American Samoa: Performing a Risk Assessment Would Better Inform U.S. Agencies of the Risks Related to Acceptance of Certificates of Identity
Released: 2010-07-12T00:00:00

Letter

Background

American Samoa, the only inhabited U.S. insular area in the southern hemisphere, is located about 2,600 miles southwest of Hawaii (see fig. 1). American Samoa consists of five volcanic islands and two coral atolls, covering a land area of 76 square miles—slightly larger than Washington, D.C. The capital of American Samoa, Pago Pago, is located on the main island of Tutuila, which is mostly rugged terrain with relatively little level land. Most of American Samoa’s economic activity—primarily tuna canning and government operations—takes place on Tutuila in the Pago Pago Bay area. In late September 2009, one of American Samoa’s two tuna canneries closed operations and American Samoa also experienced an earthquake and tsunami, which caused considerable damage.

American Samoa According to the latest data available, American Samoa had a population of about 63,780 in 2005. At that time, the foreign-born population (non- U.S. citizens or nationals), mostly from the independent state of Samoa, comprised approximately one-third of American Samoa’s total population (see fig. 2). The American Samoa Department of Commerce estimated that in 2008, 45 percent to 55 percent of the total population was foreign born. Unlike residents born in Guam, the Commonwealth of the Northern Mariana Islands, or the U.S. Virgin Islands, residents born and raised in American Samoa are U.S. nationals and not U.S. citizens, though they may become naturalized U.S. citizens. Like residents of these other insular areas, though, residents of American Samoa have many of the rights of citizens of the 50 states, but cannot vote in U.S. presidential elections and do not have voting representation in the final approval of legislation by the full Congress. Residents of American Samoa vote for a congressional delegate who has all congressional privileges, including a vote in committee, except a vote in the House of Representatives.

American Samoa does not have an organic act that establishes the relationship between American Samoa and the United States; however, two deeds of cession were initially completed between Samoan chiefs, or matai, and the United States in 1900 and 1904 and ratified by the federal government in 1929. In these deeds, the United States pledged to promote peace and welfare, to establish a good and sound government, and to preserve the rights and property of the people. The U.S. Navy was initially responsible for federal governance of American Samoa. Then, in 1951, federal governance was transferred to the Secretary of the Interior, which continues today. The Secretary of the Interior exercises broad powers with regard to American Samoa, including “all civil, judicial, and military powers” of government in American Samoa. American Samoa has had its own constitution since 1960, and since 1983, the local American Samoa constitution may only be amended by an act of Congress. The American Samoa constitution provides for three separate branches of government— the executive, the legislative, and the judicial. Nearly 40 American Samoa departments, offices, and other entities within the executive branch of the American Samoa government provide public safety, public works, education, health, commerce, and other services. The legislature, or Fono, is comprised of 18 senators and 20 representatives. The American Samoa judiciary consists of a High Court and a District Court under the administration and supervision of the Chief Justice.

U.S. Customs and Immigration Laws Generally Do Not Apply in American Samoa

In general, U.S. customs and immigration laws do not govern the customs and immigration programs in American Samoa. With respect to customs law, federal regulations define the customs territory of the United States to include the 50 states, the District of Columbia, and Puerto Rico. As a result, U.S. customs requirements applicable to the U.S. customs territory do not apply in U.S. insular areas, including American Samoa. For example, in general, goods imported into American Samoa are not inspected by federal customs officials and are not subject to federal tariffs.

Although American Samoa is not considered part of the customs territory of the United States, it is not treated as a foreign country either. Rather, as a U.S. insular area, it is accorded special status with respect to goods exported from American Samoa into the customs territory of the United States. The Harmonized Tariff Schedule provides exemptions to the general rates of duties for certain goods imported into the rest of the United States from American Samoa. For example, goods grown in American Samoa or produced or manufactured in American Samoa from materials grown in American Samoa may be imported into the rest of the United States duty-free, so long as the goods do not contain foreign materials worth more than 70 percent of the goods’ total value.

With respect to federal immigration law, the Immigration and Nationality Act defines the United States to include the continental United States, Alaska, Hawaii, Puerto Rico, the U.S. Virgin Islands, Guam, and the Commonwealth of the Northern Mariana Islands. As a result, U.S. immigration requirements for entering and working in the United States generally do not apply in American Samoa, and the American Samoa government, rather than the U.S. government, governs the admission of aliens to American Samoa.

Because U.S. Customs and Immigration Laws Generally Do Not Apply in American Samoa, There Is Little, If Any, Interaction between American Samoa and U.S. Customs and Immigration Agencies

Because U.S. customs and immigration laws generally do not apply in American Samoa, and because of the resulting separate authorities for American Samoa and U.S. customs and immigration programs, American Samoa customs and immigration agencies and officials have little, if any, interaction with the customs or immigration programs and officials in the United States. Multiple U.S. agencies have responsibilities over customs and immigration functions in the United States and at the ports of entry— including CBP, USCIS, and the Department of State’s Bureau of Consular Affairs—but none of these entities have a presence or staff in American Samoa. There are, however, several U.S. agencies that interact with the government of American Samoa and have staff based in American Samoa. For example, the FBI has a resident office in American Samoa which, since being established in December 2005, has addressed a growing number of crimes in American Samoa, including public corruption of high- ranking government officials, fraud against the government, civil rights violations, and human trafficking. Additionally, DOI has staff in American Samoa that help issue and monitor federal grants provided to the government of American Samoa. For example, in fiscal year 2008, the American Samoa government expended approximately $114.4 million in grants from several U.S. agencies, over $15.5 million of which was provided by DOI, but based on our review of budget documents, none of those funds were used to support American Samoa’s customs or immigration programs.

