Department of Homeland Security 

Office of Inspector General 

Customs and Border Protection Needs to 
 
 

Improve Its Inspection Procedures 
 
 

for the Western Hemisphere Travel 
 
 

Initiative 
 
 

(Redacted)
 
 


OIG-11-43 February 2011 
~~;;e.~

.

.. ' . ,: . 

.' .Office ofInspector General 

U.S. Department of Homeland Secu~ity

Washington, DC 25028 

Homeland 

Security 

FEB 1 1 2011 

Preface 

The Department of Homeland Security (DHS) Office ofInspector General (OIG) was 

established by the Homeland Security Act of2002 (Public Law 107-296) by amendment 

to the Inspector General Act of1978. This is one of a series of audit, inspection, and 

special reports prepared as part of our oversight responsibilities to promote economy, 

efficiency, and effectiveness within the department. 

This report addresses the effectiveness of Customs and Border Protection's 

implementation of the Western Hemisphere Travel Initiative at air ports of entry. It is 

based on interviews with employees and officials of relevant agencies and institutions, 

direct observations, and a review of applicable documents. 

The recommendations herein have been developed to the best knowledge available to our 

office, and have been discussed in draft with those responsible for implementation. We 

trust this report will result in more effective, efficient, and economical operations. We 

express our appreciation to all of those who contributed to the preparation of this report. 

Richard L. Skinner 

Inspector General 
Appendixes 

Appendix A: Purpose, Scope, and Methodology.......................................................17 
 
 

Appendix B: Management Comments to the Draft Report.......................................19 
 
 

Appendix C: Major Contributors to This Report ......................................................23 
 
 

Appendix D: Report Distribution ..............................................................................24 
 
 

Abbreviations 

CBP Customs and Border Protection 
 
 

DHS Department of Homeland Security 
 
 

DOS Department of State 
 
 

OIG Office of Inspector General 
 
 

TECS Travelers Enforcement Communication System
 
 


WHTI Western Hemisphere Travel Initiative 
 
 

Table of Contents/Abbreviations 

Executive Summary.............................................................................................................1
 
 


Background..........................................................................................................................2
 
 


Results of Audit ..................................................................................................................4
 
 


Inspection of Air Travelers From the United States, Canada, 
 

Bermuda, and Mexico Facilitated by WHTI ..............................................................4 
 

CBP Officers’ Decisions to Admit WHTI-Noncompliant Passengers at


 Secondary Inspection Areas Not Documented ...........................................................5 
 

WHTI-Noncompliant Passengers Not Referred for Secondary Inspections..................7 
 
 

Factors Hindering CBP Officers’ Effective Implementation of 


 WHTI Requirements.................................................................................................10 
 

Improvements Needed to Ensure WHTI Requirements Are Followed .......................12 
 
 

Other Concerns ...........................................................................................................12 
 
 

Recommendations........................................................................................................13 
 
 

Management Comments and OIG Analysis ................................................................14 
 
 
 

OIG
 
 


Department of Homeland Security 

Office of Inspector General 

Executive Summary 

The Western Hemisphere Travel Initiative is a joint plan by the 

Department of Homeland Security and Department of State to 

implement new documentation requirements for citizens of the United 

States, Canada, Mexico, and Bermuda entering the United States from 

within the Western Hemisphere. Under the Western Hemisphere 

Travel Initiative’s new rule for air travel, all citizens traveling by air 

into the United States from these Western Hemisphere countries must 

present a valid passport, with limited regulatory exceptions. Our 

objective for this audit was to determine whether Customs and Border 

Protection’s implementation of this requirement has improved the 

agency’s ability to identify individuals who misrepresent their identities 

and prevent their entry into the United States at air ports of entry. 

Generally, Customs and Border Protection has successfully 

implemented the Western Hemisphere Travel Initiative in the air 

environment, reporting high compliance rates among air passengers. 

The new documentation requirements have improved Customs and 

Border Protection officers’ ability to validate the identity and 

citizenship of compliant air passengers, allowing officers to spend more 

time inspecting travelers without passports. However, there is 

inadequate assurance that Customs and Border Protection officers 

"verified" the identity and citizenship of all individuals who failed to 

provide a passport or other Western Hemisphere Travel Initiative– 

compliant documentation. Customs and Border Protection officers did 

not always document the basis for their decisions to admit air 

passengers who were noncompliant with the new document 

requirements. Also, Customs and Border Protection officers did not 

always follow Customs and Border Protection’s policy for referring all 

such noncompliant passengers to a secondary inspection area for a 

more thorough review. These shortfalls can be attributed to inadequate 

officer training, oversight, and guidance. Failure to establish the 

identities and citizenship of all air passengers is a vulnerability that 

could be exploited by individuals intent on harming this country. We 

are making four recommendations to improve the agency’s 

implementation of the Western Hemisphere Travel Initiative’s new 

documentation requirements. 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 1 
Background 

United States Customs and Border Protection (CBP) is the 

frontline border security agency within the Department of 

Homeland Security (DHS), charged with the priority mission of 

preventing terrorists and terrorist weapons from entering the 

United States. The mission of CBP’s Office of Field Operations is 

to secure the flow of people and goods into and out of the country, 

while facilitating travel and trade. On a typical day, CBP 

processes more than 235,000 air passengers. CBP conducts both 

primary and secondary inspections of goods and international 

travelers to ensure appropriateness of entry into the United States. 

CBP conducts “primary inspections” to initially determine whether 

travelers are compliant with applicable entry rules and regulations. 

CBP then conducts “secondary inspections” when a CBP officer 

determines that further inspection processes are necessary to grant 

a traveler’s entry into the United States. 

