources for use by FinCEN and other federal, state, and local law enforcement agencies.

5. Formal National Security Process Involvement. The Financial Crimes Enforcement

Network's primary focus is on anti-money laundering efforts and the regulation of financial

institutions to detect suspicious or fraudulent financial activity. For national security purposes, it

is necessary to maintain a sound financial industry and structure. Fraudulent activities in the

financial industry can have consequences that reverberate throughout the U.S. economy and

threaten U.S. security. FinCEN administers those laws that regulate financial institutions8 in

order to combat fraudulent financial transactions and financial crimes. FinCEN's Strategic Plan

 

8 Financial institutions include banks, other depository institutions, brokers and dealers of securities, state-licensed and Indian

tribal casinos, check cashers, money transmitters, currency exchangers, and businesses involved in the sale and issuance of

money orders, travelers checks, and stored value products.
8

notes that "[i]f unchecked, money laundering has the ability to destabilize democratic systems

and undermine economic and financial markets around the world."9

FinCEN is a support organization that provides information and resources to the law

enforcement community to counter-money laundering activities; therefore, it is involved in many

interagency activities. FinCEN chairs an Interagency Working Group and leads the U.S.

delegation of the multilateral Financial Action Task Force (FATF), which was established by the

G-7 Economic Summit in 1989. FinCEN is involved in other international efforts to develop a

"cooperative plan to counter the growing economic and legal problems of money laundering"10

(such as the Caribbean Financial Action Task Force (CFATF) and the Asia/Pacific Group on

Money Laundering (APG)).

As money laundering activities are directly linked to drug trafficking, arms smuggling,

and other illegal/criminal operations, FinCEN supports those agencies involved in combating

these national security threats. For example, FinCEN provides country assessment reports on

financial crimes and other input for the interagency process of preparing the annual International

Narcotics Control Strategy Reports released by the Bureau of International Narcotics and Law

Enforcement, Department of State.

A. Strategy Development: The Financial Crimes Enforcement Network plays no direct

role in strategy development.

B. Policy Guidance and Regulation: The Financial Crimes Enforcement Network issues

regulations to direct banks and non-bank financial institutions to keep and maintain records, file

reports, establish programs to guard against financial crime, and report suspicious transactions to

the government. Additionally, FinCEN provides formal and informal guidance to federal and

state financial regulators and financial services organizations concerning the applicability of

BSA regulatory requirements to their specific operations.11

FinCEN also provides advice and guidance at the interagency level to promote bilateral

and multilateral activities to combat financial crimes, implement anti-money laundering

standards, and frame policy issues concerning financial crimes.

C. Planning: The Financial Crimes Enforcement Network plays no direct role in

planning.

D. Mission Execution: The Financial Crimes Enforcement Network participates in

mission execution by supporting and coordinating with federal, state, and local criminal

investigators in their efforts to identify and prosecute narcotics and arms smuggling and other

criminal activities that may involve financial institutions. FinCEN provides case support to

federal, state, and local investigators by collecting and analyzing financial data that adds value

and links financial information to what is already known by investigators.

As specialized experts on financial crimes issues, FinCEN advises the Interagency

Coordination Group (ICG) established as a forum for sharing narcotics money laundering

 

9 "Strategic Plan 1997-2002." p. 5.

10 "FinCEN – Operations." (http://www.fas.org/irp/agency/ustreas/fincen/ops.htm).

11 "Associate Director, Office of Program Development (OPD)" Factsheet provided by the Office of Communications, FinCEN.
9

information. The ICG was created in 1996 in order to promote multi-agency money laundering

investigations and is made up of representatives from the Internal Revenue Service (Criminal

Investigation), U.S. Customs Service, Drug Enforcement Administration, Federal Bureau of

Investigation, and the U.S. Postal Inspectors.12

E. Observation, Orientation, and Oversight: The Financial Crimes Enforcement

Network is responsible for oversight of the banking and financial services industries and

cooperates with these industries to detect suspicious financial transactions and activities.

FinCEN also has oversight of federal and state programs established to administer and enforce

the BSA. This includes oversight of federal bank regulators and the Examination Division of the

Internal Revenue Service. Additionally, FinCEN oversees the activities of the Detroit

Computing Center (DCC) of the Internal Revenue Service. The DCC is responsible for

collecting forms filed by financial institutions as required by the BSA.13

F. Preparation: The Financial Crimes Enforcement Network plays no direct role in

preparation.

G. Resourcing: The Financial Crimes Enforcement Network plays no direct role in

resourcing.

6. Informal Formal National Security Process Involvement. As The Financial Crimes

Enforcement Network is a service organization that supplements and supports the activities and

investigations of federal, state, and local law enforcement agencies, its role in the national

security process often is an informal one and it acts as advisor in providing specialized expertise

on financial crimes. FinCEN also participates informally in the national security process by

coordinating outreach efforts and initiatives with the Departments of State, Justice, and Treasury.

FinCEN advises and supports the U.S. position on financial crime in international forums

such as the Organization of American States (OAS), Council of Europe, Offshore Group of

Banking Supervisors, International Criminal Police Organization (INTERPOL), Summit of the

Americas, the United Nations, and EUROPOL. Additionally, FinCEN advises Treasury's

representative to the G-7 and G-8 on issues involving money laundering and financial crimes.

7. Funding and Personnel.

A. Authorization and Appropriations: The primary authorization committees in the

House and Senate for FinCEN include: the House Committee on Banking and Financial Services

and the Senate Committee on Banking, Housing and Urban Affairs.

The appropriations committees with oversight of FinCEN include the Treasury, Postal

Service and General Government Subcommittee of the House Appropriations Committee and the

Treasury and General Government Subcommittee of the Senate Appropriations Committee.

B. Funding Sources: FinCEN receives its funding by means of the Treasury

Department's appropriations.

 

12 "FinCEN – Operations."

13 "Associate Director, Office of Program Development (OPD.)"
10

C. Budget: The President's fiscal year 1999 budget request for FinCEN was $25 million,

an increase of $1.2 million (or five percent) from the enacted fiscal year 1998 budget.

D. Personnel: There are fewer than 200 full time employees at FinCEN, including

approximately 40 professionals from other regulatory and law enforcement agencies assigned to

FinCEN on a long-term basis.

8. Observations. While FinCEN is a small organization, it provides essential services that

supplement investigations and support those agencies critical in the national security process.

FinCEN's strong focus on money laundering activities is designed to assist law enforcement

agencies in targeting narcotics traffickers, arms smugglers, and other criminal operations that

pose a threat to U.S. national security.

FinCEN structures its services to best accommodate its users and customers–those in the

law enforcement community. However, its services could be expanded to assist the intelligence

community as well by providing valuable information regarding the financial activities of

suspected terrorists and anti-U.S. organizations.
ORGANIZATIONAL DESCRIPTION

U.S. SECRET SERVICE

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

U.S. Secret Service

Overview.

Originally formed to combat the proliferation of counterfeiting, the Secret Service was

the first general federal law enforcement agency and its capabilities expanded over time to

investigate many cases unrelated to counterfeiting. However, once other federal law

enforcement agencies were created, the Secret Service's investigative jurisdiction was limited to

Treasury-related crimes. Its powers, authorities, and duties are outlined in Title 18 of the United

States Code, Section 3056. The Secret Service's primary responsibilities consist of sustaining a

secure physical environment for permanent protectees and visiting foreign heads-ofstate/government, and suppressing counterfeiting and financial crimes against the obligations and

securities of the United States.

Organization.

In order to maintain an apolitical organization, the Director of the Secret Service is a

career Secret Service agent appointed from the ranks of the Service and reports to the Under

Secretary for Enforcement.1 The Secretary of the Treasury appoints the Director. The Director's

position does not require Senate confirmation.

The Secret Service is composed of functional offices under the Director's oversight, each

managed by an Assistant Director. The functional offices include:

• The Office of Inspection;

• The Office of Protective Operations;

• The Office of Administration;

• The Office of Protective Research;

• The Office of Government Liaison and Public Affairs;

• The Office of Training; and

• The Office of Investigations.

Role in Formal and Informal National Security Process.

The U.S. Secret Service contributes to national security by maintaining the stability of the

United States government leadership through offering security and protection for U.S. leaders.

 

1 Information provided by U.S. Secret Service Congressional Affairs Office.
3

Additionally, the Secret Service preserves the integrity of the U.S. financial system by

combating counterfeiting operations and financial fraud. For national security purposes, it is

necessary to maintain a sound financial system. Fraudulent activity in the financial and

monetary system causes instability that reverberates throughout the U.S. economy, which then

threatens U.S. security.

Observations.

The U.S. Secret Service has a limited role in the national security process. While its

responsibilities with regard to upholding the integrity of the U.S. financial and monetary system

are important, other federal, state, and local law enforcement agencies have the capabilities to

conduct such investigations. Combining efforts of other law enforcement organizations with the

capabilities and support of the Financial Crimes Enforcement Network (FinCEN), the

jurisdiction of the Secret Service regarding financial fraud could be replaced, and may already

overlap with efforts by the Department of Justice or other Treasury offices.
4

ORGANIZATIONAL DESCRIPTION

U.S. SECRET SERVICE

1. Legal Specifications, Authorizations, and Responsibilities. The U.S. Secret Service

evolved without a formal legislative mandate but came about under the Act of June 23, 1860 (12

U.S. Statutes at Large 102), which called for a means to combat counterfeiting. It was not until

1882 that Congress formally recognized the Secret Service as a distinct office within the

Treasury Department (22 U.S. Statutes at Large 230). However, it was not until the passage of

Public Law 82-79 on 16 July, 1951, that the Secret Service was officially recognized as a

permanent agency of the government.2

A. Congressional Statutes: The powers, authorities, and duties of the U.S. Secret

Service are outlined in Title 18 U.S.C., Part II, Chapter 203, Section 3056. The Uniformed

Division of the Secret Service was established under Title 3 U.S.C., Chapter 3, Section 202.

B. Interagency Directives: Presidential Decision Directive (PDD)-62 applies to the U.S.

Secret Service by designating it as the lead agency for coordinating National Special Security

Events. PDD-62 was created to coordinate activities between the many U.S. agencies involved

in counterterrorism measures and programs.

2. Missions/Functions/Purposes.

A. Major Responsibilities: Originally formed to combat the proliferation of

counterfeiting, the Secret Service's law enforcement capabilities expanded over time to

investigate many cases unrelated to counterfeiting. However, once other federal law

enforcement agencies emerged, the Secret Service's investigative jurisdiction was limited to

Treasury-related crimes. Currently, the U.S. Secret Service's primary mission is enforcing those

laws that prohibit threats against protectees of the Service and the physical protection and

security of:

(1) The President and the Vice President of the United States and their immediate

families;

(2) The President-elect and Vice President-elect and their immediate families;

(3) Former Presidents and their wives;

(4) The widows of former Presidents until death or remarriage;

(5) Minor children of a former President until they reach 16 years of age;

(6) At the direction of the President, official representatives of the United States

performing special missions abroad;

(7) Foreign heads of state and government or others as designated by law or

Executive Order; and

 

2 Information provided by United States Secret Service, Office of Congressional Affairs.
5

(8) The White House complex, the Vice President's residence, various foreign

consular and diplomatic missions, and other specific locations and facilities.

And the Secret Service is responsible for upholding the integrity of the nation's financial

systems through the enforcement of those laws that prohibit:

(1) Counterfeiting of the currency and securities of the United States and foreign

governments;

(2) Theft and forgery of U.S. Treasury checks, bonds, and other obligations;

(3) Access device fraud related to credit and debit cards and telecommunications;

(4) False identification fraud;

(5) Electronic funds transfer fraud;

(6) Computer fraud;

(7) Fraud against federally insured financial institutions to include savings and

loan institutions; and

(8) Food coupon fraud.

B. Subordinate Activities and Agencies: The U.S. Secret Service has no subordinate

activities or agencies.

3. Vision and Core Competencies.

A. Vision: The U.S. Secret Service vision states: "Built on a tradition of excellence and

meeting the challenges of the future, the United States Secret Service moves as one to protect our

nation's leaders, visiting world leaders, and the integrity of the nation's financial systems."

B. Core Competencies: Although the U.S. Secret Service has no stated core

competencies, its expertise and primary role is:

(1) Sustaining a secure physical environment for permanent protectees and

visiting foreign heads-of-state/government; and

(2) Suppressing counterfeiting and financial crimes against the obligations and

securities of the United States.

4. Organizational Culture.

A. Values: The Secret Service does not maintain a values statement.

B. Leadership Traditions: In order to maintain an apolitical organization, the Director

of the Secret Service is a career Secret Service agent appointed from the ranks of the Service and
6

reports to the Under Secretary for Enforcement.3 The Secretary of the Treasury appoints the

Director but the Senate does not confirm him. There are seven Assistant Directors who report

directly to the Director.

C. Staff Attributes: Secret Service agents are rotated between investigative and

protective duties. Secret Service officers in the Uniformed Division are responsible for the

security of the White House, the Vice President's residence, all buildings where Presidential staff

are located, the U.S. Treasury Building and annexes, foreign diplomatic missions in the

Washington, D.C. region, and foreign diplomatic establishments in other parts of the United

States as the President may direct. Secret Service agents are qualified specialists in a variety of

professions and are involved in financial fraud investigations and protection activities. They

include security specialists, electronics engineers, communications technicians, research

psychologists, computer experts, armorers, intelligence analysts, polygraph examiners, forensic

experts, scientists, document and handwriting analysts, and specialists in other fields.4

D. Strategy: The Secret Service does not maintain an organizational strategy.

E. Organization Chart:

Figure 1: Organization of the United States Secret Service

(1) The Office of Inspection is concerned with the internal affairs of the Secret

Service. This includes investigating any allegations of misconduct, executing any disciplinary

action, and inspecting each operational division every three years.5

(2) The Office of Protective Operations oversees protective planning activities

and the details of special agents assigned to permanent and temporary protectees. Additionally,

this office coordinates with military, federal, state, county, and local law enforcement agencies in

preparation for a protectee's visit. Advance team surveys establish security operations prior to a

protectee's visit.

 

3 Information provided by U.S. Secret Service Congressional Affairs Office.

4 "Budget and Personnel." (http://www.fas.org/irp/agency/ustreas/usss/staff.htm).

5 U.S. Secret Service Public Affairs Office.

Director of the Secret Service

Inspection Protective Operations Administration Protective Research

Government Liaison & Public Affairs Training Investigations
7

(3) The Office of Administration oversees standard overhead functions for the

Secret Service such as financial management, procurement, and personnel.

(4) The Office of Protective Research manages activities associated with followup review of a protectee's visit to analyze the protective operation and suggest improvements.

