Air Passenger Screening: Transportation Security Administration Needs to Improve Complaint Processes
Published: 2012-11-29T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: This testimony discusses the findings of our November 2012 report assessing the Transportation Security Administration's (TSA) efforts to improve the air passenger screening complaints processes. TSA screens or oversees the screening of more than 650 million air passengers per year at 752 security checkpoints in more than 440 commercial airports nationwide, and must attempt to balance its aviation security mission with competing goals of efficiency and respecting the privacy of the traveling public. The agency relies upon multiple layers of security to deter, detect, and disrupt persons posing a potential risk to aviation security. These layers focus on screening millions of passengers and pieces of carry-on and checked baggage, as well as tons of air cargo, on a daily basis.
Given TSA's daily interaction with members of the traveling public, air passenger screening complaints reflect a wide range of concerns about, for example, the systems, procedures, and staff that TSA has used for screening air passengers at security checkpoints. This includes concerns related to the use of Advanced Imaging Technology and enhanced pat-down procedures. TSA screens or oversees the screening of more than 650 million air passengers per year at 752 security checkpoints in more than 440 commercial airports nationwide, and must attempt to balance its aviation security mission with competing goals of efficiency and respecting the privacy of the traveling public. The agency relies upon multiple layers of security to deter, detect, and disrupt persons posing a potential risk to aviation security. These layers focus on screening millions of passengers and pieces of carry-on and checked baggage, as well as tons of air cargo, on a daily basis. TSA has processes for addressing complaints about air passengers' screening experience at security checkpoints, but concerns have been raised about these processes. Also, TSA is implementing a Pre✓ program to expedite screening at security checkpoints.
This statement primarily based on our November 2012 report and, like the report, discusses the extent to which TSA has (1) policies and processes to guide the receipt of air passenger screening complaints, and uses this information to monitor or enhance screening operations, (2) a consistent process for informing passengers about how to make complaints, and (3) complaint resolution processes that conform to independence standards to help ensure that these processes are fair and impartial. As requested, the statement also describes TSA's recent efforts to make the screening process more risk-based and selective through use of TSA's Pre✓ program.
section_title: What GAO Found
paragraphs: In summary, TSA receives thousands of air passenger screening complaints through five central mechanisms, but does not have an agencywide policy, consistent processes, or a focal point to guide receipt and use of such information. Also, while the agency has several methods to inform passengers about its complaint processes, it does not have an agencywide policy or mechanism to ensure consistent use of these methods among commercial airports. In addition, TSA's complaint resolution processes do not fully conform to standards of independence to ensure that these processes are fair, impartial, and credible, but the agency is taking steps to improve independence. To address these issues, we made four recommendations to TSA with which the agency concurred, and it indicated actions it is taking in response. Finally, TSA officials stated that the agency is undertaking efforts to focus its resources and improve the passenger experience at security checkpoints by applying new intelligence-driven, risk-based screening procedures, including expanding its Pre✓ program. TSA plans to have this program in place at 35 airports by the end of the calendar year and estimates that it has screened more than 4 million passengers to date through this program.

section_title: Letter
paragraphs: I am pleased to be here to discuss the findings of our November 2012  report assessing the Transportation Security Administration’s (TSA)  efforts to improve the air passenger screening complaints processes.  TSA screens or oversees the screening of more than 650 million air  passengers per year at 752 security checkpoints in more than 440  commercial airports nationwide, and must attempt to balance its aviation  security mission with competing goals of efficiency and respecting the  privacy of the traveling public. The agency relies upon multiple layers of  security to deter, detect, and disrupt persons posing a potential risk to  aviation security. These layers focus on screening millions of passengers  and pieces of carry-on and checked baggage, as well as tons of air cargo,  on a daily basis.
Given TSA’s daily interaction with members of the traveling public, air  passenger screening complaints reflect a wide range of concerns about,  for example, the systems, procedures, and staff that TSA has used for  screening air passengers at security checkpoints. This includes concerns  related to the use of Advanced Imaging Technology and enhanced pat- down procedures. air passengers’ screening experience at security checkpoints, but  concerns have been raised about these processes. Also, TSA is  implementing a Pre✓™ program to expedite screening at security  checkpoints.
