[House Hearing, 110 Congress]
[From the U.S. Government Publishing Office]
TRANSPORTATION WORKER IDENTIFICATION CREDENTIAL: A STATUS UPDATE
=======================================================================
HEARING
before the
SUBCOMMITTEE ON BORDER, MARITIME,
AND GLOBAL COUNTERTERRORISM
of the
COMMITTEE ON HOMELAND SECURITY
HOUSE OF REPRESENTATIVES
ONE HUNDRED TENTH CONGRESS
SECOND SESSION
__________
SEPTEMBER 17, 2008
__________
Serial No. 110-139
__________
Printed for the use of the Committee on Homeland Security
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
Available via the World Wide Web: http://www.gpoaccess.gov/congress/
index.html
__________
U.S. GOVERNMENT PRINTING OFFICE
48-090 WASHINGTON : 2009
-----------------------------------------------------------------------
For sale by the Superintendent of Documents, U.S. Government Printing
Office Internet: bookstore.gpo.gov Phone: toll free (866) 512-1800; DC
area (202) 512-1800 Fax: (202) 512-2104 Mail: Stop IDCC, Washington, DC
20402-0001
COMMITTEE ON HOMELAND SECURITY
Bennie G. Thompson, Mississippi, Chairman
Loretta Sanchez, California Peter T. King, New York
Edward J. Markey, Massachusetts Lamar Smith, Texas
Norman D. Dicks, Washington Christopher Shays, Connecticut
Jane Harman, California Mark E. Souder, Indiana
Peter A. DeFazio, Oregon Tom Davis, Virginia
Nita M. Lowey, New York Daniel E. Lungren, California
Eleanor Holmes Norton, District of Mike Rogers, Alabama
Columbia David G. Reichert, Washington
Zoe Lofgren, California Michael T. McCaul, Texas
Sheila Jackson Lee, Texas Charles W. Dent, Pennsylvania
Donna M. Christensen, U.S. Virgin Ginny Brown-Waite, Florida
Islands Gus M. Bilirakis, Florida
Bob Etheridge, North Carolina David Davis, Tennessee
James R. Langevin, Rhode Island Paul C. Broun, Georgia
Henry Cuellar, Texas Candice S. Miller, Michigan
Christopher P. Carney, Pennsylvania
Yvette D. Clarke, New York
Al Green, Texas
Ed Perlmutter, Colorado
Bill Pascrell, Jr., New Jersey
I. Lanier Lavant, Staff Director
Rosaline Cohen, Chief Counsel
Michael Twinchek, Chief Clerk
Robert O'Connor, Minority Staff Director
______
SUBCOMMITTEE ON BORDER, MARITIME, AND GLOBAL COUNTERTERRORISM
LORETTA SANCHEZ, California, Chairwoman
Jane Harman, California Mark E. Souder, Indiana
Zoe Lofgren, California David G. Reichert, Washington
Sheila Jackson Lee, Texas Michael T. McCaul, Texas
James R. Langevin, Rhode Island Gus M. Bilirakis, Florida
Henry Cuellar, Texas Mike Rogers, Alabama
Al Green, Texas Peter T. King, New York (Ex
Bennie G. Thompson, Mississippi (Ex Officio)
Officio)
Alison Rosso, Director
Denise Krepp, Counsel
Carla Zamudio-Dolan, Clerk
Mandy Bowers, Minority Senior Professional Staff Member
(II)
C O N T E N T S
----------
Page
Statements
The Honorable Loretta Sanchez, a Representative in Congress From
the State of California, and Chairwoman, Subcommittee on
Border, Maritime, and Global Counterterrorism.................. 1
The Honorable Mark E. Souder, a Representative in Congress From
the State of Indiana, and Ranking Member, Subcommittee on
Border, Maritime, and Global Counterterrorism.................. 2
Witnesses
Panel I
Rear Admiral James Watson, Director of Prevention Policy for
Marine Safety, Security and Stewardship, U.S. Coast Guard,
Department of Homeland Security:
Oral Statement................................................. 4
Prepared Statement............................................. 6
Ms. Maurine Fanguy, Acting Director for Maritime and Surface
Credentialing, Transportation Security Administration,
Department of Homeland Security:
Oral Statement................................................. 9
Prepared Statement............................................. 11
Mr. Stephen M. Lord, Acting Director, Homeland Security and
Justice Issues, Government Accountability Office:
Oral Statement................................................. 13
Prepared Statement............................................. 15
Panel II
Ms. Judith Marks, President, Transportation and Security
Solutions, Lockheed Martin:
Oral Statement................................................. 30
Prepared Statement............................................. 32
Ms. Stephanie Bowman, Manager, Federal Government Affairs, Port
of Tacoma:
Oral Statement................................................. 35
Prepared Statement............................................. 37
Mr. Philip L. Byrd, Sr., President and CEO, Bulldog Hiway
Express:
Oral Statement................................................. 38
Prepared Statement............................................. 39
Mr. Steve Golding, President, Golding Barge Line:
Oral Statement................................................. 43
Prepared Statement............................................. 45
Ms. Laura Moskowitz, Staff Attorney, National Employment Law
Project (NELP):
Oral Statement................................................. 48
Prepared Statement............................................. 50
Appendix
Questions From Honorable Loretta Sanchez......................... 75
TRANSPORTATION WORKER IDENTIFICATION CREDENTIAL: A STATUS UPDATE
----------
Wednesday, September 17, 2008
U.S. House of Representatives,
Committee on Homeland Security,
Subcommittee on Border, Maritime, and Global
Counterterrorism,
Washington, DC.
The subcommittee met, pursuant to call, at 10:05 a.m., in
Room 311, Rayburn House Office Building, Hon. Loretta Sanchez
[Chairwoman of the subcommittee] presiding.
Present: Representatives Sanchez, Cuellar, Green, and
Souder.
Ms. Sanchez. The Subcommittee on Border, Maritime and
Global Counterterrorism will now come to order. The committee
is meeting today to receive testimony on the Transportation
Worker Identification Credential program rollout, a status
update.
Good morning. Thank you all for attending this morning to
receive an update on the progress of the Transportation Worker
Identification Credential program rollout, as we know it, TWIC.
The program is rolled out and managed by the Transportation
Security Administration, or TSA.
We have two great panels today that will allow us to gain
some in-depth knowledge of where we stand with the TWIC. Both
Government and industry are providing testimony for TWIC today.
However, I am disappointed that TSA Administrator Hawley did
not make this hearing a priority; his perspective on the
current status of the TWIC rollout would have been very useful.
It is imperative that all levels of leadership at the
Department of Homeland Security make this program a priority.
TWIC is a key element in ensuring that our ports are secure and
that the personnel operating them have the access that they
need.
In a recent report conducted by the National Maritime
Security Advisory Committee, which I will be submitting for the
record, they stated that TWIC is a user-funded program; users
must not be penalized for working to help TSA meet its goals.
I ask unanimous consent to submit this for the record that
is part of report.*
---------------------------------------------------------------------------
* The information referred to has been retained in Committee files.
---------------------------------------------------------------------------
Ms. Sanchez. For instance, throughout our Nation's ports,
there are TWIC enrollees that have been part of our program for
more than a year-and-a-half. I applaud these working men and
women for taking the initiative and making the effort to
enroll, knowing how difficult the process can be.
However, having had to obtain a TWIC card and never once
needing to actively use it once on a reader has made many
workers feel foolish for signing up early, especially when the
mandatory enrollment date keeps getting pushed back. Of course,
they are complaining about how they have paid for this. For the
workers who haven't enrolled yet, the constant delays only give
them more incentive to wait until the very end until they sign
up.
To put this in perspective, the program was authorized in
the Maritime Transportation Security Act in November 2002. That
was almost 6 years ago. The TWIC program is still not fully
rolled out at port, much less at any other transportation
modes, and we continue to see delays in the mandatory
enrollment date and in the reader rollout.
Moreover, there have been significant technical problems in
the TWIC enrollment rollout. For Example, the TWIC web site is
frequently down for maintenance, workers often have to make
multiple trips to the TWIC enrollment facilities. This is
actually quite unacceptable, as they are working people and
repeat trips are inefficient and they take up their valuable
time.
The TWIC disclosure form that enrollees must sign is not in
multiple languages, even though a large percentage of the
workers may have difficulty understanding English. When there
are multiple Government forms in various languages, there is no
excuse for that. These workers have a right to know exactly
what they are disclosing.
I could go on about this customer service and its issues
for the program, but because we are pressed for time today, as
it is a busy day, I will stop there.
A concern that I have not only with the program, but with
many programs at the Department of Homeland Security, is what
is the plan for transition as we go into the next
administration?
Tomorrow we will once again hear about the lack of progress
in the virtual border fence and these problems will be left for
a new administration. So I hope that today that the panel can
speak to us about the solutions for what plagues the TWIC and,
more importantly, the plans for moving this program beyond the
end of December; in other words, through the transition into
the new administration.
I look forward to receiving your testimony and to your
responses to the concerns that we are raising today. I now
yield to my Ranking Member, Mr. Souder. Thank you.
Mr. Souder. Thank you, Madam Chairwoman. For the past 6
years, there have been numerous challenges and delays in the
Transportation Worker Identification Credential program. The
progress made since passage of the Safe Port Act, however,
leaves me cautiously optimistic. Between October 2007 and
today, there are over one-half million individuals in various
stages of the TWIC process, either pre-enrollment, or having
actually received a card. That having been said, there are
still a large number of individuals who still need to enroll,
with some estimates at over 1 million more.
The real impact will be apparent when the card readers are
installed. Any problem with the readers, even slight delays,
could cause major trucking delays at the port gates. With
implementation deadlines looming, it is important that TSA
proceed with a sense of urgency, while taking extreme care to
get it right.
My congressional district has the highest number of
manufacturing jobs in the United States. We are among the
highest producers of steel, medical devices, RVs, boats,
plastics, defense electronics and auto parts. The ability of
the trucking community to access materials and components from
exports and quickly transport them to the manufacturers in my
district is essential not only for our local economy but for
the rest of the Nation.
I have dedicated my time in Congress to making sure that
U.S. companies are not disadvantaged due to unfair trade laws,
counterfeiting, and dumping policies.
It is equally important that our homeland security
initiatives do not negatively impact the movement of goods in
and out of the United States or during domestic transportation.
To that end, I look forward to hearing from the witnesses
today about the implementation of TWIC and especially how both
the Government and the private sector are working to
efficiently roll out the program. I hope to hear more about
opportunities to improve the enrollment process and reduce the
burden of workers needing a TWIC. I understand that individuals
estimate a minimum of two trips to the enrollment center if
everything goes right, and more if there are any issuance
delays.
Given that U.S. passports are mailed to recipients, I am
wondering why a similar process can't be set up for the TWIC.
It seems that the cards could be activated in some other way
without requiring a second in-person meeting.
I would like all the witnesses to think about where
additional program efficiencies can be found so that this
program can be rolled out successfully. Thank you for holding
this hearing and I yield back the remainder of my time.
Ms. Sanchez. I thank my Ranking Member. I want to remind
the other Members of the subcommittee that under committee
rules, opening statements may be submitted for the record.
I am told that we are going to have votes at 10:30 or so,
and so I would like to welcome our first panel. I am actually
going to cut short your introductions in an effort to get your
testimony before we go across for votes. I don't know how long
those votes may be. Just one? There are two? We are unsure. We
are unsure.
But what we will try to do is get your testimony in,
probably go across for votes, and then come back for questions
because we also have a second panel.
So our first witness is Rear Admiral James Watson, Director
of Prevention Policy for Marine Safety, Security, and
Stewardship, the U.S. Coast Guard.
Our second witness is Ms. Maurine Fanguy, Acting Director
for Maritime and Surface Credentialing, Transportation Security
Administration.
Our third witness is Mr. Stephen Lord, Acting Director of
Homeland Security and Justice Issues, Government Accountability
Office. Without objection, your full statements will be
inserted into the record. I will now ask each witness to
summarize his or her statement for 5 minutes, beginning with
Admiral Watson.
STATEMENT OF REAR ADMIRAL JAMES WATSON, DIRECTOR OF PREVENTION
POLICY FOR MARINE SAFETY, SECURITY AND STEWARDSHIP, U.S. COAST
GUARD, DEPARTMENT OF HOMELAND SECURITY
Admiral Watson. Good morning, Chairwoman Sanchez and
Ranking Member Souder. Thank you very much for this opportunity
to speak with you about the progress that we have made and our
future plans for the Transportation Worker Identification
Credential.
Today I would like to update you on the Coast Guard's
efforts, in partnership with the Transportation Security
Administration, to implement the TWIC program. The TWIC is an
additional layer of security to the Maritime Transportation
Security Act, which has provided comprehensive security regimen
for 3,200 waterfront facilities for over 5 years now.
While a significant portion of the expected maritime worker
population has either pre-enrolled or enrolled, more work still
lies ahead to fully realize the potential security benefits
that TWIC provides. We constantly keep in mind that what we do
directly impacts individuals, their livelihoods. We continue to
focus on balancing the need to facilitate commerce while
minimizing adverse effects on those individuals.
Since enrollment started in Wilmington, Delaware on October
16, 2007, the Coast Guard, TSA and TSA's contractor, Lockheed
Martin, have been closely monitoring the TWIC enrollment
process to identify and address any areas of concern. For
example, due to the delay in the opening of enrollment centers,
the TSA and Coast Guard published a final rule on May 7, 2008,
changing the compliance date from September 25, 2008 to April
15, 2009, providing 18 months from the date the initial
enrollment centers opened to compliance date, the intended
timeline of the TWIC final rule. This ensures that every
individual, particularly mariners who are at sea for extended
periods of time that require a TWIC, will have ample
opportunity to enroll prior to the compliance date.
We also have been working closely with TSA in the
development of phased-in Captain of the Port Zone compliance
dates in accordance with the TWIC final role. Factors taken
into account when determining dates include progress of TWIC
enrollments and activation, estimated local and regional TWIC
populations, regional maritime commerce and enrollment capacity
in a given Captain of the Port Zone. Currently, TWIC compliance
dates have been announced for 30 of the 42 Captain of the Port
Zones.
From the outset, engagement with our affected stakeholders
has been crucial to the program's success. From the thousands
of comments received during the initial TWIC making to the
National Maritime Security Advisory Committee, NMSAC,
recommendations on reader specifications, stakeholder dialog
continues to play a key role in the creation of critical Coast
Guard policies related to TWIC.
While TSA has primary responsibility for outreach during
the initial enrollment phase, the Coast Guard through captains
of the port and area maritime security committees continue to
closely monitor and encourage TWIC enrollment by working
closely with owners and operators of MTSA-regulated facilities
and vessels to ensure industry will be ready for the compliance
date.
As enrollment moves forward and compliance is on the
horizon, the Coast Guard is focused on the implementation and
enforcement of TWIC regulations. Phased-in COTP zone compliance
for MTSA-regulated facilities allows for the security benefits
of the program to begin as early as possible.
The first group of the Captain of the Port Zones is in the
northern New England area. It has a TWIC compliance date of
October 15, 2008. Internal guidance documents for training
implementation and enforcement for Coast Guard personnel are
being finalized for completion this month.
We also continue to work on proposed rulemaking that
addresses potential requirements for regulated vessels and
facilities to apply electronic card readers to verify a TWIC
holder's identity before gaining unescorted access to secured
areas.
Card readers are a key step in maximizing the secure
benefits of a TWIC. But we need to be mindful of the
technological challenges and potential adverse impacts that are
involved. A key component of this second role will be
operational, environmental and technical data that will be
collected from a TWIC reader pilot test. TSA and the Coast
Guard have already identified geographically and operationally
diverse port and vessel locations willing to participate in the
reader pilot testing. The initial planning and testing
protocols have been developed and we look forward to deploying
and testing readers in the real-world maritime environments in
the very near future.
In the meantime, to maximize the security benefit of the
current TWIC retirement, the Coast Guard is in the process of
procuring and will deploy hand-held readers in the coming
months for use during routine and unscheduled vessel and
facility security examinations after the compliance date. These
readers will supplement our already established examinations
which verify that facility and vessel owners and operators are
in compliance with the approved MTSA security plans.
The first compliance date, next month, marks a major
milestone in the MTSA port security program. We approach that
milestone with a steadfast commitment to protecting the
maritime transportation system while facilitating commerce. We
remain committed to the developing and operationally sound
framework that maximizes the security benefit that TWIC
provides.
These vetted individuals are a vital component of our
multilayered approach to preventing a transportation security
incident and serve as the eyes and ears of our maritime
commerce. While we have accomplished a great deal thus far, we
acknowledge that the process has not been free from challenges.
As we have in the past, we will address any future challenges
in turn to the best of our ability in keeping with the best
public interest, and we will keep you informed on our progress.
Thank you very much for the opportunity to speak today and
I will be happy to answer questions.
[The statement of Admiral Watson follows:]
Prepared Statement of James Watson
September 17, 2008
Good morning, Mr. Chairman and distinguished Members of the
committee, thank you for the opportunity to provide you an update about
how the Coast Guard and the Transportation Security Administration
(TSA) are partnering to implement the Transportation Worker
Identification Credential (TWIC) program. I am Rear Admiral James
Watson, Director of Prevention Policy.
At the outset, I would like to note with the commencement of TWIC
enrollment in Wilmington, Delaware on October 16, 2007, and the 148
other enrollment centers thereafter, this program reached a major
milestone where the plans and capabilities developed in the past will
yield the security benefits envisioned for our ports and vessels. In
the 20 months since the Department of Homeland Security (DHS) published
the TWIC requirements in a Final Rule, the Coast Guard and TSA have
been developing regulations, policies, systems, and capabilities to
serve as a solid foundation for enrollment and compliance. The
deliberate process and careful steps taken to lay this foundation have
been absolutely crucial to ensuring that we gain the full security
benefit from TWIC, facilitating compliance for the approximate 1.2
million people who are required to enroll.
background
The TWIC program builds on the security framework established by
Congress in the Maritime Transportation Security Act (MTSA) of 2002.
Coast Guard regulations stemming from the Act established security
requirements for maritime vessels and facilities posing a high risk of
being involved in a transportation security incident. MTSA also
required DHS to issue a biometric transportation security card to all
licensed and documented U.S. mariners as well as those individuals
granted unescorted access to secure areas of MTSA-regulated vessels and
facilities. TSA was assigned this requirement, and because of our
overlapping responsibilities, the Coast Guard and TSA formally joined
efforts to carry out the TWIC program in November 2004. In this
partnership, TSA is responsible for TWIC enrollment, security threat
assessment and adjudication, card production, technology, TWIC
issuance, conduct of the TWIC appeal and waiver process as it pertains
to credential issuance, and management of Government support systems.
The Coast Guard is responsible for establishing and enforcing TWIC
access control requirements at MTSA-regulated vessels and facilities.
Both agencies communicate daily to make sure our collective efforts
achieve the increased security objectives envisioned in MTSA.
TSA and the Coast Guard published a joint TWIC Notice of Proposed
Rulemaking (NPRM) on May 22, 2006. Following the publication of the
NPRM and the subsequent comment period, Congress enacted the Security
and Accountability for Every Port Act of 2006 (the SAFE Port Act). The
SAFE Port Act created new statutory requirements for the TWIC Program,
including: The commencement of a pilot program to test the viability of
TWIC cards and readers in the maritime environment; deployment of the
program in priority ports by set deadlines; inclusion of a provision to
allow newly hired employees to work while their TWIC application is
being processed; and concurrent processing of the TWIC and merchant
mariner applications.
TSA and the Coast Guard published the TWIC 1 Final Rule on January
25, 2007, in which the Coast Guard's MTSA regulations and TSA's
Hazardous Material Endorsement regulations were amended to incorporate
the TWIC requirements. After receiving many comments and concerns
regarding technology issues of the reader requirements as proposed in
the NPRM, we removed from this final rule the requirements to install
TWIC readers at vessels and facilities. This requirement is currently
being addressed in a second notice and comment rulemaking which I will
discuss hereafter.
On May 7, 2008, TSA and the Coast Guard published a Final Rule
moving the compliance date from September 25, 2008 to April 15, 2009.
This extension provides 18 months from the initial enrollment center
opening to the compliance date, the intended timeline of the TWIC 1
Final Rule. By extending the compliance date, this ensures that every
individual who requires a TWIC will have the opportunity to enroll and
TSA will have time to complete the security threat assessments on all
applicants. This now allows mariners until April 15, 2009, to obtain a
valid TWIC.
Owners and operators of MTSA-regulated vessels have until the new
compliance date to implement access control procedures using TWIC. For
owners and operators of facilities and Outer Continental Shelf (OCS)
facilities, the Coast Guard has begun announcing rolling Captain of the
Port (COTP) zone compliance dates requiring the use of TWIC in access
control procedures before April 15, 2009 in accordance with the TWIC 1
Final Rule.
The Coast Guard, TSA and TSA's contractor, Lockheed Martin, worked
collaboratively to develop the rolling COTP zone compliance dates.
Factors taken into account when determining dates include progress of
TWIC enrollment and activation, estimated TWIC population, and the
enrollment capacity in a given COTP zone. COTP zones are grouped
geographically for compliance where possible to account for the
regional nature of commercial operations and to address concerns
regarding port competition within geographical regions. Compliance
dates seek to balance progress of enrollment with the need to motivate
individuals to enroll. Capacity to enroll the TWIC populations is also
a critical factor. In general, COTPs with smaller estimated TWIC
populations and fewer enrollment locations were grouped together for
earlier compliance while larger populated port areas with multiple
locations were grouped later in the compliance schedule to facilitate a
smooth transition from the enrollment phase to compliance.
At present, TWIC compliance dates have been announced for 30 of the
42 COTP zones. The first compliance date of October 15, 2008, was
published in the Federal Register on May 7, 2008, for COTP Zones
Boston, Northern New England, and Southeastern New England. The most
recent announcement for a TWIC compliance date of January 13, 2009, was
announced for COTP zones Hampton Roads, Morgan City, New Orleans, Upper
Mississippi River, Miami, Key West, and St. Petersburg on September 9,
2008.
policy
The Coast Guard and TSA developed several supplementary documents
to help those who are required to comply with the regulation. To
explain in detail how the Coast Guard intends to apply TWIC
regulations, we established policy guidance in the form of a Navigation
and Vessel Inspection Circular (NVIC), and provided answers in three
Policy Advisory Council Frequently Asked Questions documents which were
made available to the industry and general public on July 6, 2007,
November 21, 2007 and January 7, 2008 respectively.
The Policy Advisory Council is a group which was established during
the original implementation of the MTSA regulations. It is made up of
Coast Guard representatives from Headquarters, Area, and District level
commands that are charged with considering questions from stakeholders
and/or field offices to ensure consistent interpretation of regulation.
These guidance documents will assist the maritime industry and general
public with TWIC compliance and are designed to ensure consistent
application across all of our MTSA-regulated facilities and vessels.
Additionally two Small Business Administration Compliance Guides,
one for owners and operators and another for TWIC applicants, were
written to explain the program in basic language intended for the
general public. These guides are available on our web sites and at our
field units in printed form.
Internal guidance documents for training, implementation, and
enforcement for Coast Guard and TSA personnel were approved and
distributed to field personnel during the first week of September.
stakeholder engagement and outreach
From the onset, we have recognized that engagement with our
affected stakeholders is crucial to successful implementation. The
responses received during the NRPM comment period, for example,
provided valuable insight into the unique operational issues facing
labor, maritime facilities, and vessels required to comply with TWIC
requirements. Comments questioning the technological and economic
feasibility of employing the TWIC cards and card readers in the
maritime environment led to splitting the rule, with the card reader
requirements forming a separate, pending rulemaking.
The Coast Guard also solicited comments from Coast Guard field
units and industry stakeholders while drafting the TWIC NVIC. We
received over 400 comments voicing general support for the policy and
highlighting issues which needed more clarification. The stakeholder
dialog continues and informs Policy Advisory Council decisions that aid
in consistent TWIC implementation.