Agents and specialists involved in protective research often rely on information provided by

local law enforcement and intelligence agencies regarding "individuals or groups who may pose

a threat to protectees."6

(5) The Office of Government Liaison and Public Affairs manages inquiries from

the media as well as complaints and questions from the press and the public. Additionally, this

office acts as liaison with foreign country officials, coordinates with foreign security services

concerning visits of foreign heads of state, and cooperates with foreign intelligence and law

enforcement agencies.7

(6) The Office of Training coordinates standard and specialized training courses

and activities for Secret Service personnel. This office provides training for other government

agencies and federal, state, and local law enforcement agencies on a case-by-case basis.8

(7) The Office of Investigations consists of the Counterfeit Division, the Financial

Crimes Division, and the Forensic Services Division. This office oversees efforts to combat

counterfeiting of currency and securities of the United States and foreign governments and

investigating cases involving financial fraud, forgery, or "criminal violations against federally

insured financial institutions."9 Additionally, the Forensic Services Division offers forensic

expertise to other law enforcement agencies in the areas of polygraph exams, document

examinations, fingerprint identification, and graphic arts support.10

5. Formal National Security Process Involvement. The U.S. Secret Service contributes to

national security by maintaining the stability of the United States government leadership through

providing security and protection for U.S. leaders.

Additionally, the Secret Service preserves the integrity of the U.S. financial system by

combating counterfeiting operations and financial fraud. For national security purposes, it is

necessary to maintain a sound financial system. Fraudulent activity in the financial and

monetary system causes instability that reverberates throughout the U.S. economy, which then

threatens U.S. economic security.

The Secret Service is formally involved in the national security process through its

participation in the National Security Council/Deputies Committee, Counterterrorism Security

Group (CSG). The Secret Service also participates in Interagency Working Groups (IWG) led

 

6 "Protective Research." Operations of the Secret Service. (http://www.treas.gov/usss).

7 U.S. Secret Service Public Affairs Office.

8 U.S. Secret Service Public Affairs Office.

9 "The Investigative Mission." Organization and Functions. (http://www.fas.org/irp/agency/ustreas/usss/org.htm).

10 "Forensic Services Division." United States Secret Service, Investigations. (http://www.treas.gov/usss/forensics.htm).
8

by National Security Council staff and those led by a department or agency, and in crisis action

teams.11

A. Strategy Development: The U.S. Secret Service has no direct role in strategy

development.

B. Policy, Guidance, and Regulation: The U.S. Secret Service has no direct role in

policy, guidance, or regulation.

C. Planning: The U.S. Secret Service has no direct role in planning.

D. Mission Execution: The U.S. Secret Service investigates financial crimes that could

damage the integrity of the U.S. financial system and corrupt other critical infrastructures such as

the communications system. The Secret Service has sole responsibility for investigating

counterfeiting of U.S. obligations and securities, including U.S. currency and coins, U.S.

Treasury checks, Department of Agriculture food coupons, and U.S. postage stamps.12

The Secret Service also "plans, reviews, and coordinates criminal investigations

involving financial systems crimes," including bank fraud; access device fraud;

telecommunications and computer crimes; fraudulent identification; fraudulent government and

commercial securities; and electronic funds transfer fraud.13 The Secret Service coordinates its

investigative operations with a number of other federal, state and local agencies and provides

support programs and resources that assist other agencies with forensics and computer crime

investigative support. Samples of these support programs and resources include:14

(1) The Electronic Crime Special Agent Program provides specialized training to

select Secret Service Agents in the area of preservation and analysis of all forms of electronic

evidence;

(2) The Automated Fingerprint Identification System is the largest network

compiling fingerprint records for over 25 million people nationwide;

(3) The False Identification and Financial Document Classified System correlates

investigative and forensic evidence on false identity documents; and

(4) The Forensic Information System for Handwriting is a means to associate and

identify handwriting. Other agencies with access to link to the database include the Department

of State, the U.S. Capitol Police, the Federal Bureau of Investigation (FBI), and the Naval

Criminal Investigative Service.

The Secret Service participates in a number of Task Forces established to coordinate

federal, state, and local law enforcement agencies' efforts in targeting domestic and international

 

11 This information was provided by the U.S. Secret Service in response to a survey prepared by the U.S. Commission on

National Security/21st Century (hereafter, U.S. Secret Service survey response).

12 "Counterfeit Division." United States Secret Service, Investigations. (http://www.treas.gov/usss/counterfeit.htm).

13 "Financial Crimes Division." United States Secret Service, Investigations. (http://www.treas.gov/usss/financial_crimes.htm)

14 U.S. Secret Service survey response.
9

criminal organizations. Samples of such task forces designed to address threats to national

security include:

(1) The Financial Crimes Task Force created to assess the destabilizing effects of

financial criminal activity on the nation's security and economic and financial infrastructure;

(2) The High Intensity Drug Trafficking Areas (HIDTA) are joint efforts of local,

state, and federal law enforcement agencies that assess regional drug threats, design strategies to

combat the threats, and develop initiatives to implement the strategies;15

(3) The International Criminal Police Organization (INTERPOL) promotes

international cooperation among police authorities in fighting crime;

(4) The Interagency Bank Fraud Working Group addresses problems of

combating financial institution crime by sharing criminal referral information particularly in the

area of background checks and the coordination of particular significant matters of mutual

interest; and

(5) The Joint Terrorism Task Force is lead by the FBI and supports

counterterrorism efforts.

E. Observation, Orientation, and Oversight: The Secret Service oversees the physical

security and protection of the President, Vice President, foreign diplomats, and distinguished

visitors to the United States, among others. The Secret Service Uniformed Division oversees the

security and protection of the White House grounds and other Presidential offices, the Vice

President's residence, foreign consular and diplomatic missions, and the U.S. Treasury building

and its annex.

F. Preparation: The U.S. Secret Service coordinates with the intelligence community,

the Departments of State, Defense, Justice, Energy, Treasury, the National Security Agency, the

National Security Council, and other federal, state, and local law enforcement agencies in

intelligence dissemination and sharing.16

G. Resourcing: The U.S. Secret Service has no direct role in resourcing.

6. Informal National Security Process Involvement. The Secret Service is dependent upon

the support and assistance of many federal, state, and local law enforcement agencies and the

intelligence community to fulfill its missions of protection and investigations. Therefore, the

Secret Service "places a high priority on establishing and maintaining excellent working

relationships with outside organizations."17

 

15 "High Intensity Drug Trafficking Areas (HIDTAs): An Overview." Office of National Drug Control Policy

(http://www.whitehousedrugpolicy.gov/enforce/hidta/overview.html).

16 U.S. Secret Service survey response.

17 U.S. Secret Service survey response.
10

7. Funding and Personnel.

A. Authorization and Appropriations: The primary authorization committees in

Congress with oversight of the Secret Service include the Senate Judiciary Committee and the

House Judiciary Committee.

The appropriations committees with oversight of the Secret Service include the Treasury,

Postal Service, and General Government Subcommittee of the House Appropriations Committee,

and the Treasury and General Government Subcommittee of the Senate Appropriations

Committee.

B. Funding Sources: The U.S. Secret Service receives its funding by means of the

Treasury Department's appropriations.

C. Budget: The Secret Service's fiscal year 1999 budget was $729 million, an increase

from the fiscal year 1998 budget.18

D. Personnel: The U.S. Secret Service was authorized 5,194 employees for fiscal year

1999. The Secret Service considers both its core missions–protection and investigations–to be

national security activities; therefore, 100 percent of its employees play a direct or indirect role

in the national security process.19

8. Observations. The U.S. Secret Service has a limited role in the national security process.

While its responsibilities with regard to upholding the integrity of the U.S. financial and

monetary system are important, other federal, state, and local law enforcement agencies have the

capabilities to conduct such investigations. Combining efforts of other law enforcement

organizations with the capabilities and support of the Financial Crimes Enforcement Network

(FinCEN), the jurisdiction of the Secret Service regarding financial fraud could be replaced, and

may already overlap with efforts by the Department of Justice or other Treasury offices.

 

18 U.S. Secret Service survey response.

19 U.S. Secret Service survey response.
ORGANIZATIONAL DESCRIPTION

FEDERAL EMERGENCY MANAGEMENT AGENCY (FEMA)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

Federal Emergency Management Agency (FEMA)

Overview.

The Federal Emergency Management Agency's (FEMA) principal goal is: "...to reduce

loss of life and property and protect our nation's critical infrastructure from all types of hazards

through a comprehensive, risk-based, emergency management program of mitigation,

preparedness, response and recovery." FEMA's responsibilities include:

• Building preparedness by ensuring adequate plans are in place for the continuation of

essential government functions during any emergency; and

• Promoting effective land-use planning, building codes and other means to minimize the

effects of disasters such as floods, hurricanes, and earthquakes.

FEMA was established as an independent federal agency in June 1978 by Reorganization

Plan No. 3 (43 F.R. 41943, 92 Stat. 3788).

Organization.

FEMA is organized into functional (e.g. Mitigation Directorate) and issue (e.g. National

Security Affairs) offices as well as the U.S. Fire Administration and Federal Insurance

Administration. The Director of FEMA is appointed by the President and approved by the

Senate and is a member of the President's Cabinet. The Director coordinates federal disaster

relief on behalf of the President, including the response and recovery activities of 27 federal

agencies and departments, the American Red Cross, and other voluntary agencies. The agency is

made up of more than 2,600 full-time employees and another 7,000 standby disaster assistance

employees. It executes a $1.4B budget (1999).

Role in Formal and Informal National Security Processes.

FEMA's role in the formal national security process differs depending on the situation. In

peacetime, FEMA is responsible for developing, coordinating, and maintaining a viable and

coherent national emergency preparedness system and submitting an annual report to the

President and Congress that assesses the state of Federal civil defense and emergency functions

and capabilities.

In the case of a "national security emergency", FEMA, in conjunction with the President

and the National Security Council (NSC), will establish and coordinate national security

emergency preparedness policy. This entails a variety of activities, including reassignment of

functions and resources to the FEMA Director.

Conclusions and Observations.

As overseer of the nation's disaster response and management system, FEMA is in charge

of developing and directing national emergency preparedness policies in peacetime and in crises,

in conjunction with all Federal agencies in various interagency processes and under the guidance
3

and supervision of the NSC and the President. All of these activities are aimed at maintaining a

viable and coherent system of national governance and continuity of the day-to-day functions

performed by the federal government.
4

ORGANIZATIONAL DESCRIPTION

FEDERAL EMERGENCY MANAGEMENT AGENCY (FEMA)

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Statute: The Federal Emergency Management Agency (FEMA) was

established by Reorganization Plan No. 3 (43 F.R. 41943, 92 Stat. 3788) in June 1978 as an

independent agency within the Executive Branch.1 The agency's principal goal is: "...to reduce

loss of life and property and protect our nation's critical infrastructure from all types of hazards

through a comprehensive, risk-based, emergency management program of mitigation,

preparedness, response and recovery."2

B. Other Directives: The following have bearing on FEMA:

(1) Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1974

(PL 93-288; as amended by PL 100-707) provides Federal assistance to state and local

government so they can alleviate suffering and damage from disasters. This act broadens

existing relief programs to encourage disaster preparedness plans and programs, coordination

and responsiveness, insurance coverage, and hazard mitigation measures.3 These activities are

codified in the Federal Response Plan (FRP). FEMA, as a signatory to the plan, may directly

intervene in a disaster situation only if the President determines that assistance under existing

federal programs is inadequate to meet a crisis, and therefore subject to aid under Stafford Act

authorities.4 

(2) Executive Order 12148 ("Federal Emergency Management"-July 20,

1979) authorizes the transfer of emergency functions of various federal agencies to FEMA,

including the transfer and reassignment of functions and resources and other general provisions.5

These provisions include directing FEMA to establish Federal policies and coordinate all civil

defense and civil emergency planning, management, mitigation, and assistance functions of

Executive agencies.6

(3) Executive Order 12472 ("Assignment of National Security and

Emergency Preparedness Telecommunications Functions"-April 3, 1984) established the

National Communications System (NCS) and seeks to ensure that the activities of the NCS are

conducted in conjunction with the emergency management activities of FEMA.7

 

1 United States Code website (http://www4.law.cornell.edu/uscode/5x/appx108.text.html).

2 Federal Emergency Management Agency (FEMA) website (http://www.fema.gov/).

3 Public Law 93-288.

4 Federal Response Plan (FRP): Terrorism Incident Annex (April 1992).

5 Stated as: "All functions vested in the President that have been delegated or assigned to the [various agencies] are transferred or

reassigned to the Director of the Federal Emergency Management Agency." These agencies include the Defense Civil

Preparedness Agency (DoD); the Federal Disaster Assistance Administration (HUD); and the Federal Preparedness Agency

(GSA). In addition: "All functions vested in the President by the Earthquake Hazards Reduction Act of 1977, including those

functions performed by the Office of Science and Technology Policy, are delegated, transferred, or reassigned to the Director

of the Federal Emergency Management Agency."

6 EO 12148.

7 EO 12472.
5

(4) Executive Order 12656 ("Assignment of Emergency Preparedness

Responsibilities"-November 18, 1988) states that the: "...Director of the Federal Emergency

Management Agency shall serve as an advisor to the National Security Council (NSC) on issues

of national security emergency preparedness, including mobilization preparedness, civil defense,

continuity of government, technological disasters, and other issues, as appropriate."8 The FEMA

Director shall also assist in the implementation of national security emergency preparedness

policy by coordinating with the other Federal departments and agencies and with State and local

governments. The Director is also responsible for providing periodic reports to the NSC on

implementation of national security emergency preparedness policy.9 

(5) Presidential Decision Directive (PDD) 39 ("U.S. Policy on

Counterterrorism"-June 21, 1995) established policy to reduce the nation's vulnerability to

terrorism, deter and respond to terrorism, and strengthen capabilities to detect, prevent, defeat,

and manage the consequences of terrorist use of WMD. PDD 39 states: "...that the United States

will have the ability to respond rapidly and decisively to terrorism directed against Americans

wherever it occurs, arrest or defeat the perpetrators using all appropriate instruments against the

sponsoring organizations and governments, and provide recovery relief to victims, as permitted

by law."10 In addition, it designates FEMA as the lead agency for consequence management in

the United States and gives it the authority and responsibility to act in this capacity throughout

the Federal response phase of a disaster. It also directs FEMA to support the Department of

Justice until the Attorney General transfers the LFA (Lead Federal Agency) role to FEMA.11

(6) PDD 62 ("Protection Against Unconventional Threats to the Homeland

and Americans Overseas"-May 22, 1998) reinforced the mission of the agencies charged with

roles in combating terrorism. It also codifies and clarifies their activities in the wide range of

counter-terrorism programs, from apprehension and prosecution of terrorists to increasing

transportation security, to enhancing response capabilities and protecting computer-based

systems. PDD 62 also establishes the Office of the National Coordinator for Security,

Infrastructure Protection and Counter-Terrorism. The National Coordinator will oversee the

broad variety of relevant policies and programs, including such areas as counter-terrorism,

protection of critical infrastructure, and preparedness and consequence management for weapons

of mass destruction (where FEMA would become involved through the FRP).12

(7) PDD 63 ("Critical Infrastructure Protection (CIP)"-May 22, 1998) Set a

goal of a reliable, interconnected, and secure information system infrastructure by the year 2003,

and significantly increased security to government systems by the year 2000, by:

(a) Immediately establishing a national center to warn of and respond to

attacks;

 

8 Presidential Decision Directive (PDD) 2 ("Organization of the National Security Council"; January 20, 1993) makes this

possible by stating: "The heads of other Executive departments and agencies, the special statutory advisers to the NSC; and

other senior officials shall be invited to attend meetings of the NSC where appropriate."

