Border Security: Additional Actions Needed to Improve Planning for a Biometric Air Exit System
Published: 2013-09-26T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: This testimony discusses the status of the Department of Homeland Security's (DHS) efforts to implement a biometric exit system. Beginning in 1996, federal law has required the implementation of an entry and exit data system to track foreign nationals entering and leaving the United States. The Intelligence Reform and Terrorism Prevention Act of 2004 required the Secretary of Homeland Security to develop a plan to accelerate implementation of a biometric entry and exit data system that matches available information provided by foreign nationals upon their arrival in and departure from the United States. In 2003, DHS initiated the U.S. Visitor and Immigrant Status Indicator Technology (US-VISIT) program to develop a system to collect biographic data (such as name and date of birth) and biometric data (such as fingerprints) from foreign nationals at U.S. ports of entry. Since 2004, DHS has tracked foreign nationals' entries into the United States as part of an effort to comply with legislative requirements, and since December 2006, a biometric entry capability has been fully operational at all air, sea, and land ports of entry.
However, GAO has identified a range of management challenges that DHS has faced in its effort to fully deploy a corresponding biometric exit capability to track foreign nationals when they depart the country. For example, in November 2009, GAO found that DHS had not adopted an integrated approach to scheduling, executing, and tracking the work that needed to be accomplished to deliver a biometric exit system. In these reports, GAO made recommendations intended to help ensure that a biometric exit capability was planned, designed, developed, and implemented in an effective and efficient manner. DHS generally agreed with our recommendations and has taken action to implement a number of them. Most recently, in July 2013, GAO reported on DHS's progress in developing and implementing a biometric exit system, as well as DHS's efforts to identify and address potential overstays--individuals who were admitted into the country legally on a temporary basis but then overstayed their authorized period of admission.
This statement is based on GAO's July 2013 report and, like that report, discusses the extent to which DHS has made progress in developing and implementing a biometric exit system at air ports of entry, which is DHS's priority for a biometric exit capability.
section_title: What GAO Found
paragraphs: GAO concluded in its July 2013 report that without robust planning that includes time frames and milestones to develop and implement an evaluation framework for this assessment, DHS lacks reasonable assurance that it will be able to provide this assessment to Congress for the fiscal year 2016 budget cycle as planned. Furthermore, any delays in providing this information to Congress could further affect possible implementation of a biometric exit system to address statutory requirements. Therefore, GAO recommended that the Secretary of Homeland Security establish time frames and milestones for developing and implementing an evaluation framework to be used in conducting the department's assessment of biometric exit options. DHS concurred with this recommendation and indicated that its component agencies plan to finalize the goals and objectives for biometric air exit by January 31, 2014, and that these goals and objectives will be used in the development of an evaluation framework that DHS expects to have completed by June 30, 2014.

section_title: Letter
paragraphs: I am pleased to be here today to discuss the status of the Department of  Homeland Security’s (DHS) efforts to implement a biometric exit system.  Beginning in 1996, federal law has required the implementation of an  entry and exit data system to track foreign nationals entering and leaving  the United States. The Intelligence Reform and Terrorism Prevention Act  of 2004 required the Secretary of Homeland Security to develop a plan to  accelerate implementation of a biometric entry and exit data system that  matches available information provided by foreign nationals upon their  arrival in and departure from the United States. In 2003, DHS initiated  the U.S. Visitor and Immigrant Status Indicator Technology (US-VISIT)  program to develop a system to collect biographic data (such as name  and date of birth) and biometric data (such as fingerprints) from foreign  nationals at U.S. ports of entry. Since 2004, DHS has tracked foreign  nationals’ entries into the United States as part of an effort to comply with  legislative requirements, and since December 2006, a biometric entry  capability has been fully operational at all air, sea, and land ports of entry.