Since publication of the Final Rule, the Coast Guard, TSA and TSA's
contractor Lockheed Martin have conducted numerous outreach events at
national venues such as the Passenger Vessel Association, American
Waterways Operators, National Association of Charter Boat Operators,
National Association of Waterfront Employers, and National
Petrochemical Refiners Association meetings, SMART card and biometric
industry conferences, maritime union meetings, American Association of
Port Authorities conferences, and many others.
While TSA has primary responsibility for outreach, the Coast Guard
through Captain of the Port (COTP) and Area Maritime Security
Committees (AMSC) continues to closely monitor and encourage enrollment
for TWIC and work collaboratively with owners and operators of
regulated facilities and vessels to ensure industry will be ready for
compliance.
enrollment status
The first enrollment center opened on October 16, 2007. With the
opening of the enrollment center in Saipan, all 149 enrollment centers
are currently operational. As of September 5, 2008, more than 483,000
people have enrolled for their TWIC. The estimated population for those
who will require this credential is between 750,000 and 1.2 million
individuals.
compliance
The Coast Guard has the primary responsibility for ensuring
compliance with the TWIC regulations. We are working extensively with
our DHS partners, including TSA and Customs and Border Protection
(CBP), to develop enforcement assistance protocols.
We have instituted several initiatives to encourage TWIC enrollment
and to prepare owners and operators for compliance. One example is
allowing MTSA exercise credit for facilities and vessels that survey
TWIC holders through anticipated screening tactics and provide the data
to the COTPs on the number of employees who have enrolled and activated
their TWICs.
We are also performing spot checks at facilities to gauge overall
compliance. The data collected from these efforts is critical in
understanding the overall readiness for compliance within a geographic
region.
reader requirements
The Coast Guard, with the support of TSA, has commenced work on the
second TWIC rule which will address the requirement for TWIC readers in
the maritime environment. Our intent for this rulemaking is to apply
requirements in a risk-based fashion to leverage security benefits and
capabilities. The Coast Guard solicited and received valuable input and
recommendations from the Towing Safety Advisory Committee (TSAC),
Merchant Marine Personnel Advisory Committee (MERPAC), and the National
Maritime Security Advisory Committee (NMSAC) on specific aspects of
potential applications of readers for vessels and facilities. As in all
aspects of the TWIC program, our goal is to enhance maritime security
while balancing the impact upon the stakeholders who are at the
forefront of providing that security. As we evaluate the economic and
operational impact on the maritime industry, we will continue to seek
input and recommendations to develop and propose regulations requiring
industry compliance.
reader pilot testing
In accordance with the SAFE Port Act of 2006, TSA and the Coast
Guard identified geographically and operationally diverse port and
vessel locations willing to participate in the TWIC reader pilot
testing. We are engaged in planning these pilot tests with ports and
facilities including Los Angeles, Long Beach, New York, New Jersey,
Brownsville, Magnolia Marine in Vicksburg, MS, Kinder Morgan in
Chicago, IL, and Watermark Cruises in Annapolis, MD. All involved ports
and facilities volunteered to participate and have received grants to
purchase and install readers with necessary equipment. The initial
planning and testing protocols have been developed and we look forward
to deploying and testing readers in real world environments over the
coming months. The data and lessons learned from the pilot tests will
be invaluable information for the second proposed rulemaking.
the way ahead
As enrollment rolls out across the country, the Coast Guard is also
focusing on implementation and enforcement of the TWIC regulations.
Compliance for MTSA-regulated facilities will be staged for each COTP
Zone to gain the security benefits of the program as early as possible.
TSA and the Coast Guard are continuing to monitor enrollment progress
and trends. As we consider appropriate COTP zone compliance dates, we
are mindful to balance the motivation to enroll with the capacity to
deliver. In each case, the Coast Guard will announce compliance dates
for each zone at least 90 days in advance. Currently, vessels and all
mariners will be required to have TWICs by the national compliance date
of April 15, 2009. Thus far, we have announced compliance dates for
MTSA-regulated facilities in 30 out of 42 COTP zones.
To leverage TWIC's biometric capability, the Coast Guard is
procuring handheld biometric card readers to enable verification of
identity and validity of credentials during vessel and facility
inspections and spot checks. We are also on track with developing the
systems necessary to implement the provision for newly hired employees
to work while they await issuance of a TWIC.
conclusion
The TWIC program is a complex endeavor. We continue to work closely
with TSA to facilitate outreach to the maritime industry and improve
enrollment processes. We have accomplished important milestones,
strengthened working relationships with public and industry
stakeholders, and held a steadfast commitment to protecting the
maritime transportation system while facilitating commerce. While we
have accomplished a great deal, much work remains involving
implementation, compliance, enforcement, and continued industry
engagement. As in the past, we will ensure Congress is informed of our
progress.
Thank you for the opportunity to testify today. I look forward to
your questions.
Ms. Sanchez. Thank you for your testimony. I now recognize
Ms. Fanguy. Is that correct? I always slaughter your name.
Ms. Fanguy. You have it exactly right.
Ms. Sanchez. To summarize her statement for 5 minutes.
STATEMENT OF MAURINE FANGUY, ACTING DIRECTOR FOR MARITIME AND
SURFACE CREDENTIALING, TRANSPORTATION SECURITY ADMINISTRATION,
DEPARTMENT OF HOMELAND SECURITY
Ms. Fanguy. Good morning, Chairwoman Sanchez, Ranking
Member Souder and distinguished Members of the subcommittee.
Thank you for this opportunity to speak about the steady
progress we have made in implementing the Transportation Worker
Identification Credential, or TWIC program.
My name is Maurine Fanguy and I am the program director for
TWIC. Today I am pleased to announce that we opened the final
enrollment center in Saipan, successfully completing TWIC
deployment. This makes 149 enrollment centers, 19 more than
originally planned, and together with our mobile units provides
an extensive network to support workers.
We have the facilities and resources in place to support a
smooth transition to compliance starting in October. We
encourage workers who have not yet enrolled to start the
process as soon as possible.
Since we began TWIC enrollment 11 months ago, we have a
number of other accomplishments to report. This week we crossed
the half-million mark on enrollments and are well positioned to
enroll all workers prior to April 2009. We have partnered with
over 200 local businesses, unions and industry groups to enroll
workers at their places of business. This has made the process
much easier and saved the industry millions of dollars in
travel and time away from work.
We are enrolling nearly 20,000 workers per week and that
number is climbing. Processing time has been streamlined and
turnaround times continue to decrease. Currently the average
time to get a card after enrollment is less than 2 weeks for
workers with routine cases.
We have 98.8 percent success rate with fingerprint
submissions to the FBI, which is better than the industry
standard. We have worked closely with the National Institute of
Standards and Technology to ensure that those workers with poor
quality or no prints are provided with cards that reflect that
status. Help desk wait times average less than a minute, and
customer satisfaction surveys indicate that the process is
working.
TWIC is by far the largest biometric smart card program of
its kind in the world. As leaders in Federal credentialing, we
continually analyze data in the field to find ways to
streamline processes, refine the technology, and make TWIC
easier and more convenient for workers.
Partnership with industry is critical to developing
practical approaches to make the program successful now and in
the future. Some of these common-sense solutions include adding
and relocating enrollment centers and direct response
stakeholder feedback.
For example, we recently added new centers on terminal
islands between Los Angeles and Long Beach, and also in
Houston, offering flexible hours of operation to accommodate
after-hours enrollment when requested by stakeholders; adding
on-line status checks so that workers can track the progress of
their credentials; redesigning the disclosure form and
translating it into 12 languages; rewriting the eligibility
letters to make them easier for workers to understand and
facilitate the appeals and waivers process; adding new help
desk features, including e-mail and on-line and phone self-help
to facilitate resolution of questions.
We also continue with our aggressive communications
campaign in partnership with the Coast Guard and industry. We
have provided communications tool kits to our industry partners
and maintain an outreach database with over 7,000 stakeholders.
We applaud the efforts of maritime stakeholders to aggressively
get the word out to their workers.
We have developed targeted marketing materials for trucking
and rail, advertising industry publications, attended numerous
conferences and local meetings and participated in trucking
radio call-in programs. We redesigned the TWIC web site to
provide information tailored more specifically to workers,
owners and operators, and technology providers.
We also have several milestones to report on the TWIC
reader pilot. In June we issued an announcement calling for
biometric reader manufacturers to provide products for testing.
We completed one round of testing and are pleased with the
results. We are preparing to publish those results in the next
few weeks.
Based on the interest of additional manufacturers, we
opened a second round of testing in August and expect to
complete this testing in early October. The two rounds of
testing will provide pilot participants with a wide selection
of readers to choose from for their operational tests.
We have completed initial baseline analysis at all of the
pilot locations. We currently have more than 20 participants at
four port authorities and three vessel operators, including the
Port Authority of Los Angeles, Long Beach, New York and New
Jersey, Brownsville, Magnolia Marine in Mississippi, Watermark
Cruises in Annapolis, and the Staten Island Ferry.
Based on the progress of our port partners in developing
their operational test plans, we expect to begin field testing
readers this winter. Much progress has been made in the first
11 months of the TWIC enrollment program. When compliance
begins next month, it will mark a significant milestone in our
multilayered approach to securing our Nation's ports.
We will continue to work with our partner, the Coast Guard,
maritime stakeholders, and this subcommittee to ensure the on-
going success of the TWIC program.
Thank you for the opportunity to appear today, and I would
be happy to answer any questions.
[The statement of Ms. Fanguy follows:]
Prepared Statement of Maurine Fanguy
September 17, 2008
Good morning Chairwoman Sanchez, Ranking Member Souder, and
distinguished Members of the subcommittee. Thank you for this
opportunity to speak about the steady progress we have made in
implementing the Transportation Worker Identification Credential (TWIC)
program.
My name is Maurine Fanguy and I am the Director of the TWIC
program.
TWIC, as you know, is a Department of Homeland Security (DHS)
program with joint participation from the Transportation Security
Administration (TSA) and the United States Coast Guard (USCG) to
provide a tamper-resistant biometric credential to maritime workers
requiring unescorted access to secure areas of port facilities and
vessels regulated under the Maritime Transportation Security Act of
2002 (MTSA), (Pub. L. 107-295). The operational costs of the TWIC
program are entirely funded from fee revenue with no direct
appropriated funds.
I am especially pleased to announce today that we are completing
the rollout of fixed enrollment centers with the opening of a center in
Saipan. In 11 months since our beginning in Wilmington, Delaware, TSA
has opened 149 fixed enrollment centers across the United States--from
Maine to Hawaii; from Florida to Alaska, and the territories of Puerto
Rico, the U.S. Virgin Islands, Guam, and now, Saipan.
progress
As we continue rolling-out the TWIC program throughout the Nation,
we have also made steady progress in several other areas in the past
year.
Successful Program Rollout
In addition to the 149 fixed enrollment centers, TSA continues to
establish mobile enrollment centers Nation-wide, and has opened 183
mobile centers to date, with plans for more than 100 additional mobile
centers to bring TWIC to the worker. These mobile centers save workers
significant travel costs, particularly in remote locations such as
Alaska. As of the first week of this month, nearly 500,000 workers
enrolled for their card, with more than 447,000 cards printed and
319,000 cards activated. We are pleased with the program's start and
look forward to continuing our efforts to complete the initial
enrollment and support the full implementation of the TWIC program. A
dashboard containing all pertinent enrollment statistics is updated
weekly and publicly available through our web site at: www.tsa.gov/
assets/pdf/twic_dashboard.pdf.
Online Self-Service Capability
As the enrollment program has grown over the past year, we enhanced
our customer service by providing many services on the TSA TWIC web
site. We offer workers the opportunity to pre-enroll by entering basic
biographic data in advance of an appointment; locate enrollment center
addresses and hours of operation; schedule appointments for enrollment
and activation; check the status of the TWIC; access frequently asked
questions; and obtain port-specific information, including timely
information on enrollment center closings due to hurricanes.
Improved Operational Efficiency
We have significantly shortened the time required for a worker to
enroll in the program, produce the card, and return the card to the
enrollment center. Currently, we are showing an average turnaround time
of 2 weeks or less to provide a TWIC for a worker who completes the
enrollment process with no additional issues requiring attention.
Establishing Reader Technical Specifications
On June 20, 2008, TSA issued a Broad Agency Announcement (BAA)
inviting vendors to express their interest, provide information, and
demonstrate their capability to provide Smart Card biometric readers.
Through the BAA, TSA is interested in obtaining information on both
fixed and handheld portable readers that will fully read a TWIC and the
biometric capabilities. A number of vendors participated in the first
round of Initial Capability Evaluation (ICE) testing. Although TSA has
not completed the formal review of the results of the first round of
ICE testing, we are encouraged with the preliminary findings. TSA
issued a second BAA on August 28, 2008, to solicit additional vendors
to participate in the ICE testing of readers. Our intent is to continue
ICE testing on an on-going basis to assist our stakeholders with
identifying a choice of readers for deployment at secure areas of the
marine transportation system.
Update on Card Reader Pilot Program
As required by the SAFE Port Act, in cooperation with the USCG we
have initiated pilot programs with over 20 participants at 7 locations
across the country to test card readers. The pilots will test access
control technologies in real world marine environments by investigating
the impacts of requiring biometric identity verification on business
processes, technology, and operational impacts on facilities and
vessels of various size, type, and location. Our current list of
locations includes the Port Authorities of Los Angeles, Long Beach,
Brownsville, and New York/New Jersey, in addition to Watermark Cruises
in Annapolis, Maryland, Staten Island Ferry, New York, and Magnolia
Marine Transport of Vicksburg, Mississippi. For fiscal year 2008,
Congress appropriated $8.1 million to support the card reader pilots,
enabling TSA and the USCG to move forward with this important program.
As part of the outreach efforts for the TWIC program and in conjunction
with the Department's Port Security Grant Program, we continue to seek
additional participants. Our objective is to include pilot test
participants that are representative of a variety of facilities and
vessels in a variety of geographic locations and environmental
conditions. There appears to be sufficient interest from the maritime
community to achieve this objective.
Through collaborative efforts with our DHS and stakeholder partners
we have made steady progress. We gained DHS approval of the pilot Test
& Evaluation Master Plan. We obtained initial baseline data collection
from all the pilot test locations and are working with each participant
as they develop facility and vessel plans for the installation of
readers and access control systems. As one example, the Port of Los
Angeles has made commendable progress by completing detailed facility
plans and utilizing an integrated approach for the facilities
participating at the Port. As the program proceeds, the pilot tests
will inform the USCG's TWIC reader rulemaking process and ultimately
result in final regulations that require the deployment of
transportation security card readers consistent with the findings of
the pilot program.
Implementation of Compliance Date
The TWIC Final Rule established an 18-month enrollment period. To
better synchronize the implementation of the TWIC enrollment program
with the TWIC Final Rule, TSA and the USCG published a final rule on
May 7, 2008 (May Final Rule), moving the compliance date from September
25, 2008 to April 15, 2009. The extension ensures that every individual
who requires a TWIC will have the full 18-month enrollment period and
provides adequate time for completion of the required security threat
assessment, especially for workers who may be on the road or at sea for
long periods of time. The May Final Rule also extends the compliance
period for implementation of access control procedures for owners and
operators of MTSA regulated vessels. Owners and operators of facilities
and Outer Continental Shelf facilities should note, however, in
accordance with the TWIC Final Rule, the Coast Guard has begun
announcing rolling Captain of the Port zone compliance dates that
require the use of TWIC in their access control procedures before April
15, 2009.
lessons learned and future efforts
As we move forward with the TWIC program, we continue to
incorporate our ``lessons learned'' to drive sound management decisions
that improve all aspects of the program and continue to closely monitor
the end-to-end process to ensure accurate and timely security threat
assessments are being conducted and high quality credentials are
produced. We are proud of the significant progress we have made during
the past year and we remain mindful of the challenges that lie ahead.
These include:
Looking for efficiencies by eliminating duplicative
regulatory processes.--TSA and Coast Guard continue to develop
procedures for the sharing of fingerprints, identity
verification, criminal history, and photographs for TWIC and
Merchant Mariner Documents, which is expected to save not only
money but time. In addition, merchant mariners will no longer
be required to visit a Regional Exam Center to obtain and renew
their credentials, resulting in substantial time and travel
savings.
Placing the highest value in stakeholder input; it is time
well spent.--The public hearings, comments to the Notice of
Proposed Rulemaking, meetings with operators and associations,
and contributions of advisory councils all added great value.
We came away from each and every one of these efforts better
informed about the challenges, the impacts, and the practicable
options for protecting our ports. As an example, we added 19
fixed enrollment centers as a result of stakeholder feedback.
Promoting and safeguarding privacy.--All data collected at
an enrollment center is completely deleted from the enrollment
center work stations after transmission to TSA. The entire
enrollment record (including all fingerprints collected) is
stored solely in a secure TSA system, which is protected
through role-based entry, encryption, and segmentation to
prevent unauthorized use. No paper records with personally
identifiable information are created in the enrollment process.
Implementing technical innovation and adaptive contract
management.--The TWIC card is a 21st Century technology that
accommodates evolving IT standards suited to emerging needs
that span local, international, public, and private interests.
This requires continual reevaluation of the scope and methods
of contracting. We will continue to look for and implement
adaptive program planning, aggressive contractor oversight, and
metrics to ensure the success of the program.
Addressing new issues that may arise as we continue to
implement the program.--TSA is working towards coordinating the
technology, such as card readers, and creating a changing
environment and program control constraints. This is especially
a concern when the technology must be deployed to a vast
multitude of entities with remote connectivity challenges
(e.g., vessels) and varying degrees of access control system
capabilities. We will closely monitor the results of the card
reader pilot and work with the USCG to ensure the results are
reflected in the final rulemaking.
conclusion
In implementing TWIC, we are taking steps that constitute an
extremely important aspect to the security of our port facilities and
vessels. TSA will continue to work with the U.S. Coast Guard and our
maritime stakeholders to ensure that, for the first time in history,
thousands of independent businesses will have one interoperable
security network and workers will hold a common credential that can be
used across that entire network.
I appreciate the subcommittee's keen interest in an effective
implementation of TWIC and I thank you for your support. Madam
Chairwoman, this concludes my testimony, and I would be pleased to
answer any questions that you may have.
Ms. Sanchez. Thank you for your testimony.
I now recognize Mr. Lord to summarize his statement for 5
minutes.
STATEMENT OF STEPHEN M. LORD, ACTING DIRECTOR, HOMELAND
SECURITY AND JUSTICE ISSUES, GOVERNMENT ACCOUNTABILITY OFFICE
Mr. Lord. Thank you, Chairwoman Sanchez, Ranking Member
Souder and Members of the subcommittee for inviting me here
today to discuss GAO's work on TWIC. We have reported on the
status of TWIC several times over the last few years, most
recently in October 2007. My statement today is based on the
information in these prior reports as well as some of the
updated information we are collecting as part of our ongoing
audit.
Today I will highlight the recent progress made in
implementing the program as well as some of the challenges
facing TSA, the Coast Guard, and the maritime industry in
implementing the program.
I would now like to summarize my key observations. Overall,
TSA and the Coast Guard continue to make progress in rolling
out this program on a Nation-wide basis.
First, TSA and the Coast Guard issued a first TWIC rule in
January 2007, which establishes the basic enrollment
requirements for the program. In addition, in July 2007, the
Coast Guard issued additional guidance to clarify requirements
for industry stakeholders.
Second, enrollment numbers continue to grow. Close to
500,000 of the estimated 1.2 million TWIC users are now
enrolled in the program. Further, about 319,000 cards have been
activated and issued to workers.
Third, a TWIC reader pilot has been initiated to test TWIC
access control technologies and their impact on maritime
operations. This testing is an important step as the results of
the pilot test will help inform the development of the second
TWIC rule. However, given the complexities of the program, it
will be important that TSA and the Coast Guard continue to work
with industry stakeholders to monitor the program and
effectively address any challenges that arise.
One challenge is related to enrollment. TSA and the
enrollment contractor continue to face the challenge of
enrolling and issuing TWICs to a large population of workers by
the April 15, 2009 deadline. Although TSA and its enrollment
contractor have enrolled close to 500,000 people in the
program, they still need to enroll an additional 700,000
workers by the April 15, 2009 deadline. However, based on our
review of average monthly enrollment trends, TSA could
experience challenges in meeting this enrollment target.
A second potential challenge is related to testing, as
highlighted in our prior work, TSA and industry stakeholders
need to carefully test the TWIC technology to ensure it works
effectively in the harsh maritime environment. However, TSA and
the Coast Guard have yet to complete these tests, distill the
lessons learned of these tests, and incorporate these results
in the proposed second rule. Thus, until the testing is
completed and the second rule is issued, we will not know how
well the technology works in practice or the time frames for
final program implementation.
In closing, as highlighted in our recent work, TSA has
taken some important steps to strengthen the program. We
commend their efforts. However, we still have several
unanswered questions about the TWIC program:
No. 1: How many people will eventually enroll in the
program? Will TSA meet its looming April 15, 2009 enrollment
deadline?
No. 2: Will the technology work as designed in the harsh
maritime environment? What are the lessons learned of the
initial test?
Finally, when will the second TWIC rule be issued? When
will the TWIC program be thought fully operational? As you
know, this program has been on-going for several years.
Chairman Sanchez and Members of the subcommittee, this
concludes my statement. I look forward to your questions.
[The statement of Mr. Lord follows:]
Prepared Statement of Stephen M. Lord
September 17, 2008
gao highlights
Highlights of GAO-08-1151T, a testimony before the Subcommittee on
Border, Maritime, and Global Counterterrorism, Committee on Homeland
Security, House of Representatives.
why gao did this study
U.S. transportation systems and the estimated 4,000 transportation
facilities move over 30 million tons of freight and provide an
estimated 1.1 billion passenger trips each day. Since 2001 the
Transportation Security Administration (TSA), part of the Department of
Homeland Security (DHS) has protected these systems and facilities from
terrorist attack. One program TSA utilizes is the Transportation Worker
Identification Credential (TWIC) program, through which a common
credential is being developed for transportation workers with access to
secure areas. Ultimately planned for all transportation sectors, TSA,
in cooperation with the U.S. Coast Guard, is initially focusing the
TWIC program on the maritime sector.
This testimony discusses: (1) The progress made in implementing the
TWIC program and (2) some of the remaining program challenges. This
testimony is based on GAO's September 2006 TWIC report, as well as
selected updates and on-going work. To conduct this work, GAO reviewed
program requirements and guidance, documentation on the status of the
TWIC program, and interviewed program officials from TSA and the Coast
Guard.
what gao recommends
GAO has previously recommended that TSA conduct additional testing
of the TWIC program to help ensure that all key components work
effectively. TSA agreed with this recommendation and has taken action
to implement it.
transportation security.--transportation worker identification
credential: a status update
What GAO Found
Since GAO's 2006 report on the TWIC program, TSA and the Coast
Guard have made progress in addressing legislative requirements and
implementing and testing the program through a prototype and pilot, as
well as addressing GAO recommendations related to conducting additional
systems testing. Although GAO has not yet evaluated the effectiveness
of TSA's and the Coast Guard's efforts, the two agencies have taken the
following actions to continue to implement the TWIC program:
In January 2007, TSA and the Coast Guard issued the first
rule in Federal regulation to govern the TWIC program, setting
the requirements for enrolling maritime workers in the TWIC
program and issuing TWICs to these workers. The Coast Guard
issued complementary guidance in July 2007 to explain how the
maritime industry is to comply with these requirements.
Enrollment efforts began at the Port of Wilmington,
Delaware, in October 2007, and additional enrollments are under
way through a contractor. Of the 1.2 million identified TWIC
users, 492,928 (41 percent) were enrolled as of September 12,
2008.
The TWIC program has initiated its TWIC Reader pilot to test
card reader technology for use in controlling access to secure
areas of maritime transportation facilities and vessels, and
assess the impact of their installation on maritime operations.
This pilot is expected to inform the development of a second
TWIC rule on implementing access controls in the maritime
environment.