9 Executive Order (EO) 12656.

10 PDD 39.

11 PDD 39.

12 Presidential Decision Directive (PDD) 62: "Protection Against Unconventional Threats to the Homeland and Americans

Overseas".
6

(b) Addressing the cyber and physical infrastructure vulnerabilities of the

Federal government by requiring each department and agency to reduce its exposure to new

threats;

(c) Requiring the Federal government to serve as a model to the rest of the

country for how infrastructure protection is to be attained;

(d) Seeking the voluntary participation of private industry to meet

common goals for protecting our critical systems through public-private partnerships;

(e) Protecting privacy rights and utilizing market forces to strengthen and

protect the nation's economic power; and

(f) Seeking full participation and input from the Congress.

PDD 63 establishes a National Coordinator whose responsibilities include not only

critical infrastructures, but also foreign terrorism and threats of domestic mass destruction

(including biological weapons).13 As in PDD 62, FEMA's role under this Directive is comprised

of assistance in the preparedness and consequence management arenas.

(8) PDD 67 ("Enduring Constitutional Government and Continuity of

Government Operations"-October 21, 1998) established FEMA as the Executive Agent for

Federal Executive Branch Continuity of Operations (COOP).

2. Missions/Functions/Purposes.

A. Major Responsibilities: FEMA's job is to lead the country in developing and

maintaining a national emergency management system that helps people protect themselves,

their families, homes, and businesses from all hazards. More specifically, FEMA:14

(1) Builds preparedness by ensuring adequate plans are in place for the

continuation of essential government functions during any emergency. A serious disruption of

government services could severely hinder emergency management assistance to the American

people.

(2) Promotes effective land-use planning, building codes, and other means to

minimize the effects of disasters such as floods, hurricanes, and earthquakes. FEMA provides

technical assistance, nationwide flood-hazard mapping, training, and grants directed at reducing

the impact of disasters to government agencies throughout the country.

(3) Coordinates the Federal response to disasters that exceed the capabilities of

State and local governments, and assists communities to recover.

 (4) Operates the U.S. Fire Administration, which supports the Nation's fire service

and emergency medical services communities. The Fire Administration conducts training,

public education, and research programs in subjects related to fire protection technologies and

 

13 PDD 63: "Critical Infrastructure Protection (CIP)".

14 FEMA website.
7

emergency response procedures. The Fire Administration's National Fire Data Center

coordinates the Federal, State, and local partnership in fire incident data-collection and analysis,

through the National Fire Incident Reporting System.

(5) Operates the Federal Insurance Administration, which makes flood insurance

available to residents of communities that agree to adopt and enforce sound floodplain

management practices.

In all of its activities, FEMA works in close consultation with partners in State and local

governments, business and industry, the American Red Cross, and other volunteer and non-profit

organizations.

B. Subordinate Activities and Agencies:

(1) U.S. Fire Administration (USFA)

(2) Federal Insurance Administration (FIA)

3. Vision and Core Competencies.

A. Vision: The vision for FEMA is expressed in the agency's strategic plan, Partnership

for A Safer Future: "The Nation's emergency management system is built on a partnership of

local, State, and Federal governments, voluntary agencies, business and industry, and individual

citizens focused on saving lives and property and reducing the effects of disasters regardless of

their cause." The vision of an effective "Partnership for a Safer Future" for America is:15

(1) "An informed public protecting their families, homes, workplaces,

communities, and livelihoods from the impact of disasters;

(2) "Communities built to withstand the natural hazards which threaten them;

(3) "Governmental and private organizations with plans, resources, and rigorous

training and exercising for disaster response; and

(4) "Community plans, prepared in advance, for recovery and reconstruction after

a disaster."

B. Core Competencies: None published.

4. Organizational Culture.

A. Values: FEMA's eight core values are:16

(1) Quality Work: "We are dedicated to doing the best job possible."

 

15 FEMA website.

16 FEMA website.
8

(2) Customer Service: "We value our internal and external customers, and strive

to meet their needs."

(3) Creativity and Innovation: "New ideas and creativity are fundamental to

continued growth, continuous improvement, and problem solving."

(4) Teamwork: "Each employee has something of value to contribute. By

working cooperatively together, we can better achieve the agency's mission and goals."

(5) Continuous Improvement: "Sustained development of personal/professional

skills and program delivery is key to better serving our customers."

(6) Public Stewardship: "We are committed to prudent management of the

taxpayers' money and dedication to providing the public with the highest quality service."

(7) Diversity: "FEMA's employees are its most valuable resource. The diversity

of their backgrounds, experiences, and skills enhances their value."

(8) Partnership: "Reaching out and engaging FEMA's partners collaboratively is

essential to our success and enriches our products."

B. Leadership Traditions: The Director of FEMA is appointed by the President and

approved by the Senate and is a member of the President's Cabinet.17 The Director coordinates

federal disaster relief on behalf of the President, including the response and recovery activities of

27 federal agencies and departments, the American Red Cross and other voluntary agencies.18

He/she also oversees the National Flood Insurance Program, the U.S. Fire Administration and

other pro-active mitigation activities that reduce loss of life and property from all types of

hazards.19

C. Staff Attributes: None specific to FEMA.

D. Strategy: FEMA's strategy is outlined in the Strategic Plan: Partnership for a Safer

Future. It includes three overarching goals, with each containing several operational objectives.

These goals are:20

(1) Protect lives and prevent the loss of property from all hazards;

(2) Reduce human suffering and enhance the recovery of communities after

disaster strikes; and

(3) Ensure that the public is served in a timely and efficient manner;

 

17 FEMA website (position elevated to Cabinet status in February of 1996—a first for a FEMA Director).

18 These agencies include the Departments of Agriculture, Commerce, Defense, Education, Energy, Health & Human Services,

Housing & Urban Development, Interior, Justice, Labor, State, Transportation, Treasury, Veterans Affairs, Environmental

Protection Agency, Federal Communications Commission, General Services Administration, National Aeronautics & Space

Administration, National Communications System, Nuclear Regulatory Commission, Office of Personnel Management,

Small Business Administration, Tennessee Valley Authority, and the U.S. Postal Service.

19 FEMA website.

20 "Strategic Plan: Partnership for a Safer Future".
9

FEMA's Mitigation, Response & Recovery and Preparedness Directorates are primarily

responsible for ensuring that these goals are met.

E. Organization Chart: FEMA is organized as follows:21

Figure 1: Organization of the Federal Emergency Management Agency (FEMA)

(1) Inspector General serves as an independent and objective audit,

investigative, and inspection unit relating to FEMA programs and operations for the purpose of

promoting economy, effectiveness, and efficiency, or preventing and detecting fraud, waste, and

abuse in FEMA programs and operations.

(2) Congressional and Legislative Affairs: Maintains liaison with Congress,

including:

(a) Updating Members on various programs and activities at FEMA;

(b) In the case of disasters, informing Members on programs and

assistance available to their constituents;

(c) Coordinating pertinent legislation, including appropriations and bills

affecting relief and emergency capabilities.

(3) Human Resources Management: Responsible for hiring of full-time,

permanent employees and supervision of employee insurance and payroll issues.

 

21 FEMA website.

Office of the

Director

-Deputy Director

-Chief of Staff

Inspector General

Human Resources

Management

Equal Rights

Financial

Management

General Counsel

Regional

Offices

Regions I-X

Information

Tech Services

Directorate

U.S.

Fire

Administration

Federal

Insurance

Administration

Response &

Recovery

Directorate

Mitigation

Directorate

Operations

Support

Directorate

Preparedness

Directorate

Congressional &

Legislative Affairs

Emergency Info &

Media Affairs

Policy & Regional

Operations

National Security

Affairs
10

(4) Emergency Information and Media Affairs: Responsible for dissemination

of information in emergency situations. FEMA carries out this process through a variety of

tools, including:

(a) The Recovery Channel, which provides television coverage of

briefings and interviews with experts in multiple languages;

(b) The Recovery Times, which combines the latest desktop publishing

technology with electronic transmission of stories and images to one printing contractor for all

disasters;

(c) FEMAFAX/Spectrafax, a computerized facsimile system, which uses

comprehensive databases and 48 telephone lines to allow rapid targeted information distribution;

(d) The FEMA Radio Network (FRN), which records sound bites and

public service announcements with disaster officials and scientific experts;

(e) The Recovery Radio Network, which distributes live broadcasts of

emergency public information;

(f) The FEMA Internet World Wide Web site, a virtual electronic

encyclopedia of disaster information; and

(g) The FEMA Automatic Internet Emergency News and Situation Report

Distribution Service, which sends subscribers news releases and disaster situation reports via Email.

(5) Equal Rights: Responsible for ensuring FEMA compliance with the Equal

Employment Opportunity Act and other civil rights issues.

(6) Policy and Regional Operations: Responsible for initiating agency policy,

coordinating the agency's performance plan, coordinating activities with all regional offices, and

overseeing intergovernmental affairs, tribal liaison, and environmental assessment activities.

(7) Financial Management: Responsible for planning, programming, budgeting,

controlling, reporting, and auditing FEMA operations, and establishing and maintaining an

integrated accounting and financial management system, including financial reporting and

internal controls.

(8) National Security Affairs: Coordinates activities in support of FEMA's roles

and responsibilities in terrorism preparedness, planning, exercises and response (particularly

those involving coordination among multiple program offices within FEMA), and with other

departments and agencies. It is also responsible for establishing guidelines and regulations

related to planning for Continuity of Government (COG), Continuity of Operations (COOP), and

Critical Infrastructure Protection (CIP).

An example of these regulations is Federal Preparedness Circular (FPC) 65 ("Federal

Executive Branch Continuity of Operations (COOP)-July 26, 1999). FPC 65 is a FEMA

document that provides guidance to Federal departments and agencies for use in developing

viable and executable contingency plans for the continuity of operations (COOP). COOP
11

planning facilitates the performance of essential functions during an emergency situation. COOP

planning is meant to assure that the capabilities exist to continue essential functions during

emergency and/or crises situations. The objectives of COOP planning are:22

(a) "Ensuring the continuous performance of an agency's

functions/operations during an emergency;

(b) "Protecting essential facilities, equipment, records, and other assets;

(c) "Reducing or mitigating disruptions to operations;

(d) "Reducing loss of life, minimizing damage and losses; and

(e) "Achieving a timely and orderly recovery from an emergency and

resumption of full service to customers."

(9) General Counsel: Provides legal services to all of FEMA's program and

support offices and represent the agency in litigation.

(10) Mitigation: Is defined as "sustained action that reduces or eliminates longterm risk to people and property from natural hazards and their effects." It describes the ongoing

effort at the Federal, State, local, and individual levels to lessen the impact of disasters upon

families, homes, communities, and the economy.

An example of this effort is FEMA's Project Impact. This nationwide initiative is

intended to help protect communities from the effects of natural disasters by taking actions that

dramatically reduce disruption and loss. Project Impact operates on three principles: preventive

actions must be decided at the local level; private sector participation is vital; and long-term

efforts and investments in prevention measures are essential. FEMA offers expertise and

technical assistance at the national and regional level and seeks the aid of other federal agencies

and states in this effort.23

(11) Response and Recovery: Conducts emergency operations to save lives and

property by positioning emergency equipment and supplies, evacuating potential victims,

providing food, water, shelter, and medical care to those in need, and restoring critical public

services; rebuilds communities so individuals, businesses, and governments can function on their

own, return to normal life, and protect against future hazards.

(12) Preparedness: Builds the emergency management profession to effectively

prepare for, mitigate against, respond to, and recover from any hazard by planning, training, and

exercising.

(13) Operations Support: Provides logistics, security, health and safety, and

other mission support services essential to the accomplishment of the Agency's missions.

 

22 Federal Preparedness Circular (FPC) 65.

23 FEMA website.
12

(14) Information Technology Services: Provides agency-wide IT services and

systems for routine operations and emergency disaster situations. In concert with other federal

agencies and state and local governments, it provides leadership and direction for integrating IT

resources, automated data processing, communications, and information services necessary to

expedite all aspects of emergency management.

(15) Regional Offices (Regions I-X): Each region serves several states, and

regional staff work directly with the states to help plan for disasters, develop mitigation

programs, and meet needs when major disasters occur.

(a) Region I serves the federal emergency management needs of the

States of Maine, New Hampshire, Vermont, Rhode Island, Connecticut, and Massachusetts;

(b) Region II serves the States of New York, New Jersey, the

Commonwealth of Puerto Rico, and the Territory of the U.S. Virgin Islands;

(c) Region III serves the District of Columbia, Delaware, Maryland,

Pennsylvania, Virginia, and West Virginia;

(d) Region IV serves Alabama, Florida, Georgia, Kentucky, Mississippi,

North Carolina, South Carolina, and Tennessee;

(e) Region V serves Illinois, Indiana, Michigan, Minnesota, Ohio, and

Wisconsin;

(f) Region VI serves Arkansas, Louisiana, New Mexico, Oklahoma and

Texas.

(g) Region VII includes Iowa, Kansas, Missouri, and Nebraska;

(h) Region VIII encompasses Colorado, Montana, North Dakota, South

Dakota, Utah and Wyoming;

(i) Region IX includes States of Arizona, California, Hawaii and Nevada;

and the Territory of American Samoa, the Territory of Guam, the Commonwealth of the

Northern Mariana Islands, the Republic of the Marshall Islands, the Federated States of

Micronesia, and the Republic of Palau; and

(j) Region X serves Alaska, Idaho, Oregon, and Washington.

In addition, FEMA maintains area offices in Puerto Rico and Hawaii, and several

facilities, such as the National Emergency Training Center in Emmitsburg, MD, and the Mt.

Weather Emergency Assistance Center in Round Hill, VA.