Prior to January 23, 2007, when the new documentation 

requirements for air travel went into effect, United States citizens 

were not required to present passports for travel into the United 

States from anywhere within the Western Hemisphere except for 

Cuba. Also, passport requirements were generally waived for 

similar travel by citizens of Canada and Bermuda, and for certain 

Mexican nationals. On December 17, 2004, President Bush signed 

into law the Intelligence Reform and Terrorism Prevention Act of 

2004. Section 7209 of this law noted that then-existing admission 

procedures allowed many individuals to enter the United States 

with little to no identification, and that additional safeguards were 

necessary to prevent terrorists from entering the United States. As 

a result of these findings, Congress required the Secretary of 

Homeland Security, in consultation with the Secretary of State, to 

develop and implement a plan to “require a passport or other 

document, or combination of documents, deemed by the Secretary 

of Homeland Security to be sufficient to denote identity and 

citizenship, for all travel into the United States by United States 

citizens and by categories of individuals for whom passport 

requirements were previously waived under section 212(d)(4)(B) 

of the Immigration and Nationality Act.” 

Accordingly, the Department of Homeland Security (DHS) and the 

Department of State (DOS) developed the Western Hemisphere 

Travel Initiative (WHTI), a two-phase joint plan to implement the 

new documentation requirements for entry at air, land, and sea 

ports of entry. On November 24, 2006, the departments jointly 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 2 
 

published the final rule on new documentation requirements for air 

travel, effective January 23, 2007.1 The rule amended DHS and 

DOS regulations to now require citizens of the United States and 

certain categories of nonimmigrant aliens from Canada, Bermuda, 

and Mexico to present passports or other WHTI-compliant 

documentation when entering U.S. air ports of entry from countries 

within the Western Hemisphere. Additionally, in the rule, the 

Secretary of Homeland Security designated only two other 

documents, in addition to the passport, that are sufficient to 

establish identity and citizenship at airports under section 7209 of 

the Intelligence Reform and Terrorism Prevention Act -- the 

Merchant Mariner Document, when used in conjunction with 

maritime business, and a NEXUS Air card,2

 when used at a 

NEXUS Air kiosk. These designations significantly restricted the 

types of documents that may be accepted in lieu of a passport to 

establish identity and citizenship. Prior to WHTI, U.S. citizens 

were permitted to present a variety of documents to establish their 

identity, including a state-issued driver’s license. To establish 

citizenship, they could present birth certificates issued by a United 

States jurisdiction, Consular Reports of Birth Abroad, Certificates 

of Naturalization, or Certificates of Citizenship. 

CBP implemented WHTI’s new documentation requirements for 

air travel in two phases. During Phase 1, which began on 

January 23, 2007, CBP’s goal was to educate the public about the 

new requirements. During this phase, WHTI-noncompliant 

passengers were admitted at primary inspection after CBP officers 

issued verbal and written advisories of the document requirements 

introduced under WHTI. Phase 2, which began on February 19, 

2008, required full enforcement of WHTI requirements. During 

this phase, CBP procedures required that all WHTI-noncompliant 

passengers, including those claiming to be U.S. citizens, be 

referred to secondary inspection, where their identities and 

citizenship can be verified prior to their admission to the country. 

WHTI did not change the travel document requirements for lawful 

permanent residents, who may generally be admitted to the United 

States upon presentation of Permanent Resident cards issued by the 

U.S. Citizenship and Immigration Services. 

1

 Final Rule on Documents Required for Travelers Departing from or Arriving in the United States at Air 

Ports-of-Entry from Within the Western Hemisphere, 71 Fed. Reg. 68412 (November 24, 2006). 2

 NEXUS is a trusted traveler program that allows prescreened travelers expedited processing by U.S. and 

Canadian officials at designated northern border ports of entry using NEXUS kiosks located at the 

Canadian Preclearance airports and at marine reporting locations. 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 3 
Results of Audit 

WHTI has improved CBP officers’ ability to validate the identity 

and citizenship of U.S. citizens, Canadians, Mexicans, and 

Bermudans arriving at U.S. airports by limiting the number of 

acceptable documents. However, CBP officers did not always 

comply with CBP’s policy to refer passengers to secondary 

inspection areas for additional screening when those travelers 

failed to present WHTI-compliant documentation during primary 

inspection. There is inadequate assurance that CBP officers 

verified the identity and citizenship of all individuals who failed to 

meet WHTI’s documentation requirements. CBP officers did not 

always document decisions on how they verified the identities and 

citizenship of passengers who failed to present a passport or other 

WHTI-compliant document. 

CBP officers' failure to consistently comply with CBP’s policy can 

be attributed to a number of factors, including inadequate training, 

oversight, and guidance. Not properly establishing the identity and 

citizenship of travelers at either the primary or secondary 

inspection areas in accordance with WHTI-amended regulations 

increases the potential that CBP officers may erroneously grant 

admission to persons falsely claiming to be citizens of the United 

States, Canada, Mexico, or Bermuda. This creates a vulnerability 

that may be exploited by terrorists who have the intent to cause 

harm in the United States. 