Individuals born in American Samoa are U.S. nationals but not citizens, unless they become naturalized U.S. citizens. Travel between American Samoa and the rest of the United States is considered travel between two U.S. border locations under Department of State regulations and, as a result, passports are not required for U.S. citizens or noncitizen nationals. U.S. nationals may travel to the rest of the United States with a government-issued photo ID and documentation establishing U.S. nationality. Although travel from American Samoa to the rest of the United States is considered domestic for purposes of passport requirements, because Honolulu, Hawaii, is the travelers’ first encounter with U.S. customs and immigration officials, all passengers from American Samoa are screened by CBP officers upon arrival at the Honolulu International Airport to establish their identity and nationality and, if they are not U.S. citizens or nationals, their admissibility to the United States. A U.S. citizen or national may satisfy CBP of his or her identity and nationality by showing a U.S.-issued passport or military ID card, a birth certificate in combination with a photo ID, or an American Samoa-issued CI.

While they do not have any staff based in American Samoa, staff from the Department of State’s Bureau of Consular Affairs and USCIS interact with American Samoa residents applying for U.S. passports or naturalization, respectively. U.S. nationals who live in American Samoa may apply for U.S. passports through a Department of State-approved passport acceptance agent at the U.S. Post Office in American Samoa. Noncitizen nationals are subject to the same application requirements as U.S. citizens and must show proof of their status as U.S. nationals. The passport applications and supporting materials are sent to the Department of State’s Honolulu Passport Office for processing and adjudication. If there is suspicion of fraudulent documentation within an application package (e.g., a suspicious birth certificate) the Honolulu Passport Office determines the validity of submitted documents and requires applicants to submit additional documents until staff are satisfied as to the documents’ authenticity. According to the Department of State, in 2008, over 3,300 U.S. passports were issued to individuals who listed American Samoa as their place of birth.

USCIS reported that it received between 100 and 300 applications for naturalization from noncitizen nationals from American Samoa—who may reside elsewhere in the United States—each fiscal year from 2002 through 2009. Noncitizen nationals may naturalize if they reside in any U.S. state for 3 months, pass an English and civics test, and take an oath of allegiance. They must also pay the $675 fee for naturalization.

American Samoa Operates Its Own Customs and Immigration Programs

American Samoa operates its own customs and immigration programs, which have separate organizational structures and functions and are based on American Samoa laws, regulations, policies, and procedures. American Samoa’s Customs Division, within the Department of Treasury, inspects passengers, baggage, and cargo, and collects excise taxes. American Samoa’s immigration program is managed by the Immigration Office and the Immigration Board, both of which report to the Attorney General of American Samoa. The Immigration Office is responsible for alien ID issuance, daily immigration operations, and enforcement; while the Immigration Board holds weekly hearings and makes decisions on issues, such as aliens’ work authorizations and transfers of aliens’ sponsorships. In addition to these functions that pertain to processing applications from aliens who want to live or work in American Samoa, the Office of the Attorney General also has responsibility for issuing CIs for U.S. nationals, which includes U.S. citizens and noncitizen nationals, wishing to travel to the rest of the United States.

American Samoa’s Customs Division Inspects Passengers and Cargo and Collects Excise Taxes

Under the authority of the American Samoa Department of Treasury, the overall function of the Customs Division is to administer and enforce all excise tax laws, and to intercept illicit imports of narcotics, weapons, ammunition and other contraband at the ports of entry. It is authorized to develop policies and procedures necessary for the proper functioning of the Customs Division. American Samoa customs law provides that all persons entering or leaving American Samoa may be searched by a customs officer and all merchandise or baggage imported or brought into American Samoa is to be inspected by a customs officer. Additionally, all passengers and crew members, regardless of citizenship, must make a customs entry and declaration upon arrival in American Samoa and all items acquired abroad must be declared in writing. Any vessel arriving in American Samoa is required to provide certain documents, such as manifests, and is subject to being boarded and examined by American Samoan customs officials. All imports that arrive in American Samoa are to be taken into custody and released by the Customs Division after being inspected. According to port administration officials, approximately 1,000 vessels come through the Pago Pago seaport annually and about 50 cargo containers, on average, arrive at the seaport each day and have to be inspected prior to release by the Customs Division. American Samoa customs law states that cargo containers may be inspected on location at the official point of entry or removed to other locations, such as the respective places of business, for inspection. As such, cargo containers may not be opened by importers until officially inspected and released by the Customs Division in writing. Importers are required to pay certain excise taxes on goods and no imports are to be released until all fees and excise taxes have been paid in full. An excise tax of 5 percent is imposed on items imported for commercial use or resale in American Samoa and certain items, such as alcohol, tobacco, and motor vehicles, are taxed at higher rates prescribed by law. All monies due pursuant to excise tax laws are collected by the Customs Division and are to be deposited with the Treasurer of American Samoa.