5. Formal National Security Process Involvement. FEMA's role in the formal national

security process differs depending on the given situation. In peacetime, FEMA is responsible for

coordinating and maintaining a viable and coherent national emergency preparedness system

through its work with federal, state, and local government agencies. The following "disaster
13

cycle" entails developing and maintaining capabilities in the following functional areas in order

to prepare for and respond to a disaster(s):24

Figure 2: Disaster Cycle

This process is undertaken in conjunction with all federal agencies and organizations at

the state and local levels. In addition, FEMA is required to submit an annual report to the

President and Congress that assesses "the current overall state of effectiveness of Federal civil

defense and civil emergency functions, organizations, resources, and systems and recommend[s]

measures to be taken to improve planning, management, assistance, and relief by all levels of

government, the private sector, and volunteer organizations."25

In the case of a "national security emergency" (any occurrence, including natural disaster,

military attack, technological emergency, which seriously degrades or seriously threatens

national security) FEMA will advise the President and the National Security Council (NSC) on

the establishment and implementation of national security emergency preparedness policy.26

This consists of identification of needed functions, development of plans to execute these

functions, and development of capabilities to execute the plans.

A. Strategy Development: No direct involvement. The National Security Strategy

states: "We [U.S.] will do all we can to prevent destructive forces such as terrorism, WMD use,

sabotage of our information systems and natural disasters from endangering our citizens. But if

an emergency occurs, we must also be prepared to respond effectively to protect lives and

property and ensure the survival of our institutions and national infrastructure. National security

emergency preparedness is imperative, and comprehensive, all-hazard emergency planning by

Federal departments and agencies continues to be a crucial national security requirement." In

this regard, FEMA is responsible for the development of policy and guidelines governing the

preparedness and response activities called for in the National Security Strategy. It is also

 

24 FEMA website.

25 EO 12148. A copy of the annual report could not be acquired for further study.

26 During such crises, the NSC is the principal forum for consideration and resolution of national security resource preparedness

policy.

Response

Recovery

Mitigation Risk

Reduction

Prevention

Preparedness

DISASTER
14

responsible for ensuring Federal agency compliance and implementation through planning and

preparation assistance and oversight (e.g. establishment of COOP and CIP guidelines) through

tools such as FPC 65. 

B. Policy, Guidance, and Regulation: EO 12148 authorizes FEMA and its Director to ".

. . establish Federal policies for, and coordinate, all civil defense and civil emergency planning,

management, mitigation, and assistance functions of Executive agencies."27 As a result of this

authority, FPC 65 " . . . provides guidance to Federal Executive Branch departments and

agencies for use in developing viable and executable contingency plans for COOP [for their

individual agencies]. COOP planning facilitates the performance of department/agency essential

functions during any emergency or situation that may disrupt normal operations."28

C. Planning: EO 12656 requires FEMA to: "Coordinate the development and

implementation of plans for the operation and continuity of essential domestic emergency

functions of the Federal Government during national security emergencies."29 In this case, the

Director of FEMA, in conjunction with the President and the NSC, will assist in planning

emergency policy, including mobilization preparedness, civil defense, continuity of government,

and technological disasters. More specifically, FEMA will assist individual agencies in

developing plans pertinent to their scope and functions. An example of this is DoD working

with FEMA to develop plans and capabilities for identifying, analyzing, mitigating, and

responding to hazards posed by nuclear weapons, material, and other devices.30

In more specific terms, development and coordination of the FRP is a major planning

activity for FEMA. Given its primary responsibility of " . . . coordinating Federal emergency

preparedness, planning, management, and disaster assistance functions," FEMA (through the

Response and Recovery Directorate) develops and produces the FRP.31 The document provides

the mechanism for coordinating delivery of Federal assistance and resources (including the role

and functions of federal agencies that are signatories to the plan) to augment efforts of State and

local governments overwhelmed by a major disaster or emergency.

Once developed, the FRP is submitted to the 27 agencies involved in crisis and disaster

management for final approval.32 Any signatory agency may propose and develop a change to

the FRP. The agency proposing the change has the responsibility to coordinate it among the

primary and support agencies of the affected function(s) and any associated agency program

areas as required. The change is then approved by senior official(s) in the affected agency and

forwarded to FEMA for review and inclusion in the FRP. After receipt of the necessary signed

approvals (from the affected agency) supporting the changes, FEMA will issue an official Notice

of Change signed by the FEMA Associate Director (Response and Recovery) to all signatory

agencies. Once issued, the changes will be considered part of the FRP for operational purposes

pending a formal revision and re-issuance of the entire document.33

 

27 EO 12148.

28 FPC 65

29 EO 12656.

30 EO 12156.

31 FRP.

32 Refer to Footnote #18 for list of signatory agencies.

33 FRP.
15

In crises with national security implications, specifically incidents of terrorism, the FRP,

under the auspices of PDD 39, instructs FEMA to:34

(1) "Determine when consequences are “imminent” for the purposes of the

Stafford Act," [that is, conditions under which FEMA, by Presidential direction, may intervene

in an incident under the authority of the Act];

(2) "Consult with the Governor’s office and the White House to determine if a

Federal consequence management response is required and if FEMA is directed to use Stafford

Act authorities. This process will involve appropriate notification and coordination with the FBI,

as the overall LFA [Lead Federal Agency];

(3) "Work with the FBI to establish and operate a JIC [Joint Information Center]

in the field as the focal point for information to the public and the media concerning the Federal

response to the emergency;

(4) "Establish the primary Federal operations centers for consequence

management in the field and Washington, DC;

(5) "Appoint a ROC [Regional Operations Center] Director or FCO [Federal

Coordinating Officer] to manage and coordinate the Federal consequence management response

in support of State and local governments. In coordination with the FBI, the ROC Director or

FCO will convene meetings with decision makers of Federal, State, and local emergency

management and technical support agencies, as appropriate, to formulate incident action plans,

define priorities, review status, resolve conflicts, identify issues that require decisions from

higher authorities, and evaluate the need for additional resources;

(6) "Issue and track the status of consequence management actions assigned by

FEMA; and

(7) "Designate appropriate liaison and advisory personnel to support the FBI."

D. Mission Execution: In an overall sense, FEMA will assist in the implementation of

emergency preparedness policy by coordinating and assisting individual agencies when they

implement their specific plans. For example, FEMA will work with Federal agencies to develop

and maintain the ability to assess actual damage from attacks and recovery capabilities from such

incidents.

Specifically, in the case of a terrorist incident, FEMA is charged by the FRP with heading

the Consequence Management component of the FBI-led Joint Operations Center (JOC) that

would be established in the field. A FEMA representative coordinates the actions of the JOC

Consequence Management Group, expedites activation of a Federal consequence management

response should it become necessary, and works with an FBI representative who serves as the

liaison between the Consequence Management Group and the FBI On-Scene Commander

(OSC). The JOC Consequence Management Group monitors the crisis management response in

order to advise on decisions that may have implications for consequence management (e.g. if

 

34 FRP.
16

intervention is applicable under the Stafford Act), and to provide continuity should a Federal

consequence management response become necessary.

 E. Observation, Orientation, and Oversight: Under EO 12148, the Director of FEMA,

by virtue of serving as an advisor to the NSC in times of crisis, retains oversight authority over

the entire federal emergency management system. Furthermore, EO 12148 gives FEMA

additional oversight authority by reassigning and/or transferring functions to the Director.

 F. Preparation: FEMA will assist and coordinate with Federal agencies as they prepare

their individual emergency preparedness plans. In addition, FEMA, through FPC 65, will work

to ensure that these agencies comply with the requirements in the document.

 G. Resourcing: FEMA, through emergency reassignment of functions and

responsibilities authorized by EO 12148, can supervise the flow of resources to various agencies

and activities. EO 12656 tasks FEMA to: "Provide guidance to the heads of Federal departments

and agencies on the appropriate use of defense production authorities, including resource

claimancy, in order to improve the capability of industry and infrastructure systems to meet

national security emergency needs."35 In addition, EO 12148 states: "The records, property,

personnel and positions, and unexpended balances of appropriations, available or to be made

available, which relate to the functions transferred, reassigned, or redelegated by this Order are

hereby transferred to the Director of the Federal Emergency Management Agency."36

If the President directs FEMA to intervene in an incident, such as a terrorist attack, under

the Stafford Act authorities, the agency can oversee resourcing through issuance of mission

assignments through the FRP to support consequence management. The FRP states that: " . . .

Mission assignments are reimbursable work orders, issued to Federal agencies, directing

completion of specific tasks. Although the Stafford Act states that “Federal agencies may be

reimbursed for expenditures under the Act” from the Disaster Relief Fund, it is FEMA policy to

reimburse Federal agencies for eligible work performed under mission assignments."37

6. Informal National Security Process Involvement. No specific involvement. All substantive

issues and tasks are carried out through formal channels and processes.

7. Funding and Personnel.

A. Authorization and Appropriations: FEMA programs are authorized by a variety of

congressional committees. The following are examples of various initiatives and the sponsoring

House and/or Senate committee(s):38

(1) The House Banking and Financial Services, and Science Committees

sponsoring a bill to provide for a Federal program of insurance [established by FEMA] against

the risk of catastrophic earthquakes, volcanic eruptions, and hurricanes, and for other purposes.39

 

35 FRP.

36 EO 12148.

37 FRP.

38 THOMAS: Legislative Information on the Internet (http://thomas.loc.gov/). Bills are from the 106th Congress.

39 H.R. 481.
17

(2) The House Science, Resources, and the Senate Commerce, Science, and

Transportation sponsoring a bill to authorize appropriations [to FEMA] for carrying out the

Earthquake Hazards Reduction Act of 1977 for fiscal years 2000 and 2001, and for other

purposes.40

(3) The Senate Environment and Public Works and House Transportation

and Infrastructure Committees sponsoring bills to amend the Robert T. Stafford Disaster

Relief and Emergency Assistance Act to authorize programs for pre-disaster mitigation,

streamline the administration of disaster relief, and control the Federal costs of disaster

assistance.41

(4) The Senate Armed Services Committee sponsoring a bill to authorize

appropriations for fiscal years 2000 and 2001 for military activities of the Department of

Defense, to prescribe military personnel strengths for fiscal years 2000 and 2001, and for other

purposes. The bill requires the Director of FEMA to administer a program to provide off-post

emergency preparedness required to protect the public around U.S. installations where lethal

chemical agents and munitions are stored. It also requires the Director to assist States in

responding to emergencies associated with the storage and destruction of such agents and

munitions. Additionally, it authorizes FEMA to establish an incentive program to encourage

State and local governments to achieve early, efficient, and cost-effective attainment of the

required level of emergency preparedness.42

The House and Senate Appropriations Committees (Subcommittee on VA-HUD and

Independent Agencies) appropriate FEMA as an independent federal agency.

B. Funding Sources: FEMA is funded as an independent federal agency.

C. Budget: The 1999 budget for FEMA was $1.4B.43

D. Personnel: FEMA is made up of more than 2,600 full-time employees and another

nearly 4,000 standby disaster assistance employees who are available to assist after disasters.44

8. Conclusions and Observations. As overseer of the nation's disaster response and

management system, FEMA is in charge of developing and directing national emergency

preparedness policies in peacetime and in crises, in conjunction with all Federal agencies, and

under the guidance and supervision of the NSC and the President. All of these activities are

aimed at maintaining a viable and coherent system of national governance and continuity of the

day-to-day functions performed by the federal government.

 

40 H.R. 1184.

41 S. 583 & H.R. 1711.

42 S. 974.

43 Budget of the United States Government (1999).

44 FEMA website.
ORGANIZATIONAL DESCRIPTION

U.S. NUCLEAR REGULATORY COMMISSION (NRC)

Prepared for the U.S. Commission on National Security/21st Century
2

EXECUTIVE SUMMARY

U.S. Nuclear Regulatory Commission (NRC)

Overview.

The U.S. Nuclear Regulatory Commission (NRC) is responsible for:

• Ensuring the protection of the public health and safety;

• The common defense and security; and

• The environment in the use of nuclear materials in the United States.

The NRC's scope of responsibility includes regulation of:

• Commercial nuclear power reactors;

• Non-power research, test, and training reactors;

• Fuel cycle facilities;

• Medical, academic, and industrial uses of nuclear materials; and

• The transport, storage, and disposal of nuclear materials and waste.

The Energy Reorganization Act of 1974, which abolished the Atomic Energy

Commission (AEC) and moved the AEC’s regulatory function to NRC, established the

NRC as an independent agency. This act, along with the Atomic Energy Act of 1954, as

amended, provides the foundation for regulation of the nation's commercial nuclear power

industry.

Organization.

The NRC is composed of five members, appointed by the President and confirmed by the

Senate, one of whom the President designates as Chairman.

The Chairman is the principal executive officer of and the official spokesman for the

NRC and is responsible for conducting the administrative, organizational, long-range planning,

budgetary, and certain personnel functions of the agency.

He/she has ultimate authority for all NRC functions pertaining to an emergency involving

a NRC license. His/her actions are governed by the general policies of the Commission. The

NRC has 18 component offices, some with several subordinate functional offices, and has a staff

of 2,977 full-time employees. The NRC's 1999 budget was approximately $470M.
3

Role in Formal and Informal National Security Processes.

The NRC plays a role in the national security process by supporting implementation of

nonproliferation initiatives and policies through export-import licensing for nuclear materials and

equipment, treaty implementation, international information exchanges, and international safety

and safeguards assistance. The NRC achieves this by means of its authority to regulate the

procurement, use, and flow of nuclear material through licensing and inspection regimes.

Conclusions and Observations.

As the regulator of the U.S. nuclear network, the NRC is responsible for the safe

operation of all nuclear plants and facilities and the safeguarding of all nuclear material in the

country. As a result, it also supports international nonproliferation efforts through its ability to

control and supervise the possession and flow of nuclear material and equipment. Furthermore,

the NRC also provides assistance for the enforcement of various international agreements and

regimes designed to prevent or curb the illicit flow and transfer of nuclear material.
4

ORGANIZATIONAL DESCRIPTION

U.S. NUCLEAR REGULATORY COMMISSION (NRC)

1. Legal Specifications, Authorizations, and Responsibilities.

A. Authorizing Directive: The U.S. Nuclear Regulatory Commission (NRC) was

established as an independent federal agency by the Energy Reorganization Act of 1974, which

abolished the Atomic Energy Commission (AEC) and moved the AEC's regulatory function to

NRC. This act, along with the Atomic Energy Act of 1954 (as amended) provides the foundation

for regulation of the nation's commercial nuclear power industry.1

B. Department/Agency Directives: The following acts have bearing on the NRC:2

(1) Atomic Energy Act of 1954, as amended;

(2) Energy Reorganization Act of 1974, as amended;

(3) Uranium Mill Tailings Radiation Control Act of 1978, as amended;

(4) Nuclear Non-Proliferation Act of 1978;

(5) Low-Level Radioactive Waste Policy Act of 1980;

(6) West Valley Demonstration Project Act of 1980;

(7) Nuclear Waste Policy Act of 1982;

(8) Low-Level Radioactive Waste Policy Amendments Act of 1985;

(9) Diplomatic Security and Anti-Terrorism Act of 1986;

(10) Nuclear Waste Policy Amendments Act of 1987;

(11) Solar, Wind, Waste and Geothermal Power Production Incentives Act of

1990; and

(12) Energy Policy Act of 1992.