TSA and the maritime industry continue to face two potential
challenges in implementing the TWIC program.
TSA and its enrollment contractor continue to face
challenges in enrolling and issuing TWICs to a significantly
larger population than was done during TWIC program prototype
testing. TSA and its enrollment contractor now plan to enroll
and issue TWICs to an estimated target population of 1.2
million workers by April 15, 2009, compared to 770,000 workers
estimated in January 2007. Over 700,000 additional workers (59
percent of projected enrollees) still need to be enrolled in
the program by the April 15, 2009 deadline.
TSA and industry stakeholders will need to ensure that TWIC
access control technologies perform effectively in the harsh
maritime environment and balance security requirements with the
flow of maritime commerce. While testing is underway, the
lessons learned of the on-going tests remain to be distilled
and used to inform the development of additional regulatory
requirements.
Madame Chairwoman and Members of the subcommittee: Thank you for
inviting me to participate in today's hearing on the status of the
Transportation Security Administration's (TSA) Transportation Worker
Identification Credential (TWIC) program. The TWIC program was created
to help protect the Nation's transportation facilities from the threat
of terrorism by issuing identification cards only to workers who are
not known to pose a terrorist threat and allowing these workers
unescorted access to secure areas of the transportation system. Key
aspects of the TWIC program include collecting personal and biometric
information, such as fingerprints, to validate workers' identities;
conducting background checks on transportation workers to ensure that
they do not pose a security threat; and issuing tamper-resistant,
biometric credentials, such as identification cards, for use in
granting workers unescorted access to secure areas. The TWIC program is
ultimately intended to support all modes of transportation. However,
TSA, in partnership with the Coast Guard, is focusing initial
implementation on the maritime sector.
The TWIC program was established to respond to the provisions of
several pieces of legislation and subsequent programming decisions. In
the aftermath of the September 11, 2001, terrorist attacks, the
Aviation and Transportation Security Act (ATSA) \1\ was enacted in
November 2001 and, among other things, requires TSA, an agency within
the Department of Homeland Security (DHS), to work with airport
operators to strengthen access control points in secure areas and
consider using biometric access control systems \2\ to verify the
identity of individuals who seek to enter a secure airport area. In
response to ATSA, TSA established the TWIC program in December 2001.
Enacted in November 2002, the Maritime Transportation Security Act of
2002 (MTSA) \3\ required the Secretary of Homeland Security to issue a
maritime worker identification card that uses biometrics to control
access to secure areas of maritime transportation facilities and
vessels. In addition, the Security and Accountability For Every (SAFE)
Port Act of 2006 amended MTSA to direct the Secretary of Homeland
Security to, among other things, implement the TWIC Program at the 10
highest-risk ports by July 1, 2007.\4\ TSA's responsibilities include
enrolling TWIC users, conducting security threat assessments, and
processing appeals to adverse TWIC qualification decisions. The Coast
Guard is responsible for developing maritime security regulations and
ensuring that maritime facilities and vessels are in compliance with
these regulations.
---------------------------------------------------------------------------
\1\ Pub. L. No. 107-71, 115 Stat. 597 (2001).
\2\ A biometric access control system consists of technology that
determines an individual's identity by detecting and matching unique
physical or behavioral characteristics, such as fingerprint or voice
patterns, as a means of verifying personal identity.
\3\ Pub. L. No. 107-295, 116 Stat. 2064 (2002).
\4\ Pub. L. No. 109-347, 120 Stat. 1884 (2006).
---------------------------------------------------------------------------
We have reported on the status of the development and testing of
the TWIC program several times. Our 2004 report \5\ identified
challenges that TSA faced in developing regulations and a comprehensive
plan for managing the program, as well as several factors that caused
TSA to miss initial deadlines for issuing TWICs. In September 2006, we
reported \6\ on challenges TSA encountered during TWIC program testing
and several problems related to contract planning and oversight. We
have since provided updates to this work in April and October 2007.\7\
---------------------------------------------------------------------------
\5\ GAO, Port Security: Better Planning Needed to Develop and
Operate Maritime Worker Identification Card Program, GAO-05-106
(Washington, DC: Dec. 10, 2004).
\6\ GAO, Transportation Security: DHS Should Address Key Challenges
Before Implementing the Transportation Worker Identification Credential
Program, GAO-06-982 (Washington, DC: Sept. 29, 2006).
\7\ GAO, Transportation Security: TSA Has Made Progress in
Implementing the Transportation Worker Identification Credential, but
Challenges Remain, GAO-07-681T (Washington, DC: Apr. 12, 2007), and
GAO, Transportation Security: TSA Has Made Progress in Implementing the
Transportation Worker Identification Credential Program, but Challenges
Remain, GAO-08-133T (Washington, DC: Oct. 31, 2007).
---------------------------------------------------------------------------
My testimony today focuses on: (1) The progress made since
September 2006 in implementing the TWIC program; and, (2) some of the
remaining challenges that TSA, the Coast Guard, and the maritime
industry must overcome to ensure the successful implementation of the
program. Today's observations are based on our September 2006 TWIC
report, which reflects work conducted at TSA and the Coast Guard, as
well as site visits to transportation facilities that participated in
testing the TWIC program; our subsequent updates to this work issued in
April and October 2007; and our on-going review of the TWIC program
initiated in July 2008. This current review of the implementation of
the TWIC program will be published in 2009, and is being conducted for
the Senate Committee on Commerce, Science, and Transportation; the
House Committee on Homeland Security; and the House Committee on
Transportation and Infrastructure. As part of our current engagement,
we reviewed program documentation on the status of TWIC implementation;
related guidance provided by the Coast Guard; information from maritime
industry stakeholders, such as TWIC Stakeholder Communication Committee
meeting minutes and reporting by the National Maritime Security
Advisory Committee--an advisory council to DHS. In addition, we
interviewed TWIC program officials from TSA--including the TWIC Program
Director--and the Coast Guard regarding their efforts to implement the
TWIC program and our prior recommendations although we did not
independently assess the effectiveness of these efforts. We requested
and received comments on the draft statement from TSA. We conducted
this work from July 2008 through September 2008 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 and conclusions
based on our audit objectives.
summary
Since we reported on the TWIC program in September 2006,\8\
progress has been made in implementing the program. Although we have
not yet independently assessed the effectiveness of these efforts, TSA
and the Coast Guard have taken action to address legislative
requirements to implement and test the program as well as our
recommendations related to conducting additional systems testing.
Specifically:
---------------------------------------------------------------------------
\8\ GAO-06-982.
---------------------------------------------------------------------------
TSA and the Coast Guard issued the first TWIC rule in
January 2007, which sets forth the requirements for enrolling
maritime workers in the TWIC program and issuing TWICs to these
workers. In July 2007 the Coast Guard issued guidance
complementing the January 2007 TWIC rule. This guidance
provides additional context for how the maritime industry is to
comply with this TWIC rule.
Enrollment efforts have been underway. As of September 12,
2008, 492,928 enrollees, or 41 percent of the anticipated 1.2
million TWIC users, have enrolled in the TWIC program. Further,
318,738 TWICs have been activated and issued.
The TWIC program initiated the TWIC reader pilot to test
TWIC access control technologies and their impact on maritime
operations. A second rule is planned to be issued on the use of
TWIC access control technologies,\9\ including TWIC readers,
for confirming the identity of the TWIC holder against the
biometric information on the TWIC. However, TSA has not
established a date for completing the pilot.
---------------------------------------------------------------------------
\9\ With regard to TWICs, access control technologies include, for
example, card readers capable of reading TWICs, existing systems for
controlling access at maritime transportation facilities and vessels,
the TWIC database containing biometric information, and the interface
between existing access control systems and the TWIC database.
---------------------------------------------------------------------------
TSA and maritime industry stakeholders face two potential
challenges in implementing the TWIC program.
As we have previously reported, TSA and its enrollment
contractor continue to face the challenge of enrolling and
issuing TWICs to a significantly larger population of workers
than was previously estimated. TSA and its enrollment
contractor now plan to enroll and issue TWICs to an estimated
target population of 1.2 million workers by April 15, 2009,
compared to 770,000 workers estimated in January 2007.\10\
While 492,928 enrollments (41 percent) out of an estimated
target population of 1.2 million had been processed as of
September 12, 2008, an additional 707,072 workers (59 percent)
still need to be enrolled in the program by the April 15, 2009,
deadline.
---------------------------------------------------------------------------
\10\ The January 2007 TWIC rule established that all maritime
workers were expected to hold TWICs by September 25, 2008; however, the
final compliance date has been extended from September 25, 2008 to
April 15, 2009, pursuant to 73 Fed. Reg. 25562.
---------------------------------------------------------------------------
As highlighted in our prior work, TSA and industry
stakeholders will need to ensure that TWIC readers perform
effectively in the harsh maritime environment and balance
security requirements with the flow of maritime commerce.
However, since testing of how this technology works in practice
and accumulating the lessons learned remains on-going, TSA and
Coast Guard have yet to incorporate the results of these tests
into the second rule establishing the requirements and time
frames for implementing TWIC access control technologies. Our
on-going work will assess how the results of this testing is
used to inform the development of a second TWIC rule, and help
ensure an appropriate balance between security and commerce
requirements.
background
Securing transportation systems and facilities is complicated,
requiring balancing security to address potential threats while
facilitating the flow of people and goods. These systems and facilities
are critical components of the U.S. economy and are necessary for
supplying goods throughout the country and supporting international
commerce. U.S. maritime transportation systems and facilities \11\ move
over 30 million tons of freight and provide approximately 1.1 billion
passenger trips each day. The ports of Los Angeles and Long Beach
estimate that they alone handle about 43 percent of the Nation's ocean-
going cargo. The importance of these systems and facilities also makes
them attractive targets to terrorists.
---------------------------------------------------------------------------
\11\ For the purposes of this report, the term maritime
transportation facilities refers to seaports, inland ports, offshore
facilities, and facilities located on the grounds of ports.
---------------------------------------------------------------------------
These systems and facilities are vulnerable and difficult to secure
given their size, easy accessibility, large number of potential
targets, and proximity to urban areas. A terrorist attack on these
systems and facilities could cause a tremendous loss of life and
disruption to our society. An attack would also be costly. According to
testimony by a Port of Los Angeles official, a 2002 labor dispute that
led to a 10-day shutdown of West Coast port operations cost the
Nation's economy an estimated $1.5 billion per day.\12\ A terrorist
attack at a port facility could have a similar or greater impact.
---------------------------------------------------------------------------
\12\ Testimony of the Director of Homeland Security, Port of Los
Angeles, before the U.S. Senate Committee on Commerce, Science, and
Transportation, May 16, 2006.
---------------------------------------------------------------------------
One potential security threat stems from those individuals who work
in secure areas of the Nation's transportation system, including
maritime transportation facilities, airports, railroad terminals, mass
transit stations, and other transportation facilities. It is estimated
that about 6 million workers, including longshoremen, mechanics,
aviation and railroad employees, truck drivers, and others access
secure areas of the Nation's estimated 4,000 transportation facilities
each day while performing their jobs. Some of these workers, such as
truck drivers, regularly access secure areas at multiple transportation
facilities. Ensuring that only workers who are not known to pose a
terrorism security risk are allowed unescorted access to secure areas
is important in helping to prevent an attack.
TWIC Program History
In the aftermath of the September 11, 2001, terrorist attacks, the
TWIC program was established in December 2001 to mitigate the threat of
terrorists and other unauthorized persons from accessing secure areas
of the entire transportation network, by creating a common
identification credential that could be used by workers in all modes of
transportation.\13\ As of September 2008 appropriated funds for the
program totaled $103.4 million. Below are a number of key actions taken
with respect to the implementation of the TWIC program.
---------------------------------------------------------------------------
\13\ TSA was transferred from the Department of Transportation to
DHS pursuant to requirements in the Homeland Security Act of 2002 (Pub.
L. No. 107-296, 116 Stat. 2135 (2002)).
---------------------------------------------------------------------------
November 2002.--Enactment of the Maritime Transportation
Security Act of 2002, which required the Secretary of Homeland
Security to issue a maritime worker identification card that
uses biometrics to control access to secure areas of maritime
transportation facilities and vessels.
August 2004 through June 2005.--As part of its prototype
testing, TSA--through a private contractor--tested the TWIC
program at 28 transportation facilities across the country.
August 2006.--TSA decided that the TWIC program would be
implemented in the maritime sector using two separate rules.
The first rule covers use of TWICs as a credential for gaining
access to facilities and vessels. The second rule is planned to
address the use of access control technologies, such as TWIC
readers, for confirming the identity of the TWIC holder against
the biometric information on the TWIC.
October 2006.--The SAFE Port Act directed the Secretary of
Homeland Security to, among other things, implement the TWIC
program at the 10 highest-risk ports by July 1, 2007, and to
conduct a pilot program to test TWIC access control
technologies, such as TWIC readers, in the maritime
environment.
January 2007.--TSA and the Coast Guard issued a rule
requiring worker enrollment and TWIC issuance. TSA also awarded
a $70 million contract to begin enrolling workers and issuing
TWICs to workers.
July 2007.--The Coast Guard issued guidance on how the
maritime industry is to comply with the January 2007 TWIC rule
and how the Coast Guard will implement TWIC compliance efforts.
June 2008.--As part of the TWIC reader pilot, TSA issued an
agency announcement calling for biometric card readers to be
submitted for assessment as TWIC readers.
Key Components of the TWIC Program
The TWIC program includes several key components:
Enrollment.--Transportation workers will be enrolled in the
TWIC program at enrollment centers by providing personal
information, such as name, date of birth, and address, and will
be photographed and fingerprinted. For those workers who are
unable to provide quality fingerprints, TSA is to collect an
alternate authentication identifier.
Background checks.--TSA will conduct background checks on
each worker to ensure that individuals do not pose a security
threat. These will include several components. First, TSA will
conduct a security threat assessment that may include, for
example, checks of terrorism databases or watch lists, such as
TSA's No-fly and selectee lists. Second, a Federal Bureau of
Investigation criminal history records check will be conducted
to identify if the worker has any disqualifying criminal
offenses. Third, the worker's immigration status and prior
determinations related to mental capacity will be checked.
Workers will have the opportunity to appeal negative results of
the threat assessment or request a waiver in certain
circumstances.
TWIC production.--After TSA determines that a worker has
passed the background check, the worker's information is
provided to a Federal card production facility where the TWIC
will be personalized for the worker, manufactured, and then
sent back to the enrollment center.
Card issuance.--Transportation workers are to be informed
when their TWICs are ready to be picked up at enrollment
centers. Once a TWIC has been activated and issued, workers may
present their TWICs to security officials when they seek to
enter a secure area, and in the future may use biometric card
readers to verify identity.
progress has been made in implementing the twic program
Several positive steps have been taken since our September 2006
report \14\ toward successfully implementing the TWIC program. One key
step was the issuance of the first TWIC rule by TSA and the Coast Guard
in January 2007 establishing requirements for providing workers and
merchant mariners access to maritime transportation facilities and
vessels. To help facilitate the rule's implementation, in July 2007 the
Coast Guard issued complementary guidance to help the maritime industry
comply with the new TWIC regulations and facilitate the Coast Guard's
implementation of TWIC-related compliance efforts. In addition,
enrollment efforts have been under way, and 41 percent of the estimated
1.2 million people needing TWICs have been enrolled. Finally, the TWIC
program has initiated the TWIC reader pilot and is moving forward in
testing TWIC access control technologies and their impact on maritime
operations. However, TSA has not established time frames for completing
this pilot program, the results of which will be used to inform the
second rulemaking related to TWIC access control technologies.
---------------------------------------------------------------------------
\14\ GAO-06-982.
---------------------------------------------------------------------------
TSA and the Coast Guard Issued a TWIC Rule, and Coast Guard Has Issued
Complementary Guidance to Facilitate TWIC's Implementation
On January 25, 2007, TSA and the Coast Guard issued the first TWIC
rule that, among other things, sets forth the regulatory requirements
for enrolling workers and issuing TWICs to workers in the maritime
sector. Specifically, this TWIC rule provides that workers and merchant
mariners requiring unescorted access to secure areas of maritime
transportation facilities and vessels must enroll in the TWIC program,
undergo a background check, and obtain a TWIC before such access is
granted. In addition, the rule requires owners and operators of MTSA-
regulated maritime transportation facilities and vessels to change
their existing access control procedures to ensure that a merchant
mariner and any other individual seeking unescorted access to a secure
area of a facility or vessel has a TWIC.\15\ Table 1 describes the key
requirements in the first TWIC rule.
---------------------------------------------------------------------------
\15\ Persons not required to obtain or possess TWICs before
accessing secure areas include, for example, Federal officials with
specified types of credentials, State or local law enforcement
officials, and State or local emergency responders.
TABLE 1.--KEY REQUIREMENTS IN THE JANUARY 2007 TWIC RULE
------------------------------------------------------------------------
Requirement Description of Requirement
------------------------------------------------------------------------
Transportation Workers................. Individuals who require
unescorted access to secure
areas of maritime
transportation facilities and
vessels, and all merchant
mariners, must obtain a TWIC
before such access is granted.
Fees................................... All workers applying for a TWIC
will pay a fee of $132.50 to
cover the costs associated
with the TWIC program. Workers
that have already undergone a
Federal threat assessment
comparable to the one required
to obtain a TWIC will pay a
reduced fee of $105.25. The
replacement fee for a TWIC
will be $60.
Access to secure areas of maritime By no later than April 15,
facilities and vessels. 2009, facilities and vessels
currently regulated under the
Maritime Transportation
Security Act must change their
current access control
procedures to ensure that any
individual or merchant mariner
seeking unescorted access to a
secure area has a TWIC.
Newly hired workers and escorting Newly hired workers who have
procedures. applied for, but have not
received, their TWIC, will be
allowed access to secure areas
for 30 days as long as they
meet specified criteria, such
as passing a TSA name-based
background check, and only
while accompanied by another
employee with a TWIC.
Individuals that need to enter
a secure area but do not have
a TWIC must be escorted at all
times by individuals with a
TWIC.
Background checks...................... All workers applying for a TWIC
must provide certain personal
information and fingerprints
to TSA so that they can
conduct a security threat
assessment, which includes a
Federal Bureau of
Investigation fingerprint-
based criminal history records
check, and an immigration
status check. In order to
qualify for a TWIC, workers
must not have been
incarcerated or convicted of
certain disqualifying crimes,
must have legal presence or
authorization to work in the
United States, must have no
known connection to terrorist
activity, and cannot have been
adjudicated as lacking mental
capacity or have been
committed to a mental health
facility.
Appeals and waiver process............. All TWIC applicants will have
the opportunity to appeal a
background check
disqualification through TSA,
or apply to TSA for a waiver
of certain disqualifying
factors, either during the
application process or after
being disqualified for certain
crimes, mental incapacity, or
if they are aliens in
Temporary Protected Status.
Applicants who apply for a
waiver and are denied a TWIC
by TSA, or applicants who are
disqualified based on a
determination that he or she
poses a security threat, may,
after an appeal, seek review
by a Coast Guard
administrative law judge.
Access control systems................. The Coast Guard will conduct
unannounced inspections to
confirm the identity of TWIC
holders using hand-held
biometric card readers (i.e.,
TWIC readers) to check the
biometric on the TWIC against
the person presenting the
TWIC. In addition, security
personnel will conduct visual
inspections of the TWICs and
look for signs of tampering or
forgery when a worker enters a
secure area.
------------------------------------------------------------------------
Source: GAO analysis of TWIC rule and TSA information.
The January 2007 TWIC rule does not currently require owners and
operators of maritime transportation facilities and vessels to employ
TWIC readers to verify the biometric feature (e.g., TWIC holder's
fingerprints) of the TWIC. These requirements are to be issued under a
second rule at a later date. As a result, the TWIC will initially serve
as a visual identity badge (i.e., a ``flash pass '') until the new rule
requires that TWIC access control technologies, such as TWIC readers,
be installed to verify the credentials when a worker enters a secure
area. According to TSA, during initial implementation, workers will
present their TWICs to authorized security personnel, who will compare
each TWIC holder to his or her photo and inspect the card for signs of
tampering. In addition, the Coast Guard will verify TWICs when
conducting vessel and facility inspections and during spot checks using
handheld TWIC readers to ensure that credentials are valid.
On July 2, 2007, the Coast Guard also issued some supplementary
guidance to help facilitate implementation of the January 2007 TWIC
rule. Among other issues, the Coast Guard's Navigation and Vessel
Inspection Circular (NVIC) Number 03-07 is designed to clarify the TWIC
enrollment and issuance process, the waiver and application process,
and approaches for enforcing TWIC program compliance. For instance,
with regard to TWIC enrollment, the NVIC provides guidance on applying
for appeals to disqualification decisions. The NVIC also provides
guidance for escorting non-TWIC holders in secure areas. Under current
procedures, one TWIC holder is allowed to escort 10 non-TWIC holders in
secure areas of a facility.
TWIC Enrollment Efforts Are Progressing
As we reported in October 2007,\16\ following the issuance of the
first TWIC rule in January 2007, TSA awarded a $70 million contract to
a private contractor to enroll the then estimated 770,000 workers
required to obtain TWICs. Since our last update, enrollment in the TWIC
program has progressed. TSA began enrolling and issuing TWICs to
workers at the Port of Wilmington, Delaware, on October 16, 2007. Since
then, 148 of 149 enrollment centers have been opened to meet TWIC
enrollment demand, with the remaining center scheduled to be opened by
September 17, 2008. Additionally, according to TSA, mobile centers have
been deployed on an as-needed basis. As of September 12, 2008, TSA
reports 492,928 enrollments and 318,738 TWICs activated and issued. All
maritime workers are expected to hold TWICs by the January 2007 TWIC
rule's revised compliance deadline of April 15, 2009.
---------------------------------------------------------------------------
\16\ GAO-08-133T.
---------------------------------------------------------------------------
TWIC Reader Pilot Has Been Initiated to Test TWIC-Related Access
Control Technologies
In response to our recommendation,\17\ and as required by the Safe
Port Act,\18\ TSA has initiated a pilot, known as the TWIC reader
pilot, to test TWIC-related access control technologies. This pilot is
intended to test the business processes, technology, and operational
impacts resulting from the deployment of TWIC readers at secure areas
of the marine transportation system. As such, the pilot is expected to
test the viability of existing biometric card readers for use in
reading TWICs within the maritime environment. It will also test the
technical aspects of connecting existing access control systems at
maritime transportation facilities and vessels to TWIC readers and
databases containing the required biometric information, for confirming
the identity of the TWIC holder against the biometric information on
the TWIC. After the pilot has concluded, the results are expected to
inform the development of the second rule requiring the deployment of
TWIC readers for use in controlling access in the maritime environment.
However, at this time, TSA officials do not yet have a date established
for the completion of this pilot. Further, time frames for completing
the second rule are not set.
---------------------------------------------------------------------------
\17\ GAO-06-982.
\18\ Pub. L. No. 109-347, 120 Stat. 1884, 1889-90 (2006).
---------------------------------------------------------------------------
The TWIC reader pilot consists of three assessments with the
results of each assessment intended to inform subsequent assessments.
This testing is currently under way, and we will analyze the test
results as part of our on-going work. The three assessments are as
follows:
Initial technical testing.--This assessment is laboratory-
based and is designed to determine if selected biometric card
readers meet TWIC card-reader specifications.\19\ These
specifications include technical and environmental requirements
deemed necessary for use in the harsh maritime environment. At
the completion of initial technical testing, a formal test
report will be developed to prioritize all problems with
readers based on their potential to adversely impact the
maritime transportation facility or vessel. Based on this
assessment, readers with problems that would severely impact
maritime operations are not to be recommended for use in the
next phase of testing. At this time, TSA is conducting the
initial technical testing portion of the TWIC reader pilot. As
part of this assessment, in June 2008, TSA issued an
announcement calling for biometric card readers to be submitted
for assessment as TWIC readers. According to the TWIC Program
Director, an initial round of TWIC reader testing has been
completed and a second round of testing has been initiated.