The Customs Division’s fiscal year 2009 budget was $1.2 million and it has 55 employees who work within its six branches, as shown in figure 3. The Customs Division’s collection of excise taxes generated over $18.5 million in revenue for the government of American Samoa in fiscal year 2009— 22 percent of the government’s total general fund revenues for that year. Typically, excise tax revenues are to be deposited into the general fund and available for appropriation by the American Samoa legislature, or Fono.

The Customs Division maintains standard operating procedures that provide written policies and procedures that define duties, responsibilities, and privileges for Customs Division staff and also detail consequences for violating the laws of American Samoa and the written policies and procedures. Additionally, the Customs Division developed a Code of Conduct that articulates the standards of behavior and conduct required of employees in an effort to ensure that the integrity of the Customs Division is maintained. According to the Chief Customs Officer, all Customs officers rotate functions every 3 to 6 months to help prevent complacency and corruption. He added that Customs supervisors are also required to perform random inspections to ensure Customs officers are sufficiently inspecting the imported cargo containers.

According to the Chief Customs Officer, because the Customs Division does not have an automated computer system for tracking cargo container arrivals and inspections, all Customs Division functions are tracked manually. He stated that it would be extremely beneficial to be able to automate the system that tracks the offloading and inspections of cargo containers and the collection of excise taxes. He added that he is in the process of determining the most suitable automated system for the American Samoa Customs Division and once he finds a system that suits their needs, he intends to submit an application for a technical assistance grant from DOI.

American Samoa’s Immigration Office and Immigration Board Administer the Immigration Program and the Attorney General Approves the Issuance of Certificates of Identity

American Samoa’s immigration program is responsible for, among other things, managing aliens arriving in American Samoa. Aliens may enter American Samoa for up to 30 days on visitor or business entry permits and certain aliens may apply to reside in American Samoa for more than 30 days based on family relationships with American Samoans (or permanent residents in American Samoa) or for employment reasons. Immigration law in American Samoa provides for 12 separate classifications of aliens to remain in American Samoa for more than 30 days; however, some of the categories are subject to numerical limits. Any aliens entering and remaining in American Samoa must have sponsors. In general, American Samoa’s immigration program has many of the same elements as the U.S. immigration program, such as numerical limits on the number of aliens that may enter, or preferences for specific categories of aliens; however, American Samoa’s immigration program also has some unique aspects, such as special allowances for aliens from the Independent State of Samoa. Additional information on American Samoa’s immigration program, including alien categories and numerical limitations, is provided in appendix I.

American Samoa’s immigration program is administered by the Immigration Office and the Immigration Board, both of which are housed within the Department of Legal Affairs and are under the authority and guidance of the Attorney General of American Samoa, as shown in figure 4. The Immigration Office, and the sections that report to it, are responsible for the daily operations of immigration functions, including issuing immigration ID cards, as well as tracking and enforcing quotas on aliens. The Immigration Board has responsibility, among other things, for approving applications for alien work permits and for authorizing aliens to remain in American Samoa and register as lawfully present. The Office of the Attorney General, also within the Department of Legal Affairs, is responsible for issuing CIs for U.S. nationals who wish to travel to the rest of the United States, among other things.

The American Samoa Immigration Office, in concert with the Immigration Board, administers the processes by which aliens may enter American Samoa. The Immigration Office is headed by the Chief Immigration Officer with a staff of 40 employees. In fiscal year 2009, the Immigration Office had a budget of $805,000 and generated $1.78 million in total revenue from the various application and entry fees it collected. According to Immigration Office officials, their functions include inspecting documents for all persons entering American Samoa, receiving applications for entry permits and petitions for aliens to remain in American Samoa, and enforcing immigration laws. Further details on the various functions of the Immigration Office are contained in the sections that follow.

All persons entering or leaving American Samoa may be searched by one or more immigration officers and asked to provide documentation, such as a valid passport or travel document. Immigration officers have authority, under certain circumstances, to interrogate, search, and arrest certain arriving passengers. According to the American Samoa Department of Commerce, in calendar year 2008, 72,999 individuals traveled to American Samoa, of which 6,995 arrived for employment reasons.

According to Immigration Office officials, every alien with a classification that allows the alien to remain in American Samoa for longer than 30 days is registered and has an alien ID card that is valid for 1 or 3 years, depending on the alien’s classification. Immigration officials explained that safeguards are in place regarding alien ID cards. For example, each alien ID card has a hologram image that is designed to make the card more difficult to counterfeit.

Since 2003, the Immigration Office has used a computer system to maintain the records of lawfully present aliens and permanent residents. This computerized system is able to track the registration of aliens and the issuance of most entry permits. American Samoan government officials added that the Immigration Office has a separate computer system, funded by a 2003 grant from DOI’s Office of Insular Affairs, which maintains data on passengers who arrive and depart American Samoa via the airport or seaport through scanning or entering data from the passengers’ travel documents into the system. The officials noted, though, that the two separate computerized systems—one for tracking alien registrations and one for tracking arrivals and departures—do not have any links between them, so that the data from the immigration system that tracks the registration of aliens and issuance of entry permits are not automatically updated or matched with data on arriving and departing passengers. The officials indicated they could benefit from additional upgrades to the systems to allow them to be linked and added that they are in the early process of developing a proposal for obtaining funding from DOI for upgrading the computer systems.