However, we have identified a range of management challenges that  DHS has faced in its effort to fully deploy a corresponding biometric exit  capability to track foreign nationals when they depart the country. For  example, in November 2009, we found that DHS had not adopted an  integrated approach to scheduling, executing, and tracking the work that  needed to be accomplished to deliver a biometric exit system. In these  reports, we made recommendations intended to help ensure that a  biometric exit capability was planned, designed, developed, and  implemented in an effective and efficient manner. DHS generally agreed  with our recommendations and has taken action to implement a number  of them. Most recently, in July 2013, we reported on DHS’s progress in  developing and implementing a biometric exit system, as well as DHS’s  efforts to identify and address potential overstays—individuals who were  admitted into the country legally on a temporary basis but then  overstayed their authorized period of admission.
Within DHS, U.S. Customs and Border Protection (CBP) is tasked with,  among other duties, inspecting all people applying for entry to the United  States to determine their admissibility to the country. CBP collects  biographic and biometric information to document nonimmigrants’ entry  into the country and biographic information to document their exit. CBP is  also responsible for implementing a biometric exit program. Within DHS’s  National Protection and Programs Directorate, the Office of Biometric  Identity Management (OBIM) manages the Automated Biometric  Identification System, which maintains biometric information that DHS  collects from nonimmigrants upon their entry into the United States.OBIM also manages the Arrival and Departure Information System, which  tracks and matches arrival and departure records for the purpose of  identifying potential overstays.
My statement today is based on our July 2013 report and, like that report,  discusses the extent to which DHS has made progress in developing and  implementing a biometric exit system at air ports of entry, which is DHS’s  priority for a biometric exit capability. statutory requirements for a biometric exit system and analyzed DHS  documents, including a May 2012 report on the status of efforts to  implement a biometric exit capability at airports that was based on  analysis that DHS’s Science and Technology Directorate (S&T)  conducted. We compared the status of DHS’s efforts against statutory  requirements and standard practices for project management. We  interviewed DHS Office of Policy and S&T officials regarding DHS’s plans  for addressing recommendations in the department’s May 2012 report  and other ongoing efforts to develop a biometric exit system. We also  analyzed information about the Beyond the Border initiative, which is a  joint effort between the United States and Canada to exchange entry and  exit data through which entry into one country is treated as exit from the  other. We conducted this work in accordance with generally accepted  government auditing standards. Our July 2013 report provides further  details on our scope and methodology.
GAO-13-683.
subsections: section_title: DHS Faces Long- Standing Challenges and Uncertain Time Frames in Planning for a Biometric Exit System at Airports
paragraphs: As we reported in July 2013, DHS has not yet fulfilled the 2004 statutory  requirement to implement a biometric exit capability, but has planning  efforts under way to report to Congress in time for the fiscal year 2016  budget cycle on the costs and benefits of such a capability at airports and  seaports. Development and implementation of a biometric exit capability  has been a long-standing challenge for DHS. Since 2004, we have issued  a number of reports on DHS’s efforts to implement a biometric entry and  exit system. For example, in February and August 2007, we found that  DHS had not adequately defined and justified its proposed expenditures  for exit pilots and demonstration projects and that it had not developed a  complete schedule for biometric exit implementation. Further, in  September 2008, we reported that DHS was unlikely to meet its timeline  for implementing an air exit system with biometric indicators, such as  fingerprints, by July 1, 2009, because of several unresolved issues, such  as opposition to the department’s published plan by the airline industry.  In 2009, DHS conducted pilot programs for biometric air exit capabilities  in airport scenarios, and in August 2010 we found that there were  limitations with the pilot programs—for example, the pilot programs did  not operationally test about 30 percent of the air exit requirements  identified in the evaluation plan for the pilot programs—that hindered  DHS’s ability to inform decision making for a long-term air exit solution  and pointed to the need for additional sources of information on air exit’s  operational impacts.