This is expected to provide a broader range of readers to be
used as part of subsequent assessments.
---------------------------------------------------------------------------
\19\ TWIC Card Reader Specifications were first published in
September 2007 and last updated on May 30, 2008.
---------------------------------------------------------------------------
Early operational assessment.--This assessment is to
evaluate the impact of TWIC reader implementation on the flow
of commerce. Key results to be achieved as part of this
assessment include obtaining essential data to inform
development of the second rule, assessing reader suitability
and effectiveness, and further refining reader specifications.
As part of this process, maritime transportation facilities and
vessels participating in the pilot are to select the readers
they plan to test and install, and test readers as part of the
test site's normal business and operational environment. In
preparation for the early operational assessment segment of
this pilot, the TWIC Program Director stated that program staff
have started working with pilot participants to review test
plans and expect to initiate the early operational assessment
portion of the pilot in early 2009. As part of this pilot, TSA
is partnering with maritime transportation facilities at five
ports as well as three vessel operators.\20\ TSA's objective is
to include pilot test participants that are representative of a
variety of maritime transportation facilities and vessels in
different geographic locations and environmental conditions.
---------------------------------------------------------------------------
\20\ Port test participants include the port authorities of Los
Angeles, Long Beach, Brownsville, New York, and New Jersey. In
addition, vessel operation participants include the Staten Island Ferry
in Staten Island, New York; Magnolia Marine Transports in Vicksburg,
Mississippi; and Watermark Cruises in Annapolis, Maryland.
---------------------------------------------------------------------------
System test and evaluation.--Building on the results of the
initial technical testing and the early operational assessment,
the system test and evaluation is intended to evaluate the full
impact of maritime transportation facility and vessel operators
complying with a range of requirements anticipated to be
included in the second TWIC rule, such as TWIC reader
effectiveness, suitability, and supportability. In addition,
this evaluation is expected to establish a test protocol for
evaluating readers prior to acquiring them for official TWIC
implementation.
Our on-going review of the TWIC program will provide additional
details on the results of the TWIC reader pilot and how these results
helped inform the anticipated second TWIC rule.
tsa and maritime industry stakeholders face two potential challenges in
implementing the twic program
TSA and maritime industry stakeholders face two potential
challenges in ensuring that the TWIC program will be implemented
successfully. TSA and its enrollment contractor are planning to enroll
and issue TWICs to a significantly larger population of workers than
was originally estimated. Specifically, TSA estimates that it will need
to issue TWICs to 1.2 million workers by April 15, 2009.\21\ This
target population is significantly larger than the estimated target
population identified in the January 2007 rule. Further, TSA and
maritime industry stakeholders also face challenges in ensuring that
TWIC access control technologies, such as biometric card readers, work
effectively in the harsh maritime environment and ensuring that
security requirements are balanced with the flow of commerce. However,
since TSA is still testing this technology and accumulating the lessons
learned from this testing, it is unclear how effectively this
technology works in practice. These testing results will be used to
help inform the development of the second rule establishing the
requirements and time frames for implementing TWIC access control
technologies. Our on-going work will assess how the results of this
testing are used to inform the development of the second rule and help
ensure an appropriate balance between security and commerce.
---------------------------------------------------------------------------
\21\ As previously noted, the final compliance date has been
extended from September 25, 2008, to April 15, 2009 (73 Fed. Reg. 25562
(May 7, 2008)).
---------------------------------------------------------------------------
Increase in Estimated Target Population one of Several Issues
Identified During the Initial Enrollment Process
In September 2006 we reported \22\ that TSA faced the challenge of
enrolling and issuing TWICs in a timely manner to a significantly
larger population of workers than was done during the TWIC prototype
test, which was conducted from August 2004 through June 2005. Since
then, steps have been taken to improve the enrollment and TWIC issuance
process. For example, according to TSA officials, the TWIC enrollment
systems were tested to ensure that they would work effectively and be
able to handle the full capacity of enrollments during implementation.
---------------------------------------------------------------------------
\22\ GAO-06-982.
---------------------------------------------------------------------------
Despite these positive steps, there have been issues associated
with the TWIC enrollment process. As documented in TWIC program
documentation, enrollment issues include miscommunication about the
wait time for TWICs to be available, such as enrollees being told that
TWICs would be available in 10 to 30 days rather than 6 to 8 weeks. In
addition, help desk issues existed, such as approximately 70 percent of
calls placed to the help desk being abandoned and call wait times
reported to be as long as 20 minutes when they were planned for 3
minutes. According to TSA officials, actions have been taken to address
these problems.
Additionally, in July 2008, the National Maritime Security Advisory
Committee--chartered to advise, consult with, report to, and make
recommendations to the Secretary of the Department of Homeland Security
on matters relating to maritime security--reported \23\ on several
unresolved problems, which it contends help to foster an unfavorable
sentiment among stakeholders. \24\ Among other issues, the committee
report noted:
---------------------------------------------------------------------------
\23\ National Maritime Security Advisory Committee, TWIC Working
Group, Discussion Items, as amended July 30, 2008.
\24\ The National Maritime Security Advisory Committee was
established under the authority of the Maritime Transportation Security
Act of 2002 to provide advice and make recommendations to the Secretary
of Homeland Security via the Commandant of the Coast Guard on national
maritime security matters.
---------------------------------------------------------------------------
poor communication and outreach regarding the trucking and
merchant mariner communities, and whether these communities are
fully aware of TWIC program requirements, and:
technical issues whereby biometric scanning equipment did
not accurately record and process enrollee fingerprint
templates.
TWIC program management disputed the National Maritime Security
Advisory Committee's findings, stating that some of the findings in the
report are outdated or inaccurate. For instance, according to the TWIC
Program Director, the fingerprint rejection rates for the program are
within acceptable standards as defined in the contract and are
consistent with other Government experiences. Moreover, the Program
Director noted that to be helpful, the committee needs to prioritize
the issues it identified. TSA plans to meet with the committee on
September 18, 2008 to respond to the report.
Nevertheless, TWIC program management and the contractor report
that they have taken action to remediate several of the problems
identified above. For example, to address the issues related to the
help desk, TWIC program management reports that it worked with its
contractor to add additional resources at the help desk to meet call
volume demand. Similarly, to counter the lack of access or parking at
enrollment centers at the Port of Los Angeles, TSA's contractor opened
an additional enrollment facility with truck parking access as well as
extended operating hours.
Additional Steps Are Being Taken to Clarify Final
Enrollment Figures and Address Enrollment
Challenges
To help meet the challenge of enrolling and issuing TWICs to an
estimated 1.2 million workers by April 15, 2009, TSA and the Coast
Guard are working to update estimates for the number of people
requiring TWICs. TWIC program management does not have a precise
estimate of the total number and location of potential enrollees. For
instance, while the January 2007 TWIC rule identifies that 770,000 TWIC
enrollments were anticipated, that number has been revised to
approximately 1.2 million--nearly double the original estimate.
According to the TWIC Program Director, it is difficult to know how
many individuals will enroll in the program as no association, port
owner, or government agency previously tracked this information. The
Program Director also told us that some anticipated enrollees may have
been double-counted. Therefore, the number of enrollees that actually
enroll may be fewer than the estimated 1.2 million. As part of an
effort to develop better enrollee estimates, TSA reports that it is
currently completing a contingency analysis in coordination with the
Coast Guard that will better identify the size of its target enrollee
population at major ports. For example, in preparation for meeting
enrollment demands at the Port of Houston, TWIC program officials are
updating prior estimates of maritime workers requiring TWICs for access
to this port's facilities. To better meet possible short-term spikes in
enrollment application demand--such as in final weeks before individual
ports must meet final TWIC enrollment requirements--the TWIC program is
promoting the use of mobile enrollment centers whereby temporary
centers are set up to help enroll employees for TWICs.
However, given that 492,928 enrollments (41 percent) out of an
estimated target population of 1.2 million had been processed as of
September 12, 2008, an additional 707,072 workers (59 percent) still
need to be enrolled in the program by the April 15, 2009 deadline.
Further, assuming the current rate of enrollment, there will be an
estimated shortfall of 393,391 TWIC enrollees in April 2009. As such,
meeting final enrollment and TWIC issuance requirements by April 15,
2009, could pose a challenge. We will continue to monitor these efforts
as part of our on-going engagement.
TSA and Industry Stakeholders Taking Steps to Ensure That TWIC Access
Control Technologies Work Effectively in a Harsh Maritime
Environment
In our September 2006 report,\25\ we noted that TSA and maritime
industry stakeholders faced significant challenges in ensuring that
TWIC access control technologies, such as biometric card readers, work
effectively in the maritime sector. Few facilities that participated in
the TWIC prototype tested the use of biometric card readers. As a
result, TSA obtained limited information on the operational
effectiveness of biometric card readers for use with TWICs,
particularly when individuals use these readers outdoors in the harsh
maritime environment, where they can be affected by dirt, salt, wind,
and rain. In addition, TSA did not test the use of biometric card
readers on vessels, although they will be required on vessels in the
future. Further, industry stakeholders with whom we spoke were
concerned about:
---------------------------------------------------------------------------
\25\ GAO-06-982.
---------------------------------------------------------------------------
the costs of implementing and operating TWIC access control
systems;
linking card readers to their local access control systems;
and,
how biometric card readers would be implemented and used on
vessels.
Because of comments received from maritime industry stakeholders
prior to issuing its January 2007 TWIC rule, TSA and Coast Guard
excluded all access control requirements from this rule. Instead, TSA
and Coast Guard now plan to issue a second TWIC rule pertaining to
access control requirements, such as TWIC readers.
In our September 2006 report, we noted \26\ that TSA and industry
stakeholders will need to consider the security benefits of the TWIC
program and the impact the program could have on maritime commerce.
According to TSA, if implemented effectively, the security benefits of
the TWIC program in preventing a terrorist attack could save lives and
avoid a costly disruption in maritime commerce. Alternatively, if key
components of the TWIC program, such as biometric card readers, do not
work effectively, they could slow the daily flow of commerce.
---------------------------------------------------------------------------
\26\ GAO-06-982.
---------------------------------------------------------------------------
Our September 2006 report \27\ also recommended that TSA conduct
additional testing to ensure that TWIC access control technologies work
effectively and that the TWIC program balances the security benefits of
the program with the impact that it could have on the flow of maritime
commerce. In response to our recommendation and to address SAFE Port
Act requirements,\28\ TSA has initiated a TWIC reader pilot that, as
previously discussed, includes an assessment of card readers against
TWIC technical and environmental specifications. In addition, the pilot
will include testing at various maritime transportation facilities and
vessels to assess the performance of biometric card readers as well as
the impact TWIC use will have on operations when used as part of
existing maritime transportation facility and vessel access control
systems. The results of this pilot are to be used to help develop the
second TWIC rule on TWIC access control technologies, such as TWIC
readers. However, as discussed earlier, this testing is still under way
and TSA has not established a date for completing the pilot program.
Moreover, a date has not been set for issuing the second TWIC rule on
the requirements and time frames for implementing the TWIC access
control technology. Our on-going work will assess how the lessons
learned from the testing are used to inform the development of the
second rule and help ensure an appropriate balance between security and
commerce.
---------------------------------------------------------------------------
\27\ GAO-06-982.
\28\ The SAFE Port Act requires TSA to issue a final rule
containing the requirements for installing and using TWIC access
control technologies no later than 2 years after the initiation of the
pilot.
---------------------------------------------------------------------------
concluding observations
Addressing the issue of maritime security is a major challenge
given the size and complexity of the maritime transportation network.
Since we first reported on the TWIC program in December 2004,\29\ TSA
has made progress toward implementing the program, including issuing a
TWIC rule, enrolling some workers in the program, and conducting
additional testing at several key maritime transportation facilities
and vessels. While the additional testing that TSA reports conducting
and the actions it has taken should help address the challenges that we
have previously identified, the effectiveness of these efforts will not
be clear until the program further matures. TSA still faces the
challenges of clarifying the size of its target enrollee population and
ensuring that the lessons learned from the ongoing TWIC pilot are
distilled and used to inform the development of additional regulatory
requirements. Given the looming April 2009 enrollment deadline and that
more than 700,000 workers still need to be enrolled in the program, a
late enrollment surge could potentially impact maritime security and
trade. Successfully addressing these challenges will help ensure that
TWIC meets the goal of establishing an interoperable security network
based on a common identification credential.
---------------------------------------------------------------------------
\29\ GAO-05-106.
---------------------------------------------------------------------------
Madam Chairwoman, this concludes my statement. I would be pleased
to answer any questions that you or other Members of the subcommittee
may have at this time.
Ms. Sanchez. I thank the witnesses. I remind each Member
that they will have 5 minutes to question the panel. I will now
recognize myself for questions.
Ms. Fanguy, Mr. Lord had a series of questions at the end
of his testimony, including how many people do we think will
eventually be signed up in this program and will we meet the
April 2009 enrollment deadline? Will the readers work? Can you
give me your best guess, since you are the program manager on
the answers to his questions?
Ms. Fanguy. Absolutely. On question No. 1, in terms of the
enrollment numbers, we are continuing to work with the Coast
Guard to make sure that we refine the population estimates
locally. When we are looking at the trending of enrollment
figures, what we are seeing is that the numbers each week go
up, especially as the Coast Guard continues to announce
compliance. So as we are looking at the trending, we do feel
confident that we will enroll all of the workers by April 2009.
On the second question of the technology, again I think
that is where industry collaboration is key. We worked very
closely with the NMSAC TWIC Working Group to actually develop
the technology standards for TWIC, and I think that we got some
very good input from them which we incorporated into our final
specifications. So we are in the process of completing our
bench-testing of the readers. We have had very good results
thus far. We are looking forward later this year to actually be
able to take that equipment and put it out in the field so we
can get good data back.
Ms. Sanchez. When will the second rule be done?
Ms. Fanguy. The Coast Guard is actually the lead agency on
the final rule, but we will be supporting them in that effort.
Ms. Sanchez. Admiral.
Admiral Watson. We are in the process of getting that
second rule sequence going. It will begin with an advance
notice of proposed rulemaking very, very soon. The challenge is
that we need to get some information so that we can propose
rules for how these readers are going to be used in different
circumstances, with different risk levels, in the various
ports.
Ms. Sanchez. Let us go back. Very, very soon means?
Admiral Watson. Oh, within days. For the advanced notice of
proposed rulemaking.
Ms. Sanchez. What type of information do you not have in
hand, and how long will it take you to get that before you can
move forward?
Admiral Watson. We got a lot of information through our
advisory committee, but obviously the broader public has
information to offer in light of the fact that there are
technological challenges as well as operational challenges for
reader deployment and use. So getting this information back is
critical for us to put out the notice of proposed rulemaking.
But because of all of that work that has been done, we don't
anticipate a very long time frame between getting the responses
from the advance notice to putting out the notice.
Ms. Sanchez. Back to the original question. How many people
in total do you think are going to be in this program, enrolled
by April 2009? Do you think that will be the--I mean, what will
that--what do you think that will be? Ninety percent of the
people who actually are the ones trying to get enrolled, 99
percent of the people?
Ms. Fanguy. We are aiming for 100 percent. Right now our
population estimate is 1.2 million. But again, one of the
challenging parts of this industry is that we have a highly
mobile work force. There are people who work at multiple ports,
multiple facilities, and they move around quite a lot. So what
we are trying to do is make sure we are not double-counting.
But the best estimate we have right now is 1.2 million. But we
are going to continue to work very closely with our partners at
the Coast Guard as well as industry to make sure that everyone
has enrolled in time.
Ms. Sanchez. So you think 1.2 million people would be the
total, and you are shooting for 100 percent, and you think you
are going to meet that 100 percent by April 2009?
Ms. Fanguy. Our goal is to continue to communicate with
people to make sure that they come in on time, to make sure
that they know what their responsibilities are.
Ms. Sanchez. That wasn't the answer--I mean, I asked a
specific question.
Ms. Fanguy. We have more than adequate capacity to handle
that. The one thing we don't have under control is human
nature. But anybody that wants to enroll. There are plenty of
appointments right now, especially in some of the larger areas.
Right now, of course, in Texas, people have other things that
they may be focusing on. But out on the West Coast, plenty of
appointments for people to come in and enroll, and we encourage
people to come in now so that they don't have any inconvenience
as it gets closer to April.
Ms. Sanchez. What about this whole issue as with respect to
citizenship? I know it has affected many of your people,
Admiral. The issue that the Lockheed people don't have a very
good understanding of the differences in ship, paper, et
cetera. Do we have a program where we are educating more about
what to accept? What about these people who came in with
passports and were actually sent away without even getting
copies of their passports and then denied because you all
thought they weren't citizens?
Ms. Fanguy. A few things on that. One is that we asked our
contractor to do a retraining of all their trusted agents,
which they have done, to make sure that they have the right
information on collecting immigration documentation. They have
been given the clear message that if somebody brings in a
passport, that is absolutely a good document to take and that
should be taken.
In addition to that, we recently put out guidance to be
able to go through all of the different immigration classes
that we support to provide information to workers about what
documents to bring. But if somebody is confused about the
process, we do have a way of handling their cases. All they
have to do is really to send us a photocopy of their
documentation so that we can clear them out of the system and
get them their card.
Ms. Sanchez. I am going to let Mr. Souder ask his 5
minutes' worth.
I would just say to Mr. Lord, I would like you to think if
there are any questions you would like answered by any of these
that we can come back and ask them. Yes?
Before we do that, I would like to ask unanimous consent to
proceed in the absence of a quorum because I don't know, Mr.
Souder, if you will be coming back or not. So be it. Five
minutes.
Mr. Souder. I am merely going to put two questions on the
record because I have a bill up that I have to go over and see
what the status of it is right away. But I wanted to make sure
that these two questions get answered, but I need to take off
as quick as I can.
One is what specific steps has TSA taken to ensure that the
trucking industry is adequately notified of their need to have
a TWIC, and is there any way to gauge how successful these
efforts have been? Is that part of this unknown? We are getting
more and more people coming in because there was lack of
clarity as to who needed what, and now there is increasing
concern, and do we know where that cap is?
The other question for the Coast Guard is, as you said, you
were looking at the proposed rulemaking; that you will play a
large role in specifying the facilities, how they screen their
employees for TWIC upon entry. There are numerous questions.
Will they be required to give their fingerprint each time they
enter, or once a day? What about their PIN number? What if the
machine is malfunctioning, will they be required to swipe their
TWIC card upon exit?
All of these will have a direct impact. The question is,
will you get an operational test of this while we are testing
the systems, or could this result in significant delays
depending on the details of how it is implemented as we are
moving forth? I am sorry I need to head to the floor, but I
need to get there as quick as possible. Thank you.
Ms. Sanchez. Okay. Well, why don't we hear the answers to
those questions?
Ms. Fanguy. I can address the aspect about trucking.
Trucking is an absolutely critical part of maritime
transportation security, and we have embarked on a pretty
aggressive campaign to get outreach out to the truckers. I know
I personally have attended a number of trucking association
meetings. I have worked very closely with the American trucking
associations. We have recently developed flyers that are very
specifically targeted to truckers, and then try to get those
out to our port partners.
As I have been traveling around the port, I think that
there is very good messaging. When we actually got some
photographs from Boston and it says ``No TWIC, no entry'' right
there on the gates to the port, I think that is a pretty clear
message, very easy for truckers to see.
When I was out on the West Coast, Los Angeles and Long
Beach, very clear signage to let people know you need to come
in and enroll for a TWIC. We are actually located right off of
the roads where the truckers are going back and forth.
In addition to that, we have tried to do outreach through
other mechanisms, like call-in radio programs. I think that has
actually been pretty effective to get the drivers who are
actually at work hauling between the different ports. But
truckers are certainly an unknown population in terms of how
large they are. We want to continue to work to make sure that
we enroll all of the truckers so there is no delay at the
ports.
Ms. Sanchez. Mr. Lord, can you comment on what you have
seen with respect to truckers and the TWIC situation?
Mr. Lord. I agree with Ms. Fanguy that truckers tend to be
an independent lot by nature and they have been reluctant in
the past to come forward, absent a firm deadline for enrolling.
So I think it is good that the Coast Guard is moving this to a
phased-out process and establishing deadlines before April 15
to help serve as an additional incentive to enrollment.
But I think that poses an additional challenge, you know,
identifying the magnitude of the truckers subject to TWIC. I
think they are still working through that.
Ms. Sanchez. I hope when you are out in Los Angeles/Long
Beach next week, maybe you will take a look at how that whole
trucking situation is happening out there.
Mr. Lord. We would be glad to.
Ms. Sanchez. Great. How will these on-going programs with
the TWIC be handed over when a new President comes in? What is
the backup plan? What is the transition plan? What have you
been doing with respect to all of this?
I will start with Ms. Fanguy and then I will ask the
Admiral.
Ms. Fanguy. In terms of transition planning, we have an
overall program plan that takes us up to April and then plans
we have had in place for a long period of time post-April. So
our plans really won't change.
The other part of it is that we have been developing
transition briefing materials for the next administration so
that whoever that may be, will be well-briefed on where we are
in the program, any of the challenges we face, the history of
the TWIC program, and what our plans are for going forward. But
we have a strong structure in place and the management team
that is running the TWIC program, to the best of my knowledge,
will be the same team as we move into--as the January time
frame.
Ms. Sanchez. Admiral.
Admiral Watson. The same with the Coast Guard. We have
plans set through April 15. We are announcing these different
sequential Captain of the Port Zones for enforcement. We have
got a plan to get these regulations out for the reader program
and deployment.
The transition I don't think will have a huge effect on
this. We will obviously get the new people that come in as a
result of the transition fully informed and explain to them the
timeline and where we have come from and where we are going to.
Ms. Sanchez. Thank you, Admiral. Mr. Lord, is there a
question I should be asking these two in front of me about the
program?
Mr. Lord. One question I am still interested in clarifying
is the relationship between the issuance of the final rule and
the testing. If the testing is not scheduled for completion
until late next year, how will that inform the development of
the rule if it is issued earlier? I mean, to me it makes sense
to distill the lessons learned of the test and then issue the
rule. But from Admiral Watson's testimony, it sounds like the
rule may be issued before all the testing is completed.
Ms. Sanchez. Anybody want to take that?
Admiral Watson. I think I can try that. It also ties into,
I think, Congressman Souder's questions with regard to the
terminal operator's use of the TWIC reader equipment. We are
collecting a lot of this information on basically how terminals
work. As you know, there is lots of credentialing already going
on at the individual port level. There are even readers in
place in a lot of facilities using locally developed systems
and so on. There are lessons learned from that. We expect to be
collecting that information, even before we do our own
piloting, and then put out a notice of proposed rulemaking.
That actually is timed, I think appropriately, so that the
pilots in Los Angeles and New York and so on, can actually
deploy their pilot readers using that proposed rule as their
standard. Then we will see how that proposed rule standard is
working through the piloting program and then the final rule
will come out.
Now, you know, the exact timing of the final rule to the
completion of the pilot program, obviously, there are some
variables in there. I don't think that we necessarily have to
wait until the pilot program is completely finished and
documented and all that stuff. But we will certainly be looking
very closely to get as much out of that pilot program before we
publish the final rule as possible.
Ms. Sanchez. Unfortunately, I have to go down to the House
because it is 2 minutes away from the end of a vote. Mr. Souder
did have a question about the types--the operational questions
that he had about the card reader pilots and the role and the
guidance of the Coast Guard and et cetera.
So, for the written record we will be submitting his
questions to make sure you all get back to us on those. I hope
you do get back to us on those. Because sometimes the
Department of Homeland Security doesn't answer our questions
when we send them in writing, and that is all going to change
from now on.
So I have, I believe--most likely Mr. Souder won't be
coming back, and I will be the only one. So what I am going to
do is thank you for being before our committee and actually
dismiss you. It will be about half-an-hour's worth of vote
because there are some recommits and some debate that will have
to happen on the House floor before we get back. So what I will
do is go into recess on the committee and we will meet back in
about half-an-hour's time with the second panel. But the first
panel is not off the hook because we are going to submit some
questions to you in writing and we would like those answers
back from you as quickly as possible. Thank you.