2. Missions/Functions/Purposes.

A. Major Responsibilities: The NRC's mission is to ensure protection of the public

health and safety, the common defense and security, and the environment in the use of nuclear

materials in the United States. The NRC's scope of responsibility includes regulation of

commercial nuclear power reactors; non-power research, test, and training reactors; fuel cycle

 

1 Nuclear Regulatory Commission (NRC) website (http://www.nrc.gov/nrc.html).

2 NRC website.
5

facilities; medical, academic, and industrial uses of nuclear materials; and the transport, storage,

and disposal of nuclear materials and waste.3

The NRC fulfills its responsibilities through a system of licensing and regulatory

activities that include:4

(1) Licensing the construction and operation of nuclear reactors and other nuclear

facilities, such as nuclear fuel cycle facilities and non-power test and research reactors, and

overseeing their decommissioning;

(2) Licensing the possession, use, processing, handling, and export of nuclear

material;

(3) Licensing the siting, design, construction, operation, and closure of low-level

radioactive waste disposal sites under NRC jurisdiction; and the construction, operation, and

closure of the geologic repository for high-level radioactive waste;

(4) Licensing the operators of nuclear power and non-power test and research

reactors;

(5) Inspecting licensed facilities and activities;

(6) Conducting the principal U.S. Government research program on light-water

reactor safety;

(7) Conducting research to provide independent expertise and information for

making timely regulatory judgments and for anticipating problems of potential safety

significance;

(8) Developing and implementing rules and regulations that govern licensed

nuclear activities;

(9) Investigating nuclear incidents and allegations concerning any matter

regulated by the NRC;

(10) Enforcing NRC regulations and the conditions of NRC licenses;

(11) Conducting public hearings on matters of nuclear and radiological safety,

environmental concern, common defense and security, and antitrust matters;

(12) Developing effective working relationships with the States regarding reactor

operations and the regulation of nuclear material;

(13) Maintaining the NRC Incident Response Program, including the NRC

Operations Center; and

 

3 NRC website.

4 NRC website.
6

(14) Collecting, analyzing, and disseminating information about the operational

safety of commercial nuclear power reactors and certain nonreactor activities.

B. Subordinate Activities and Agencies: None.

3. Vision and Core Competencies.

A. Vision: In implementing its mission, NRC actions enable the nation to safely and

efficiently use nuclear materials. NRC's actions should be such that the public, those it regulates,

and other stakeholders in the national and international nuclear community have the utmost

respect for and confidence in the NRC.5

B. Core Competencies: NRC's core competencies with regard to its national security

functions are as follows:6

(1) Prevention of loss or theft of "special nuclear material" (SNM); 7

(2) Assessment of the implications of the export of nuclear equipment and

materials; and

(3) Safety, security, and environmental assessment of certain aspects of nuclear

technology used at facilities possessing formula quantities of weapons usable material.

4. Organizational Culture.

A. Values: The NRC adheres to the following "Principles of Good Regulation."8

(1) Independence: "Nothing but the highest possible standards of ethical

performance and professionalism should influence regulation. However, independence does not

imply isolation. All available facts and opinions must be sought openly from licensees and other

interested members of the public. The many and possibly conflicting public interests involved

must be considered. Final decisions must be based on objective, unbiased assessments of all

information, and must be documented with reasons explicitly stated."

(2) Openness: "Nuclear regulation is the public's business, and it must be

transacted publicly and candidly. The public must be informed about and have the opportunity

to participate in the regulatory processes as required by law. Open channels of communication

must be maintained with Congress, other government agencies, licensees, and the public, as well

as with the international nuclear community."

(3) Efficiency: "The American taxpayer, the rate-paying consumer, and licensees

are all entitled to the best possible management and administration of regulatory activities. The

highest technical and managerial competence is required, and must be a constant agency goal.

NRC must establish means to evaluate and continually upgrade its regulatory capabilities.

 

5 NRC Strategic Plan (FY1998).

6 NSSG Survey: NRC.

7 Defined as weapons-grade material.

8 NRC website.
7

Regulatory activities should be consistent with the degree of risk reduction they achieve. Where

several effective alternatives are available, the option that minimizes the use of resources should

be adopted. Regulatory decisions should be made without undue delay."

(4) Clarity: "Regulations should be coherent, logical, and practical. There should

be a clear nexus between regulations and agency goals and objectives, whether explicitly or

implicitly stated. Agency positions should be readily understood and easily applied."

(5) Reliability: "Regulations should be based on the best available knowledge

from research and operational experience. Systems interactions, technological uncertainties, and

the diversity of licensees and regulatory activities must all be taken into account so that risks are

maintained at an acceptably low level. Once established, regulation should be perceived to be

reliable and not unjustifiably in a state of transition. Regulatory actions should always be fully

consistent with written regulations and should be promptly, fairly, and decisively administered so

as to lend stability to the nuclear operational and planning processes."

B. Leadership Traditions: The Chairman is the principal executive officer of and the

official spokesman for the NRC, as mandated by the Reorganization Plan No. 1 of 1980, and is

designated by the President and approved by the Senate for a five-year term. As principal

executive officer, the Chairman is responsible for conducting the administrative, organizational,

long-range planning, budgetary, and certain personnel functions of the agency.

He/she has ultimate authority for all NRC functions pertaining to an emergency involving

a NRC license. His/her actions are governed by the general policies of the Commission.9

C. Staff Attributes: Knowledge in the discipline of nuclear technology.

D. Strategy: In order to achieve its mission, the NRC has organized its strategy into

seven areas with overarching objectives for each.10

(1) Nuclear Reactor Safety:

(a) Assure that licensees operate their facilities safely.

(b) Incrementally implement risk-informed, performance-based regulatory

approaches for power reactors.

(c) Maintain NRC's role in the licensing of future reactors and renewal of

existing licenses. This includes encouraging applicants, vendors, and others to inform the NRC

at the earliest opportunity of planned future reactor activities, and giving priority to reviewing

applications for license renewals, standard and advanced reactor designs, early site approvals,

and new reactor licenses.

(d) Ensure NRC involvement in licensing activities associated with reactor

decommissioning, and maintaining a research capability to provide timely and independent

technical bases for NRC regulatory decisions. This consists of providing NRC guidance to

 

9 NRC website.

10 NRC Strategic Plan.
8

decommissioning facilities, assuring that licensees have adequate resources for decommissioning

by establishing additional financial requirements, and adjusting oversight of decommissioning

facilities to be in line with safety requirements.

(e) Improve nuclear power plant performance measures to identify plants

that warrant heightened attention.

(2) Nuclear Materials Safety:

(a) Assure that licensees use materials safely.

(b) Regulate material uses consistent with the appropriate level of risk, by

decreasing oversight of those materials that pose the lowest radiological risk to the public, and

continuing emphasis on high-risk activities.

(c) Work with the Agreement States to assure consistent protection of

public health and safety nationwide.11

(d) Sustain NRC's ability to perform regulatory oversight for certain

Department of Energy (DoE) nuclear facilities. This entails identifying and resolving legal,

procedural, and technical issues before accepting oversight responsibilities of DoE nuclear

facilities, and requesting that funding for oversight of DoE facilities not be included as part of

the NRC fee base currently paid by non-DoE licensees.

(e) Maintain the research capability to provide timely and independent

technical assessments for NRC regulatory decisions.

(3) Nuclear Waste Safety:

(a) Advise DoE and prepare to license a high-level waste repository at a

pace consistent with the national program.

(b) Perform legislatively required low-level waste activities. This consists

of maintaining the core technical disciplines needed to assess low-level waste disposal issues by

relying on technical skills in other programs, and providing guidance and assistance to

Agreement States about licensing low-level waste facilities.

(4) Common Defense and Security and International Involvement:

(a) Provide leadership to strengthen nuclear safety and safeguards

worldwide.

(b) Assure that licensees control, account for, and protect nuclear

materials from being misplaced.

 

11 NRC website. An "Agreement State" is defined as a U.S. State that has signed an agreement with the NRC allowing the state

to regulate the use of radioactive material within its borders. These states are: Alabama, Arizona, Arkansas, California,

Colorado, Florida, Georgia, Illinois, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Minnesota,

Mississippi, Nebraska, Nevada, New Hampshire, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma,

Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Washington, and Wisconsin.
9

(c) Assist in curbing the proliferation of the capability to produce nuclear

explosives.

(5) Protecting the Environment:

(a) Improve the process by which licensees successfully complete

decommissioning of non-reactor sites. 

(b) Assure that licensees protect the environment during operations.

(6) Public Confidence:

(a) Objectively demonstrate that NRC's efforts enable the nation to use

nuclear materials safely.

(b) Identify regulatory decisions or issues that are likely to generate

substantial public interest or concern at an early stage, and employ appropriate methods to

inform and involve the public.

(c) Reexamine existing modes and explore new modes of communication

to make information dissemination and public interaction more effective and efficient.

(7) Excellence:

(a) Make regulatory excellence the basis for all strategies and activities.
10

E. Organization Chart: The NRC is organized as follows:12

Figure 1: Organization of the Nuclear Regulatory Commission

 

12 NRC website.

The Commission

- Chairman

- Commissioners

Advisory

Committee

On Nuclear

Waste

Advisory

Committee on

Reactor

Standards

- Office of the General Counsel

- Office of the Secretary

- Atomic Safety & Licensing Board

Panel

- Office of International Programs

- Office of Commission Appellate

Chairman

Executive Council

Chief

Financial

Officer

Executive

Director

for Operations

Chief

Information

Officer

- Office of Congressional

Affairs

- Office of Public Affairs

- Office of the Inspector

General

Assistant for

Operations

Deputy Executive Director for

Regulatory Effectiveness

Office of

Nuclear

Regulatory

Research

Office for

Analysis &

Evaluation of

Operational

Data

- Office of Investigations

- Office of Enforcement

- Incident Response

Operations

Deputy Executive

Director for

Regulatory Programs

Office of

Nuclear

Reactor

Regulation

Office of

Nuclear

Material

Safety and

Safeguards

Office of

State

Programs

- Region I: Philadelphia, PA

- Region II: Atlanta, GA

- Region III: Chicago, IL

- Region IV: Arlington, TX

Deputy Executive

Director for

Management

Services

- Office of

Administration

- Office of

Human

Resources

- Office of Small

Business and

Civil Rights
11

(1) The Commission is composed of five members, appointed by the President

and confirmed by the Senate, one of whom the President designates as Chairman.

(2) The Advisory Committee on Nuclear Waste reports to and advises the

Commission on all aspects of nuclear waste disposal facilities within the purview of NRC

responsibilities. It examines and reports on specific areas of concern identified by the

Commission and undertakes other studies and activities as directed by the Commission.

(3) The Advisory Committee on Reactor Safeguards reviews and advises the

Commission with regard to the licensing and operation of production and utilization facilities

and related safety issues; the adequacy of proposed reactor safety standards; technical and policy

issues related to the licensing of evolutionary and passive plant designs; and other matters

referred to it by the Commission. Upon request, it reviews and advises with regard to the

hazards of the DoE nuclear activities and facilities and provides technical advice to the DoE

Nuclear Facilities Safety Board. On its own initiative, the Committee may conduct reviews of

specific safety-related items. The Committee submits an annual report to the U.S. Congress

commenting on the NRC Safety Research Program.

(4) The Office of the General Counsel directs matters of law and legal policy,

provides opinions, advice, and assistance to the agency with respect to all of its activities.

(5) The Office of the Secretary provides executive management services to

support the Commission and to implement Commission decisions, and manages the Commission

Decision Tracking System. The Assistant Secretary performs functions of the Federal Advisory

Committee Management Officer and maintains liaison with certain boards and advisory

committees.

(6) The Atomic Safety and Licensing Board Panel conducts licensing and

adjudicatory hearings for the Commission and performs such other regulatory functions as the

Commission authorizes.

(7) The Office of International Programs (OIP) provides assistance and

recommendations to the Chairman, the Commission, and NRC staff on international issues. It

also provides overall coordination for NRC's international activities, including nuclear exports

and imports, international safeguards, international physical security, nonproliferation matters,

and international cooperation and assistance in nuclear safety and radiation protection.

The OIP plans, develops, and implements programs, in concert with other NRC offices,

to carry out policies established in these areas. It plans, develops, and manages international

nuclear safety information exchange programs, and coordinates international research

agreements. The OIP manages NRC's foreign intelligence responsibilities. It also establishes

and maintains working relationships with individual countries and international nuclear

organizations, as well as other involved U.S. Government agencies.

OIP assures that all international activities carried out by the Commission and its staff are

well coordinated internally and government-wide and are consistent with NRC and U.S. policies.

(8) The Office of Commission Appellate Adjudication is responsible for

monitoring cases pending before presiding officers, and for providing the Commission with an
12

analysis of any adjudicatory matter requiring a Commission decision (e.g., petitions for review of

initial licensing board decisions, certified questions, interlocutory referrals, stay requests).

(9) The Chief Financial Officer (CFO) is responsible for the NRC's Planning

and Budgeting, and Performance Management Process and for all of the NRC's financial

management activities. The CFO is one of three members of the NRC's Executive Council. The

CFO establishes planning, budgeting, and financial management policy for the agency and

provides advice to the Chairman and the Commission on these matters.

(10) The Office of the Executive Director for Operations (EDO) is the chief

operational and administrative officer of the Commission, and is authorized and directed to

discharge such licensing, regulatory, and administrative functions of the NRC and to take actions

as are necessary for day-to-day operations of the agency.

(11) The Chief Information Officer (CIO) plans, directs, and oversees the

delivery of centralized information technology (IT) infrastructure, applications, and information

management (IM) services, and the development and implementation of IT and IM plans,

architecture, and policies to support the mission, goals, and priorities of the agency.

(12) The Office of Congressional Affairs provides advice and assistance to the

Chairman, Commission, and NRC staff on all NRC relations with Congress and views of

Congress toward NRC policies, plans, and activities; maintains liaison with congressional

committees and members of Congress on matters of interest to the NRC; serves as primary

contact point for all NRC communications with Congress; coordinates NRC internal activities

with Congress; plans and develops the NRC's legislative program; and monitors legislative

proposals, bills, and hearings.

(13) The Office of Public Affairs develops policies, programs, and procedures

for informing the public of NRC activities, subject to the Chairman's approval.

(14) The Office of the Inspector General provides policy direction for and

conducts, supervises, and coordinates audits and investigations relating to all NRC programs and

operations; reviews existing and proposed legislation and regulations, and makes

recommendations concerning their impact on the economy and efficiency of NRC programs and

operations and on the prevention and detection of fraud and abuse.