In an October 2010 memo, DHS identified three primary reasons why it  has been unable to determine how and when to implement a biometric  exit capability at airports: (1) The methods of collecting biometric data  could disrupt the flow of travelers through airport terminals; (2) air carriers  and airport authorities had not allowed DHS to examine mechanisms  through which DHS could incorporate biometric data collection into  passenger processing at the departure gate; and (3) challenges existed in  capturing biometric data at the point of departure, including determining  what personnel should be responsible for the capture of biometric  information at airports. In July 2013, we reported that, according to DHS  officials, the challenges DHS identified in October 2010 continue to affect  the department’s ability to implement a biometric air exit system. With  regard to an exit capability at land ports of entry, in 2006, we reported that  according to DHS officials, for various reasons, a biometric exit capability  could not be implemented without incurring a major impact on land  facilities. For example, at the time of our 2006 report, DHS officials  stated that implementing a biometric exit system at land ports of entry  would require new infrastructure and would produce major traffic  congestion because travelers would have to stop their vehicles upon exit  to be processed. As a result, as of April 2013, according to DHS officials,  the department’s planning efforts focus on developing a biometric exit  capability for airports, with the potential for a similar solution to be  implemented at seaports, and DHS’s planning documents, as of June  2013, do not address plans for a biometric exit capability at land ports of  entry.
Our July 2013 report found that since April 2011, DHS has taken various  actions to improve its collection and use of biographic data to identify  potential overstays. For example, DHS is working to address weaknesses  in collecting exit data at land borders by implementing the Beyond the  Border initiative, through which DHS and the Canada Border Services  Agency exchange data on travelers crossing the border between the   Because an entry into Canada constitutes a  United States and Canada. departure from the United States, DHS will be able to use Canadian entry  data as proxies for U.S. departure records. As a result, the Beyond the  Border initiative will help address those challenges by providing a new  source of biographic data on travelers departing the United States at land  ports on the northern border. Our July 2013 report provides more  information on DHS’s actions to improve its collection and use of  biographic entry and exit data.
In 2011, DHS directed S&T, in coordination with other DHS component  agencies, to research long-term options for biometric air exit. In May  2012, DHS reported internally on the results of S&T’s analysis of previous  air exit pilot programs and assessment of available technologies, and the  report made recommendations to support the planning and development   In that report, DHS concluded that the  of a biometric air exit capability.building blocks to implement an effective biometric air exit system were  available. In addition, DHS’s report stated that new traveler facilitation  tools and technologies—for example, online check-in, self-service, and  paperless technology—could support more cost-effective ways to screen  travelers, and that these improvements should be leveraged when  developing plans for biometric air exit. However, DHS officials stated that  there may be challenges to leveraging new technologies to the extent that  U.S. airports and airlines rely on older, proprietary systems that may be  difficult to update to incorporate new technologies. Furthermore, DHS  reported in May 2012 that significant questions remained regarding (1)  the effectiveness of current biographic air exit processes and the error  rates in collecting or matching data, (2) methods of cost-effectively  integrating biometrics into the air departure processes (e.g., collecting  biometric scans as passengers enter the jetway to board a plane), (3) the  additional value biometric air exit would provide compared with the  current biographic air exit process, and (4) the overall value and cost of a  biometric air exit capability. The report included nine recommendations to  help inform DHS’s planning for biometric air exit, such as directing DHS to  develop explicit goals and objectives for biometric air exit and an  evaluation framework that would, among other things, assess the value of  collecting biometric data in addition to biographic data and determine  whether biometric air exit is economically justified.
DHS reported in May 2012 that it planned to take steps to address these  recommendations by May 2014; however, as we reported in July 2013,  according to DHS Office of Policy and S&T officials, the department does  not expect to fully address these recommendations by then. In particular,  DHS officials stated that it has been difficult coordinating with airlines and  airports, which have expressed reluctance about biometric air exit  because of concerns over its effect on operations and potential costs. To  address these concerns, DHS is conducting outreach and soliciting  information from airlines and airports regarding their operations. In  addition, DHS officials stated that the department’s efforts to date have  been hindered by insufficient funding. In its fiscal year 2014 budget  request for S&T, DHS requested funding for a joint S&T-CBP Air  Entry/Exit Re-Engineering Apex project. Apex projects are crosscutting,  multidisciplinary efforts requested by DHS components that are high- priority projects intended to solve problems of strategic operational  importance. According to DHS’s fiscal year 2014 budget justification, the  Air Entry/Exit Re-Engineering Apex project will develop tools to model  and simulate air entry and exit operational processes. Using these tools,  DHS intends to develop, test, pilot, and evaluate candidate solutions. As  of April 2013, DHS Policy and S&T officials stated that they expect to  finalize goals and objectives for a biometric air exit system in the near  future and are making plans for future scenario-based testing.