[Recess.]
Ms. Sanchez. The subcommittee is now in order, and I
welcome the second panel of our witnesses.
Our first witness is Ms. Judy Marks, President, Lockheed
Martin Transportation and Security Solutions. Our second
witness is Ms. Stephanie Bowman, Manager, Federal Governmental
Affairs, Port of Tacoma. Mr. Roberto Saarenas, the Security
Director, was originally supposed to testify, but his father
passed away on Monday, so we offer our condolences to him and
to his family. Our third witness is Mr. Philip Byrd, President
and CEO, Bulldog Hiway Express. Our fourth witness is Mr. Steve
Golding, President of Golding Barge Line; and our fifth witness
is Ms. Laura Moskowitz, Staff Attorney, National Employment Law
Project. Or whatever. It is easy here.
So, without objection, the witnesses' full statements will
be inserted into the record.
I now ask Ms. Marks to summarize her statement in 5 minutes
or less.
STATEMENT OF JUDITH MARKS, PRESIDENT, TRANSPORTATION AND
SECURITY SOLUTIONS, LOCKHEED MARTIN
Ms. Marks. Chairwoman Sanchez and Members of the
subcommittee, thank you for the opportunity to discuss the
Transportation Worker Identification Credential, or TWIC,
program. I look forward to sharing the progress we have
achieved on this important program.
Before discussing our role in depth, I would like to
provide a real-time snapshot of where we are in the Nation-wide
enrollment phase of the program.
Lockheed Martin has deployed all 149 enrollment centers and
provided enrollment and activation services for the past 11
months. We are proud to report that we have deployed more sites
faster than any other credentialing program in operation today.
On average, we enroll 3,200 people every day; and, to date, we
have enrolled over 500,000 individuals and have activated and
distributed credentials to over 300,000 enrollees.
The wait times continue to meet all required TSA service
level agreements; and, perhaps most importantly, we have
received a greater-than 93-percent-positive customer
satisfaction rating based on individual customer surveys. As
with any program of this magnitude, we have experienced some
start-up challenges. But the majority of these initial issues
have been resolved through the deployment of additional
resources, assets and skilled people.
Currently, our national average wait time to enroll is
under 15 minutes. We continuously monitor throughput, and we
have routed additional resources and staff to areas of high
demand. The current average time of enrollment to the
credential being available for issuance is approximately 2 to 3
weeks, and we have been able to issue credentials to applicants
in as little as 5 days.
The Coast Guard, as you just heard, has begun announcing
compliance dates for ports. While we continue to enroll and
activate TWIC credentials Nation-wide, we are also focusing our
energies on encouraging the remainder of the transportation
worker population to enroll prior to these announced compliance
dates.
As part of our targeted outreach and in direct response to
stakeholder feedback, we have opened two additional facilities,
one in Long Beach and the other in Houston, to increase
convenience and enrollment capacity.
Lockheed Martin and the Coast Guard have met with the
majority of rail industry leaders, and in response to concerns
from the rail industry TSA and Lockheed Martin are working
together to develop alternative enrollment options. Similarly,
we have met with representatives from major trucking companies
and associations, including the ATA, Truck Stop Operators and
Motor Vehicle Association, to find ways to reach out to the
trucking community, including utilizing trucking publications
and other methods.
Initial enrollment projections indicated an estimated
750,000 applicants would be enrolled in TWIC. Since contract
award, the Coast Guard, TSA and Lockheed Martin have received
reports from a number of ports indicating national population
will be significantly larger than was initially anticipated. We
anticipate the initial population to be closer to 1.2 million
individuals.
The Coast Guard continues to conduct weekly calls with the
captain of the port zones to develop an accurate assessment of
how many people remain to enroll before the mid-April
compliance date. Meanwhile, we have taken a very flexible
approach to planning our operations. We focus on the use of
mobile enrollment stations which can be taken directly to
stakeholder facilities and certain geographically dispersed
communities in Alaska and other locations. To date, we have
conducted over 220 mobile enrollments Nation-wide at port
facilities, at employers, maritime academies and union halls.
In addition to the use of mobile units we have developed a
Nation-wide surge plan that allows for rapid expansion of
capacity at any of the 149 port locations.
Lockheed Martin also provides resources and information to
applicants through our web site at a TWIC call center. Earlier
this year, we did experience challenges with this TWIC call
center, an important resource for all workers. We made multiple
enhancements at no cost to our customers which decrease helped
us speed up answer times, bringing them well below our
contractual requirement of a 3-minute average. In fact, today
the average caller to the help desk experiences less than a 30-
second wait time.
Lockheed Martin is committed to the successful
implementation of the Nation-wide enrollment phase of the TWIC
program. As compliance is declared at ports across the country,
we will work diligently to support the remaining maritime
workers who need to enroll; and we will promptly activate their
credentials.
In addition, we very much appreciate your continued
leadership in your home States and districts. The relationships
you have cultivated with port and industry leaders in your
communities will be invaluable in continuing to emphasize the
critical nature of this program to our Homeland Security and to
our continued economic vitality.
Thank you.
[The statement of Ms. Marks follows:]
Prepared Statement of Judith Marks
September 17, 2008
The Transportation Worker Identification Credential (TWIC) IV
program is a Transportation Security Administration and U.S. Coast
Guard port security initiative. The TWIC program provides a tamper-
resistant biometric credential to maritime workers requiring unescorted
access to secure areas of port facilities, outer continental shelf
facilities, vessels regulated under the Maritime Transportation
Security Act (MTSA), and to all U.S. Coast Guard credentialed merchant
mariners.
Enrollment and issuance of TWIC credentials began in October 2007
at the Port of Wilmington, Delaware and is now available at 149 port
locations and at multiple stakeholder facilities via mobile enrollment.
Although original estimates placed the port worker population requiring
TWICs at 750,000, recent data suggests the revised population count may
be double that original projection. Over 500,000 people have enrolled
to date. To obtain a TWIC credential, an individual must provide
biographic and biometric information in the form of fingerprints, sit
for a digital photograph, and successfully pass a security threat
assessment conducted by TSA.
The Coast Guard continues to announce compliance dates for ports,
mandating that those personnel who require unescorted access to secure
areas of port facilities must have received their credentials. We are
continuing to enroll and activate TWIC credentials Nation-wide, while
also focusing our energies on encouraging the remainder of the port
worker population to enroll prior to the Coast Guard compliance dates.
enrollment activities to date
Lockheed Martin has deployed 149 enrollment centers and provided
enrollment and activation services for the past 11 months. We are proud
to report that we have deployed more sites faster than any other
credentialing program in operation today. On average, we enroll 3,200
individuals daily but in recent weeks have seen daily volumes approach
5,000 as we near the first compliance date. To date, we have enrolled
more than 500,000 individuals, activated and distributed credentials to
300,000 enrollees, and deployed to 149 fixed port locations.
We are proud that Lockheed Martin has met every contractual
deployment milestone on the TWIC IV program, including deploying to
some of the Nations' largest ports: Los Angeles/Long Beach, New York/
New Jersey, and Houston. Wait times continue to decrease and continue
to meet all required TSA service level agreements for wait time.
Perhaps most importantly, we have received a greater than 93 percent
positive customer satisfaction rating to date based on individual
customer surveys that TWIC recipients return after their credentials
have been activated. As with any program of this magnitude, we have
experienced some start-up challenges, specifically in areas such as
network connectivity, customer interaction, and wait times. The
majority of these initial issues have been resolved through the
deployment of additional resources, assets and skilled people to
address them when and where they have been identified. We have
continued to apply lessons we learn during each port deployment to
avoid repetition as we completed the national network of enrollment
centers.
program outreach
The TWIC program will touch more than 1 million Americans' lives,
and we have strived to ensure that the experience is as positive as
possible for those affected. We utilize several methods for
communicating about the program and receiving feedback.
On a national level, stakeholder outreach and communications is
facilitated primarily through the TWIC Stakeholder Communications
Committee (TSCC). The TSCC is facilitated by Lockheed Martin and
Deloitte Consulting. TSA and the Coast Guard take a leadership role in
our monthly TSCC meetings, which are attended by representatives from
49 organizations including labor unions, industry associations, and
other related groups. The TSCC provides a forum for communication about
the program status and key features, and offers stakeholders the
opportunity to provide feedback and voice concerns. To date, 21
meetings of the TSCC have been held.
Local outreach to port stakeholders has always been an integral
part of the TWIC deployment process. Our local database is approaching
7,000 owners, operators, unions, port authorities, associations and
other TWIC program participants.
In several port locations, local stakeholder working groups have
been formed, which may be chaired by TSA, Coast Guard or a local
stakeholder. These groups have provided an excellent forum to discuss
on-going enrollment operations, provide updates on the program, and
receive feedback. As part of our targeted outreach, Lockheed Martin has
met with the majority of rail industry leaders. In response to concerns
from the rail industry, TSA and Lockheed Martin are working together to
develop alternative enrollment options. Similarly, we have met with
representatives from major trucking companies and associations to find
ways to reach the trucking community.
enrollment population
One of the key objectives of our deployment operation is to
understand the size and geographic distribution of the maritime
population. Initial projections developed under contract to TSA were
provided to Lockheed Martin as part of the TWIC IV solicitation
process. These projections indicated that an estimated 750,000
applicants would be enrolled during the initial base term of the
Lockheed Martin contract. Since contract award, the Coast Guard, TSA,
and Lockheed Martin have received reports from a number of ports
indicating that the actual population may be significantly larger in
some areas than was initially anticipated. We anticipate the initial
population to be closer to 1.25 million people. The Coast Guard
continues to conduct weekly calls with Captain of the Port Zones, which
are actively surveying and assessing their population numbers to
develop an accurate assessment of how many people remain to enroll in
the TWIC program.
Meanwhile, we have taken a very flexible approach to planning our
operations. We focus this flexible approach on the use of mobile
enrollment workstations, which can be taken directly to stakeholder
facilities. This provides an additional level of convenience for the
individual workers and employers, and also enables more effective
management of applicant throughput, by minimizing lines at fixed
facilities and easing the burden on major employers.
To date, we have conducted over 220 mobile enrollments at port
facilities, employers, maritime academies and union halls. In addition
to use of mobile units, we have developed a national surge plan that
allows for rapid expansion of capacity at any of the 149 port
locations. This includes extending the hours of operation and adding
additional work shifts, adding additional staff, and increasing the
number of enrollment stations by bringing in mobile units. We
demonstrated this flexibility and used this plan to move additional
assets and resources into key areas such as Baton Rouge, Lake Charles,
New Orleans and Houston.
minimizing inconvenience
We recognize that with a population that is already working hard to
support a constantly growing maritime transportation and commerce
system, convenience in the TWIC enrollment process is critical. That's
why we have taken steps to make this process as smooth as possible.
As discussed above, we work with major stakeholders at all ports to
enroll as much of the population as possible at stakeholder facilities.
These may be employer facilities, union halls, maritime academies or
industry association offices. We also coordinate the issuance and
activation of cards at these locations wherever possible.
We also offer multiple pre-enrollment options. Pre-enrollment
involves the advance provision of biographical information so that this
information does not need to be collected at the time of enrollment.
Pre-enrollment may be accomplished on-line, via the TWIC Helpdesk phone
number, or, at larger ports, via self-service kiosks. Pre-enrollment
also provides an opportunity to schedule an appointment at the TWIC
enrollment facility, further reducing an applicant's wait time.
Currently, our national average wait time to enroll is 15 minutes.
We continuously monitor throughput and we have routed additional
resources and staff to areas of high demand. From the point at which an
enrollment application is completed, the information is securely sent
within 1 day to the Government. A background check is conducted via the
TSA security threat assessment, which varies in cycle time. Other
factors may also influence the turnaround time for a credential being
available for issuance. We have been able to issue credentials to
applicants in as little as 5 days. The current average from time of
enrollment to the credential being available for issuance is
approximately 2 to 3 weeks.
We recognize that certain parts of the country have significant
populations of people for whom English is not their first language. In
these locations, we have trusted agents who speak other languages. Our
pre-enrollment web site and multiple help desk call attendants are
bilingual (English/Spanish), as is our enrollment center work station
software and TWIC web site.
As with any program involving a FBI background fingerprint check, a
percentage of the population will have their fingerprints rejected by
the Bureau as unreadable. Our current fingerprint rejection rate is 1.5
percent of the population, which is far lower than other fingerprinting
programs nationally which range between 2 percent and 4 percent. To
minimize the number of rejects, we apply quality algorithms to each set
of fingerprints captured in our enrollment centers. This provides
trusted agents with an immediate indicator if prints are of low
quality, and provides an opportunity to recapture them on the spot. If
repeated attempts to capture high-quality prints are unsuccessful, we
turn to a procedure recently developed in conjunction with TSA to
electronically enhance the captured fingerprint, without distortion,
and resubmit to the FBI. This new process should allow us to avoid
calling the applicant back to the enrollment center and further
inconveniencing the applicant. Notifications of this new policy and
information on the status of the applications were recently sent out to
those affected applicants.
In addition, when enrollment centers have experienced technical
difficulties that resulted in significant downtime, or have had to
close, we have made efforts to contact affected individuals and offered
to reschedule appointments. We understand that workers' time is very
valuable--to them and to the companies they support.
gulf coast
One of the geographic areas we have seen significant differences in
the population estimates to date has been in the Gulf Coast. In Baton
Rouge, initial enrollee estimates were around 6,000 and current
estimates appear to be closer to 40,000 to 60,000. This initially
resulted in higher-than-expected demand and, as a consequence, longer-
than-desired wait times. To address this, we activated our surge plans,
increasing our capacity to five times greater than the number of
enrollment stations originally deployed and scheduling mobile
enrollment at additional sites. Feedback from our Exxon mobile
enrollment has been positive and we have seen sustained improvement in
enrollment activities at the Baton Rouge site.
In Houston, we anticipated a large demand and started with a higher
capacity than originally planned. We also instituted longer operating
hours. To date, Houston throughput has been the highest of any site to
date, averaging 250 enrollments per day. We have sent additional
enrollment and activation stations to Houston as well as brought on
additional trusted agents to handle the increasing workload. We have
also been working closely with the local stakeholder working group to
quickly address issues as they arise; recent feedback has been
positive. Perhaps most notably, based on stakeholder feedback, we
opened an additional enrollment center in Houston in July.
ports of los angeles and long beach
We had also encountered some concerns regarding enrollment
operations at the Ports of Los Angeles and Long Beach. This issue
focused primarily on the enrollment center locations, specifically
their proximity to the ports and the availability of truck parking.
Additionally, stakeholders expressed concern that the two initial fixed
enrollment locations would be insufficient to cover the enrollment
population at their ports.
To address these issues, we have worked very closely with key port
personnel and area stakeholders to develop an aggressive mobile
enrollment plan. We also opened an additional fixed enrollment center
at Terminal Island, squarely between the two port properties, with
truck parking and directly on a key route that truck operators utilize.
Since opening in June, this Terminal Island location has seen more than
1,600 enrollees.
alaska
Enrollments in Alaska began on April 28 in Juneau, the first of
four fixed centers to open in the State. Over the ensuing 2 months,
centers also opened in Anchorage, Valdez and Nikiski. We knew that four
fixed centers would not fully accommodate Alaska's geographically
dispersed projected population of 5,000 port workers. Along with TSA
and the Coast Guard, we worked closely with key stakeholders in Alaska,
including the Alaska Marine Highway Association and the Alaska Maritime
Exchange to develop a ``round robin'' approach to enrolling hard-to-
reach communities.
Through this method, we utilize mobile enrollment units in publicly
accessible ``hosted'' locations. Some of the populations to be enrolled
in these hosted locations are small in comparison to our normal mobile
activities. Once enrollments are completed in each area, the mobile
team then moves to the next location. The mobile team will re-deploy at
the appropriate time to those locations to issue and activate the
cards.
Multiple communities in Alaska have or will benefit from this
tailored approach, including Kodiak, Sitka, Cordova, Wrangell, Craig,
Dutch Harbor, Ketchikan, Skagway, and Haines.
We are very proud of our work with the Alaska stakeholders to
develop an enrollment plan that will reach a significant majority of
the estimated population in Alaska. We are striving to replicate this
model for some of the hard-to-reach communities in Hawaii and we are
currently working with local stakeholders there.
help desk
Lockheed Martin also provides program resources and information to
applicants through a web site and a TWIC call center. Earlier this
year, Lockheed Martin experienced challenges with the TWIC call center
help desk, an important resource for port workers. Reducing wait times
and enhancing service levels to increase customer satisfaction is a top
priority. We made multiple enhancements--at no cost to our customer--
which decreased help desk speed of answer times, bringing them well
below our contract requirement of a 3-minute average. In fact, today,
the average caller to the help desk experiences only a 30-second wait
time.
conclusion
Lockheed Martin is committed to the successful implementation of
the enrollment phase of the TWIC program. We are proud of our team
which has successfully opened 149 enrollment locations Nation-wide,
enrolled over 500,000 people in the program, remained responsive to
stakeholder and applicant feedback, and conducted extensive stakeholder
outreach across the country. As compliance is declared at ports across
the country, you have our promise that we will work diligently to
support the remaining maritime workers who need to enroll--and to
promptly activate their credentials. In addition, we very much
appreciate your continued leadership in your home States and districts.
The relationships you have cultivated with port and industry leaders in
your communities will be invaluable in continuing to emphasize the
critical nature of this program--to our homeland security and to our
continued economic vitality.
Ms. Sanchez. Thank you.
Now we will hear from Ms. Bowman.
STATEMENT OF STEPHANIE BOWMAN, MANAGER, FEDERAL GOVERNMENT
AFFAIRS, PORT OF TACOMA
Ms. Bowman. Good morning Madam Chairwoman, Members of the
committee. For the record my name is Stephanie Bowman, Director
of Federal Affairs for the Port of Tacoma. I am here on today
on behalf of our port security director, Mr. Roberto Saarenas.
Thank you for the opportunity to submit testimony on behalf of
the implementation of the Transportation Worker Identification
Credential.
The Port of Tacoma began TWIC implementation on November 7,
2007. We were selected by the Department of Homeland Security
as one of the first five ports to adopt TWIC; and as of
September 5 of this year we have had 6,107 enrollments, of
which 4,635 cards have been activated. However, we
conservatively estimate that 4,000 individuals, or about 40
percent, still need to enroll in our port area before the
deadline in 7 months.
Last week, the Port of Tacoma participated in the Port
Security Caucus hosted by the American Association of Port
Authorities. At this meeting, port security directors from
around the country exchanged information about their
experiences with the TWIC enrollment process. We are
experiencing similar challenges as other ports, including:
Problems with the fingerprint readers. Specifically, there
have been problems with the software being unable to verify
fingerprints of individuals when they come into the enrollment
center to activate their TWIC. If there are problems in a
secure office environment, it is difficult to imagine how the
readers will work once exposed to the extreme weather of the
maritime terminal.
Lack of communication and inconsistent messages from the
enrollment center staff about requirements for enrollment or
activation. For example, some of the our security officers have
been told to come into the enrollment center and then are
admonished by staff when they show up without an appointment.
Additionally, citizens born outside the United States receive
inconsistent information about the documentation required of
them. This has frequently resulted in long waits to enroll or
activate cards. We are concerned that the situation will get
significantly worse the closer to the enrollment deadline or
unsure if the contractor will be prepared to handle the surges
in enrollment.
Outreach to critical port personnel such as truckers,
vendors and contractors. While we and other ports have
conducted considerable outreach, including signage, town hall
events and the like, this remains a significant concern.
Looking forward, the Port of Tacoma, along with other U.S.
major ports, have identified a number of areas we urge DHS and
the Coast Guard to address, including:
Ensuring ample time for vendors, contractors and service
workers to get their TWIC. This is particularly worrisome for
those individuals who need access to the port only temporarily
or infrequently but for whom an escort is unreasonable; for
example, municipal utility workers checking meters or railroad
workers handling secure cargo.
Providing clear and consistent guidelines for escorting of
roll-on roll-off cargo--that is large bulk cargo such as
automobiles or tractors--as well as guidelines for escorting
shipboard crew. In the absence of industry guidelines, the Port
of Tacoma is developing its own protocol for escorting in these
situations, but it is clearly in the best interest of everyone
if there is a template for all ports to adhere to.
Greater outreach. TWIC is a Federal mandate. We believe the
U.S. Coast Guard and the Department of Homeland Security should
take greater responsibility and have a much more active role in
the outreach efforts about this new requirement. They cannot
rely only on industry and the Federal contractor to get the
word out.
Long-term plans for enrollment centers. Most enrollment
centers, like ours in Tacoma, are in temporary locations or on
short-term leases. What is the long-term, on-going plan for
these centers? For example, enrollment centers need to have
adequate parking for trucks; and they need to be ADA-compliant.
They can't simply be located in a shopping mall.
Finally, we urge DHS to exempt TWIC card readers from the
cost-share requirement under the port security grant program.
In conclusion, the public ports of the United States share
the goal of Congress and the Federal agencies in ensuring the
security of our Nation's gateways while avoiding disruption of
the flow of international commerce. The Port of Tacoma and
other U.S. ports are committed to doing our part to comply. We
offer our concerns today not simply to criticize but to educate
and hopefully improve the system.
Thank you for your attention. I am happy to answer any
questions.
[The statement of Ms. Bowman follows:]
Prepared Statement of Stephanie Bowman
September 17, 2008
Good morning Madam Chairman and Members of the subcommittee. Thank
you for the opportunity to provide this subcommittee with an update on
the implementation of the Transportation Workers Identification Card
(TWIC).
The Port of Tacoma began TWIC implementation on November 7, 2007.
We were selected by the Department of Homeland Security as one of the
first five ports to adopt TWIC, and as of September 5, 2008, we've had
6,107 enrollments, of which 4,635 cards have been activated. However,
we conservatively estimate another 4,000 individuals--or 40 percent--
still need to enroll in our port area before the deadline in only 5
months.
Last week, the Port of Tacoma participated in the Port Security
Caucus hosted by the American Association of Port Authorities. At this
meeting, port security directors from around the country exchanged
information about their experiences with the TWIC enrollment process.
We are experiencing similar challenges as other ports, including:
Problems with fingerprint readers.--Specifically, there have
been problems with the software being unable to verify the
fingerprints of individuals when they come in to the enrollment
center to activate their TWIC. If there are problems in a
secure office environment, it's difficult to imagine how the
readers will work once exposed to the extreme weather of a
maritime terminal.
Lack of communication and inconsistent messages from the
enrollment center staff about requirements for enrollment or
activation.--For example, some of my security officers have
been told to come to the enrollment center, and then are
admonished by staff when they show up without an appointment;
additionally, citizens born outside the United States receive
inconsistent information about the documentation required of
them. This has frequently resulted in long waits to enroll or
activate cards. We are concerned this situation will get
significantly worse the closer to the enrollment deadline. We
are unsure if the contractor is prepared to handle the surges
in enrollment.
Outreach to critical port personnel such as truckers,
vendors and contractors.--While we and other ports have
conducted considerable outreach including signage, town hall
events and the like, this remains a significant concern.
Looking forward, the Port of Tacoma along with other major U.S.
ports has identified a number of areas we urge DHS and the USCG to
address, including:
Ensuring ample time for vendors, contractors and service
workers to get their TWIC. This is particularly worrisome for
those individuals who need access to the Port only temporarily
or infrequently but for whom an escort is unreasonable; for
example, municipal utility workers checking meters or railroad
workers handling secure cargo.
Providing clear, consistent guidelines for escorting of
roll-on, roll-off cargo--that's large bulk cargo such as
automobiles or tractors--as well as guidelines for escorting
ship-board crew. In the absence of industry guidelines, the
Port of Tacoma is developing its own protocol for escorting in
these situations, but clearly it's in the best interest of
everyone if there is a template for all ports to adhere to.