The December 2009 terrorist attempt to detonate an explosive device during an  international flight bound for Detroit prompted TSA to implement changes to air passenger  screening, including accelerating the nationwide deployment of Advanced Imaging  Technology (body scanners) and introducing enhanced pat-down procedures in October  2010 to screen air passengers who, for example, opt out of Advanced Imaging  Technology-based screening. consistent process for informing passengers about how to make  complaints, and (3) complaint resolution processes that conform to  independence standards to help ensure that these processes are fair and  impartial. As requested, my statement also describes TSA’s recent  efforts to make the screening process more risk-based and selective  through use of TSA’s Pre✓™ program.
For our November 2012 report, we obtained and analyzed air passenger  screening complaint data from October 2009 through June 2012 from four  TSA headquarters units. In addition, we obtained and analyzed air  passenger screening complaint data from April 2011 through June 2012  from a database TSA uses to document screening complaints collected  through TSA’s Talk to TSA web-based portal. On the basis of information  from and discussions with TSA officials related to the controls in place to  maintain the integrity of TSA’s complaint data, we determined that the  data from each database were sufficiently reliable for our purposes. We  also reviewed TSA documentation and interviewed TSA officials from  headquarters offices and 6 airports selected for the type of security and  screening equipment used, among other things. The airport interviews are  not generalizable, but provide insights. Additional details on the scope  and methodology, including our assessment of data reliability, can be  found within that report. To obtain information about TSA’s Pre✓™  program, we analyzed TSA program documentation, interviewed TSA  officials, and reviewed TSA’s website information in November 2012. We  discussed this information with TSA officials and incorporated their  technical comments as appropriate. We conducted all of this work in  accordance with 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 based  on our audit objectives.
In summary, TSA receives thousands of air passenger screening  complaints through five central mechanisms, but does not have an  agencywide policy, consistent processes, or a focal point to guide receipt  and use of such information. Also, while the agency has several methods  to inform passengers about its complaint processes, it does not have an  agencywide policy or mechanism to ensure consistent use of these  methods among commercial airports. In addition, TSA’s complaint  resolution processes do not fully conform to standards of independence  to ensure that these processes are fair, impartial, and credible, but the  agency is taking steps to improve independence. To address these  issues, we made four recommendations to TSA with which the agency  concurred, and it indicated actions it is taking in response. Finally, TSA  officials stated that the agency is undertaking efforts to focus its  resources and improve the passenger experience at security checkpoints  by applying new intelligence-driven, risk-based screening procedures,  including expanding its Pre✓™ program. TSA plans to have this program  in place at 35 airports by the end of the calendar year and estimates that  it has screened more than 4 million passengers to date through this  program.
subsections: section_title: Lack of an Agencywide Policy, Consistent Processes, and Agency Focal Point Limits TSA’s Ability to Receive and Use Complaint Information
paragraphs: TSA receives thousands of air passenger screening complaints through  five centralized mechanisms but does not have an agencywide policy,  consistent processes, or an agency focal point to guide the receipt of  these complaints, or “mine” these data to inform management about the  nature and extent of the screening complaints to help improve screening  operations and customer service. For example, TSA data indicate the  following:
From October 2009 through June 2012, TSA received more than  39,000 screening complaints through its TSA Contact Center (TCC),   including more than 17,000 complaints about pat-down procedures.
From October 2009 through June 2012, TSA’s Office of the Executive  Secretariat received approximately 4,000 complaints that air  passengers submitted by mail.
From April 2011 (when it was launched) through June 2012, the  agency’s Talk to TSA web-based mechanism received approximately  4,500 air passenger screening complaints, including 1,512 complaints  about the professionalism of TSA staff during the screening process.
However, the data from the five centralized mechanisms do not reflect the  full nature and extent of complaints because local TSA staff have  discretion in implementing TSA’s complaint processes, including how they  receive and document complaints. For example, comment cards were  used in varying ways at 6 airports we contacted. Specifically, customer comment cards were not used at 2 of these airports, were on display at 2  airports, and were available upon request at the remaining 2 airports we  contacted. TSA does not have a policy requiring that complaints  submitted using the cards be tracked or reported centrally.