(15) The Deputy Executive Director for Regulatory Effectiveness, Program

Oversight, Investigations, & Enforcement is composed of the following offices.

(a) Office of Nuclear Regulatory Research plans, recommends, and

implements nuclear regulatory research programs. These programs include:

(i) Independently proposing regulatory outcomes in the form of

improvements to NRC's regulatory programs and processes to achieve enhanced safety,

efficiency, or effectiveness;

(ii) Coordinating research activities with the program offices, as

appropriate;
13

(iii) Coordinating the development of consensus and voluntary

standards for agency use, including appointment of staff to committees;

(iv) Based on research results and experience gained, resolving

safety issues for nuclear power plants and other facilities regulated by the NRC, including those

issues designated as Generic Safety Issues;

(v) Assessing the effectiveness of selected NRC programs,

including the regulations and guidance, with regard to risk reduction potential, burden reduction

potential and the degree to which margins exist in design and operation of licensed facilities;

(vi) Conducts research to reduce uncertainties in areas of

potentially high risk or safety significance;

(vii) Leading agency initiative for cooperative research with DoE,

the nuclear industry, universities, and international partners;

(viii) Coordinating research activities outside the agency, including

appointment of staff to committees and conferences;

(ix) Maintaining technical capability to develop information for

resolution of nuclear safety issues and provides technical support and consultation to the

program offices in the specialized disciplines involved;

(x) Providing independent analysis of operational data and

assessment of operational experience through the review, analysis, and evaluation of the safety

performance of facilities licensed by the NRC;

(xi) Collecting, analyzes, and disseminates operational data;

assesses trends in performance from this data; evaluates operating experience to provide insights

into and improve the understanding of the risk factors significance of events; and produces

periodic performance indicator and Accident Sequence Precursor Reports; and

(xii) Providing administrative and technical support for the

Committee to Review Generic Requirements (CRGR).

(b) Incident Response Operations develops and directs the NRC

program for investigation of operational incidents. It develops and directs the NRC program for

response to incidents, and is the agency incident response interface with the Federal Emergency

Management Agency (FEMA) and other Federal agencies. These activities include:

(i) Exercising oversight of the regional response programs;

(ii) Managing the NRC Operations Center; and

(iii) Receiving, screening, and promptly re-communicating

operational event information reported to the Operations Center in support of Nuclear Reactor

Regulation (NRR), Nuclear Material Safety and Safeguards (NMSS), and the regions, as

appropriate, to provide for timely feedback to and action by the cognizant offices.
14

(c) Office of Investigations develops policy, procedures, and quality

control standards for investigations of licensees, applicants, their contractors or vendors,

including the investigations of all allegations of wrongdoing by other than NRC employees and

contractors. Specifically, the Office of Investigations:

(i) Plans, coordinates, directs, and executes administrative affairs

of the office, including the development and maintenance of a management information system;

(ii) Maintains current awareness of inquiries and formal

investigations;

(iii) Keeps Commission principals currently informed of matters

under investigation as they affect public health and safety matters; and

(iv) Coordinates liaison with other agencies and organizations to

ensure the timely exchange of information of mutual interest.

(d) Office of Enforcement oversees, manages, and directs the

development of policies and programs for enforcement of NRC requirements.

(16) The Deputy Executive Director for Regulatory Programs contains the

following offices.

(a) Office of Nuclear Reactor Regulation is responsible for ensuring the

public health and safety through licensing and inspection activities at all nuclear power reactor

facilities in the United States. It is responsible for:

(i) Oversight of all aspects of licensing and inspection of

manufacturing, production, and utilization facilities (except for facilities reprocessing fuel and

performing isotopic fuel enrichment), and receipt, possession, and ownership of source,

byproduct, and special nuclear material used or produced at facilities licensed under 10 CFR Part

50;

(ii) Development of policy and inspection guidance for programs

assigned to the regional offices and assesses the effectiveness and uniformity of the region's

implementation of those programs;

(iii) Identifying and taking action on, in coordination with the

regional offices, conditions and licensee performance at such facilities that may adversely affect

public health and safety, the environment, or the safeguarding of nuclear facilities; and assesses

and recommends or takes action in response to incidents or accidents;

(iv) Issues for licensing and regulatory policy concerning reactor

operators, including the initial licensing examination and re-qualification examinations;

emergency preparedness, including participation in emergency drills with federal, state, and local

agencies; radiation protection; security and safeguards at such facilities, including fitness for

duty; and the inspection of nuclear component supplier facilities; and
15

(v) The technical review, certification, and licensing of advanced

nuclear reactor facilities and the renewal of current power reactor operating licenses.

(b) Office of Nuclear Material Safety and Safeguards is responsible for

ensuring the public health and safety through licensing, inspection, and environmental reviews of

all activities regulated by the NRC, except operating power and all non-power reactors, and for

the technical review of all licensing activities, including export/import of special nuclear

material, excluding reactors. It also:

(i) Develops and implements NRC policy for the regulation of

activities involving the use and handling of radioactive materials, such as: uranium recovery

activities; fuel fabrication and development; medical, industrial, academic, and commercial uses

of radioactive materials; safeguards activities; transportation of nuclear materials, including

certification of transport containers, and reactor spent fuel storage; safe management and

disposal of low-level and high-level radioactive waste; and management of related

decommissioning;

(ii) Safeguards responsibilities include developing overall agency

policy, monitoring and assessing the threat to the environment, including liaison with

intelligence agencies as appropriate; and those licensing and review activities appropriate to

deter and protect against threats of radiological sabotage and threats of theft or diversion of

special nuclear material at fuel facilities and during transport; and

(iii) Identifies and controls safety and safeguards issues for

activities under its responsibility, including consulting and coordinating with international,

federal, state, and local agencies, as appropriate.

(c) Office of State Programs is responsible for establishing and

maintaining effective communications and working relationships between the NRC, states, local

governments, other federal agencies, and Indian tribe organizations. It is responsible for:

(i) Serves as primary contact for policy matters between NRC and

these external groups. Keeps the agency apprised of these groups' activities as they may affect

NRC and conveys to NRC management these groups' views toward NRC policies, plans, and

activities;

(ii) Administers the Agreement States Program, provides training

and technical assistance to Agreement States, and conducts Agreement State Program reviews;

and

(iii) Coordinates liaison with other federal agencies through the

Federal Liaison Program.

(d) Regional Offices are divided into four regions. These offices execute

established NRC policies and assigned programs relating to inspection, licensing, incident

response, governmental liaison, resource management, human resources, and emergency

response within regional boundaries
16

(17) The Deputy Executive Director for Management Services is comprised of

the following:

(a) Office of Administration provides centralized administrative services;

(b) Office of Human Resources provides overall leadership and

management of human resources (HR) policy and program development and human resources

services delivery; and

(c) Office of Small Business and Civil Rights is responsible for the

development, implementation and management of three major programs: Affirmative Action,

which includes affirmative employment initiatives and a managing diversity process; Civil

Rights; and the Small Business Procurement Preference Program.

5. Formal National Security Process Involvement. The NRC plays a supporting role in the

formal national security process through its work in the international and domestic arenas. Its

international activities include export-import licensing for nuclear materials and equipment,

treaty implementation, international information exchanges, and international safety and

safeguards assistance. In the domestic arena, NRC responsibility involves the control of and

accounting for nuclear materials, the protection of nuclear materials to prevent theft or diversion,

and contingency plans for responding to threatening situations.

A. Strategy Development: No current involvement. The National Security Strategy

states: "We must continue to reduce the threat posed by existing arsenals of such weaponry as

well as work to stop the proliferation of advanced technologies that place these destructive

capabilities in the hands of parties hostile to U.S. and global security interests." The NRC

supports the implementation of this strategy through its involvement in non-proliferation

initiatives such as nuclear material theft prevention and security.

B. Policy, Guidance, and Regulation: The NRC, by its very nature, is responsible for

the regulation and inspection of the U.S. nuclear system. Through its licensing authority, the

NRC inspects and completes license reviews to ensure that licensees prevent the theft or

diversion of nuclear materials, requires that licensees be prepared to respond to threatening

situations involving theft or sabotage of nuclear materials, and strengthens domestic and

international programs to ensure no improper control or disposal of radioactive material. In

addition, the NRC can license the export and import of nuclear materials to ensure that U.S. nonproliferation interests are protected as contemplated by the Nuclear Nonproliferation Act;

support international safeguards and physical security by working to strengthen the International

Atomic Energy Agency's (IAEA) safeguards systems; and participating in bilateral exchanges

on physical security approaches and practices. In terms of inspections, the NRC will periodically

inspect facilities and plants to ensure compliance with license agreements and regulations.

C. Planning: No current involvement.

 D. Mission Execution: No current involvement. 

 E. Observation, Orientation, and Oversight: No current involvement.

 F. Preparation: No current involvement.
17

 G. Resourcing: No current involvement.

6. Informal National Security Process Involvement. None.

7. Funding and Personnel.

A. Authorization and Appropriations: The NRC is appropriated as an independent

agency by the House and Senate Committees on Appropriations (Subcommittee on Energy and

Water Development).

B. Funding Sources: The NRC is funded as an independent federal agency.

C. Budget: The 1999 budget for the NRC was approximately $470M.

D. Personnel: The NRC has 2,977 full-time employees (2,114 at HQ, 179 resident

inspectors, and 684 in the regional offices).13

8. Conclusions and Observations. As the regulator of the U.S. nuclear network, the NRC is

responsible for the safe operation of all nuclear plants and facilities and the safeguarding of all

nuclear material in the country. As a result, it also supports international non-proliferation

efforts through its ability to control and supervise the possession and flow of nuclear material

and equipment. Furthermore, the NRC also provides assistance for the enforcement of various

international agreements and regimes designed to prevent or curb the illicit flow and transfer of

nuclear material.14

 

13 NRC Office of Public Affairs 9/30/99 (301-415-8200).

14 This assistance consists of technical support and training to treaty-/regime-enforcement agencies such as the Departments of

Energy and State. In turn, these agencies (along with other entities like the Bureau of Export Administration) are responsible

for the implementation and enforcement of various international agreements such as the Nuclear Suppliers Group (NSG).
1

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9

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12

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1

ROAD MAP FOR NATIONAL SECURITY:

ADDENDUM ON STRUCTURE AND PROCESS ANALYSES

GLOSSARY OF ABBREVIATIONS

A

AAR After Action Review

ABC Albright-Berger-Cohen

ABM Anti-Ballistic Missile

ACAT Acquisition Category

ACC Air Combat Command

ACDA Arms Control and Disarmament Agency

ACEP Advisory Committee on Export Policy

ACIP Advisory Committee on Immunization Practices

ACJCS Assistant to the Chairman of the Joint Chiefs of Staff

ACOM United States Atlantic Command

ACTD Advanced Concept Technology Demonstration

 ADAPT Advanced Design and Production Initiative

ADB Asian Development Bank

ADCI Assistant Director of Central Intelligence

ADCI/AP Assistant Director of Central Intelligence for Analysis and Production

 ADIC Assistant Director in Charge

ADM Acquisition Decision Memorandum

ADP Automated Data Processing

 ADR Alternative Dispute Resolution

AEC Atomic Energy Commission

AEF Aerospace Expeditionary Force

AETC Air Education and Training Command

AFC Air Force Council

AFDB African Development Bank

AFG Air Force Group

AFI Air Force Instruction

AFMC Air Force Materiel Command

AFMIC Armed Forces Medical Intelligence Center

AFPD Air Force Policy Directive

AFRC Air Force Reserve Command

AFSOC Air Force Special Operations Command

AFSPC Air Force Space Command

AG Australia Group

AISES American Indian Science and Engineering Society

AMC Air Mobility Command

AMIO Alien Migrant Interdiction Operations

 ANSIR Awareness of National Security Issues and Response

AOAs Analyses of Alternatives

AOO Area of Operations

AOR Area of Responsibility
2

APG Asia/Pacific Group on Money Laundering

APNSA Assistant to the President for National Security Affairs

 ASCI Accelerated Strategic Computing Initiative

ASD Assistant Secretary of Defense

ASD(C3I) Assistant Secretary of Defense for Command, Control, Communications, and

Intelligence

ASD(ISP) Assistant Secretary of Defense for International Security Policy

ASD(LA) Assistant Secretary of Defense for Legislative Affairs

ASD(PA) Assistant Secretary of Defense for Public Affairs

ASD(S&TR) Assistant Secretary of Defense for Strategy and Threat Reduction

ASD(SOHA) Assistant Secretary of Defense for Special Operations and Humanitarian Assistance

ASEAN Association of South East Asian Nations

ASH Assistant Secretary of Health

ATACMS Army Tactical Missile System

ATF Bureau of Alcohol, Tobacco, and Firearms

ATG Advanced Technology Group

ATP Advanced Technology Program

ATSD(IO) Assistant to the Secretary of Defense for Intelligence Oversight

ATSD(NCB) Assistant to the Secretary of Defense for Nuclear and Chemical and Biological

Defense Programs

ATSDR Agency for Toxic Substances and Disease Registry

AWACS Airborne Warning and Control System

B

BA Budget Authority

BBS Bureau Budget Submission

BEA Bureau of Export Administration

BES Budget Estimate Submission

 BJA Bureau of Justice Assistance

BJS Bureau of Justice Statistics

BMBL Biosafety in Microbiological and Biomedical Laboratories

BMDO Ballistic Missile Defense Organization

BOB Bureau of the Budget

 BOP Federal Bureau of Prisons

BPA Bonneville Power Administration

BPP Bureau Performance Plan

BPS Budget Preparation System

BRAC Base Realignment and Closure

BRD Budget Review Division

BSA Bank Secrecy Act of 1970

BSD Business Services Division

BXA Bureau of Export Administration

C

C&SA Counterintelligence and Security Activity

C/B Chemical/Biological

C4 Command, Control, Communications, and Computers

C4I Command, Control, Communications, Computers, and Intelligence

C4ISR Command, Control, Communications, Computers, Intelligence, Surveillance, and
3