Greater outreach. TWIC is a Federal mandate; we believe the
U.S. Coast Guard and Department of Homeland Security should
take greater responsibility and have a much more active role in
the outreach efforts about the new requirement. They cannot
rely only on industry and the Federal contractor to get the
word out about this mandate.
Long-term plans for enrollment centers. Most enrollment
centers, like ours in Tacoma, are in temporary locations or are
on short-term leases. What is the long-term, on-going plan for
these centers? For example, enrollment centers need to have
adequate parking for trucks and they need to be ADA compliant;
they can't simply be located in a shopping mall.
Finally, we urge DHS to exempt the TWIC card readers from
the cost-share requirement under the port security grant
program.
The public ports in the United States share the goal of Congress
and the Federal agencies in ensuring the security of our Nation's
gateways, while avoiding disruption of the flow of international
commerce. The Port of Tacoma and other U.S. ports are committed to
doing our part to comply. We offer our concerns not simply to criticize
but to educate and hopefully improve the system.
Thank you for your attention today; I'm happy to try and answer any
questions you may have.
Ms. Sanchez. Thank you, Ms. Bowman.
Mr. Byrd for 5 minutes or less.
STATEMENT OF PHILIP L. BYRD, SR., PRESIDENT AND CEO, BULLDOG
HIWAY EXPRESS
Mr. Byrd. Good morning, Madam Chairwoman. Thank you for
inviting me to testify today on behalf of the American Trucking
Association on the subject of the Transportation Worker
Identification Credential.
My name is Phil Byrd, and I am President and Chief
Executive Officer of Bulldog Hiway Express, a trucking company
that hauls container freight in and out of the seaports on the
East and Gulf Coast.
When I testified at a similar hearing 2 years ago, the TWIC
was a proposed rule. However, now that the TWIC is being
implemented, several concerns that I presented back then
continue to go unresolved. The most important concern is that
the overall goal of the TWIC is not being accomplished: one
background check, one credential that allows transportation
workers to comply with multiple screening requirements.
Unfortunately, today the main question on my drivers' minds and
those of other companies is: How many fingerprint background
checks do I have to go through to do my job transporting
America's freight?
To enter a port, a driver needs a TWIC. To transport
HAZMAT, a driver has to go through HAZMAT endorsement
background checks. To cross the border, a driver has to get a
Fast Card. To transport air cargo, go through another screening
process. To enter Florida ports, get a Florida Port Access
Card. And on and on. I think you get the picture. These
credentials add up to hundreds of dollars of cost to check the
same database over and over again.
Madam Chairwoman, we need a common-sense solution to this
problem. That is why I urge you and Members of this committee
to support the act, the SAFE Truckers Act of 2008. This bill
establishes a risk-based approach to best allocate security
resources.
Briefly, the bill authorizes the Secretary of Homeland
Security to establish a security sensitive material list, cargo
that could potentially be used as a weapon and represents a
high risk. Second, the bill requires only drivers transporting
security sensitive material to undergo fingerprint-based
background checks through the TWIC program. Third, it requires
TSA to continue conducting name-based background checks on all
HAZMAT-endorsed drivers, ensuring the continued screening of a
large portion of these drivers.
The bill is important because many trucking companies are
simply getting out of the transportation of HAZMAT to eliminate
the need of their drivers to undergo an inconvenient and
expensive screening to transport commodities such as nail
polish and soft drink syrup.
I urge you again to support the act, the SAFE Truckers Act.
I urge Members of the committee to require TSA to promptly
implement this mutual recognition as mandated by the 9/11
Commission Act.
Last, the failure to preempt State and local background
check credentials and access requirements for the ports is
another costly problem for companies such as mine. While my
drivers may obtain the TWIC, the final TWIC rule allows each
port to require additional credentials involving additional
fees. Again, my company does business at a number of ports in
several States. If each port requires its own credential, the
results will be crippling.
The multiple credentialing scenario is exactly what TWIC
was originally intended to prevent. When issuing the regulation
implementing the Maritime Transportation Act, the Coast Guard
claimed the need for national standards of security and claim
preemption. ATA believes the same approach should be embraced
in the implementation of the TWIC. The absence of a single,
universally accepted security access credential will result in
huge costs with no corresponding security benefit.
I know from a personal experience that the TWIC is
presently not in the most efficient, convenient or cost-
effective program. A consolidated background check process
under the TWIC, one process, one background check and one fee,
would be a vast improvement over the present enrollment.
To conclude, I urge the Members of this subcommittee to
support and act on the SAFE Truckers Act. I thank you for the
opportunity to testify today and look forward to any questions
that you may have.
[The statement of Mr. Byrd follows:]
Prepared Statement of Philip L. Byrd, Sr.
September 17, 2008
introduction
Madam Chairwoman and Members of the subcommittee, thank you for
inviting me testify today on the status of the Transportation Worker
Identification Credential, also known as TWIC. My name is Phil Byrd and
I am President and CEO of Bulldog Hiway Express, a company based in
Charleston, South Carolina. Founded in 1959, Bulldog Hiway Express is
an intermodal motor carrier that moved the first container to come off
a vessel in the Port of Charleston. The company has approximately 200
power units, 350 trailers and 250 employee-drivers, many of whom will
be required to apply and get a TWIC in order to enter the various port
facilities where we operate in South Carolina, North Carolina, Florida,
Georgia, and Virginia.
Today, I am also testifying on behalf of the American Trucking
Associations (ATA). ATA's membership includes more than 2,000 trucking
companies and industry suppliers of equipment and services. Directly
and through its affiliated organizations, ATA encompasses over 37,000
companies and every type and class of motor carrier operation. As an
ATA member, I serve as chairman of the association's Homeland Security
Policy Committee (HSPC) and as Vice Chairman of its Intermodal Motor
Carriers Conference (IMCC). Both the HSPC and the IMCC, and their
respective members, have been closely following the development of the
TWIC since its legislative inception through its present regulatory
implementation phase.
Madam Chairwoman, I urge this subcommittee and the Committee on
Homeland Security as a whole, to support the SAFE Truckers Act of 2008
and to ensure the following are achieved in the near future:
Require TSA to immediately recognize U.S. commercial drivers
who possess a TWIC as already compliant with the Hazardous
Materials Endorsement Security Threat Assessment program, as
allowed by statute and as TSA already does for Canadian and
Mexican commercial drivers;
Ensure that the TWIC is used as the single, universally
accepted security credential for transportation workers by
preempting other security and access control credentials
required of motor carriers that operate in multiple
jurisdictions.
background
Almost 2 years ago, on September 27, 2006, I had the honor of
testifying before the Small Business Committee of the U.S. House of
Representatives in a hearing focused on striking the right balance
between security and commerce at our Nation's ports. In large measure,
the hearing discussed the TWIC, which was not yet implemented. During
that hearing, I testified that security and commerce are not mutually
exclusive goals, not just at our ports, but throughout the entire
transportation system and supply chain. Enhancing security without
disrupting the flow of commerce can be achieved by implementing risk-
based programs in a cost-effective and coordinated manner. Although I
faced operational challenges in getting my TWIC (requiring multiple
visits to the enrollment center in Charleston and waiting a couple of
hours each time), the trucking industry believes the TWIC can be such a
program if implemented and utilized in an appropriate manner.
ATA has long supported the original concept of the TWIC: one
application/enrollment process, one fee, one security threat assessment
(STA), and a single credential that transportation workers may carry to
demonstrate compliance with multiple access control security
requirements. However, commercial drivers today continue to face
multiple security credentialing requirements. In addition to the TWIC,
drivers must undergo separate STAs for the HME, air cargo and facility
access, the Free and Secure Trade (FAST) program for border crossings,
access to U.S. Department of Defense (DOD) facilities, and a myriad of
State and locally administered STA programs (i.e. Florida Unified Port
Access Card--FUPAC). The cost to drivers of these separate STA and
credentialing programs is more than $400 in fees, not including the
costs associated with drivers' lost wages while traveling to and from
enrollment centers, fuel costs, and the aggravation of providing
fingerprints multiple times for each program.
In January 2003, Admiral Loy, then the second-most senior official
at TSA, summed up the concept and the purpose of the TWIC, stating:
``A fourth initiative also underway is development of a Transportation
Worker Identification Credential or TWIC . . . The idea is to have
these [transportation] employees undergo only one standard criminal
background investigation . . . I've heard that there are some truck
drivers currently carrying up to 23 ID cards around their necks. I
wouldn't want to pay that chiropractor bill. Under the TWIC program
drivers and other transportation workers will only have one card to
deal with which would be acceptable across the United States.''\1\
---------------------------------------------------------------------------
\1\ Remarks of Admiral James M. Loy, Under Secretary of
Transportation for Security, Transportation Security Administration,
during Transportation Research Board 82nd Annual Meeting Chairman's
Luncheon, January 15, 2003.
Unfortunately, the TWIC program/concept has not lived up fully to its
promise and has become just another expensive, duplicative security
credential that truck drivers must obtain to access port facilities.
TWIC works, but the goal of universal acceptance of a single security
credential has been discarded by TSA.
tsa must establish immediate recognition of twic as compliant for hme
sta
ATA believes that TSA should recognize drivers carrying a valid
TWIC as fully compliant with the security requirements for the HME
expressed in 49 CFR Parts 1570 and 1572. ATA arrives at such a
conclusion based on two key premises:
First, Congress already intended this result by granting TSA the
statutory authority to do so under Public Law 110-53 (H.R. 1,
Implementing the Recommendations of the 9/11 Commission). Section 1556
states in part, ``An individual who has a valid transportation employee
identification card issued by the Secretary under section 70105 of
title 46, United States Code, shall be deemed to have met the
background records check required under section 5103a of title 49,
United States Code.'' The intent behind this provision was to allow a
TWIC holder to walk into a State's Department of Motor Vehicles (DMV)
office and be legally issued an HME, assuming the driver passes the
hazardous materials (hazmat) knowledge test, without requiring further
screening under the HME threat assessment program.\2\ Thus, a TWIC
holder should not be subjected to the duplicative STA requirement and
fees when applying for an HME.
---------------------------------------------------------------------------
\2\ ATA notes that States will still be the final arbiters of the
safety/skills-based portion of HME issuance.
---------------------------------------------------------------------------
Second, there is regulatory precedent for compliance with the HME
STA through enrollment in the TWIC credentialing program. In its Final
Rule on the TWIC, TSA states:
``The Secretary may apply TWIC requirements to individuals including
those ``not otherwise covered by this subsection''. TSA has exercised
the discretion by allowing Canadian and Mexican commercial drivers who
transport hazardous materials to obtain TWICs, which will allow them to
transport hazardous materials in the United States.''\3\
---------------------------------------------------------------------------
\3\ 72 Federal Register at 3511.
ATA supports TSA's solution to allow Canadian and Mexican commercial
drivers to be in compliance with the HME STA requirements provided they
have a TWIC. We strongly believe that U.S. commercial drivers should be
afforded the same flexibility for compliance with the HME STA
requirements. In essence, U.S. Commercial Driver's License (CDL)
holders who seek an HME on their license and who hold a TWIC should not
be required to undergo the HME STA.
I urge you to require TSA to make such a policy a reality in an
expedited manner.
ata supports the safe truckers act of 2008
Shortly after the tragic events of September 11, 2001, Congress
passed the USA PATRIOT Act in an effort to better secure the United
States against future terrorist attacks. Among its numerous provisions
was a requirement that all drivers seeking, renewing, or transferring a
HME to their CDL had to undergo an STA. While the provision was no
doubt well-intentioned, it was enacted with little debate or
discussion. Unfortunately, it has resulted in a driver being subjected
to a costly and burdensome STA in order to be authorized to transport
such everyday hazmat as paint, perfume and soft drink concentrate
(which require an HME when transported above certain threshold
quantities). Requiring a STA of individuals that transport paint,
perfume and other everyday commodities was an unintended consequence of
legislation meant to protect against real risks to homeland security,
i.e., transportation of chemicals that could be used as weapons of mass
destruction.
On April 29, 2008, the ``Screening Applied Fairly and Equitably to
Truckers Act of 2008'' or the ``SAFE Truckers Act of 2008'' (H.R. 5915)
was introduced in the U.S. House of Representatives and referred to the
Committee on Homeland Security's Subcommittee on Transportation and
Infrastructure. The SAFE Truckers Act of 2008 represents an efficient
risk-based approach to security, an approach DHS and TSA leadership
embrace, by, among other things:
Directing the Secretary of Homeland Security to establish a
list of Security Sensitive Materials, in consultation with the
Secretaries of Transportation, and Health and Human Services,
distinguishing between materials that could potentially be used
as a weapon and those that are not attractive to a terrorist,
(e.g., paint, adhesives, food additives);
Establishing the TWIC as the STA required to transport
Security Sensitive Materials, obviating the need to use the HME
as a security credential and returning it to its original
purpose of establishing an individual's fitness to safely
operate a commercial vehicle transporting hazmat;
Requiring DHS to periodically conduct name-based background
checks of all CDL holders with an HME, utilizing the integrated
and consolidated terrorism watch list; and,
Including a transition period for drivers who have already
undergone a STA under the present HME program before requiring
them to get a TWIC.
At a time when the public and private sectors alike have limited
resources, our security efforts must be focused on the most significant
risks. The imposition of burdensome, costly duplicative security
programs governing the transportation of hazmat, such as the hazmat
background check program, threatens to erode the industry's ability to
continue to deliver the goods that the consumer expects.
It is important to highlight the fact that although only drivers
transporting Security Sensitive Materials will be required to get a
TWIC and thus undergo a fingerprint-based STA, all HME holders,
regardless, will undergo a periodic name-based background check. By
determining what hazmat truly poses a significant risk and not
requiring a fingerprint-based threat assessment for drivers
transporting non-threatening hazmat commodities, Congress will be
eliminating many of the costs and burdens imposed by the USA PATRIOT
Act while still strongly promoting and protecting homeland security.
ATA fully supports the SAFE Truckers Act of 2008 and urges members
of this subcommittee to support and co-sponsor this legislation.
establishing federal preemption for the twic
The trucking industry believes that the TWIC should serve not only
as the one STA but also as a uniform, Nation-wide secure access control
credential. This means the States and thousands of local jurisdictions
should not be allowed, without demonstrating some compelling need, to
require additional security checks and/or credentials for individuals
that have a federally issued TWIC.
The TWIC Final Rule allows State authorities to impose additional
requirements for access to the ports, potentially allowing each port
authority to issue its own credential on top of the TWIC. The State of
Florida is already doing so at its seaports, through the FUPAC. In my
home State of South Carolina, the trucking industry has had to counter
several proposals to impose additional background check and
credentialing requirements for access to the South Carolina ports. The
regulations issued by the Coast Guard under the Maritime Transportation
Security Act (MTSA) properly claimed the need for national standards of
security and claimed preemption. ATA supported this eminently sensible
position. ATA is disappointed that TSA has not fully embraced this
approach, as the absence of national standards and a single universally
accepted security credential has amounted to a huge expenditure of
resources with no corresponding security benefit.
One rationale frequently proffered by States that require
additional checks of their State criminal history databases is that
their State databases are more comprehensive or fully populated. The
failure of States to upload criminal history information to the FBI's
national databases actually creates a security loophole rather than
bolstering security. For example, an individual may commit a
disqualifying offense in Florida that is only in the Florida database
but has not been uploaded into the FBI's database. That individual
would not be able to pass a Florida-specific STA but he/she could pass
a STA in South Carolina, because the check against the FBI's database
would not reveal the disqualifying offense in Florida. If the
disqualifying offense indicates that the individual is a threat in
Florida (which purportedly is the rationale for having a list of
disqualifying offenses), then that same individual is also a threat in
South Carolina. The failure to upload State data in a timely manner is
a security problem that needs to be addressed.
Other than the differences between the criminal history databases,
it is difficult to conceive of scenarios where a State's judgment on
security of the Nation's supply chain should supplant the Federal
Government's considered judgment. If such a scenario exists, however,
the State should request a waiver from preemption after demonstrating
some unique security concern that is not addressed by the Federal
program.
There is an additional area of interest for Federal and State
governments to consider the TWIC as a coordinated credentialing access
process: Emergency response and relief operations. The trucking
industry is primarily responsible for transporting relief supplies into
areas affected by a natural disaster. Relief efforts required by
Hurricane Katrina, Gustav and most recently Ike serve as reminders of
the critical role that trucking plays in responding to these
emergencies. The timing of this hearing coincides with one of the most
active hurricane seasons in recent memory. Truck drivers transporting
and providing relief supplies face challenges in accessing disaster
areas due to differing Federal, State and local access control
policies. Such challenges were evident during our response to Katrina.
But the recent relief efforts in response to Gustav, though of a much
smaller scale, allowed DHS agencies to coordinate access protocols with
State and local officials. The standards established under the access
protocols recognized the TWIC as a valid access credential. If each
State and local government established separate access control
protocols, our industry's ability to respond and provide relief
supplies to areas affected by such disasters would be greatly
diminished.
ATA urges Members of this subcommittee to preempt States from
establishing additional screening requirements where the Federal
Government has already set in place a program such as the TWIC.
conclusion
The screening of individuals involved in the transportation of
goods is important to my company and to the trucking industry. Our
industry has long sought and supported a national, uniform process to
check a commercial driver's criminal history due to issues related to
cargo theft. However, as the leader of a trucking company, the present
STA environment of multiple checks does not bode well for my drivers'
morale and, worst yet, creates a significant challenge for retention
and recruitment of qualified drivers that may seek gainful employment
elsewhere to avoid such a costly and cumbersome work environment.
In order to bring some common-sense relief to our drivers while
still promoting supply chain security, I again urge Members of this
subcommittee to:
Require TSA to immediately recognize U.S. commercial drivers
who possess a TWIC as compliant with the HME background check
program;
Support and co-sponsor the Safe Truckers Act of 2008; and,
Ensure that the TWIC is used as the single, universally
accepted security credential for transportation workers by
preempting other security credentials required of motor
carriers that operate in multiple jurisdictions.
As addressed in this testimony, ATA supports background checks of
individuals in the trucking industry. However, ATA opposes the wasteful
expenditure of resources--both Government and private sector--that
comes with conducting multiple background checks of the same individual
against the same databases. Even with the very high cost of the TWIC,
at $132.50, it is a more cost-efficient scenario rather than paying
multiple fees and undergoing multiple enrollment and fingerprinting
processes. The trucking industry simply asks that these costs be
reasonable and part of an efficient, risk-based process. ATA supports
an approach that is good for security--and good for commerce.
Again, I thank you for inviting me to come here today and share
some thoughts on the TWIC program, and I look forward to answering any
questions you may have.
Ms. Sanchez. Thank you, Mr. Byrd. I appreciate your
testimony.
Now we have Mr. Golding for 5 minutes or less.
STATEMENT OF STEVE GOLDING, PRESIDENT, GOLDING BARGE LINE
Mr. Golding. Good morning, Madam Chairman. My name is Steve
Golding. I am President of Golding Barge Line in Vicksburg,
Mississippi. I am here representing the American Waterways
Operators. We are a national trade association of the tugboat
and barge industry in our country.
My business is a family-owned business. I would like to
take this opportunity, if I could, to introduce my wife, Melody
Golding, and my son, Austin Golding. I am proud to say as a
side note the photographs on the wall here were taken by Melody
Golding of the Hurricane Katrina devastation to the Mississippi
Gulf Coast, and they are on loan to the committee.
The main theme of my testimony is reducing the burden on
the inland mariner so that TWIC does not become a roadblock or
barrier to entry in our industry. Presently, we have a 30-day
interim work authority, and this doesn't match up with our work
schedule. When we hire our mariners, they go to the TWIC
center. Then within 5, 10, no more than 15 days, we dispatch
them to a vessel; and they are required to ride 28 days on
board. So, as you can see, the 30-day interim work period is
going to come up while they are on board. When they are on
board, they are perhaps 100, maybe 1,000 miles away from the
TWIC center; and they can't get off to go get the TWIC card.
We are allowed to apply for a waiver to 60 days with the
Coast Guard. I can see that under present system we will
constantly be applying for a 60-day waiver on our new hires. I
urgently request that this committee ask the Coast Guard to
grant us a 60-day blanket waiver so that we can put our crewmen
on board and they can work their normal hitch and then get
their TWIC card on their 14 days off.
The other item I want to mention is the second trip back to
the center. This time is very, very precious to our crewmen.
They work 28 days on, 14 days off. Oftentimes, they have to
drive 3 hours to a center, spend 2 hours to maybe get the TWIC
card, 3 hours back home. As you can see, that is a full day out
of a 14-day period that they have off. Oftentimes, they are not
successful in getting their TWIC card so that it requires a
third trip back.
I would think in today's technology that there could be a
secure way that we could facilitate getting these cards in the
hands of the mariner without requiring a second trip back. We
do it with passports. I don't see why we can't do it with a
TWIC card.
Post-April 15 concerns. We don't want to see the models
shrink. We don't want to see it contract. We want to see other
venues that we can get TWIC cards. I don't like asking my crew
members to drive 3 and 4 and 5 hours to get a TWIC card. I
would love to send them to the post office or the airport or
other Government Coast Guard offices, not make it a burden on
the working people of America to move our commerce but to
facilitate it so that it is easier in the future that our
crewmen can receive their TWIC credentials.
The last item I want to mention is card readers. I really
feel like this is an instrument that is more designed for a
busy, busy port facility.
We have six crew members on our boats. Every 14 days, three
get on, three get off. They are like a family. They spend 8
months of the year together on board. They spend 4 months of
the year home. They are together as a family unit more on the
boat than they are at home with their own family. They really
laugh at the idea that I may have to put a machine on board
that they would key in to come home.
This is their home. They eat together, sleep together, work
together. Most of them are kin to each other or close personal
friends. I don't think a card reader is designed for a small
inland towboat that doesn't interact with other communities and
stays as a self-contained unit as it moves up and down our
inland waterways moving our freight.
I really appreciate the opportunity to be here. This is my
first experience doing this, and it is a real honor, and I
appreciate your leadership and your guidance. Thank you.
[The statement of Mr. Golding follows:]
Prepared Statement of Steve Golding
September 17, 2008
Good morning, Madam Chairman. I am Steve Golding, President of
Golding Barge Line, headquartered in Vicksburg, Mississippi. I am
testifying this morning on behalf of The American Waterways Operators
(AWO), the national trade association for the tugboat, towboat, and
barge industry. Thank you for the opportunity to be here today and to
share with you our concerns about the Transportation Worker
Identification Credential (TWIC) program.
Our fundamental message is this: Congress, the Department of
Homeland Security, and industry must work together to implement the
TWIC program in a way that ensures high standards of maritime security
without driving new employees away from our industry, imposing
unreasonable burdens on those currently working in this business, and
saddling American companies with costly requirements that add little
practical security value. We understand that TWIC is the law, and we
are doing everything we can to ensure that we are prepared to comply
fully by the April 15, 2009 deadline. However, there are significant
challenges ahead, and we will need the leadership and oversight of this
committee to meet them. This is not a Democratic or a Republican issue,
a labor issue or a management issue; it is an issue for all of us who
care about the health of our Nation's maritime transportation system
and the men and women who make their living in it.
Our concerns fall into three categories: (1) Reducing burdens on
mariners and ensuring that the TWIC program does not become a barrier
to entry into our industry; (2) ensuring TWIC compliance by the
regulatory deadlines--and taking steps now to meet the challenges of
the post-April 15 period; and (3) ensuring that electronic card readers
are not required on vessels with small crews, such as towing vessels.
I will discuss each of these concerns briefly, but first, let me
say a few words about my company and about our industry to give you
some context for our perspective. Golding Barge Line is a family-owned
company that specializes in the movement of refined petroleum products,
petrochemicals, and chemical products throughout the U.S. inland
waterway system. I have been in the barge business for more than 40
years, and it is truly a labor of love for me. We are blessed with an
extremely dedicated and loyal team of employees, and my wife Melody and
son Austin are both here with me today. We are passionate about our
people and the work we do together. The safety and security of our
employees are our paramount concerns.