Inspection of Air Travelers From the United States, Canada, 

Bermuda, and Mexico Facilitated by WHTI 

WHTI’s new documentation requirements have simplified CBP’s 

process to inspect documents from citizens of the United States, 

Canada, Mexico, or Bermuda arriving by air from within the 

Western Hemisphere. Prior to WHTI, in lieu of a passport, 

passengers could present a variety of documents to establish 

identity and citizenship when attempting to enter the country from 

countries within the Western Hemisphere. For example, U.S. 

citizens could present a driver’s license to establish identity and a 

birth certificate (issued by any one of 8,000 entities in the United 

States) to establish citizenship. However, under WHTI’s new 

documentation requirements, U.S. citizens and nonimmigrant 

aliens from Canada, Bermuda, and Mexico who enter the United 

States at air ports of entry are required to present a valid passport, a 

Merchant Mariner Document in conjunction with maritime 

business, or a NEXUS Air Card at a NEXUS Air kiosk. Also, 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 4 
there are pre-existing exceptions to the passport requirement for 

U.S. citizens traveling on official orders as active-duty members of 

the U.S. Armed Forces and U.S. citizens who have obtained a DOS 

waiver for humanitarian, emergency, or national interest reasons.3 

CBP officers at the three airports we visited indicated that the 

inspection process for these categories of travelers proceeds more 

smoothly since there are fewer documents to review, which allows 

officers to spend more time on passengers who may require further 

scrutiny. An official from the Office of Field Operations stated 

that since WHTI standardizes the documents accepted, persons are 

processed more efficiently and security is increased. 

CBP reports that more than 99% of WHTI passengers arriving in 

the United States from Western Hemisphere countries are 

complying with WHTI’s document requirements. Although the 

reported compliance rate is very high, CBP needs to improve its 

procedures for verifying the identity and citizenship of WHTInoncompliant passengers. 

CBP Officers’ Decisions to Admit WHTI-Noncompliant 

Passengers at Secondary Inspection Areas Not Documented 

CBP officers do not always adequately document their decisions 

regarding the identity and citizenship of WHTI-noncompliant 

passengers who are admitted at secondary inspection areas. CBP 

officers use the February 19, 2008, WHTI enforcement 

memorandum and CBP’s Inspector’s Field Manual as their 

primary guidance for processing WHTI passengers. According to 

the memorandum, CBP officers must establish the identity and 

citizenship of WHTI-noncompliant passengers at secondary 

inspection areas by inspecting “other” documents in the travelers’ 

possession. Both U.S. citizens and passengers from other countries 

covered by WHTI are subject to this requirement. According to 

CBP’s field manual and memorandum, once CBP officers are 

“satisfied” that a passenger’s claim of U.S. citizenship is valid, that 

person must be granted admission. 

Similarly, the February 19, 2008, memorandum requires that CBP 

officers verify the existence of the passport in the DOS Passport 

Information Electronic Records System when a traveler claims that 

3

 U.S. citizens bearing an official identification card issued by the International Boundary and Water 

Commission, pursuant to employment for approved Commission work, are also exempt from the passport 

requirement. 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 5 
his or her U.S. passport is lost or stolen. The memorandum 

advises that once the traveler’s identity and U.S. citizenship are 

verified, the traveler will be admitted, but the officers must record 

the referral to secondary inspection and the results of that 

inspection in the Travelers Enforcement Communication System 

(TECS) database comment fields. TECS is CBP’s principal 

database for law enforcement and antiterrorism information, and 

was formerly known as the “Treasury Enforcement 

Communication System.” It is now simply referred to as TECS. 

CBP officers did not always document the decision processes they 

used to "verify" the identities and citizenship of WHTInoncompliant passengers they processed at secondary inspection 

areas. CBP provided us with data showing that from February 19 

to December 31, 2008, its officers processed 3,935 WHTInoncompliant passengers at secondary inspection areas. Our 

review of a sample of 350 passenger records (282 U.S. citizens, 56 

Canadians, 10 Mexicans, and 2 Bermudans) of the 3,935 total 

showed that CBP officers did not adequately document their 

decisions to admit 51 of the travelers (43 U.S. citizens, 5 

Canadians, and 3 Mexicans). 

For the sample of WHTI-noncompliant travelers, we reviewed the 

TECS comments sections to determine the decision processes CBP 

officers used to admit those travelers into the country at secondary 

inspection. We sought to determine the methods used to satisfy the 

inspecting officers of the travelers’ identity and citizenship, such as 

what documents were used to establish identity and citizenship. We 

also determined whether officers accessed law enforcement 

databases (such as the National Crime Information Center) or 

performed a search in TECS to 

assist in validating identity and citizenship. 

For the 282 U.S. citizens receiving secondary inspections, the 

TECS comments sections indicated the following: 

�	 

�	 

�	 

For 73 passengers, CBP officers completed TECS system 

checks and reviewed other documents. 

For 53 passengers, CBP officers completed TECS system 

checks, but there was no indication that the passengers 

presented other documentation. 

For 113 passengers, CBP officers reviewed other documents 

the passengers provided, such as

 but did not document whether 

they completed systems checks. 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 6 
�	 For 43 passengers, the TECS comments sections did not 

indicate whether the officers performed systems checks or 

reviewed other documentation. This group included 

 Under WHTI’s final rule for air travel, 

For the 68 Canadians, Mexicans, and Bermudans in our sample, 

we determined that CBP officers did not document the methods 

used to verify the identity and citizenship of 8 passengers (5 

Canadians and 3 Mexicans). 

WHTI-Noncompliant Passengers Not Referred for Secondary 

Inspections 

CBP officers do not always comply with CBP’s policy for 

referring WHTI-noncompliant passengers to secondary inspection 

areas for verification of identity and citizenship. CBP provided 

data showing that from February 19 to December 31, 2008, CBP 

officers admitted 2,476 WHTI-noncompliant passengers into the 

United States at the primary inspection areas. We reviewed CBP’s 

records for these passengers to determine the reason for their 

admission, such as for humanitarian situations. Our analysis 

indicated that CBP officers admitted 1,542 passengers as U.S. 

citizens, 669 under various visa classes, and 265 as lawful 

permanent residents. The majority of these individuals admitted at 

primary screening should have been referred to secondary 

screening. 