Investigating Violations of Immigration Law The Immigration Office staffs an Investigation Section that is responsible for investigating and charging aliens who are in violation of American Samoa immigration laws. Court officials we met with in American Samoa stated that in an effort to assist with enforcement, the American Samoa District Court requires an immigration officer to be present during criminal proceedings to verify the immigration status of defendants. According to court officials we met with, approximately 60 percent of the defendants who have appeared in District Court in recent months for a variety of criminal offenses are aliens.

Immigration Board Duties and Responsibilities

The American Samoa Immigration Board hears cases and determines, for example, if aliens are authorized to remain in American Samoa and register as lawfully present aliens. The board, consisting of five members who are appointed by the Governor with consent and approval of the legislature, is overseen by the Attorney General. A board member can be appointed no more than twice, and the appointment term is 5 years. The Immigration Board holds hearings once a week and hears cases, such as requests for work authorizations and transfers of sponsorship. Immigration Board members refer cases to the Attorney General for review of its decisions if the Attorney General directs the board to do so or if the chair or the majority of the board believes the case should be referred. In addition to reviews of board decisions by the Attorney General, the High Court of American Samoa has appellate jurisdiction over decisions of the Immigration Board.

Office of the Attorney General’s Process for Issuing Certificates of Identity

The Office of the Attorney General is responsible for issuing CIs for U.S. nationals who wish to travel to the rest of the United States, among other things. Officials from the Office of the Attorney General told us that, historically, the CI was intended to be used in the event of an emergency, such as medical treatment needed that could only be obtained off-island, or the unexpected death of a family member in the United States, and the traveler could not obtain a passport in time to travel. However, because the CI is easier and faster to obtain by people in American Samoa, it has become more convenient to use CIs for travel than obtaining a U.S. passport. An authorizing official within the Office of the Attorney General stated that they encourage people to apply for a U.S. passport because, while it costs more up front, it is valid for 10 years compared to the CIs, which are valid for 6 months. The official noted, though, that the CIs have been a source of revenue to the government that would be lost if the CIs were entirely replaced by passports. For example, the Office of the Attorney General provided us data that showed that for fiscal year 2009, CIs generated over $350,000 for the government of American Samoa from fees associated with issuing over 7,100 CIs.

According to officials from the Office of the Attorney General, in order to apply for a CI, a U.S. national must fill out the application and provide documentation of U.S. nationality, such as his or her birth certificate as issued from the American Samoa Vital Statistics Office; a form of government-issued photo ID, such as a voter ID, driver’s license, military card, or expired passport; and submit a passport-sized photo and the $50 processing fee. Additionally, if an individual is under the age of 18, the parents or legal guardians are required to provide their own ID, and an ID for the child, such as a school ID with a photo. If individuals change their names due to a marriage or divorce, official documentation is required.

As shown in figure 5, once all application materials are complete, officials within the Office of the Attorney General explained that they instruct each applicant to pay the $50 fee to the cashier in the Immigration Office. The applicant is provided a receipt that shows proof the $50 fee was paid and the receipt includes the CI application number so the payment can be tied to the correct CI application. The applicant then brings the receipt, the completed CI application, and supporting materials to the CI Office outside the Office of the Attorney General to be processed by the staff. According to the Deputy Attorney General, applications for CIs are generally processed and issued in 1 to 2 business days. In comparison, it takes about 4 to 6 weeks for the Department of State to process and issue a U.S. passport. According to staff of the Office of the Attorney General, there is no computerized system to track CI applications or issuance and all records maintained are paper-based and manually filed. certificte, photo ID, nd passport-ized complete?

Prepre CI pcket for pprovl. Typemp with officil.

The letter-sized CI document features an attached photo of the individual, two circular “Attorney General, Govt. of American Samoa” stamps, as well as a unique CI identification number featured in the upper left-hand corner, as depicted in figure 6. There are three individuals within the Office of the Attorney General with authorization to stamp CIs. Both the stamped seals and the ID numbers on the CI are in red ink. The CIs are signed—generally by the Attorney General or Deputy Attorney General— for approval prior to being provided to the applicants.

U.S. and American Samoan Officials Report Concerns about American Samoa’s Operations of Its Customs and Immigration Programs, but No U.S. Agency Has Performed a Risk Assessment

U.S. and American Samoa agencies report that American Samoa’s operations of its customs and immigration programs may pose risks to American Samoa and the rest of the United States, but no U.S. agency has performed a risk assessment. According to U.S. and American Samoan government officials we met with, potential risks from the customs program’s operations primarily affect American Samoa, whereas potential risks related to the immigration program’s operations affect both American Samoa and the rest of the United States. According to these officials, potential risks to the government of American Samoa from its customs operations include lost revenues and the possible aiding of criminal activities based on allegations of inadequate enforcement. Regarding American Samoa’s immigration program, U.S. and American Samoan government officials stated their principal concerns are that current enforcement practices may lead to (1) exploitation of aliens by sponsors, (2) incidents of human trafficking, (3) overstays by aliens, and (4) exceeding numerical limits of aliens. In contrast, the potential risks identified by U.S. officials for the rest of the United States are more limited. In particular, U.S. officials identified little to no potential risks to the rest of the United States based on American Samoa’s customs operations. According to U.S. officials we met with, the potential risk to the rest of the United States from American Samoa’s immigration operations is illegal immigration into the rest of the United States as a result of travelers fraudulently obtaining documentation, such as a CI, in American Samoa. However, U.S. officials we met with, including CBP, acknowledged that they do not know the magnitude of fraudulently issued CIs or the potential threat and consequences to the United States as a result of fraudulently issued CIs because no assessment has been performed of the risks posed by the continued use of the CIs as identity and nationality documents for U.S. nationals.