Golding Barge Line is a proud member of The American Waterways
Operators, the national trade association for the tugboat, towboat, and
barge industry. AWO's 350 member companies span the spectrum from
medium-sized family owned companies like mine, to the largest publicly
traded companies in our business, to small but vital one- and two-boat
operations. Our industry is the largest segment of the U.S.-flag
domestic fleet, operating nearly 4,000 tugboats and towboats and over
27,000 dry and liquid cargo barges on the inland rivers, on the
Atlantic, Pacific and Gulf coasts, on the Great Lakes, and in ports and
harbors around the country. Barges and towboats are a vital part of
America's transportation system, safely and efficiently moving over 800
million tons of cargo each year in the domestic commerce of the United
States. Our industry employs more than 30,000 American mariners as
crewmembers on our vessels, providing good, family wage jobs with
excellent opportunity for career advancement.
Our industry is serious about security. Less than 2 months after 9/
11, we began working with the Coast Guard and the Army Corps of
Engineers to develop a Model Vessel Security Plan for towing vessels, a
year before such plans were required by the Maritime Transportation
Security Act (MTSA) of 2002. When MTSA became law in November 2002, AWO
worked with the Coast Guard to transform the Model Vessel Security Plan
into one of the first Alternative Security Programs approved by the
Coast Guard. We work hard to transport our Nation's cargo safely and
securely, and we take pride in the fact that our American-owned,
American-crewed, American-built vessels are the ``eyes and ears on the
waterways'' for the Coast Guard. But, we are deeply concerned by the
burdens the TWIC program continues to impose on American workers and
American companies. Let me elaborate on those concerns briefly.
barrier to entry/burden on mariners
The process of applying for a TWIC is expensive and time-consuming.
When the process works as intended, it requires an applicant to make
two trips to an enrollment center that may be located many hours away--
one trip to apply for the card, and a second trip to pick it up. (And,
that's when the process works as intended. Unfortunately, it is not
unusual for an individual to have to make multiple trips to an
enrollment center because something did not work as it should have:
trouble with the fingerprint matching process, for example, or a
missing card despite an email notification that the card was ready for
pickup.) Our industry--and my home State of Mississippi--cannot afford
to see that burdensome process deter individuals from entering this
industry and missing out on the solid wages and potential for
advancement that the industry offers.
We had originally sought to address this concern by proposing a
modification to the interim work authority provision included in the
January 2007 Department of Homeland Security final rule that would have
allowed for 60 days of interim work authority after an electronically
initiated background check. We were disappointed that the
administration staunchly opposed such a provision.
But, AWO members are businesspeople and we take a practical
approach to solving problems. Over the last 6 months, we have tried to
find other means of achieving the same goal--to ensure high standards
of security while reducing the burdens the TWIC program places on
mariners. I am pleased to tell you that we have had some success in
doing that. We are currently working with the Coast Guard on amendments
to the AWO Alternative Security Program that clarify what it means to
``monitor'' a new hire who has not yet received his or her TWIC. We are
working with Lockheed Martin to help companies who can afford to do so
enter into ``trusted agent'' agreements that will allow them to operate
TWIC enrollment centers on their premises. These are small steps, but,
combined with other common-sense changes to the program, they will help
to make the program more workable for companies and mariners.
There are two outstanding issues that we have raised with TSA and
the Coast Guard on which we believe Congressional help is needed to
stimulate further progress.
First, under the current DHS regulations, an applicant who
completes the TWIC enrollment process and satisfies other prescribed
conditions is eligible for 30 days of interim work authority. With the
approval of the Coast Guard Captain of the Port (COTP), this interim
work authority period may be extended to 60 days if TSA has not issued
the applicant his or her TWIC at the end of the initial 30-day period.
We have urged the Coast Guard to extend this interim work authority
period to a uniform 60 days, without requiring an applicant to seek
approval from the COTP.
We believe this change is necessary not only because of industry
experience with the TWIC enrollment process (unfortunately, card
processing times extending well beyond 30 days are the norm, not the
exception), but also because work schedules in our industry do not mesh
well with a 30-day interim work authority period. Many crewmembers in
our industry work schedules such as 28 days on/28 days off, 28 days on/
14 days off, or 30 days on/15 days off. Under the rules as currently
written, a new hire is likely to be in the midst of his or her first
trip on a boat when the 30-day interim work authority period expires.
Companies will routinely be required to request an extension of the
interim work authority period in order to allow the individual to
complete the trip (even if the TWIC has been processed and is ready for
pickup in less than 30 days). Granting an automatic 60 days of interim
work authority to new hires who meet the criteria prescribed by the
current regulations will allow a new employee time to complete his or
her initial trip, pick up the TWIC during his or her time off, and then
return to the vessel for the next hitch with TWIC in hand. We see this
as a common-sense change that will eliminate unnecessary burdens on
companies, mariners, and Coast Guard Captains of the Port, without
jeopardizing maritime security in any way. The Coast Guard has the
authority to make such a change, and we respectfully request that the
subcommittee urge the agency to take this action now.
Second--we talk plainly in Mississippi, so let me say this
plainly--it just doesn't seem right to us that a mariner should be
required to make a second trip to the TWIC enrollment center for the
purpose of picking up his or her TWIC, when passports and other secure
documents (such as Merchant Mariner's Documents) can be mailed back to
the holder. This ``second trip'' requirement doubles the burden on the
applicant, and doubles the number of customers that enrollment center
personnel have to deal with. (It's worth noting, too, that mariners who
are required to carry Coast Guard licenses or MMDs are actually forced
to make three trips--one to a Coast Guard Regional Exam Center to be
fingerprinted for their license or document, and two to the TWIC
enrollment center. It is just plain wrong that two agencies operating
under the same Federal department have not figured out a way to work
together to consolidate this process and save hard-working mariners an
extra trip.) When a TWIC costs $132.50 and gas costs $3.50 a gallon,
American companies and American mariners deserve a more efficient
process that is respectful of their time and their money. We urge this
subcommittee to make clear its expectation that DHS find a way to
eliminate the requirement that applicants make a second trip to the
enrollment center for the purpose of picking up their TWIC.
implementation schedule
Despite the considerable burdens that the TWIC program places on
companies and mariners, our industry is committed to complying with the
law and doing everything we can to ensure that our people are ready to
work, TWIC in hand, by April 15, 2009. We appreciated DHS's realization
that the September 25 deadline was not achievable and its extension of
that deadline by 7 months to compensate for delays in initiating the
enrollment process. We are not here today to request another extension,
but we still have grave concerns about the ability of this very
imperfect system to accommodate all applicants required to have a TWIC
by April 15. We urge you to exercise your very important oversight
function to ensure that we do not find ourselves in a ``train wreck''
situation next April. The stakes for our Nation's commerce are simply
too high.
We ask, too, that you pay close attention to the rolling
implementation dates for TWIC compliance at facilities as they begin to
unfold this fall. We have seen little evidence of pre-planning and
consultation with stakeholders prior to the announcement of those
deadlines, and this troubles us greatly. We simply do not know whether
the port-by-port compliance targets set by the Coast Guard are
achievable.
We must also be mindful that the challenges will not go away after
April 15, 2009; new applicants will walk through our industry's doors
on a daily basis and will require a TWIC in order to make a living in
this industry. We have received mixed messages from TSA over the past 9
months about how the agency will ensure that sufficient Nation-wide
coverage continues to exist to make it as easy--and I use that word
guardedly--to get a TWIC in the spring of 2010 as in the fall of 2008.
While we were originally told that the number of fixed enrollment
centers would be consolidated after April 15, we are now told that all
existing enrollment centers will remain open, albeit perhaps with
reduced hours. While we do not doubt the good faith of those who have
made such promises, we are skeptical, as business people, that the
``business case'' will continue to exist to support indefinitely all of
the centers that now exist. This will be a huge problem for the young
person in Vicksburg or Paducah who finds him- or herself without a
nearby enrollment center and forced to travel to another State to apply
for a TWIC. We believe the solution is to look beyond the business
model of stand-alone enrollment centers and expand the venues where
TWIC enrollment can take place, from post offices to airports to
Departments of Motor Vehicles. We thank this subcommittee for including
provisions in the Coast Guard authorization bill that require DHS to
begin exploring this possibility, and we urge you to exercise your
oversight responsibility to see that this examination takes place
promptly and seriously. The time to begin thinking about the
sustainment phase of the TWIC program is now.
card readers
In May 2006, DHS published a sweeping proposal to require
electronic TWIC readers on all vessels subject to the MTSA security
plan requirements. The Department subsequently announced its decision
to rethink the card reader requirements and publish a separate notice
of proposed rulemaking (NPRM) on this topic. We see no added security
value in having card readers on vessels with small crews, such as
towing vessels. The card reader requirement was conceived with the
scenario of a busy public port in mind, with hundreds of longshoremen,
truckers, and other personnel pouring through the gates at shift
change. While we can see the value of an electronic reader under those
circumstances, the situation on a towing vessel is much different.
Typical crew sizes on a towing vessel range from 3 to 10, depending on
the type of operation; there are never more than a few crewmembers
seeking access to a vessel at any given time. We see no value to a card
reader in such circumstances.
The SAFE Port Act gives DHS the authority to limit the card reader
requirement to vessels with more than a threshold number of
crewmembers, to be determined by the Department. The congressionally
established Towing Safety Advisory Committee (TSAC), a Federal advisory
committee to the Coast Guard, last year recommended that card readers
not be required on vessels with 14 or fewer crewmembers. We support
that recommendation and urge this subcommittee to make clear to the
agencies that Congress does not support a requirement for card readers
where they will not meaningfully improve maritime security. We also
urge that publication of the card reader NPRM not proceed until the
results of the congressionally mandated reader pilot program (in which
AWO member Magnolia Marine Transport Company is participating) are
available. Publishing the NPRM without waiting for the results of the
pilot program would be premature at best.
conclusion
Madam Chairman and Chairman Thompson, thank you for the opportunity
to testify today. Thank you for listening to our industry's concerns
and for your leadership and oversight in helping to resolve them. We
are grateful for your work to resolve the serious problems that have
plagued the TWIC Help Desk and for the efforts of your staff to
intercede directly with TWIC applicants who fear they have become lost
in a faceless, bureaucratic system. We urge you to continue to exercise
your oversight and leadership to ensure that we achieve the TWIC
program's goal of enhanced maritime security without jeopardizing the
efficiency of our Nation's transportation system or imposing
unsustainable burdens on hard-working American mariners.
Thank you.
Ms. Sanchez. Thank you, Mr. Golding, for being here today.
We appreciate it.
Now I will recognize Ms. Moskowitz for her 5 minutes or
less.
STATEMENT OF LAURA MOSKOWITZ, STAFF ATTORNEY, NATIONAL
EMPLOYMENT LAW PROJECT (NELP)
Ms. Moskowitz. Chairwoman Sanchez, thank you for this
opportunity to testify on the status of the TWIC program.
My name is Laura Moskowitz, and I am a staff attorney with
the National Employment Law Project. As part of our work to
improve the fairness of employment background checks, we have
been closely monitoring the TWIC program. We are especially
concerned that workers know about and access their TWIC waiver
and appeal rights so that they don't unfairly lose their jobs
when they are clearly not a terrorism security risk.
We work closely with the transportation unions to help port
workers navigate the TSA background checks, and we have helped
over 100 workers to successfully file appeals and waivers after
they have been denied by TSA. Our written testimony includes
several recommendations based on our experiences. I am going to
address two today.
First, it is clear that TSA and Lockheed Martin need to
take serious steps to bring the program into compliance with
the Maritime Transportation Security Act's requirements for
screening TWIC applicants, and this should happen before
workers fall through the cracks of the program with only 6
months left until the compliance deadline.
TSA has erroneously denied thousands of applicants because
the agency's review process relies solely on the FBI rap sheets
which are notoriously incomplete. The U.S. Attorney General
says that the FBI rap sheets are missing final disposition
information in 50 percent of all the cases. Most of that is
because the arrest information is not updated by the States to
reflect whether an arrest has been dismissed or successfully
prosecuted.
The FBI's rap sheets also routinely fail to list whether an
offense is a felony or a misdemeanor, and this critical
information that TSA needs to know in order to determine
whether an offense is disqualifying.
Rather than track down the correct information required by
the maritime law, like whether the person was actually
convicted of a felony within the 7-year period, TSA now issues
a denial requiring the worker to appeal their case. It is a
guilty-until-proven-innocent model that sends a message that
workers with a criminal record are not going to get a TWIC.
For example, take the case of Jeffrey Carmichael, a
longshore worker from southern California who was recently
denied based on a misdemeanor marijuana sales conviction, even
though the law is clear that only felonies are disqualifying.
Like thousands of people, his FBI rap sheet did not reflect
whether this offense was a felony or a misdemeanor. So, based
on TSA's current policy, he was denied his TWIC, which means
that he then had to travel to the courthouse, obtain
documentation from the clerk's office showing that this was a
misdemeanor, not a felony, and submit this information to TSA
to appeal his denial.
To TSA's credit, 99 percent of those who manage to appeal
their cases end up qualifying for the TWIC. This just goes to
show the serious problem with the FBI's records. Thousands more
who have been denied have not filed appeals, and most of these
workers should never have been denied in the first place if TSA
was doing even the minimum to track down the missing
information from the FBI rap sheets, like the FBI does, for
example, in the case of Federal gun checks under the Brady law,
where they are able to track down 65 percent of the missing
information within 3 business days.
It is not rocket science to fix this problem. Starting
right away, TSA should prioritize the old arrests that are
still showing up on FBI rap sheets to find out that missing
disposition information; and they can prioritize drug and
weapons offenses that often result in misdemeanor rather than
felony convictions. This can be as easy as looking at the State
records that are available publicly on-line or by picking up
the phone and calling the local courthouse.
Our second main concern is that TSA and Lockheed Martin
have failed to comply with the safeguards required by the civil
rights laws to ensure that thousands of port workers who don't
speak English as a first language can fairly access the TWIC.
The Chairwoman recognized this in her opening statement.
Again, TSA and Lockheed Martin have cut corners and shifted
the burden to workers to address this serious problem, rather
than developing an effective agency response. Their policy now
is to allow workers to bring family and friends to help
translate, which contradicts the Department of Justice's
guidelines that talk about how highly personal and technical
information, the kind that is solicited during the TWIC
enrollment process, should only be handled by qualified and
experienced translators, not family and friends. Like other
Federal programs, TSA and Lockheed Martin should be providing
interpretation services in the enrollment centers and the help
desk; and they should translate important documents like the
denial letter with its critical appeal and waiver right
information.
In the written statement today, Lockheed Martin claims to
be providing translators, but we have seen no evidence of this,
certainly not of trained staff deployed to specific ports most
in need.
We also commend TSA for finally translating the disclosure
form into 12 languages, but this is simply not enough.
It is not too late for TSA and Lockheed Martin to make
these and other critical changes we described in our written
testimony. These reforms will go a long way to improve the
fairness of the process and enrollment in the program before
the April deadline. Thank you.
[The statement of Ms. Moskowitz follows:]
Prepared Statement of Laura Moskowitz
September 17, 2008
Chairwoman Sanchez and Members of the committee, thank you for this
opportunity to testify on the status of the Transportation Worker
Identification Credential (TWIC).
My name is Laura Moskowitz, and I am a Staff Attorney at the
National Employment Law Project (NELP), a non-profit research and
advocacy organization that promotes a more fair and effective system of
employment screening for criminal records. As part of our work to
improve the fairness and accuracy of employee background checks, we
have focused specifically on the TWIC program and its security threat
assessment, especially the critical waiver and appeal procedures.
Over the past year, NELP has helped over 100 TWIC applicants file
appeals and seek waivers after being initially denied by the
Transportation Security Administration (TSA), and has spoken with
hundreds of workers going through the TWIC application process. We have
worked closely with the transportation unions to provide information
and assistance about the TWIC application, appeal, and waiver process,
and have conducted TWIC information sessions for longshore workers and
port truck drivers across the country. We have visited the Lockheed
Martin enrollment centers, worked closely with TSA program and
adjudication staff, and participate in the TSA TWIC Stakeholder
Communications Committee meetings. Our ``Know Your Rights'' TWIC
materials are also featured on TSA's TWIC web site.
As the TWIC program nears its 1-year mark next month and the final
compliance date is only 6 months away, it is not too late for TSA and
Lockheed Martin to prioritize some key fixes that will become critical
as the compliance date nears and the number of applications grows. Our
testimony focuses on the following major problems facing TWIC
applicants and key recommendations for improvement.
Poor outreach and communication by TSA and Lockheed Martin
have resulted in workers failing to apply for TWICs, including
large numbers of eligible workers with criminal records, which
has contributed to low enrollment. To maximize enrollment on
the part of eligible workers, TSA and Lockheed Martin should
specifically tailor communications for workers with criminal
records, explain what the disqualifications are, assure workers
with criminal records that they qualify, and encourage them to
utilize the TWIC waiver process.
Due to inadequate screening, TSA is disqualifying large
numbers of workers whose criminal records do not make them
ineligible, in violation of the standards under the Maritime
Transportation Security Act (MTSA). Before issuing an initial
denial, TSA should marshal its resources to track down missing
information that is critical to the determination that someone
has a disqualifying felony conviction.
TSA is denying TWICs to large numbers of foreign-born U.S.
citizens and other qualified workers due to poor training by
Lockheed Martin of its ``Trusted Agents'' and poor
communication with applicants regarding necessary citizenship
and immigration documents. Lockheed Martin must more
effectively train its Trusted Agents to accept the necessary
documents during enrollment, and TSA must take far more
proactive steps to ensure that documents needed by foreign-born
applicants are brought to the enrollment center and sent to
TSA.
TSA and Lockheed Martin have not provided language-
appropriate services to the ports' diverse immigrant work
force, thus hindering their ability to obtain TWICs. TSA and
Lockheed Martin should make translations of vital documents
available and hire bilingual staff or use a language
interpretation telephone service at the enrollment centers and
Help Desk.
NELP submitted testimony before the full Homeland Security
Committee last October which featured many of the same recommendations,
yet these problems have only become more apparent over the past year.
i. the basics of the twic background check process
By way of background, we describe below the TWIC security threat
assessment process. We also note specific points where problems have
been identified by NELP, the National Maritime Security Advisory
Committee (NMSAC), and many of the transportation unions, before
describing in more detail our primary concerns with the TWIC process.
The Federal law sets forth specific TWIC disqualifying offenses,
which include especially serious ``permanent'' disqualifying offenses
(like espionage and treason) and more common ``interim'' disqualifying
crimes (like drug dealing and weapons possession). Both categories are
limited to felony convictions, not misdemeanors, and the ``interim''
disqualifications apply to offenses that date back 7 years from the
date of the application, or 5 years from when the individual was
released from incarceration (whichever is the more recent event).
1. TWIC Pre-Enrollment.--TSA created an optional pre-enrollment
process which allows the worker to enter his or her basic biographical
information with TSA before enrolling in-person at an enrollment
center. The pre-enrollment process is intended to help save time by
providing the individual with an appointment for the in-person
enrollment, but the complicated process for setting up a password on-
line has proven difficult for many applicants.
2. Enrollment at Designated Locations.--During enrollment, all
information relevant to TWIC eligibility is supposed to be collected,
including the fingerprints required to generate an FBI rap sheet and
documents pertaining to citizenship and immigration status. In
practice, there have been widespread problems with fingerprints being
rejected and necessary documents not being collected for transmission
to TSA.
3. Threat Assessment Determination.--Based on the background
information provided by the applicants and the resulting search of the
various criminal record, terrorist watch-list and immigration status
databases, TSA will issue an initial threat assessment determination.
According to TSA, a web-based system first ``scores'' the application.
Then, the case is reviewed by at least four adjudicators (first two
contractors, then two TSA staff), resulting in the threat assessment
determination.
a. TWIC Approved and Card Production.--If TSA fails to identify any
disqualifying information, the individual is notified that he or she
qualifies for a TWIC, and card production begins. Lockheed Martin's
backlog in card production currently means that an applicant waits 6 to
8 weeks after approval before being notified by the enrollment center
that the card is ready to be picked up. There have been myriad problems
with card pick-up and activation, as described in detail in the July
2008 NMSAC report.\1\
---------------------------------------------------------------------------
\1\ National Maritime Security Advisory Committee (NMSAC), TWIC
Working Group, ``Discussion Items'' Report (July 30, 2008), at page 8.
---------------------------------------------------------------------------
b. Initial Denials Subject to ``Appeal''.--When TSA determines that
the individual has or may have committed a disqualifying offense, or
when TSA cannot confirm citizenship/immigration status, the applicant
receives an initial denial letter. If the information reported by TSA
is incorrect and the individual is TWIC-eligible, the individual can
``appeal'' the case within 60 days by providing the official court or
citizenship/immigration documentation to correct the information.
c. Initial Denials Subject to ``Waiver''.--If the individual has a
disqualifying criminal offense, then he or she can seek a ``waiver'' of
the disqualification based on evidence of rehabilitation, a solid work
history and other relevant factors. Selected ``permanent''
disqualifying offenses are not subject to the waiver process.\2\ If the
waiver request is denied by TSA, the worker has the right to review of
the decision by an administrative law judge.
---------------------------------------------------------------------------
\2\ The offenses not subject to waiver include espionage, sedition,
treason, terrorism, or conspiracy to commit these crimes. (49 C.F.R.
1515.7, 1515.103(a)(1)-(4)). All the other ``permanent'' disqualifying
offenses are waivable.
---------------------------------------------------------------------------
ii. due to poor outreach and communication by tsa and lockheed martin,
workers are failing to apply for a twic, including large numbers of
eligible workers with criminal records
``Some individuals are told [by the TWIC Program Help Desk] that if
they have a permanent disqualifying offense on their records, they
cannot obtain TWICs.''--National Maritime Security Advisory Committee,
TWIC Working Group Discussion Items Report (July 30, 2008).
``Everyone down on the docks is saying if you have a criminal record,
don't even bother trying to apply for a TWIC.''--Statement recently
made by a longshore worker from Philadelphia helped by NELP to obtain a
waiver of a disqualifying offense.
As the above statements show, misinformation and inaccurate rumors
abound about the TWIC eligibility requirements. We have heard time and
time again from workers who believe that if they have had any brush
with the law, they need not apply for a TWIC. Many of them only have
misdemeanors, which are not disqualifying. Many of them have
convictions that are 20 or 30 years old and are no longer
disqualifying. Many of them do have disqualifying offenses, but they do
not realize that they can apply for a waiver and still obtain their
TWIC card. All are afraid to apply and often seriously consider looking
for work in other industries.
Based on our experience, it is clear that much of this confusion
and fear is due to TSA and Lockheed Martin's failure to get the word
out about the types of disqualifying offenses and the possibility of
obtaining a waiver of these disqualifying crimes. When we asked
Lockheed Martin representatives at the enrollment centers whether they
discussed the waiver with applicants who indicated that they had
disqualifying crimes, they responded that they did not. We have seen
only one TSA flyer that addresses the disqualifying criminal offenses,
and it conspicuously fails to emphasize the waiver process.
As NMSAC recently noted, ``[o]ther than providing updates on when
enrollment is beginning in certain ports, the [TWIC] communications
team is not particularly visible.''\3\ Last week, for the first time,
we saw two slides in a Lockheed Martin/Deloitte compliance presentation
that encouraged workers with criminal records to apply and use the
waiver process. However, to our knowledge, that material has not made
its way to workers on the front lines.
---------------------------------------------------------------------------
\3\ NMSAC ``Discussion Items'' Report, at page 2.
---------------------------------------------------------------------------
These workers with records have often worked for decades at the
port, along with generations of their family members, and they are the
least likely to do anything that would risk the safety and security of
the port and their livelihood. If they do not access the waiver
process, the Nation's ports risk losing some of their most experienced
and dedicated workers, and the workers risk losing some of the few good
jobs available for workers with criminal records.