WHTI-Noncompliant U.S. Citizens Admitted at Primary 

Inspection 

Table 1 summarizes the reasons CBP officers recorded in TECS 

for all 1,542 passengers admitted at primary inspection as U.S. 

citizens. 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 7 
 

Table 1. Summary of TECS Comments for WHTI-Noncompliant 

Passengers Admitted at Primary Inspection as Citizens 

Number 

Reason Recorded for Admission as U.S. Citizens Processed 

Passenger admitted for 35 

Passenger presented 96 

Passenger presented 171

Passenger 113 

Passenger was “WHTI-advised” 93 

Passenger was 251 

Passenger presented 50 

Other reasons 160

Records with Comments: 969 

Record with Comments sections left blank: 573 

TOTAL: 1,542 

Based on our review of the TECS comments sections, according to 

CBP’s policy, the majority of the 1,542 passengers who were 

admitted as “WHTI-noncompliant” U.S. citizens at primary 

inspection should have been referred to secondary inspection areas 

to undergo further verification procedures. The CBP officers’ 

comments do not indicate whether or even how the officers 

attempted to verify the passengers’ identity and U.S. citizenship. 

For example, 

�	 For 110 of the 113 passengers 

CBP officers did not document 

�	 

�	 

�	 

For 93 passengers, CBP officers simply noted that they were 

“WHTI-advised,” meaning that the passengers were provided 

written or verbal warnings to obtain passports for future travel. 

For 573 passengers, CBP officers failed to provide comments 

to explain why those passengers were not referred to secondary 

inspection. 

For 227 of the 251 passengers who were admitted 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 8 
 The passenger records 

contained the word or similar terms such as 

WHTI-Noncompliant Aliens Admitted at Primary Inspection 

Under Various Visa Classes 

The February 19, 2008, WHTI enforcement memorandum requires 

that all WHTI-noncompliant passengers from Canada, Mexico, and 

Bermuda be referred to secondary inspection areas to verify their 

identities and citizenship prior to admitting them to the United 

States. We identified 648 instances of those travelers being 

admitted into the United States without being referred to secondary 

inspection. CBP officers 

 for inappropriately admitting these WHTI-noncompliant 

aliens into the United States at primary inspection. 

An additional 21 passengers were identified in TECS records as 

U.S. citizens under the “Citizenship” column. However, the TECS 

records also showed that 16 of the 21 passengers may have 

presented visas to CBP officers, and 11 of the 16 were admitted 

under temporary visitor status. A U.S. citizen would not need to 

present a visa or be admitted under a temporary visitor status. 

WHTI-Noncompliant Lawful Permanent Residents Admitted 

at Primary Inspection 

CBP data indicate that 265 passengers were admitted at primary 

inspection because CBP officers determined that they were lawful 

permanent residents. Lawful permanent residents are not affected 

by WHTI’s new documentary requirements and may present a 

valid Permanent Resident card when applying for readmission to 

the United States. 

We determined that for 129 (28 Canadians and 101 Mexicans) of 

these 265 passengers, they presented no valid Permanent Resident 

cards. Further, there was no record in TECS as to whether CBP 

officers checked their identities in the Image Storage and Retrieval 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 9 
System,4

 or checked the validity of their applicant status in the 

Central Index System.5 We identified one Mexican passenger who 

had a valid Permanent Resident card but was nonetheless admitted 

at primary inspection as WHTI-noncompliant. We did not analyze 

the TECS records for the remaining 135 passengers. 

Factors Hindering CBP Officers’ Effective Implementation of 

WHTI Requirements 

CBP officers' failure to document their decision processes for 

admitting WHTI-noncompliant passengers or to refer them to 

secondary inspection as required by CBP policy can be attributed 

to a number of factors, including inadequate training, oversight, 

and guidance. 

Inadequate Training 

CBP officers received minimal training for processing passengers 

under the new WHTI requirements. According to an official from 

the Office of Field Operations, the February 19, 2008, WHTI 

enforcement guidance was communicated to CBP officers during 

“muster” meetings. Muster meetings are similar to the roll calls 

that police officers attend daily. CBP did not provide any other 

specific training to its officers on how to enforce WHTI 

requirements. As a result of the minimal training, CBP officers 

may not have a clear understanding of what alternative WHTIcompliant documentation is sufficient for admission in lieu of a 

passport. This may also contribute to the officers’ erroneous 

classification of some passengers entering from countries from 

within the Western Hemisphere as WHTI-noncompliant. 

Insufficient Oversight 

CBP’s Office of Field Operations has not performed any oversight 

or analytical reviews to determine whether CBP officers are 

complying with the WHTI guidance disseminated. An official 

from the Office of Field Operations said that the WHTI Program 

Management Office does not have a budget for air operations, and 

is primarily funded to support implementation of WHTI at land 

and sea ports of entry. Another official said 

4

 The Image Storage and Retrieval System provides digitized photographs, fingerprints, and signature
 
 


images of Permanent Resident cards. 
 
 

5

 The Central Index System is a legacy Immigration and Naturalization Services system that contains 
 
 

information on the application status of more than 55 million aliens, including permanent residents. 
 
 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 10 
Limited Guidance 

Both the February 19, 2008, WHTI enforcement memorandum and 

the Inspector’s Field Manual that CBP officers use as their 

primary guidance for enforcing WHTI’s requirements contain 

 instructions. The guidance does not 

adequately explain the secondary inspection procedures that 

officers should use to process WHTI-noncompliant passengers. 