Potential Risks to American Samoa Are Related to Inadequate Enforcement of Existing Customs and Immigration Laws

Inadequate Enforcement of Customs Laws Leads to the Potential for Aiding Criminal Activities and Lost Revenues

A threat assessment issued by the government of American Samoa in December 2005 reported that inadequate enforcement of customs laws has led to incidents related to insufficient container inspections; allegations of Customs officers accepting bribes; and the smuggling of drugs, firearms, and other illegal contraband. American Samoan law enforcement officials we met with told us these same concerns still exist. The Customs Division’s Code of Ethics and Conduct states that, “it is the duty of the customs officer to enforce the laws of American Samoa and that a failure to properly conduct inspections of merchandise is a violation of the Standard Operating Procedures and Policies and will result in disciplinary action.” According to the Chief Customs Officer, since June 2002, a total of six officers have been removed from duty for violations associated with corruption, misconduct, or drug or alcohol use. Another effect of inadequate enforcement of customs laws is that there is the potential for lost revenues for the government if proper excise taxes are not collected on goods imported in each imported cargo container. While the Customs Division has written policies and procedures, and also has certain internal controls in place—such as rotating staffs’ responsibilities so that the same customs officers do not always inspect containers at the same businesses—there is no automated computer system within the Customs Division to track cargo manifests, container inspections, verification of deposits, parcel taxes at the post office, or interisland ferry excise taxes. The Chief Customs Officer recognizes this is a weakness and told us that an automated computer system would help the division track cargo container inspections and undervalued or undeclared merchandise and contraband, and that he is working to obtain a computerized system that would be appropriate for American Samoa’s volume of container traffic.

Current Immigration Enforcement Practices Have Led to the Potential for Human Trafficking, Alien Overstays, and Exceeding Alien Quotas

According to federal officials from DOI and the FBI, as well as American Samoan government officials we met with, current enforcement practices of immigration laws have led to a variety of concerns, including the exploitation of aliens by sponsors, incidents of human trafficking, alien overstays, and exceeding numerical limits on aliens. Additionally, American Samoa government’s 2005 threat assessment reported a lack of management and oversight control by immigration officials with regard to the enforcement of policies and procedures.

As of March 31, 2010, the Immigration Office reported 20,282 aliens in American Samoa for employment reasons, which is about 58 percent of the estimated 34,874 aliens in American Samoa. In general, aliens entering and remaining in American Samoa, including those who enter for employment reasons, must have a sponsor. According to FBI and American Samoa government officials, there are instances in which employment sponsors exploit aliens under the threat of revoking their sponsorship and having them deported. As reported in the 2005 threat assessment, a number of immigrants from Taiwan, China, and the Philippines, were pursuing employment opportunities and allowed to enter American Samoa under the sponsorship of owners of a variety of businesses, and were forced into servitude or prostitution once they arrived (i.e. human trafficking).

Among the most notable cases of human trafficking in American Samoa is U.S. v. Lee, which was one of the largest human trafficking cases ever prosecuted by the U.S. Department of Justice. This 2001 case involved about 200 Chinese and Vietnamese victims who were recruited to work in an American Samoa garment factory. In 2003, Lee was convicted in the U.S. District Court of Hawaii of involuntary servitude, conspiring to violate civil rights, extortion, and money laundering. The 2005 threat assessment reported that the full dimension of the problem of human trafficking in American Samoa is difficult to measure, but noted that intelligence showed there continue to be victims of human trafficking in American Samoa and that human trafficking is a major source of profit for organized crime syndicates. According to the threat assessment, human trafficking is a difficult issue for local law enforcement because there is no American Samoa human trafficking law or avenue for prosecution locally. The legislature in American Samoa is considering legislation to criminalize human trafficking and categorize it as a felony in American Samoa law but, to date, no such legislation has been enacted.

According to FBI and American Samoan government officials, there are also instances in which numerical limits on aliens are not adequately enforced and aliens overstay their visits. Immigration law in American Samoa allows for 12 separate classifications of aliens to reside in American Samoa for more than 30 days; however, some of the categories are subject to numerical limits. The extent of this issue is unknown, as the Immigration Office does not have documented policies and procedures that define how the office is to enforce the numerical limits. If an alien enters American Samoa on a 30-day entry permit and stays longer than the 30-day period, he or she is tracked in the Immigration Office database as an overstayer, according to Immigration Office officials. According to data from the Immigration Office, there were over 2,600 alien overstayers for fiscal year 2009. Immigration Office officials explained that often the overstayers expect to have their residency authorized within that 30-day time frame, but they do not understand that it takes longer. Additionally, 7,572 aliens had expired ID cards as of March 2010, which means the aliens’ ID cards had expired and had not been renewed. Immigration officials told us they track these individuals, make contact with their sponsors, and try to determine the reason they have not renewed their cards.