Reconnaissance

CAG Cost Analysis Group

CAIG Cost Analysis Improvement Group

CAP Cooperative Agreement Program

CAP Crisis Action Planning

CARD Cost Analysis Requirements Description

CBJB Congressional Budget Justification Book

CBO Congressional Budget Office

CBRDT Chemical/Biological Rapid Deployment Team

CBS Cheney-Baker-Scowcroft

 CCIPS Computer Crime and Intellectual Property Section

CCP Consolidated Cryptologic Program

CDA Congressionally-Directed Action

CDC Centers for Disease Control and Prevention

CDC/W Centers for Disease Control and Prevention/Washington Office

 CDP Center for Domestic Preparedness

CEA Council of Economic Advisors

CEB Chief of Naval Operations Executive Board

CENR Committee on Environment and Natural Resources

CENTCOM United States Central Command

CEQ Council on Environmental Quality

CFA CINC Field Assessments

CFATF Caribbean Financial Action Task Force

CFO Chief Financial Officer

CFR Code of Federal Regulations

CGARC Coast Guard Acquisition Review Council

CGLC Coast Guard Leadership Council

CGULLS Coast Guard Universal Lessons Learned System

CHAMPUS Civilian Heath and Medical Program of the Uniformed Services

CIA Central Intelligence Agency

CIAO Critical Infrastructure Assurance Office

CIAP Central Intelligence Agency Program

CICG Critical Infrastructure Coordination Group

CINC Commander-in-Chief

CINC

STRATCOM Commander-in-Chief, U.S. Strategic Command

CINCLANTFLT Commander-in-Chief, Atlantic Fleet

CIO Chief Information Officer

CIP Critical Infrastructure Protection

 CIRG Critical Incident Response Group

CISA C4I Integration Activity

CISET Committee on International Science, Engineering, and Technology

 CITAC Computer Investigations and Infrastructure Threat Assessment Center

CJCS Chairman, Joint Chiefs of Staff

CJCSIs Chairman, Joint Chiefs of Staff Instructions

 CJIS Criminal Justice Information Services

CLPRE Congressional Liaison and Program Research and Evaluation

CMA Community Management Account
4

CMC Commandant of the Marine Corps

CMO Central MASINT Office

CMS Community Management Staff

CNAD Conference of National Armaments Directors

CNO Chief of Naval Operations

CNS Committee on National Security

COA Course of Action

COG Continuity of Government

ComSci Commerce, Science, and Technology Fellowship Program

COMSEC Communications Security

COMUSMARD

EZLANT Commander of the U.S. Maritime Defense Zone, Atlantic

CONOPS Concept of Operations

CONPLAN Concept Plan

CONUS Continental United States

COOP Continuity of Operations

 COPS Community Oriented Policing Services

CPA Chairman's Program Assessment

CPBS Capabilities Programming and Budgeting System

CPG Contingency Planning Guidance

CPR Chairman's Program Recommendation

CR Continuing Resolution

CRD Capstone Requirements Document

CRES Collection Requirements and Evaluation Staff

CRGR Committee to Review Generic Requirements

CRITIC Critical Information

 CRS Community Relations Service

CRS Congressional Research Service

CRS Current Readiness System

CS Combat Support

CS Committee on Science

CSA Chief of Staff of the Army

CSA Combat Support Agency

CSG Counterterrorism Security Group

CSO Court Security Officer

CSP Country Strategic Plan

CSS Central Security Service

CSS Combat Service Support

CTAC Counter-Drug Technology Assessment Center

CTBT Comprehensive Test Ban Treaty

 CTC Computer and Telecommunications Coordinator

CTR Cooperative Threat Reduction Program

CTS Cryptologic Training System

CWC Chemical Weapons Convention

D

D Deputy Secretary of State

DA Directorate of Administration

DA GARDEN Department of the Army Civil Disturbance Plan
5

PLOT

DA&M Director of Administration and Management

DAB Defense Acquisition Board

DAD Deputy Associate Directors

DAE Defense Acquisition Executive

DAES Defense Acquisition Executive Summary

DAO Defense Attaché Office

DAPNSA Deputy Assistant to the President for National Security Affairs

DARPA Defense Advanced Research Projects Agency

DASD Deputy Assistant Secretary of Defense

DC Deputies Committee of the National Security Council

DC/CM Deputies Committee/Crisis Management

DCAA Defense Contract Audit Agency

DCC Detroit Computing Center

DCI Director of Central Intelligence

DCID Director of Central Intelligence Directive

DCMC Defense Contract Management Command

DDC Defense Distribution Center

DDCI Deputy Director of Central Intelligence

DDCI/CM Deputy Director of Central Intelligence/Community Management

DDI Deputy Director for Intelligence

DDP Detention and Deportation Program

DDR&E Director of Defense Research and Engineering

DDS&T Deputy Director of Science and Technology

DEA Drug Enforcement Administration

DeCA Defense Commissary Agency

DEPOPDEPS Deputy Operations Deputies

DEPSECDEF Deputy Secretary of Defense

 DEST Domestic Emergency Support Team

DFAS Defense Finance and Accounting Service

DGIAP Defense General Intelligence and Applications Program

DHAP-IRS Division of HIV/AIDS Prevention-Intervention, Research, and Support

DHAP-SE Division of HIV/AIDS Prevention-Surveillance and Epidemiology

DHL Bureau of Democracy, Human Rights, and Labor

DI Directorate for Intelligence Production

DI Directorate of Intelligence

DIA Defense Intelligence Agency

DIO Defense Intelligence Officer

DISA Defense Information Systems Agency

DisCom2 Distance Computing and Distributed Computing for Weapon Simulation

DJ-8 Director for Force Structure, Resources, and Assessments

DJS Director, Joint Staff

DLA Defense Logistics Agency

DLS Division of Laboratory Systems

DLSA Defense Legal Services Agency

DLSC Defense Logistics Support Command

DMAT Disaster Medical Assistance Team
6

DNSC Defense National Stockpile Center

DO Directorate of Operations

DoC Department of Commerce

DoD Department of Defense

DoDD Department of Defense Directive

DoE Department of Energy

DoI Department of the Interior

DoJ Department of Justice

DOMS Directorate of Military Support

DoN Department of the Navy

DoS Department of State

DoT Department of Transportation

DOTMLP Doctrine, Organizations, Training, Materiel, Leadership, and People

DP Directorate for Policy Support

DPAG Defense Planning Advisory Group

DPG Defense Planning Guidance

DPHS Division of Public Health Systems

DPOSD Deployed Port Operations, Security and Defense

DPP Defense Program Projection

DPSB Department of the Navy Program Strategy Board

 DR Directed Research

DRB Defense Resources Board

DRI Defense Reform Initiative

DRM DAB Review Meeting

DRMS Defense Reutilization and Marketing Service

DRU Direct Reporting Unit

DS&T Directorate of Science and Technology

DSAA Defense Security Assistance Agency

DSB Defense Science Board

DSCA Defense Security Cooperation Agency

DSS Defense Security Service

DSTDP Division of Sexually Transmitted Diseases Prevention

DSW Directed Stockpile Work

DTB Defense Technology Board

DTBE Division of Tuberculosis (TB) Elimination

DTRA Defense Threat Reduction Agency

DUF6 Depleted Uranium Hexafluoride

DUSD Deputy Under Secretary of Defense

DWCF Defense Working Capital Fund

E

E Under Secretary of State for Economic, Business, and Agricultural Affairs

E/DRB Expanded Defense Resources Board

EAA Export Administration Act

EAC Executive Associate Commissioner

EAF Expeditionary Aerospace Force

EARB Export Administration Review Board

EB Economics and Business Bureau

EBRD European Bank for Reconstruction and Development
7

EDA Economic Development Administration

EDD Economic Development Districts

EDIC Economic Development Information Clearinghouse

EDO Executive Director for Operations

EE Export Enforcement

EEIB Economic Executives' Intelligence Brief

EEO Equal Employment Opportunity

EIAP Economic Intelligence Advisory Panel

EID Emerging Infectious Diseases

EIP Emerging Infections Program

EIS Epidemic Intelligence Service

ELC Epidemiology and Laboratory Capacity

EMS Emergency Medical Services

EO Executive Order

EOC Emergency Operations Center

 EONS Executive Office for National Security

EOP Executive Office of the President

EPA Environmental Protection Agency

EPCA Energy Policy and Conservation Act (1975)

EPCI Enhanced Proliferation Control Initiative

EPIC El Paso Intelligence Center

EPO Epidemiology Program Office

EPSCoT Experimental Program to Stimulate Competitive Technology

 ER Exploratory Research

ERG Executive Review Group (SSP)

 ERLE Energy-Related Laboratory Equipment

ERT Emergency Response Team

 ERULF Energy Research Undergraduate Laboratory Fellowship

ESF Emergency Support Function

ESG Explosives Study Group

 ESP Enhanced Surveillance Program

EU European Union

EUCOM United States European Command

EXCOM Executive Committee

ExComm Executive Committee (in the context of Presidential Decision Directive 56)

EXDIR Executive Director

ExDir/ICA Executive Director/Intelligence Community Affairs

F

FA Finance and Administration

FAA Federal Aviation Administration

FACA Federal Advisory Committee Act

FAM Foreign Affairs Manual

FATF Financial Action Task Force

FBI Federal Bureau of Investigation

 FBIHQ Federal Bureau of Investigation Headquarters

FCC Federal Communications Commission

FCIP Foreign Counterintelligence Program

FCO Federal Coordinating Officer
8

FDA Food and Drug Administration

FDDC Foreign Denial and Deception Committee

FEMA Federal Emergency Management Agency

FERC Federal Energy Regulatory Commission

FG Fiscal Guidance

FIA Federal Insurance Administration

FinCEN Financial Crimes Enforcement Network

FMP Bureau of Finance and Management

FMP Fisheries Management Plan

FMRO Foreign Military Rights Office

FOA Field Operating Agency

FOA Forward Operating Agency

FOIA Freedom of Information Act

FORSCOM U.S. Army Forces Command

FOSC Federal On-Scene Coordinator

FPC Federal Preparedness Circular

FRN FEMA Radio Network

FRP Federal Response Plan

FSO Foreign Service Officer

FTE Full Time Equivalent

FY Fiscal Year

FYDP Future Years Defense Plan

G

G Under Secretary of State for Global Affairs

GAO General Accounting Office

GATT General Agreement on Tariffs and Trade

GC General Counsel

GDIP General Defense Intelligence Program

GDO General Defense Operations

GER Global Expertise Reserve

GPRA Government Performance Review Act

GSA General Services Administration

H

HASC House Armed Services Committee

HAZMAT Hazardous Materials

HDC Harbor Defense Commander

HEU Highly enriched uranium

HEU Highly-Enriched Uranium

HHS Department of Health and Human Services

 HHS/OEP Health and Human Services/Office of Emergency Preparedness

HIDTA High Intensity Drug Trafficking Area

HMO Health Management Organization

HNSC House National Security Committee

HPSCI House Permanent Select Committee on Intelligence

HQDA Headquarters, Department of the Army

HRM Human Resource Management

HSI Hispanic Serving Institutions
9

HUD Department of Housing and Urban Development

HUMINT Human Intelligence

I

IA Import Administration

IAEA International Atomic Energy Agency

IASP International Affairs Strategic Plan

IBES Intelligence Budget Estimate Submission

IBRD International Bank for Reconstruction and Development

IC Intelligence Community

IC/CIO Intelligence Community/Chief Information Officer

IC/DC Intelligence Community Deputies Committee

IC/EXCOM Intelligence Community Executive Committee

IC/PC Intelligence Community Principals Committee

IC21 Intelligence Community in the 21st Century

ICAs Intelligence Community Assessments

ICB Intelligence Community Brief

ICBM Intercontinental Ballistic Missile

ICCS International Crime Control Strategy

 ICF Inertial Confinement Fusion

 ICITAP International Criminal Investigative Training Assistance Program

IDB Inter-American Development Bank

IDCA International Development Cooperation Agency

IEA International Energy Agency

IEC International Emergency Cooperation Program (DoE)

IG Inspector General

ILF International Litigation Fund

IM Information Management

IM Intelligence Memorandum

IMINT Imagery Intelligence

INA Immigration and Nationality Act

INF Intermediate-Range Nuclear Forces

INFOSEC Information Systems Security

ING International Notification Group

INL Bureau for International Narcotics and Law Enforcement

INPHO Information Network for Public Health Officials

INS Immigration and Naturalization Service

INTERPOL International Criminal Police Organization

 INTERPOLUSNCB International Criminal Police Organization-United States National Central Bureau

IO Intelligence Operations

IOB Intelligence Oversight Board

IOTC Information Operations Technology Center

IPBD Intelligence Program Budget Decision

IPDM Intelligence Program Decision Memorandum

IPL Integrated Priority List

IPOM Intelligence Program Objective Memorandum

IPP Initiatives for Proliferation Prevention

IPRG Intelligence Program Review Group
10

IPT Integrated Process Team (also Integrated Product Team)

 IPTF Infrastructure Protection Task Force

IR Intelligence Report

IRAC The Interdepartmental Radio Advisory Committee

IRS Internal Revenue Service

ISA International Security Affairs

ISD Investigative Services Division

ISR Intelligence, Surveillance, and Reconnaissance

IT Information Technology

IT Inland Transportation

ITA International Trade Administration

 ITC Information Technology Center

ITS Institute for Telecommunication Sciences

ITU International Telecommunication Union

 ITWG Infotech Training Working Group

IWG Interagency Working Group

J

JAAR Joint After Action Report

JAARS Joint After Action Reporting System

JAEIC Joint Atomic Energy Intelligence Committee

JCLL Joint Center for Lessons Learned

JCS Joint Chiefs of Staff

JCS Pubs Joint Chiefs of Staff Publications

JET Judgement Enforcement Teams

JFCOM United States Joint Forces Command

JFMCC Joint Force Maritime Component Commander

JIATF Joint Interagency Task Force

 JIC Joint Information Center

JITC Joint Intelligence Training Center

JMET Joint Mission Essential Task

JMETL Joint Mission Essential Task List

JMIC Joint Military Intelligence College

JMIP Joint Military Intelligence Program

JMITC Joint Military Intelligence Training Center

JMRR Joint Monthly Readiness Review

JNA Joint Net Assessment

JOA Joint Operational Architecture

JOC Joint Operations Center

JOPES Joint Operational Planning and Execution System

JPD Joint Planning Document

JPG Joint Planning Guidance

JRAC Joint Rear Area Commander

JRB Joint Requirements Board

JROC Joint Requirements Oversight Council

JRS Joint Reporting System

JSCP Joint Strategic Capabilities Plan

JSD Judicial Security Division

JSPS Joint Strategic Planning System
11

JSR Joint Strategy Review

JTASC Joint Training, Analysis, and Simulation Center

JTF Joint Task Force

JTP Joint Training Plan

JTS Joint Training System

JTTF Joint Terrorism Task Force

JTTPS Joint Tactics, Techniques, and Procedures

JWC4SI Joint Warfare C4 Systems Integrator

JWCA Joint Warfighting Capability Assessment

JWFC Joint Warfighting Center

K

KDP Key Decision Point

KPP Key Performance Parameters

L

LANL Los Alamos National Laboratory

LANTAREA Atlantic Area

LDRD Laboratory-Directed Research and Development

LEDET Law Enforcement Detachment

 LEO Law Enforcement On-line

 LEO Life Extension Option

LEP Life Extension Program

LEU Low enriched uranium

LEU Low-Enriched Uranium

LFA Lead Federal Agency

 LLCE Limited Liability Component Exchange

LLNL Lawrence Livermore National Laboratory

M

MA Mission Assignment

MAA Mission Area Assessment

MAC Market Access and Compliance

MACOM Major Command (Army)