For example, according to the enforcement memorandum, WHTInoncompliant passengers should be referred to secondary 

inspection, where CBP officers are to "verify" the passengers’ 

identities and citizenship. However, the only additional guidance 

on what should be done to process travelers claiming to be U.S. 

citizens

 Likewise, for 

WHTI-noncompliant citizens from Canada, Bermuda, and Mexico, 

CBP’s guidance 

 inspecting nonimmigrant aliens for admission. 

The enforcement memorandum requires that CBP officers record 

the dispositions (secondary inspection results) in the 

The Inspector’s Field Manual,

 is the agency’s “how-to” manual, detailing CBP’s 

policies and procedures for accomplishing its immigration mission. 

The manual 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 11 
Improvements Needed to Ensure WHTI Requirements Are 

Followed 

Although WHTI has simplified CBP’s process to inspect 

passengers’ documents, its implementation procedures need to be 

improved to comply with applicable law and regulations. 

Specifically, CBP needs to improve its guidance and training for 

how to handle WHTI-noncompliant travelers attempting to enter 

the United States without a passport or other WHTI-compliant 

documentation. CBP should monitor whether officers are 

complying with applicable law and CBP’s established procedures 

for processing WHTI-noncompliant passengers. 

Failure to properly determine whether travelers without WHTIcompliant documents should be admitted into the United States 

increases the potential that CBP officers may erroneously grant 

admission to persons who falsely claim to be citizens of the United 

States, Canada, Bermuda, or Mexico. This vulnerability may be 

exploited by terrorists intent on causing harm in the United States. 

Other Concerns 

During the course of our review, an issue arose concerning 

whether CBP's procedures for admitting travelers claiming U.S. 

citizenship, but who do not present a valid passport or other 

authorized documentation, are consistent with legal requirements. 

Section 215(b) of the Immigration and Nationality Act makes it 

unlawful for U.S. citizens to enter the country without a valid 

passport, except as authorized by the President. The President's 

waiver authority is delegated solely to the Secretary of State under 

Executive Order 13323. Prior to 2004, the Department of State 

(DOS) categorically waived the passport requirement for citizens 

traveling within the Western Hemisphere (except for Cuba). 

In 2004, in response to concerns raised in the 9/11 Commission 

Report, Congress passed the Intelligence Reform and Terrorism 

Protection Act (IRTPA). Section 7209 of IRTPA narrowed the 

President's authority to waive passport requirements for U.S. 

citizens and effectively rescinded DOS's categorical waiver for 

travel within the Western Hemisphere. IRTPA required the 

Department of Homeland Security (DHS), in consultation with the 

DOS, to develop and implement a plan to require a passport or 

other documentation for all travel into the United States by U.S. 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 12 
 

citizens (and certain categories of nonimmigrant aliens). Under the 

resulting joint DHS/DOS plan, now known as the Western 

Hemisphere Initiative, the Secretary of Homeland Security 

designated only two other documents as sufficient to establish 

identity and citizenship at airports—the Merchant Mariner 

Document (MMD) and the NEXUS Air card.6 

Nevertheless, CBP officers continue to rely on "pre-WHTI" 

documents to establish identity and U.S. citizenship of WHTInoncompliant travelers. In our opinion, this practice conflicts with 

the Secretary's determination that only the passport, MMD, and 

NEXUS Air Card are sufficient to denote identity and citizenship. 

By accepting documentation other than that designated under 

WHTI, CBP, in essence, is waiving document requirements. 

However, only the President has the authority to grant waivers 

under IRTPA, and he has delegated that authority solely to the 

Secretary of State. 

In our opinion, our concerns could be addressed if the Secretary of 

Homeland Security designated additional documents as acceptable 

under WHTI, or if DHS and DOS amended their regulations 

addressing WHTI-noncompliant travelers claiming to be U.S. 

citizens, or if the President amended Executive Order 13323 to 

allow DHS to waive document requirements under IRTPA’s 

permissible scenarios. 

Recommendations 

We recommend that the Commissioner, United States Customs and 

Border Protection: 

Recommendation #1: Revise and reissue guidelines that specify 

procedures for CBP officers to follow when addressing WHTInoncompliant travelers attempting to enter the United States. The 

guidelines should clarify the requirement to refer noncompliant 

travelers to secondary inspection and the minimum steps necessary 

at secondary inspection. 

Recommendation #2: Update the Inspector’s Field Manual to 

incorporate the revised WHTI enforcement procedures. 

6

 As mentioned previously, other exceptions to the passport requirement include when traveling as an 

active duty member of the U.S. military or when bearing an official identification card issued by the 

International Boundary and Water Commission. 22 C.F.R. § 53.2(b)(1), (8). 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 13 
Recommendation #3: Ensure that all CBP officers receive 

training on how to process air passengers according to the revised 

WHTI enforcement procedures. 

Recommendation #4: Establish and implement procedures for 

monitoring CBP officers’ compliance with WHTI enforcement 

procedures. 

Management Comments and OIG Analysis 

In its response to our draft report, CBP provided general comments 

in addition to addressing the specific recommendations. CBP 

management stated that WHTI has been implemented in a practical 

and flexible manner that fully complies with the Constitution, the 

statute calling for WHTI, and the joint Departments of Homeland 

Security and State regulations designating WHTI documents. CBP 

believes the OIG has not relied on the proper legal interpretation. 

CBP added that their inspecting officers have been specifically 

trained to establish identity and citizenship through oral 

questioning and inspection of all documents in a traveler’s 

possession. CBP asserts the presentation of a passport or other 

document, genuine or fraudulent, by itself is not verification of 

citizenship. 