We concluded that a consistent policy to guide all TSA efforts to receive  and document complaints would improve TSA’s oversight of these  activities and help ensure consistent implementation. TSA also uses TCC  data to inform the public about air passenger screening complaints,  monitor operational effectiveness of airport security checkpoints, and  make changes as needed. However, TSA does not use data from its  other four mechanisms, in part because the complaint categories differ,  making data consolidation difficult. A process to systematically collect  information from all mechanisms, including standard complaint  categories, would better enable TSA to improve operations and customer  service. Further, at the time of our review, TSA had not designated a focal  point for coordinating agencywide policy and processes related to  receiving, tracking, documenting, reporting, and acting on screening  complaints. Without a focal point at TSA headquarters, the agency does  not have a centralized entity to guide and coordinate these processes, or  to suggest any additional refinements to the system.
To address these weaknesses, we recommended that TSA establish a consistent policy to guide agencywide efforts for receiving,  tracking, and reporting air passenger screening complaints; establish a process to systematically compile and analyze information  on air passenger screening complaints from all complaint  mechanisms; and designate a focal point to develop and coordinate agencywide policy  on screening complaint processes, guide the analysis and use of the  agency’s screening complaint data, and inform the public about the  nature and extent of screening complaints.
The Department of Homeland Security (DHS) concurred with the  recommendations and indicated actions that TSA had taken, had  underway, and was planning to take in response. For example, DHS  stated that TSA would review current intake and processing procedures  at headquarters and in the field and develop policy, as appropriate, to  better guide the complaint receipt, tracking, and reporting processes. We  believe that these are beneficial steps that would address the  recommendation, provided that the resulting policy refinements improve  the existing processes for receiving, tracking, and reporting all air  passenger screening complaints, including the screening complaints that  air passengers submit locally at airports through comment cards or in  person at security checkpoints.
In commenting on a draft of our November 2012 report, TSA also stated  that the agency began channeling information from the Talk to TSA  database to the TCC in October 2012. However, DHS did not specify in  its letter whether TSA will compile and analyze data from the Talk to TSA  database and its other centralized mechanisms in its efforts to inform the  public about the nature and extent of screening complaints, and whether  these efforts will include data on screening complaints submitted locally at  airports through customer comment cards or in person at airport security  checkpoints. DHS also did not provide sufficient detail for us to assess  whether TSA’s planned actions will address the difficulties we identified in  collecting standardized screening data across different complaint  categories and mechanisms. DHS stated that the Assistant Administrator  for the Office of Civil Rights & Liberties, Ombudsman and Traveler  Engagement was now the focal point for overseeing the key TSA entities  involved with processing passenger screening complaints. It will be  important for the Assistant Administrator to work closely with, among  others, the office of the Assistant Administrator of Security Operations  because this office oversees screening operations at commercial airports  and security operations staff in the field who receive screening complaints  submitted through customer comment cards or in person at airport  security checkpoints. We will continue to monitor TSA’s progress in  implementing these recommendations.
section_title: TSA Has Several Methods to Inform Air Passengers about Making Screening Complaints, but Does Not Consistently Implement Them
paragraphs: TSA has several methods to inform passengers about its complaint  processes, but does not have an agencywide policy or mechanism to  ensure consistent use of these methods among commercial airports. For  example, TSA has developed standard signs, stickers, and customer  comment cards that can be used at airport checkpoints to inform  passengers about how to submit feedback to TSA; however, we found  inconsistent use at the 6 airports we contacted.
For example, customer comment cards were displayed in the checkpoints  at 2 airports, while at 2 others the cards were provided upon request.  However, we found that passengers may be reluctant to ask for such  cards, according to TSA. TSA officials at 4 of the 6 airports also said that  the agency could do more to share best practices for informing  passengers about complaint processes. For example, TSA holds periodic  conference calls for its Customer Support Managers—TSA staff at certain  commercial airports who work in conjunction with other local TSA staff to  resolve customer complaints and communicate the status and resolution  of complaints to air passengers—to discuss customer service. However,  Customer Support Managers have not used this mechanism to discuss  best practices for informing air passengers about processes for  submitting complaints, according to the officials we interviewed. Policies  for informing the public about complaint processes and mechanisms for  sharing best practices among local TSA officials could help provide TSA  reasonable assurance that these activities are being conducted  consistently and help local TSA officials learn from one another about  what practices work well.