The American Samoa legislature, in addition to its actions on human trafficking legislation, is also considering draft legislation that will make changes to existing immigration law. Some of the proposed changes include creating a Department of Immigration as its own stand-alone department, outside of the Department of Legal Affairs, and to make it subject to annual audits by the territorial auditor. The draft legislation also includes reductions to the numerical limits on aliens. Further, the standards for sponsoring an alien for employment reasons would change to require additional proof of the need for the alien workers and a written contract defining the agreement between sponsors and aliens. While these legislative efforts would appear to address some of the concerns identified by American Samoan and U.S. law enforcement officials, the legislation is not final and so it is too soon to tell what impact the legislation, if passed, will have on addressing the identified concerns.

U.S. Government Officials Report a Potential Risk Is Aliens Unlawfully Gaining Entry to the Rest of the United States via American Samoa

U.S. government officials we met with representing DHS, the Department of State, and the FBI stated that a potential risk to the United States associated with American Samoa administering its own customs and immigration programs is illegal immigration into the rest of the United States as a result of travelers obtaining false documentation in American Samoa. The potential for illegal entry by aliens into the rest of the United States from American Samoa raises questions as to whether current practices in American Samoa can be used by criminals and terrorists to jeopardize the security of the United States. As stated in CBP’s Fiscal Year 2009-2014 Strategic Plan, illegal immigration compromises national security as aliens unlawfully gaining entry to the United States create a pathway for illegal entry and a demand for false documentation and identities. This is a threat to national security as terrorists might exploit the same vulnerabilities that such aliens currently use. Furthermore, a January 2010 presidential memorandum stated that DHS should aggressively pursue enhanced screening technology, protocols, and procedures, especially in regard to aviation and other transportation sectors, and strengthen international partnerships and coordination on aviation security issues.

According to data provided by the American Samoa Department of Legal Affairs, as shown in table 1, while a majority of U.S. nationals and citizens traveling to Hawaii from American Samoa during the past 3 years have traveled with a U.S. passport (an average of 72.2 percent), the second most commonly used document for travel by U.S. nationals and citizens was the CI (an average of 19.5 percent).

Honolulu, Hawaii, is the only location within the United States to which flights from American Samoa arrive. Upon arrival in Honolulu, passengers from American Samoa are inspected by CBP to establish their identity and nationality, and if the passenger is an alien, admissibility. For U.S. citizens and noncitizen nationals, identity and nationality may be established, to the satisfaction of a CBP officer, through the use of one or more documents, such as a U.S.-issued passport or military ID, a birth certificate with photo ID, or an American Samoa-issued CI. In addition, the CBP officers use other techniques to verify a person’s identity and nationality, including asking questions and observing behavioral cues. According to CBP, once a U.S. citizen or noncitizen national has sufficiently demonstrated his or her identity and nationality to the CBP officer, he or she is no longer subject to inspection for admissibility. As with other airline passengers who arrive from outside the United States and have not been previously screened by CBP, if there is any suspicion of fraudulent documents or intent, CBP officers may investigate the travelers from American Samoa further and refer the travelers for additional, more in- depth questioning by CBP, or additional investigation by U.S. Immigration and Customs Enforcement or Department of State officers. Honolulu- based CBP officers we spoke with who screen passengers arriving from American Samoa could not identify any incidents in recent years in which a passenger from American Samoa was determined to be traveling with a fraudulent CI, or of a passenger being referred for additional inspection because of a suspected fraudulent CI. The CBP officers also stated that they have not identified any counterfeit U.S. passports used by passengers arriving from American Samoa. However, while a CI or U.S. passport may appear legitimate, it could have been improperly obtained through the use of fraudulent identity documents, such as a false birth certificate or driver’s license, as reported to us by American Samoan and U.S. law enforcement officials, and such instances would be difficult for CBP to detect.

In November 2009, charges were filed in the High Court of American Samoa against the Manager of the Office of Motor Vehicles for conspiracy to commit forgery based on evidence that driver’s licenses had been issued fraudulently. Additionally, the American Samoa Department of Homeland Security and Office of Independent Prosecutor, with assistance from the resident FBI agent, initiated a full-scale investigation centered on alleged improprieties in the Office of the Attorney General and the Immigration Office. In January 2010, the Office of the Attorney General and the Immigration Office were served search warrants to provide investigators with records related to certain aliens in American Samoa, including all ledgers related to CIs. While CBP has no direct knowledge of problems regarding the use of CIs or passports that may have been obtained using fraudulent documents, the Department of State has recently changed its passport adjudication procedures as a result of these allegations. Department of State officials we spoke with told us that the potential for fraudulently obtaining CIs appeared to be a vulnerability within the passport application process and, as a result, they no longer accept CIs as the only form of identification to support a U.S. passport application. Applicants may submit their locally-issued American Samoa identification, but they will also need to provide additional documentation. Additionally, the Department of State no longer allows the Office of the Attorney General to serve as a location for accepting passport applications. Rather, applications for U.S. passports are only accepted through passport acceptance agents at the U.S. Post Office in Pago Pago. Moreover, as a result of evidence from the Independent Prosecutor’s investigation, the Department of State has undertaken an investigation to determine whether passports were issued to individuals living in American Samoa in recent years who are neither U.S. citizens nor noncitizen nationals. According to State Department officials, while this investigation will serve to enhance the security of the process for obtaining U.S. passports, it will not address the reported vulnerabilities in the process for issuing CIs.