We continue to conclude that CBP’s reliance on “pre-WHTI” 

documents and practices to establish identity and U.S. citizenship 

conflicts with the Secretary's determination that only the passport, 

MMD, and NEXUS Air Card are sufficient to denote identity and 

citizenship. Our conclusion is based on the plain meaning of 

relevant laws, implementing regulations, and Executive Order. By 

accepting documentation other than that designated under WHTI, 

CBP is in essence waiving document requirements. However, only 

the President has the authority to grant waivers under IRTPA, and 

he has delegated that authority solely to the Secretary of State. 

Management Response on Recommendation #1 

CBP does not concur: CBP believes that it is not always 

necessary to refer WHTI non-compliant travelers to secondary in 

order to establish identity and citizenship. Also, CBP asserts the 

“minimum necessary” for any secondary inspection cannot be 

quantified and is based on the unique totality of each inspection. 

CBP states that it will clarify and reissue, at its discretion, WHTI 

guidance on procedures for processing non-compliant travelers, but 

not in the manner put forth in Recommendation 1. CBP stated it 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 14 
will clarify and reissue guidance on what constitutes WHTI 

compliance, procedures for processing both non-compliant citizens 

and aliens, procedures for properly documenting secondary 

inspections, and alternative means in which U.S. citizens may 

establish to the satisfaction of CBP when not in compliance with 

WHTI. 

OIG Analysis: The recommendation to refer WHTInoncompliant travelers to secondary inspection areas is based upon 

the WHTI Enforcement Guidance that CBP issued to its field 

offices on February 19, 2008. If CBP has decided to change that 

requirement it will need to update its guidance accordingly. CBP 

should include specific guidance on when a noncompliant traveler 

should be referred to secondary inspection and under what 

circumstances the noncompliant traveler can be admitted without 

any secondary inspection procedures. 

As is noted above, CBP’s reliance on “pre-WHTI” documents and 

practices to establish identity and U.S. citizenship conflicts with 

the Secretary's determination that only the passport, MMD, and 

NEXUS Air Card are sufficient to denote identity and citizenship. 

In our opinion, it is contrary to the intent of the legislation which 

clearly sought to change entry procedures. Thus, CBP’s proposed 

action is not responsive to our recommendation. 

This recommendation will remain open and unresolved until we 

receive a corrective action plan with a target date for completing 

the clarified guidance and until we receive and evaluate the 

clarified WHTI guidance. 

Management Response on Recommendation #2 

CBP partially concurs: CBP said it will clarify, but not revise 

WHTI enforcement procedures. CBP will update the Inspector’s 

Field Manual regarding its procedures for processing both noncompliant citizens and aliens, procedures for properly documenting 

secondary inspections in TECS, and alternative means in which 

U.S. citizens may establish citizenship to the satisfaction of CBP 

when not in compliance with WHTI. 

OIG Analysis: In its clarified procedures, CBP plans to include 

an alternative means for U.S. citizens to establish identity and 

citizenship. As such, these procedures would conflict with the 

Secretary’s determination that the only acceptable WHTI 

documentation to denote identity and citizenship are the passport, 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 15 
MMD, and NEXUS Air Card. Accordingly, the proposed action is 

not responsive to the recommendation. This recommendation will 

remain open and unresolved until we receive a corrective action 

plan with a target date for completing the clarified procedures. It 

will also remain open until we receive and evaluate both the 

clarified WHTI procedures and the updated Inspector’s Field 

Manual. 

Management Response on Recommendation #3 

CBP partially concurs: CBP said it will clarify, but not revise the 

WHTI enforcement procedures and stated that CBP officers will 

receive additional refresher training, via a training muster, memo, 

or related reference material, on how to process air passengers 

according to CBP policy. 

OIG Analysis: CBP states that it will provide its officers refresher 

training on its clarified procedures. The recommendation will 

remain open and unresolved until we receive a corrective action 

plan with a target completion date for providing the refresher 

training to its officers. The recommendation will also remain open 

until after we evaluate the training materials CBP plans to provide 

to its officers for processing air passengers. 

Management Response on Recommendation #4 

CBP concurs: CBP will implement procedures for monitoring 

CBP officers’ compliance with CBP policy regarding WHTI 

enforcement procedures using its Self Inspection Program. 

OIG Analysis: We consider the proposed action to be responsive 

to the recommendation. However, this recommendation will 

remain open and unresolved until we receive a corrective action 

plan with a target completion date and until CBP provides 

evidence that these self-inspections are occurring. 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 16 
Appendix A 

Purpose, Scope, and Methodology 

The objective of our audit was to determine whether Customs and 

Border Protection’s (CBP) implementation of the Western 

Hemisphere Travel Initiative (WHTI) secure document requirement 

in the air environment has improved the agency’s ability to identify 

individuals who misrepresent their identities and prevent their entry 

into the United States. We determined whether CBP officers 

properly verified the identities and citizenship of WHTInoncompliant passengers they admitted into the United States. 

We reviewed applicable federal laws and regulations, including the 

Intelligence Reform and Terrorism Prevention Act of 2004, the 

November 24, 2006, Air Final Rule titled Documents Required for 

Travelers Departing From or Arriving in the United States at Air 

Ports-of-Entry From Within the Western Hemisphere, CBP’s 

Inspector’s Field Manual, and WHTI guidance memos that CBP’s 

Office of Field Operations issued to the field. 

We interviewed CBP personnel from the Office of Field 

Operations, including staff from the WHTI Program Management 

Office, and the Advanced Passenger Information System and 

Preclearance Divisions. We also interviewed staff from CBP’s 

Office of Information Technology. We reviewed internal controls 

applicable to our objective. 