Although DHS’s May 2012 report stated that DHS would take steps to  address the report’s recommendations by May 2014, DHS officials told us  that the department’s current goal is to develop information about options  for biometric air exit and to report to Congress in time for the fiscal year  2016 budget cycle regarding (1) the additional benefits that a biometric air  exit system provides beyond an enhanced biographic exit system and (2)  costs associated with biometric air exit. However, as we reported in July  2013, DHS has not yet developed an evaluation framework, as  recommended in its May 2012 report, to determine how the department  will evaluate the benefits and costs of a biometric air exit system and  compare it with a biographic exit system. According to DHS officials, the  department needs to finalize goals and objectives for biometric air exit  before it can develop such a framework, and in April 2013 these officials  told us that the department plans to finalize these elements in the near  future. However, DHS does not have time frames for when it will  subsequently be able to develop and implement an evaluation framework  to support the assessment it plans to provide to Congress.
According to A Guide to the Project Management Body of Knowledge,  which provides standards for project managers, specific goals and  objectives should be conceptualized, defined, and documented in the  planning process, along with the appropriate steps, time frames, and  milestones needed to achieve those results. In fall 2012, DHS  developed a high-level plan for its biometric air exit efforts, which it  updated in May 2013, but this plan does not clearly identify the tasks  needed to develop and implement an evaluation framework. For example,  the plan does not include a step for developing the methodology for  comparing the costs and benefits of biometric data against those for  collecting biographic data, as recommended in DHS’s May 2012 report.  Furthermore, the time frames in this plan are not accurate as of June  2013 because DHS is behind schedule on some of the tasks and has not  updated the time frames in the plan accordingly. For example, DHS had  planned to begin scenario-based testing for biometric air exit options in  August 2013; however, according to DHS officials, the department now  plans to begin such testing in early 2014. A senior official from DHS’s  Office of Policy told us that DHS has not kept the plan up to date because  of the transition of responsibilities within DHS; specifically, in March 2013,  pursuant to the explanatory statement for DHS’s 2013 appropriation, DHS  established an office within CBP that is responsible for coordinating  DHS’s entry and exit policies and operations.process as of June 2013, and CBP told us that it planned to establish an  integrated project team in July 2013 that will be responsible for more  detailed planning for the department’s biometric air exit efforts. DHS  Policy and S&T officials agreed that setting time frames and milestones is  important to ensure timely development and implementation of the  evaluation framework in accordance with DHS’s May 2012  recommendations. According to DHS officials, implementation of a  biometric air exit system will depend on the results of discussions  between the department and Congress after the department provides this  assessment of options for biometric air exit.
In summary, we concluded in our July 2013 report that without robust  planning that includes time frames and milestones to develop and  implement an evaluation framework for this assessment, DHS lacks  reasonable assurance that it will be able to provide this assessment to  Congress for the fiscal year 2016 budget cycle as planned. Furthermore,  any delays in providing this information to Congress could further affect  possible implementation of a biometric exit system to address statutory  requirements. Therefore, we recommended that the Secretary of  Homeland Security establish time frames and milestones for developing  and implementing an evaluation framework to be used in conducting the  department’s assessment of biometric exit options. DHS concurred with  this recommendation and indicated that its component agencies plan to  finalize the goals and objectives for biometric air exit by January 31,  2014, and that these goals and objectives will be used in the development  of an evaluation framework that DHS expects to have completed by June  30, 2014.
Chairman Miller, Ranking Member Jackson Lee, and members of the  subcommittee, this completes my prepared statement. I would be happy  to respond to any questions you may have at this time.
section_title: GAO Contact and Staff Acknowledgments
paragraphs: For information about this statement, please contact Rebecca Gambler,  Director, Homeland Security and Justice, at (202) 512-8777 or  gamblerr@gao.gov. Contact points for our Offices of Congressional  Relations and Public Affairs may be found on the last page of this  statement. Other individuals making key contributions include Kathryn  Bernet, Assistant Director; Frances A. Cook; Alana Finley; and Ashley D.  Vaughan.
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