A Risk Assessment Could Better Inform U.S. Agencies of the Risks Associated with Aliens Fraudulently Obtaining Documents to Travel to the Rest of the United States

CBP officials we met with in Honolulu, Hawaii, who screen passengers arriving from American Samoa, stated that instead of using the CI as a document to establish identity and nationality for U.S. nationals arriving from American Samoa, it would be easier to screen passengers and prevent fraud if there was a more secure document establishing identity and nationality for those travelers. However, U.S. agency officials we met with, including CBP, acknowledged that they do not know the magnitude of fraudulently issued CIs or the potential threat and consequences to the United States as a result of fraudulently issued CIs because no assessment has been performed of the risks posed by the continued use of CIs as an identity document to facilitate travel by U.S. nationals. The CBP officials stated that no such risk assessment has been performed because CBP does not generally initiate risk assessments of issues or programs related to areas that are considered a part of the United States, such as American Samoa, although such an assessment could help to better define and understand the potential risks.

The federal government’s Internal Control Standards call for the establishment of internal controls to provide for an assessment of the risks an agency faces from both external and internal sources. Additionally, risk management plays an important role in homeland security. Federal law has charged DHS with coordinating homeland security programs through the application of a risk management framework. DHS, within its National Infrastructure Protection Plan (NIPP), established criteria for risk assessments. Risk assessments help decision makers identify and evaluate potential risks so that countermeasures can be designed and implemented to prevent or mitigate the potential effects of the risks. The NIPP characterizes risk assessment as a function of three elements (1) threat—the likelihood that a particular asset, system, or network will suffer an attack or an incident; (2) vulnerability—the likelihood that a characteristic of, or flaw in, an asset, system, or network’s design, location, security posture, process, or operation renders it susceptible to destruction, incapacitation, or exploitation by terrorist or other intentional acts, mechanical failures, and natural hazards; and (3) consequence—the negative effects on public health and safety, the economy, public confidence in institutions, and the functioning of government, both direct and indirect, which can be expected if an asset, system, or network is damaged, destroyed, or disrupted by a terrorist attack, natural disaster, or other incident. Given the concerns raised regarding allegations of fraudulently obtained documents and potential illegal immigration into the United States, performing a risk assessment could better position U.S. agencies to understand the extent of the threat, vulnerabilities, and consequences associated with travelers fraudulently obtaining CIs and using them as identity documents when coming to the rest of the United States from American Samoa.

Conclusions

While the majority of travelers to Honolulu, Hawaii, from American Samoa in recent years have traveled with passports, and CBP has no data on known use of fraudulent CIs to travel to the rest of the United States from American Samoa, federal officials have stated that illegal immigration into the United States by aliens using CIs fraudulently obtained in American Samoa is a concern. Moreover, the Department of State is aware of additional allegations concerning aliens who may have fraudulently obtained U.S. passports and has recently begun a new investigation. According to CBP, illegal immigration compromises national security, as aliens unlawfully gaining entry create a pathway for illegal entry and a demand for false documentation and identities. However, no U.S. agency has performed a risk assessment of the documents used to establish identity and nationality by travelers coming from American Samoa and the impact, in particular, that continued use of the CI as an identification and nationality document may have on American Samoa and the rest of the United States. Such a risk assessment could better position relevant U.S. agencies to understand the extent of threats, vulnerabilities, and consequences associated with the use of CIs, and better inform decisions on which documents should continue to be used for those wishing to travel to the rest of the United States from American Samoa.

Recommendation for Executive Action

To better understand the extent and significance of the possible risks associated with aliens in American Samoa fraudulently obtaining documents to travel to the rest of the United States and potentially pursue U.S. citizenship, we recommend that the Secretary of DHS, in consultation with the Secretary of the Departments of State and the Interior, perform a risk assessment to (1) determine the extent of the threats, vulnerabilities, and consequences associated with aliens fraudulently obtaining CIs and using them to travel to the rest of the United States from American Samoa: and (2) make a determination as to whether CIs should continue to be an acceptable identification document that establishes nationality for U.S. nationals wishing to travel to the rest of the United States from American Samoa.

Agency and Third Party Comments and Our Evaluation

We requested comments on a draft of this report from DHS, DOI, the Department of State, and the Department of Justice, as well the American Samoa government—to include the Office of the Governor, leaders of the legislature, the Department of Treasury, and the Department of Legal Affairs. DOI and the leaders of the American Samoa legislature summarized their comments in letters, which are reprinted in appendixes II and III, respectively. DOJ notified us through e-mail that it had no comments and DHS notified us through e-mail that it concurred with the recommendation. In addition to these responses, U.S. Customs and Border Protection, the Department of State, and the American Samoa Department of Treasury’s Customs Division each provided technical comments, which have been incorporated into the report, as appropriate. The American Samoa government’s Office of the Governor and its Department of Legal Affairs did not provide comments.