MAJCOM Major Command (Air Force)

MARFOLANT Marine Corps Forces Atlantic

MARFOPAC Marine Corps Forces Pacific

MASINT Measurement and Signature Intelligence

MBB Mission-Based Budgeting

MBI Major Budget Issue

MC Military Characteristics

MDAP Major Defense Acquisition Programs

MDEP Management Decision Package

MDZ Maritime Defense Zone

MEC Manufacturing Extension Centers

MET Mobile Enforcement Team

METL Mission Essential Task List

MFA Major Focus Area

MIB Military Intelligence Board

MLC Maintenance and Logistics Command

MLSA Money Laundering Suppression Act of 1994
12

MMRS Metropolitan Medical Response System

MMST Metropolitan Medical Strike Team

MMWR Morbidity and Mortality Weekly Report

MNS Mission Needs Statement

MOA Memorandum of Agreement

MOU Memorandum of Understanding

MPC&A Materials Protection, Control & Accounting

MPP Mission Performance Plan

MSCD Military Support of Civil Defense

MSIC Missile and Space Intelligence Center

MTCR Missile Technology Control Regime

N

NAFTA North America Free Trade Agreement

NASA National Aeronautics and Space Administration

NATO North Atlantic Treaty Organization

NAVGARD Navy-Coast Guard

NCA National Command Authority

NCC Naval Component Commander

NCEH National Center for Environmental Health

NCHS National Center for Health Statistics

NCHSTP National Center for HIV, Sexually Transmitted Diseases (STD) and Tuberculosis

(TB) Prevention

NCI Nuclear Cities Initiative

 NCIC National Crime Information Center

NCID National Center for Infectious Diseases

NCIPC National Center for Injury Prevention and Control

NCJRS National Criminal Justice Reference Service

NCP National Contingency Plan

NCP National Oil and Hazardous Substances Pollution Contingency Plan

NCS National Communications System

NCS National Cryptologic School

NCW Naval Coastal Warfare

NCWC Naval Coastal Warfare Commander

NDIC National Drug Intelligence Center

NDMS National Disaster Medical System

 NDPO National Domestic Preparedness Office

NDU National Defense University

NE Office of Nuclear Energy, Science, and Technology

NEA Nuclear Energy Agency

NEC National Economic Council

NEC Nonproliferation and Export Control Cooperation Team

NERAC Nuclear Energy Research Advisory Committee

 NEWS Numeric Environment for Weapon Simulations

NFIB National Foreign Intelligence Board

NFIP National Foreign Intelligence Program

NGB National Guard Bureau

NGO Nongovernmental organization

NIC National Intelligence Council

NICB National Intelligence Collection Board
13

NID National Intelligence Daily

NIE National Intelligence Estimates

 NIF National Ignition Facility

NIH National Institutes of Health

 NIJ National Institute of Justice

NIMA National Imagery and Mapping Agency

NIMAP National Imagery and Mapping Agency Program

NIO National Intelligence Officer

NIOSH National Institute for Occupational Safety and Health

NIP National Immunization Program

NIPB National Intelligence Production Board

 NIPC National Infrastructure Protection Center

NIS Newly Independent States

NIST National Institute of Standards and Technology

 NLECTC National Law Enforcement and Corrections Technology Center

 NLETS National Law Enforcement Telecommunications System

NLLS Navy Lessons Learned System

NMCC National Military Command Center

NMCS National Military Command System

NMJIC National Military Joint Intelligence Center

NMS National Military Strategy

NMSS Nuclear Material Safety and Safeguards

NMT Office of Nuclear and Missile Technology Controls

NN Office of Nonproliferation and National Security (DoE)

NN-30 Office of International Nuclear Safety and Cooperation (DoE)

NN-40 Office of Arms Control and Nonproliferation (DoE)

NN-50 Office of International Materials Protection and Emergency Cooperation (DoE)

NNSA National Nuclear Security Administration

NPAC TWG Nonproliferation and Arms Control Technology Working Group

NPR Nuclear Posture Review

NRC National Response Center

NRC Nuclear Regulatory Commission

NRO National Reconnaissance Office

NRP National Reconnaissance Program

NRR Nuclear Reactor Regulation

NRT National Response Team

NSA National Security Agency

NSAP National Security Advisory Panel

NSC National Security Council

NSC/DC National Security Council/Deputies Committee

NSC/PC National Security Council/Principals Committee

NSCS National Security Council Staff

NSG Nuclear Suppliers Group

NSOC National Security Operations Center

NSR National Security Review

NSRL National SIGINT Requirements List

NSRS National SIGINT Requirements System

NSS National Security Strategy

NSTC National Science and Technology Council
14

 NSTL National Security Threat List

NTC National Firearms Tracing Center

NTIA National Telecommunications and Information Administration

NTIS National Technical Information Service

 NTS Nevada Test Site

NVPO National Vaccine Program Office

NWC Nuclear Weapons Council

NWSP Nuclear Weapons Stockpile Plan

O

O&M Operations and Maintenance

OAC Office of Antiboycott Compliance

OAS Organization of American States

OASH Office of the Assistant Secretary of Health

 OBMS Office of Budget and Management Services

OC Operating Committee

OCA Office of Congressional Affairs

OCC Office of the Chief Counsel

OCDETF Organized Crime Drug Enforcement Task Force

ODCI Office of the Director of Central Intelligence

OEA Office of Export Administration

OEE Office of Export Enforcement

OEP Office of Emergency Preparedness

OES Bureau for Oceans, Environment, and Science

OEXS Office of Exporter Services

OFAC Office of Foreign Assets Control

OFO Office of Field Operations

OGH Office of Global Health

OIA Office of International Affairs

 OIAP Office of Investigative Agency Policies

OICC Operational Intelligence Crisis Center

OIG Office of the Inspector General

 OIPR Office of Intelligence Policy and Review

OIPT Overarching Integrated Product Teams

 OJP Office of Justice Programs

 OLE Office of Legal Education

 OLES Office of Law Enforcement Standards

OMB Office of Management and Budget

ONDCP Office of National Drug Control Policy

OPA Office of Public Affairs

OPBRE Office of Programs, Budget, Research, and Evaluation

OPCM Office of Policy Coordination and Management

 OPDAT Overseas Prosecutorial Development, Assistance, and Training

OPDEPS Operations Deputies

OPIC Overseas Private Investment Corporation

OPLAN Operations Plan

OPORD Operations Order

OPPE Office of Program Planning and Evaluation

OPR Office of Primary Responsibility
15

OPS Office of Policy Support

OPSDEP Operations Deputy

OPTEMPO Operating Tempo

ORD Operational Requirements Document

OSC Office of Space Commercialization

OSC On-Scene Commander

OSC Operations Support Center

OSCE Organization for Security and Cooperation in Europe

OSD Office of the Secretary of Defense

OSD/PA&E Office of the Secretary of Defense/Program Analysis & Evaluation

 OSLDPS Office for State and Local Domestic Preparedness Support

OSM Office of Spectrum Management

OST Office of the Secretary of Transportation

OSTP Office of Science and Technology Policy

OT&E Operational Test and Evaluation

OTI Office of Transnational Issues

OTIA Office of Telecommunications and Information Applications

OTP Office of Technology Policy

P

P Under Secretary of State for Political Affairs

 P&PD Production & Planning Directive

P.L. Public Law

PA&E Program Analysis and Evaluation

PA&EO Program Assessment and Evaluation Office

PACAF Pacific Air Forces

PACOM United States Pacific Command

PAD Program Associate Director

PASS President's Analytic Support Staff

PB President's Budget

PBC Program and Budget Committee

PBD Presidential Budget Decision

PC Principals Committee of the National Security Council (see also NSC/PC)

PCAST President's Committee of Advisors on Science and Technology

PCG Peacekeeping Core Group

 PCP Product Change Proposals

PDB President's Daily Brief

PDD Presidential Decision Directive

PDM Program Decision Memorandum

PDRC Program Development Review Committee

PDUSD(A&T) Principal Deputy Under Secretary for Acquisition and Technology

PE Program Element

PEM Program Element Monitors

PEO Program Executive Officer

PFIAB President's Foreign Intelligence Advisory Board

PGDB Prevention Guidelines Database

PH Port Handling

PHPPO Public Health Practice Program Office

PHS Public Health Service
16

PHTN Public Health Training Network

PM Bureau of Political-Military Affairs

PM Program Manager

PMA Power Marketing Administration

PME Performance Measures of Effectiveness

PNGV Partnership for a New Generation of Vehicles

PO Program Operations

POG Program Officer Group

POLAD Political Advisor

Pol-Mil Political-Military

POM Program Objective Memoranda

PP&O Plans, Programs, and Operations

PPBS Planning, Programming and Budgeting System

PRA Primary Review Authority

PRC Program Review Committee

PRD Presidential Review Directive

PRG Program Review Group

PRM Bureau of Population, Refugees, and Migration

PSD Prisoner Services Division

PSG Prioritization Steering Group

PSU Port Security Unit

PVO Private voluntary organization

PWG POM Working Group

Q

 QART Quality Assurance Reliability Testing

QDR Quadrennial Defense Review

QFR Questions for the Record

QRRC Quarterly Readiness Report to Congress

R

R&D Research & Development

R4 Results Report and Resource Request

RC Reserve Components

 RDT Rapid Deployment Team

RDT&E Research and Development and Test and Evaluation

RHA Regional Health Administrator

 RISS Regional Information Sharing Systems

RMA Revolution in Military Affairs

RMO Resource Management Office

ROC Regional Operations Center

RPPO Requirements, Plans, and Policy Office

RRF Ready Reserve Force

RSOC Regional Security Operations Centers

RTBF Readiness in Technical Base and Facilities

S

S Secretary of State

S&T Science & Technology

S&TR Strategy and Threat Reduction

S/P Office of Policy Planning
17

S/RPP Office of Resources, Plans, and Policy

S/S-EX Executive Office, Office of the Secretary of State

S/S-O Operations Center, Office of the Secretary of State

S/S-S Secretariat, Office of the Secretary of State

 SAC Special Agent in Charge

SACEUR Supreme Allied Commander Europe

SACLANT Supreme Allied Commander Atlantic

SAE Service Acquisition Executive

SAMHSA Substance Abuse and Mental Health Services Administration

SAP Statement of Administration Policy

SAR Search and Rescue

SASC Senate Armed Services Committee

SAT Stockpile Assessment Team

SCC Service Cost Center

SCE Service Cryptologic Elements

SCG Special Coordination Group

SCM Security Counter Measures

SECDEF Secretary of Defense

SEIB Senior Executive Intelligence Brief

SELCOM Select Committee

SEPA Southeastern Power Administration

SES Senior Executive Service

SFI Significant Finding Investigation

SIES Office of Strategic Industries and Economic Security

SIGINT Signal Intelligence

 SIOC Strategic Information Operations Center

SIOP Single Integrated Operational Plan

SIR Special Intelligence Report

 SLEP Stockpile Life Extension Program

SLOC Sea Line of Communications

SMDP Sustainable Management Development Program

SNL Sandia National Laboratories

SNM Special Nuclear Material

SO/LIC Special Operations and Low Intensity Conflict

SOAL Special Operations/Acquisition and Logistics

SOCM Sense of the Community Memorandum

SOCOM United States Special Operations Command

SOCS Special Operations/Command Support

SOG Special Operations Group

SOIO Special Operations/Intelligence and Information Operations

SOOP Special Operations/Operations, Plans, and Policy

SORR Special Operations/Requirements and Resources

SORTS Status of Resources and Training System

SOUTHCOM United States Southern Command

SPACECOM United States Space Command

SPC Strategy and Planning Committee

SPIN Strategic Planning Information Network

SPR Strategic Petroleum Reserve
18

SROC Senior Readiness Oversight Council

SSBN Ballistic Missile Submarine

 SSC Structures, Systems, & Components

SSCI Senate Select Committee on Intelligence

SSP Stockpile Stewardship Program

START Strategic Arms Reduction Treaty

START Strategic Arms Reduction Treaty

STFPC Office of Strategic Trade and Foreign Policy Controls

STIC Scientific and Technical Intelligence Committee

USSTRATCOM United States Strategic Command

STS Stockpile-to-Target Sequence

SWARF Senior Warfighting Forum

 SWAT Special Weapons and Tactics

SWPA Southwestern Power Administration

T

T Under Secretary of State for Arms Control and International Security

TA Technology Administration

TACON Tactical Control

TAE Transportation Acquisition Executive

TAM Transportation Acquisition Manual

TCR Technical Certification Report

TD Trade Development

TEP Theater Engagement Plan

TIARA Tactical Intelligence and Related Activities

TLAM Tomahawk Land Attack Missile

TOA Total Obligation Authority

TPCC Trade Promotion Coordinating Committee

TPFDD Time-Phased Force and Deployment Data

TRADOC U.S. Army Training and Doctrine Command

TRANSCOM United States Transportation Command

TRO Training and Readiness Oversight

TSARC Transportation Review Council

TSARC Transportation Systems Acquisition Review Council

TSWG Technical Support Working Group

 TVA Tennessee Valley Authority

U

UAV Unmanned Aerial Vehicle

 UC University of California

UCP Unified Command Plan

UJTL Universal Joint Task List

UN United Nations

UNAAF Unified Action Armed Forces

US&FCS U.S. and Foreign Commercial Service

USACOM U.S. Atlantic Command [now U.S. Joint Forces Command (USJFCOM)]

USAFE U.S. Air Forces in Europe

USAID U.S. Agency for International Development

USASC U.S. Army Safety Center

USC United States Code
19

USCG United States Coast Guard

USCINCLANT U.S. Commander-in-Chief, Atlantic

USCINCPAC U.S. Commander-in-Chief, Pacific

USD(A&T) Under Secretary of Defense for Acquisitions & Technology

USD(C) Under Secretary of Defense (Comptroller)

USD(P&R) Under Secretary of Defense for Personnel and Readiness

USD(P) Under Secretary of Defense for Policy

USFA United States Fire Administration

USIA United States Information Agency

USJFCOM United States Joint Forces Command

USISTC U.S.-Israel Science and Technology Commission

USITC United States International Trade Commission

USMS United States Marshals Service

USSOCOM U.S. Special Operations Command

USSPACECOM United States Space Command

USSTRATCOM United States Strategic Command

USTR U.S. Trade Representative

USTRANSCOM United States Transportation Command

V

 V&V Validation and Verification

VCJS Vice Chairman, Joint Chiefs of Staff

VCSA Vice Chief of Staff of the Army

VDJS Vice Director, Joint Staff

W

WAPA Western Power Administration

WCF Working Capital Fund

WITSEC Witness Security Program

WMD Weapons of Mass Destruction

WMDPG Weapons of Mass Destruction Preparedness Group

WSSIC Weapons and Space Systems Intelligence Committee