We visited three airports: Washington-Dulles International 

Airport, Baltimore-Washington International Airport, and 

Philadelphia International Airport. At these airports, we 

interviewed CBP officers and supervisors to learn how they 

implement WHTI enforcement procedures. At two of the three 

airports, we observed CBP officers processing incoming 

passengers through the primary and secondary inspection areas. 

We reviewed CBP reports documenting the WHTI air compliance 

rates at all applicable airports. We also obtained passenger records 

from TECS for the WHTI-noncompliant passengers that CBP 

officers processed at primary and secondary inspection areas from 

February 18 to December 31, 2008. 

We analyzed all records regarding the WHTI-noncompliant 

passengers that CBP officers admitted at the primary inspection 

areas. We also analyzed a random sample of 350 of the WHTInoncompliant passengers that CBP officers processed at secondary 

inspection areas. 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 17 
Appendix A 

Purpose, Scope, and Methodology 

We conducted this performance audit between October 2008 and 

April 2009 under the authority of the Inspector General Act of 

1978, as amended, and according to generally accepted 

government auditing standards. Those standards require that we 

plan and perform the audit to obtain sufficient, appropriate 

evidence to provide a reasonable basis for our findings and 

conclusions based on our audit objectives. We believe that the 

evidence obtained provides a reasonable basis for our findings and 

conclusions based on our audit objectives. 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 18 
llOO PtlUUlh..... A,~ ~'W

wuhinp>a. IX: 10119

'eI

us.Customs and

Border Protectioo

'l/O"cm~r 15.2010

ME~'ORANDUMFOR RICHARD 1_ SKINNER

INSPECTOR GENERAL

DEPARTME.''TOF UOMELAND SECURITY

FRO\1; Assistant CommissioncT, Officcof Inttnlal Affairs_ f'\

U.S. CustOIM and Border Protection tw--F-(~

SUBJECT: Response to the Office of IMpCCtor GencroJ's Rc\istd

Or'aft Repon Entitled. "CUStoms and Bordcr Protection

Needs to Improve Its Inspection Procedures for the Western

Hemisphere Travel Inilil1ti\"c"

1lI:tnk you for the opportunily to re"iew and comment on the re\ iscd draft n:port entitled.

'"CUllIOIM and Border Protection Needs 10 Impro\e Its Inspection Procedures for the

Weslern lIemisphcre Tra\'ellniliathe:'

U.S. Customs and Border Protection (CBP) successfully implcmcnt~-d all phases oflhe

Weslcrn Ilcmisphere Tra,el Initiati'e (WHTI). a key 9/1 I Commission border seeurit)

recommendation. althe air. land. and sea ports-of,entry 10 the United Siales. lbc Office

of Inspeclor Gener,,1 (CIG) reviewed lhe initial implemenlalion of WI rn for air lmvel

nOling some areas for improvement that will be addressed. Ilo\\e"er, the OIG docs no'

rely on the proper legal interpretalion. WHTI has been implemented in a prnelieal and

fle.~ible manner that fully complies with the Constilution. the Slatute calling for WIlTl.

and the joint Department of Homeland Sl'Curily and Slate regulations designating WIITI

documents.

lbe CIG revised draft report. Customs ami Bortler Prowclioll Net'lls 10 Iml'ro\'c its

Impec(ioll Procedures/or (he Western llemisllhere 7'rm'e!llIi/ill/il'e, fails to address its

own stated objective. which is to address the effectiveness ofCBl"s implemelllation of

WIlli at air ports-<lf-entry. lbe report docs not, for example, diseuss in detail the fael

that WIITl has improved CBp's ability to identify individuals misrepresenting

lhemsehes or falsely claiming U.S. citizenship and dl)C$ not. in llI1y meaningful .....ay.

discuss or examine CBP's interception ofindividuals that arc impostcrs or are making

false claims to U.S. cilizenship.

CUP has I'rovided multiple explana,ions ofilS opcrlniollS. CBP has explained the fllCt

that inspecting officers have been trained specificall) to establish identil)- and citi7.cnship

through oral questioning and illSJlC'Ction of all documents in a tra\elcr's po~lon.

Consular Officers with the Dcpan~nt of State (DOS), Adjudication Officers with U.S.

Citizenship and Immigration Services, Criminal In'estigatDrs \\;th Immigration and

Appendix B 

Management Comments to the Draft Report 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 19 
Customs Enforcemcnt, and CBP officers and agents, are all trained to adjudicate and

determine an individUlll's citizenship through a combination ofthe examination of

documents and questioning and interview techniques.

The O[O's rcport states that prior to WIITI, U.s. citizens "were permined" to present

thousands of different documents to establish citizenship. Whilc this is true. CBp did not

rely only on documentation. In fael. there were no documentary requirements for U.S.

citizens entering the United States from within the Western Hemisphere prior to WilT!.

CBI' office~ focused on questioning and interviewing travelers, an essential aspe<:t of

any inspection.

The presemation of a passport or other documem. in and of itself. is not verification of

citizenship. [mposters utilize genuine documents or high quality fraudulent documents to

altempt to gain entry to the United States. In large part through questioning and

behavioral observations, CBp can and regularly docs detect false claims to United States

citizenship and other incidents offraud.

CBI' formulated its currem policy and drafted the WHTI regulations with full knowledge

that our officers will be required to deal with various situations in which travelers will not

have required documentation. In all eases, CBp satisfies itselfthat a tra\'eler is a U.S.

citizen based on the totality ofthe inspection. as has been done for as long as there have

been inspections at ports.of-entry.