We recommended that TSA establish an agencywide policy to guide its  efforts to inform air passengers about the screening complaint processes  and establish mechanisms, particularly at the airport level, to share  information on best practices for informing air passengers about the  screening complaint processes. DHS concurred with the recommendation  and stated that TSA would develop a policy to better inform air  passengers about the screening complaint processes. We will continue to  monitor TSA’s progress in implementing this recommendation.
section_title: TSA’s Complaint Resolution Processes Do Not Fully Conform to Standards of Independence, but TSA Is Taking Steps to Increase Independence
paragraphs: TSA’s complaint resolution processes do not fully conform to standards of  independence to ensure that these processes are fair, impartial, and  credible, but the agency is taking steps to improve independence.  Specifically, TSA airport officials responsible for resolving air passenger  complaints are generally in the same chain of command as TSA airport  staff who are the subjects of the complaints. While TSA has an  Ombudsman Division that could help ensure greater independence in the  complaint processes, the division primarily focuses on handling internal  personnel matters and is not yet fully equipped to address external  complaints from air passengers, according to the head of the division.
TSA is developing a new process for referring air passenger complaints  directly to the Ombudsman Division from airports and for providing air  passengers an independent avenue to make complaints about airport  security checkpoint screening. In August 2012, TSA’s Ombudsman  Division began addressing a small number of air passenger complaints  forwarded from the TCC, according to the head of that division. TSA also  began advertising the division’s new role in addressing passenger  screening complaints via the TSA website in October 2012. According to  the Assistant Administrator of TSA’s Office of Civil Rights & Liberties,  Ombudsman and Traveler Engagement, the division will not handle  complaints for which there exists an established process that includes an  appeals function, such as disability complaints or other civil rights or civil  liberties complaints, in order to avoid duplication of currently established  processes. According to the Assistant Administrator, the agency also  plans to initiate a Passenger Advocate Program by January 2013, in  which selected TSA airport staff will be trained to take on a collateral  passenger advocate role, respond in real time to identify and resolve  traveler-related screening complaints, and assist air passengers with  medical conditions or disabilities, among other things. It is too early to  assess the extent to which these initiatives will help mitigate possible  concerns about independence.
section_title: TSA Is Expanding Its Risk-Based Programs, Including the Pre✓™ Program
paragraphs: TSA officials stated that the agency is undertaking efforts to focus its  resources and improve the passenger experience at security checkpoints  by applying new intelligence-driven, risk-based screening procedures and  enhancing its use of technology.
One component of TSA’s risk-based approach to passenger screening is  the Pre✓™ program, which was introduced at 32 airports in 2012, and  which the agency plans to expand to 3 additional airports by the end of  the calendar year. The program allows frequent flyers of five airlines, as  well as individuals enrolled in other departmental trusted traveler  programs—where passengers are pre-vetted and deemed trusted  travelers—to be screened on an expedited basis. This program is  intended to allow TSA to focus its resources on high-risk travelers.  According to TSA, more than 4 million passengers have been screened  through this program to date. Agency officials have reported that with the  deployment of this program and other risk-based security initiatives, such  as modifying screening procedures for passengers 75 and over and  active duty service members, TSA has achieved its stated goal of  doubling the number of passengers going through expedited screening.  According to TSA, as of the end of fiscal year 2012, over 7 percent of  daily passengers were eligible for expedited screening based on low risk.  However, the estimated number of passengers that will be screened on  an expedited basis is still a relatively small percentage of air passengers  subject to TSA screening protocols each year. We plan to begin an  assessment of TSA’s progress in implementing the TSA Pre✓™ program  in 2013.
Chairman Petri, Ranking Member Costello, and Members of the  Subcommittee, this concludes my prepared remarks. I look forward to  responding to any questions that you may have.
section_title: GAO Contact and Staff Acknowledgments
paragraphs: For questions about this statement, please contact Steve Lord at (202)  512-4379 or lords@gao.gov. Contact points for our Offices of  Congressional Relations and Public Affairs may be found on the last page  of this statement. Individuals making key contributions to this statement  include Jessica Lucas-Judy (Assistant Director), David Alexander,  Thomas Lombardi, Anthony Pordes, and Juan Tapia-Videla.
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