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Appendix I: Additional Details on American Samoa’s Immigration Program

This appendix includes additional details on American Samoa’s immigration program, such as information on visitors and aliens seeking to reside in American Samoa for more than 30 days. In general, American Samoa’s immigration program has many of the same elements as the U.S. immigration program, such as numerical limits on the number of aliens who may enter, preferences for specific categories of aliens based on the grounds of their classification (e.g., family relationship or specific skills), and the ability of aliens to apply for classification as permanent residents. However, American Samoa’s immigration program also has some unique aspects, such as special allowances for aliens from the Independent State of Samoa, including higher numerical limitations and a guest worker program specifically for Samoans, the broad sponsorship requirements for aliens, and the inability of aliens to naturalize or become U.S. nationals.

Visitors

Visitors may enter American Samoa for tourism or business purposes for up to 30 days on a visitor or business entry permit. Such tourists or business persons must have a valid passport or other travel document and a round-trip ticket to their point of origin or onward passage to a destination beyond American Samoa. Upon approval of the Attorney General or his or her designee, aliens with 30-day permits may stay for an additional 30 days.

Aliens Seeking to Reside in American Samoa for More Than 30 Days

Aliens may enter and reside in American Samoa based on their relationship with American Samoans (or permanent residents in American Samoa) or for employment reasons. Table 2 below summarizes the classifications and the major characteristic of each classification.

Certain aliens may enter and reside in American Samoa based on their relationship with American Samoans or permanent residents in American Samoa. For example, individuals born outside of American Samoa, one of whose parents was born in American Samoa of Samoan ancestry, are considered American Samoan and may obtain an AA classification if those individuals register with the Immigration Board within 3 years of their 18th birthday. Such individuals must have a sponsor. Sponsors must be either an American Samoan or U.S. national who resides in American Samoa or a business licensed in American Samoa, and sponsors are responsible for the alien’s medical bills, taxes, and public debts, among other things.

Aliens who are immediate relatives of American Samoans may obtain a BA classification in American Samoa. Such relatives include children and spouses of American Samoans and parents of American Samoans at least 21 years of age. Other aliens who have certain family relationships with American Samoans may request an alien classification in American Samoa. These aliens must have a sponsor, are subject to numerical limitations, and approval for a classification is granted in order of preference. See table 3 for the classifications, in order of preference, with the numerical limitation of aliens from each category per fiscal year.

Employment-Based Classifications

Aliens may also apply to come to American Samoa for employment reasons. For example, aliens who are members of the professions or persons of exceptional ability in the sciences or the arts may apply for a P4 classification, and aliens who are capable of performing skilled or unskilled labor for which there is a shortage of employable and willing people in American Samoa may apply for a P5 classification. Aliens applying for these classifications are subject to numerical limitations and category preferences, as shown in table 3. For P4 aliens, their employer serves as their sponsor, and they may apply to the Immigration Board for permission to transfer sponsorship to another employer. Aliens with the P5 classification are primarily domestic or agricultural workers, and they must reside with and engage in domestic or agricultural work for their sponsors. According to Immigration Board policy, after 1 year, they may apply to the board for authorization for outside employment. American Samoans may sponsor only one P5 alien unless they can demonstrate to the Immigration Board that more than one person is required for domestic work due to the age or infirmity of the sponsor or a member of the sponsor’s family or, with respect to agricultural workers, that the sponsor needs more than one agricultural worker and the sponsor can afford the care of the workers in all ways while they are in American Samoa.

There are two employment-based classifications that are not subject to the numerical limitations. First, there is a special provision category for aliens who are employed by the American Samoa government, the United States government or who are members of skilled, professional, or specialized labor that by Immigration Board order are waived from the numerical limitations upon a showing of extenuating circumstances. Special provision aliens are sponsored by their employers and they may transfer sponsorship to another employer only with the approval of the Immigration Board. There is also a guest worker program specifically for aliens from Samoa who work for the tuna cannery in American Samoa. Guest workers do not need work authorization and do not have a separate sponsorship requirement, as their classification is tied to their employment, and the cannery is the only eligible employer.

Permanent Resident Classification

Some aliens may also apply for classification as permanent residents. In order to become a permanent resident, a person must either (1) be physically and legally present in American Samoa for a continuous period of at least 20 years and of good moral character; (2) at the time of being legally adopted by an American Samoan be 21 years of age or younger or be legally adopted by an American Samoan prior to December 31, 1980; (3) have been legally married to an American Samoan or a United States citizen and have resided in American Samoa for at least 10 years; or (4) be a brother or sister of an American Samoan or a married son or married daughter of an American Samoan and have resided in American Samoa for at least 10 years. There is a numerical limitation of 50 aliens who may be approved for classification as permanent residents based on the residency requirement alone. There is no numerical limitation for those applying for permanent resident classification based on the other three categories.

Appendix II: Comments from the Department of the Interior

Appendix III: Comments from Leaders of the American Samoa Legislature

Appendix IV: GAO Contact and Acknowledgments

Acknowledgments

In addition to the contact named above, Christopher Conrad, Assistant Director, and Amy Sheller Martin, Analyst-in-Charge, managed this review and Michele Lockhart made significant contributions to the work. Jenny Chanley assisted with design and methodology, Emil Friberg and Richard Hung provided additional technical and issue area expertise, Barbara Hills helped to develop the report graphics, Lara Kaskie provided assistance in report preparation, and Tracey King provided legal support and analysis.

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