CBI' docs not sharc the OIG's "Other Concerns" with the air phase of WI [T!. Under the

OIG's view, CBI' would have more discretion to admit aliens than it docs to admit U.S.

citizens. Our current policies are all well within the tenTIS ofthe applicable legal

authorities. WilTI is being implemented in a manner fully eonsistem with the legal

interpretation ofthe Department's General Counsel.

CBP's policy is central to the successful implementation ofWHT[, as may have hceome

clear during review of the air program as well as the review ofland and sea operations.

CBP's responses to the recommendations are below:

Recommendation III: Rcvise and reissue guidelines that specify proct'dures for CBr

officers to follow when addressing WHTI non.compliant travelers attempting to enter thc

United States. llte guidelines should clarify the requirement to refer non-eompliam

travelers to secondary inspection and the minimum steps necessary al sccondar)"

inspection.

Nonconcur:

CBI' cannot concur with Recommcndation I as \\Tinen. CBI' has sole discretion over the

fOnTIulation and enforcement ofits policy for WHTI non-compliant air travelers, based

on the general operational em'ironment at air ports-of-enlry. CBP belic\'cs that it is not

always necessary to refer WilTI non-complianltravelers to secondary in order to

establish idenlity and citizenship. FUr1henTIore, CBp policy states that as soon as an

officer is satisfied that an air traveler is in fact a U.S. citizen, that traveler is admitted into

the United States. Additionally, the "minimum necessary" for any secondary inspection

cannot be quantified. and is based on the unique totality of eaeh inspeclion.

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 20 
WHTI guidance on procedures for processing non-compliant travelers will be claritied

and reissued at CBP's discretion, but not revised in thc manner put forth in

Recommendation I. CBP will clarify and reissue guidance on what constitutes WHTI

compliance, procedures for processing both non-compliant citizcns and aliens.

procedures for properly documenting secondary inspections. and alternative means in

which U.S. citizens may establish citizenship to the satisfaction ofCm' when not in

compliance with WIITI.

Due Datc: February 2011

Re"'ommendalion #2: Update the InspeclOr 's Field Manila! to incorporate the revised

WHTI enforcement procedures.

Partially Concur:

CBP will clarify. but not revisc, WIlT! enforeemcnt procedurcs. CIlP will update the

Inspector's Field M:mual regarding its procedures for processing both non-compliant

citizcns and aliens, procedures for properly documenting secondary inspections in TECS.

and alternative means by which U.S. citizens may establish citizenship to the satisfaction

ofCm' when not in compliance with WI[TI.

Due Dalc: May 2011

'{",commcndation #3: Ensure that all CIlP officers receive training on how to process air

passengers according to the revised WHT! enforcement procedures.

Partially Concur:

CIlP will clarify, but not revisc. WHTI enforeement procedures. CBr offieers will

receive additional refresher training on how to process air passengers according to CUP

policy. This will be in the form ofa training muster, memo. and relatt'd reference

matcrial.

Due Date: February 2011

Recommendation 114: Establish and implemcnt procl'dures for monitoring CBI' officers'

compliance with WI ['I'I enforeemcnt procedures.

Concur:

cm' will implement procedures for monitoring CElP officcrs' compliance with Cll!'

policy regarding WBTI enforcement procedures using CElP's Sclf Inspection Program.

Due Date: November 2011

Technical and Sensitive comments to this report will be provided to the CIG

electronically. CB!' has determined that some of the information included in the draft

report should be considered "FOR OFF[CIAL USE ONLY." CB!' suggests that the O[G

take into considerations our concerns prior to releasing information that has been

determined to be sensitive.

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 21 
If you have any queslions regarding lhis response. please contacl me or have a member of

your slaff contact Robin While. Assistanl Diredor. Managementlnspcl::tion Division.

Audil Managemenl and Liaison. 31 (202) 344-1061.

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 22 
Appendix C 

Major Contributors to This Report 

Alexander Best, Director 

Inez Jordan, Desk Officer 

Robert Ferrara, Audit Manager 

Danielle DeSanctis, Program Analyst 

Tia Jackson, Program Analyst 

Andre Marseille, Program Analyst 

James Bess, Independent Referencer 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 23 
Appendix D 

Report Distribution 

Department of Homeland Security 

Secretary 

Deputy Secretary 

Chief of Staff 

Deputy Chief of Staff 

General Counsel 

Executive Secretary 

Director, GAO/OIG Liaison Office 

Assistant Secretary for Office of Policy 

Assistant Secretary for Office of Public Affairs 

Assistant Secretary for Office of Legislative Affairs 

United States Customs and Border Protection 

Commissioner 

OIG Liaison 

Office of Management and Budget 

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress 

Congressional Oversight and Appropriations Committees, as 

appropriate 

Customs and Border Protection Needs to Improve Its Inspection Procedures 

for the Western Hemisphere Travel Initiative 

Page 24 
ADDITIONAL INFORMATION AND COPIES 

To obtain additional copies of this report, please call the Office of Inspector General (OIG) at (202) 254-4100, 

fax your request to (202) 254-4305, or visit the OIG web site at www.dhs.gov/oig. 

OIG HOTLINE 

To report alleged fraud, waste, abuse or mismanagement, or any other kind of criminal or noncriminal 

misconduct relative to department programs or operations: 

• Call our Hotline at 1-800-323-8603; 

• Fax the complaint directly to us at (202) 254-4292; 

• Email us at DHSOIGHOTLINE@dhs.gov; or 

• Write to us at: 

DHS Office of Inspector General/MAIL STOP 2600, 

Attention: Office of Investigations - Hotline, 

245 Murray Drive, SW, Building 410, 

Washington, DC 20528. 

The OIG seeks to protect the identity of each writer and caller.