To its credit, TSA has granted almost all of the waiver requests it
has received, thus proving the indispensable value of the waiver
process. We believe that TSA is thoroughly and fairly considering these
waiver applications. However, we are concerned that the total number of
waivers sought (809 as of September 5, 2008) is quite low compared to
the likely number of workers who have waivable disqualifying offenses
out of the estimated 1.5 million workers who will be screened by TSA.
Recommendation: TSA and Lockheed Martin should specifically tailor
communications for workers with criminal records, explain what
the disqualifications are, assure workers with criminal records
that they qualify for TWICs, and encourage them to utilize the
waiver process.
Promotion of the waiver process will increase enrollment by those
who fear applying and thus postpone it as long as possible or seek work
in other industries. In addition, providing basic information about the
disqualifying offenses will encourage workers with non-disqualifying
prior records to come forward and apply. The more workers see that
their colleagues at the ports with criminal records are successfully
obtaining TWICs, the more they will apply. To improve enrollment, there
is simply no substitute for aggressive and smart outreach, prioritizing
the large ports where a significant number of applicants has still not
applied. TSA and Lockheed Martin should distribute a ``know your
rights'' fact sheet that specifically describes the disqualifying
criminal offenses, the waiver process, and the key considerations that
argue in favor of a waiver. Facility and vessel owner-operators should
be provided with these outreach materials as well. The current outreach
teams should also engage local employers and media in targeted
communities to help get the word out. TSA should also urge the ports to
partner with local unions and non-profit organizations that can help
deserving workers prepare the TSA waiver application.
iii. due to inadequate screening, tsa is disqualifying large numbers of
workers whose criminal records do not make them ineligible for twics,
in violation of the standards under the maritime transportation
security act (mtsa)
Unfortunately, after applicants with criminal records make it
through the enrollment process, they still often face an uphill battle
to obtain their TWICs because TSA's flawed screening procedures
routinely result in erroneous denials of eligible workers. TSA's
cursory criminal history record review, which is limited to whatever
appears on the face of an applicant's FBI rap sheet, is not--as the law
requires--a true screening for disqualifying felony convictions.
For example, a longshore worker from Southern California was
recently denied due to a misdemeanor marijuana sales conviction. As is
commonly the case, the FBI rap sheet TSA used to make its determination
did not indicate whether this was a felony or misdemeanor. Rather than
taking steps to determine the degree of the offense by contacting the
State repository or local courthouse, TSA issued an initial denial. The
applicant then had to take off time from work, travel to the
courthouse, and obtain documentation from the clerk's office showing
that this was a misdemeanor in order to successfully appeal his denial.
As this example demonstrates, the FBI's rap sheets routinely lack
the critical information TSA needs by law to determine whether the
applicant has actually been convicted of a felony that meets the
definition of one of the disqualifying offenses, within the requisite
time period, and whether the person was released from incarceration
more than 5 years before applying. The flawed screening procedures set
up by TSA put the burden on applicants, thousands of whom are denied
even though they are actually eligible, forcing them to take time off
work, travel to courthouses, pay to obtain copies of official
documentation, and submit appeals to prove eligibility. The emotional
toll on workers is also significant; our clients who have been denied
suffer from worry, stress, and nightmares as they and their families
contemplate the loss of this job. The 99 percent success rate of
appeals based on criminal history information shows that TSA's initial
threat assessments are disqualifying an unacceptably high number of
qualified applicants.\4\
---------------------------------------------------------------------------
\4\ Under the hazmat program, which requires the same background
check as TWIC, literally 99 percent of the appeals filed were
successful as of October 2007. One-third of the over 10,000 successful
hazmat appeals were related to incorrect criminal records and the other
two-thirds were attributed to immigration status issues. We have heard
unofficially from TSA that under the TWIC program, the large majority
of appeals continue to be immigration-related, and that the success
rates on appeal continue to be in the 99 percent range.
---------------------------------------------------------------------------
Not only is the burden on the worker to fill the gaps in the FBI's
rap sheets, but far too many innocent workers fall through the cracks
of the system, either because they do not understand what they need to
do to prove their eligibility, they cannot afford to take time off work
and track down the official court records they need to appeal their
denials, or they think it is not worth the effort because they are
convinced they will be denied by TSA. Indeed, almost 2,000 workers who
received initial denials have simply not responded, thereby timing out
and losing their opportunity to obtain a TWIC card and keep their jobs.
More specifically, we have identified the following problems that
routinely result in erroneous denials:
Incomplete State Arrest Records.--Of special concern to TWIC
applicants, the FBI rap sheets are routinely incomplete. According to
the U.S. Attorney General, the FBI's rap sheets relied upon exclusively
by TSA are ``still missing final disposition information for
approximately 50 percent of its records.''\5\ Mostly, this includes
arrest information that is never updated electronically by the States
to reflect whether the charges have been dropped, dismissed, or
successfully prosecuted. Regardless of the law's requirement that
workers be disqualified only for convictions or outstanding charges
open for prosecution, it is TSA's policy (49 C.F.R. Section
1572.103(d)) to automatically deny the TWIC to all those whose arrest
information has not been updated unless official court documentation of
the disposition is provided by the applicant within 60 days.
---------------------------------------------------------------------------
\5\ U.S. Attorney General, The Attorney General's Report on
Criminal History Background Checks (June 2006), at page 3 (available at
http://www.usdoj.gov/olp/ag_bgchecks_report.pdf).
---------------------------------------------------------------------------
In 15 States (out of 39 that reported data in response to a
national survey), more than one-third of the arrests in the past 5
years have no final dispositions reported in the State criminal record
repository, which means that the FBI's records are similarly incomplete
for those States.\6\ That includes large port States like Florida,
where 40 percent of the arrests in the State's system do not include
the final disposition. Only nine States have more than 90 percent of
the arrests in their databases updated to reflect the final outcome of
the case.
---------------------------------------------------------------------------
\6\ Bureau of Justice Statistics, Survey of State Criminal History
Information Systems, 2003 (2006), at Table 1.
---------------------------------------------------------------------------
Early Incarceration Release Dates.--Under the MTSA, workers may not
be denied a TWIC based on an interim disqualifying offense that took
place more than 7 years before the application or more than 5 years
since the individual was released from incarceration. However, many
States do not report the date when the individual was actually released
from incarceration, thus that information does not appear on the FBI's
rap sheet. As a result, large numbers of workers who have been released
for good behavior before their minimum sentence expired are incorrectly
denied because TSA believes they have been incarcerated within the 5-
year period based on the original sentence entered on the rap sheet.
Incomplete Information on Expungements and Convictions Overturned
on Appeal.--The FBI rap sheets frequently fail to include subsequent
events beyond the initial arrest and/or conviction that affect
applicants' eligibility, such as the expungement of a conviction or the
reversal of a conviction on appeal.
Non-Felony Offenses.--In addition, as discussed in the example, the
FBI's rap sheets often do not distinguish between felonies,
misdemeanors, and lesser categories of offenses, which is significant
because the TWIC disqualifying offenses are expressly limited to
felonies. Instead, the FBI rap sheet generally reports the offense
without characterizing the severity of the crime.
Rap Sheet Items That Trigger Initial Denials But Are Not Actually
Charges or Convictions.--Entries appear on the FBI rap sheet each time
an individual is fingerprinted for a criminal justice purpose and that
fingerprint is submitted to the FBI. This includes temporary detention
of individuals crossing the border who are questioned by Immigration
and Customs Enforcement officers, as well as fingerprinting done by
correctional institutions when the person enters custody. These items
often show up as open, pending charges on FBI rap sheets, triggering an
initial denial and causing the worker to demonstrate that there was no
criminal prosecution associated with the entry.
Recommendation: Before issuing an initial denial, TSA should marshal
its resources to track down missing information that is
critical to the determination that someone has a disqualifying
felony conviction.
TSA and its contractors should take several significant steps to
produce a determination that is based on accurate information and in
compliance with the MTSA standards.
a. Track Down Missing Arrest Dispositions.--In order to correct the
serious contravention of the law's requirement that only convictions
and charges that are genuinely open for prosecution are disqualifying,
TSA should prioritize tracking down missing dispositions for old
arrests before issuing an initial denial. For example, any case that
has been pending in the court system for more than 1 or 2 years without
a disposition is far more likely to have been dismissed.
As is the practice of the FBI in reviewing gun checks under the
Brady Act, TSA should designate staff to locate missing disposition
information.\7\ For the Federal gun checks required by the Brady Act,
the FBI is able to track down 65 percent of the missing dispositions
within 3 days rather than simply denying the license based on old
arrest information.\8\ TSA staff is able to access state court records
to research waiver applications. Staff should similarly be directed to
investigate the dispositions of old arrests, using existing State and
local court contacts, the States' and courts' on-line criminal history
record information, or by telephoning the courts. These verification
procedures should be incorporated into the current review process,
which now includes four levels of review by TSA and contractor
adjudicators.
---------------------------------------------------------------------------
\7\ The Brady Act and implementing regulations (28 C.F.R. Part 25)
created a National Instant Criminal Background Check System (NICS), a
special unit that performs ``instant'' criminal background checks for
Federal firearms licensees. Under the law, (18 U.S.C. 922(t)(B)(ii)),
NICS is required to research the record and attempt to locate missing
disposition information within 3 business days.
\8\ The Attorney General's Report on Criminal History Background
Checks, at page 108.
---------------------------------------------------------------------------
b. Identify Misdemeanors, Non-Conviction Data, and Incarceration
Release Dates.--Again, to comply with the MTSA standards, TSA should
develop contacts with each State criminal history repository and
investigate the offense levels of potentially disqualifying criminal
offenses before issuing an initial denial. TSA should prioritize cases
like drug offenses, weapons charges, and robberies, which will
routinely result in non-felony convictions. Similarly, in all cases
where an applicant has indicated on the enrollment form that he or she
has been released from incarceration more than 5 years before the date
of the TWIC application, TSA should verify the release date with State
corrections authorities instead of simply denying the application based
on the original sentence imposed. Finally, where temporary border
detentions and entry of custody data appear on the rap sheet, TSA
should confirm whether these items were actually associated with any
type of prosecution before issuing a denial.
iv. tsa is denying large numbers of u.s. citizens and other qualified
workers due to poor training by lockheed martin of its ``trusted
agents'' and poor communication with applicants regarding necessary
citizenship and immigration documents
It has become increasingly apparent that foreign-born applicants,
including military dependents born on bases abroad and other U.S.
citizens, are being denied in large numbers even though they are TWIC-
eligible. Indeed, about two-thirds of all appeals are based on
citizenship or immigration status issues. In our experience, these
denials are due to Lockheed Martin's failure to properly train its
trusted agents to collect items that prove citizenship and immigration
status, such as U.S. passports, naturalization certificates, green
cards, visas, and employment authorization documents.
For example, two U.S. Coast Guard-licensed merchant mariners, one
born on a military base abroad and the other a naturalized U.S. citizen
originally from Poland, recently applied for their TWIC cards. They
brought their U.S. passports with them to the enrollment center, but
their passports were not collected by the Lockheed Martin trusted agent
for inclusion in the electronic package sent to TSA. Both were
subsequently denied based on TSA's failure to determine their
citizenship, even though each has maintained a U.S. Coast Guard-issued
license (which requires U.S. citizenship) and has sailed into harm's
way in support of military operations during their seagoing careers.
One is a former Navy reservist.
We have helped numerous workers from all over the country who found
themselves similarly denied after bringing these documents to the
enrollment center, only to have the trusted agents refuse to accept
them because the applicants had already submitted identity-establishing
documents such as a driver's license and social security card. When
these applications reach the TSA adjudication office they often result
in initial denials because TSA cannot complete this part of the
background check without the additional documents. The applicants must
then file an appeal and (re)submit this documentation to TSA. Large
numbers of foreign-born workers are finding themselves in this
situation, driving up the number of appeals sent to the adjudication
office and placing an unfair burden and stigma on foreign-born workers.
TSA also tells us that applicants fail to bring the necessary
documents to the enrollment centers. However, TSA and Lockheed Martin
communication materials detailing what documents are required have not
made it clear that specific documents, such as a U.S. passport or
naturalization certificate, are required, rather than optional, for
foreign-born applicants in order for TSA to conduct this part of the
background check.
Although TSA's adjudication office is quick to rectify these
situations when workers respond and provide the appropriate
documentation, it is not acceptable or proper under the law to deny at
the outset so many qualified foreign-born applicants. In addition, as
discussed in more detail below, these applicants often have the hardest
time navigating the application and appeal process due to language
barriers.
Recommendation: Lockheed Martin must more effectively train its Trusted
Agents to accept the necessary documents during enrollment, and
TSA must take more proactive steps to ensure that documents
needed by foreign-born applicants are brought to the enrollment
center and properly scanned and sent to TSA.
TSA recently tripled the number of staff handling appeals due to
the high volume of immigration appeals. We commend TSA for directing
additional staff where needed to keep the appeals moving efficiently,
and for their interest in trying to find ways to communicate better to
foreign-born applicants regarding the documents needed.
TSA should revise its materials on the documentation required for
TWIC to make clear that foreign-born applicants have different
requirements, and ensure that this information is consistently
communicated so that the information TSA needs to conduct this part of
the background check is coming in on the front end, in order to reduce
the number of denials and the burden on workers to fix these problems
on the back end. In addition, Lockheed Martin must continue to train
its trusted agents to collect the necessary citizenship and immigration
status materials.
v. tsa and lockheed martin have not provided language-appropriate
services to the ports' diverse immigrant workforce, thus hindering
their ability to obtain twics
TSA and Lockheed Martin have not complied with Federal laws
designed to provide meaningful access to the ethnically diverse TWIC
applicants whose limited-English proficiency (LEP) requires translation
and interpretive services to navigate the enrollment, appeal and waiver
processes. Indeed, the only materials available in a language other
than English are the pre-enrollment and outreach materials online in
Spanish. TSA has just translated its disclosure form into 12 languages
(it has yet to be deployed by Lockheed Martin), but no translation of
vital documents such as denial letters has been made available, nor
have any interpreters been provided to assist workers during the
enrollment process.
Today's work force employed in the Nation's ports and with the
trucking firms they do business with is more diverse than ever before,
representing large numbers of workers born in Spanish-speaking
countries (Mexico and Central America), South Asian-speaking countries
(India, Bangladesh) and Southeast Asia (Vietnam, Cambodia, Laos) in
particular. For example, consider the ethnic diversity of the West
Coast port truck drivers. In the Port of Seattle, 54 percent of the
drivers are foreign born, and 44 percent speak a language other than
English at home (most commonly Spanish, Punjabi and languages from
Ethiopia).\9\ In the Los Angeles and Long Beach ports, almost 90
percent of the truck drivers were born outside the United States,
mostly in Spanish-speaking countries.\10\ In the Port of Oakland, 93
percent of the truck drivers were born outside the United States,
typically from Southeast Asian, South Asian and Latin American
countries.\11\
---------------------------------------------------------------------------
\9\ Port Jobs, ``Big Rig, Short Haul: A Study of Port Truckers in
Seattle'' (2007), at pages 19-20 (available at http://www.portjobs.org/
bigrig_shorthaul.pdf).
\10\ Kristen Monaco & Lisa Grobar, ``A Study of Drayage at the
Ports of Los Angeles and Long Beach'' (California State University Long
Beach, December 2004), at page 15.
\11\ East Bay Alliance for a Sustainable Economy, ``Taking the Low
Road: How Independent Contracting at the Port of Oakland Endangers
Public Health, Truck Drivers, & Economic Growth'' (September 2007), at
page 25 (available at http://www.workingeastbay.org/downloads/
Coalition%20Port%20Trucking%20Report.pdf).
---------------------------------------------------------------------------
The lack of language-appropriate services has created serious
barriers for LEP applicants. For example, when the Oakland enrollment
center opened last fall, a Chinese-speaking applicant had to wait for
hours for someone to translate for him--finally, some Chinese and
English-speaking applicants arrived and helped him. In addition, an
employer from Florida who contacted NELP for assistance had to help his
Spanish-speaking drivers through the entire application, denial and
appeal process because no translation or interpretation was available.
At significant time and expense, a union in Long Beach now helps
numerous Spanish-speaking port truck drivers navigate the application,
appeal, and waiver process, particularly because so many of the drivers
there were born in Latin America and were being turned down, as
discussed in the previous section.
None of these applicants should have to rely on the goodwill of
others to help them obtain a Government license that is critical to
maintaining their livelihood. Pursuant to Executive Order 13166, each
Federal agency is required to ``prepare a plan to improve access to its
federally conducted programs and activities by eligible LEP
persons.''\12\ Unfortunately, despite reaffirmation of this Executive
Order under the current administration,\13\ the Department of Homeland
Security (DHS) has not yet prepared such a plan. While the DHS plan is
under development, the agency's activities should be in compliance with
the U.S. Department of Justice (DOJ) LEP guidance, which sets forth the
criteria by which recipients of Federal funding (such as contractor
Lockheed Martin) will be evaluated for their compliance with Title VI
of the Civil Rights Act of 1964's prohibition on national origin
discrimination.''\14\ The DOJ directive also applies the Title VI
standards to Federal agencies.''\15\
---------------------------------------------------------------------------
\12\ Executive Order 13166, ``Improving Access to Services for
Persons with Limited English Proficiency'' (August 11, 2000), at page
1.
\13\ Letter of Ralph J. Boyd, Jr., Assistant Attorney General, U.S.
Department of Justice, Civil Rights Division (July 8, 2002).
\14\ U.S. Department of Justice, ``Guidance to Federal Financial
Assistance Recipients Regarding Title VI Prohibition Against National
Origin Discrimination Affecting Limited English Proficient Persons,''
67 Fed. Reg. 41455 (June 18, 2002).
\15\ The guidance states: ``Pursuant to Executive Order 13166, the
meaningful access requirement of the Title VI regulations and the four-
factor analysis set for the in the DOJ LEP Guidance are to additionally
apply to the program and activities of Federal agencies[.]'' Id. at
41459 n.4.
---------------------------------------------------------------------------
Where, as here, there is a significant number of LEP persons whose
lives will be affected by a program, the DOJ guidance recommends
providing both oral interpretation services and written translation of
vital documents.\16\ Recognizing the impropriety of family and friends
serving as interpreters--TSA's chosen route--DOJ recommends that
competent interpreter services be provided free of charge to persons
with limited-English proficiency.\17\ According to the DOJ guidance,
``when particular languages are encountered often, hiring bilingual
staff offers one of the best, and often most economical options.''\18\
Where necessary due to more limited demand and to save costs, the DOJ
guidance also recommends contracting with professional interpreters and
using telephone interpretation lines provided by AT&T and other major
contractors.\19\
---------------------------------------------------------------------------
\16\ Id. at 41459-60.
\17\ The DOJ guidance contains an entire section on the use of
family members and friends as interpreters, cautioning that they are
often ``not competent to provide quality and accurate interpretations.
Issues of confidentiality, privacy, or conflict of interest may arise.
LEP individuals may feel uncomfortable revealing or describing
sensitive, confidential, or potentially embarrassing medical, law
enforcement . . . family, or financial information to a family member,
friend, or member of the local community.'' 67 Fed. Reg. at 41462
(emphasis added). These concerns are especially relevant to the TWIC
enrollment process, where applicants are asked for specific information
about their criminal history, immigration status, and mental health--
all of which are sensitive, confidential and potentially embarrassing
to reveal to family and friends.
\18\ 67 Fed. Reg. at 41461.
\19\ Id. at 41462.
---------------------------------------------------------------------------
With respect to written translation, the DOJ guidance recommends
that ``vital'' written material be translated where each LEP language
group constitutes 5 percent of the population served or 1,000 people,
whichever is less.\20\ Given the large numbers of foreign-born workers
employed in many of the Nation's largest ports, the TWIC materials
clearly rise to the level of DOJ's recommended thresholds for multiple
languages, not just Spanish.
---------------------------------------------------------------------------
\20\ Id. at 41463-64.
---------------------------------------------------------------------------
Recommendation: TSA and Lockheed Martin should make translations of
vital documents available and hire bilingual staff or use a
language interpretation telephone service at the enrollment
centers and Help Desk.
Oral Interpretation.--In the case of Spanish and the languages most
commonly spoken by port workers, an adequate number of staff employed
at the enrollment centers should be bilingual in those languages. In
the case of languages spoken often by workers at certain ports and not
others (including Southeast Asian and South Asian languages), Lockheed
Martin could move specialized personnel to various ports as the
enrollment process rolls out in different locations and contract with a
telephone interpretation service for less-common languages. The TWIC
Help Desk should also contract with a telephone interpretation service
so that it can adequately respond to questions from LEP applicants.
Translation of ``Vital'' TWIC Documents.--The TWIC program should
include written translation of critical documents, including the TWIC
disclosure forms (this is in progress), the form consenting to the FBI
criminal background check, and the initial denial letter, which
includes the critical description of TWIC appeal and waiver rights. In
the interim, at the very minimum, all initial denials should include a
``tag line'' in multiple languages directing the individual to call a
dedicated number to obtain a translation of the letter in the
appropriate language.
vi. to properly monitor the program's effectiveness, tsa should report
additional data on the status of the security threat assessment,
waivers and appeals
Finally, we urge TSA to provide additional data in the TWIC
Dashboard or another format to better assess the effectiveness of key
features of the TWIC process. Specifically, TSA should include: (1)
Denials broken down by immigration status, criminal record, and other;
(2) denials broken down by type of criminal offense; (3) the success
rate of appeals based on immigration status, criminal record, and
other; and (4) the number of appeals and waivers that are pending. This
information, if provided monthly, will go a long way to monitor the
effectiveness of the TWIC process heading into this critical period of
enrollment.
Thank you again for the opportunity to testify on this important
issue as we reach the 1-year mark and still have an opportunity to
improve the program from an applicant's perspective. We look forward to
working with TSA and the committee to ensure a more fair and effective
TWIC process.
Ms. Sanchez. Thank you, Ms. Moskowitz.
I wish there were more Members of the committee here today
because there are so many questions, and I am glad that all of
you are before us today because this really is an important
topic.
I want to begin by talking to Mr. Golding. Welcome, if it
is your first time here. We are very glad that you are before
us today.
Mr. Golding. Thank you, Madam Chair.
Ms. Sanchez. So enlighten me a little bit, because I am a
little confused with your testimony, not because you didn't do
a good job but because I don't have a lot of background in
barges and cargo.
Explain to me--I am trying to put in my mind this 28. I
understand people work 28 days, and there are 14 days off. So
are you telling me that they have to get a TWIC card each time
they go onto your boat? Are you telling me that--I am trying to
understand. Is it just a one-time deal when they are trying to
get their TWIC card that cuts into----
Mr. Golding. Yes ma'am.
Ms. Sanchez. Are these people who have worked for you for a
long time or are they just crew that come off of the roster or
what have you, the union roster or whatever it might be, to
come over and work? I am trying to figure out how you end up,
past the initial phase, how you keep ending up with crew that
continues to need to go to TWIC.
Mr. Golding. This is just new hires that we bring on board
as a new, green deckhand or pilot. They are new in the
industry, new on our vessels. When we hire them, we send them
to the TWIC center; and within 15 days we dispatch them to a
boat.
Ms. Sanchez. So if they haven't gotten their TWIC card
within those 15 days they have got a waiver from the Coast
Guard for 30 days.
Mr. Golding. They have an automatic 30-day interim work
authority. We have to, at that point, request the Coast Guard
to give us 60 days. The captain of the port, we can make a
request for a 60-day waiver.
We are going to be doing it on all our new hires, because
they are going to be on the boat when their TWIC card comes in
the majority of the time. They are not going get it before they
catch the first boat. So if they are out for 28 days and their
card comes in, they are not going to be available to go get it.
We are going to have to request a 60-day waiver.
That is the reason I was asking for a blanket waiver of 60
days, so it matches up with our industry's work schedule. Most
companies work either 28 or 30 days on, and the new hires are
the only ones that would be involved in this.
Ms. Sanchez. So--again, to educate me a little bit. So you
get a new hire in. You send them over to the TWIC station. They
put in all their information. They get on the boat. They go and
do their thing. They are out of port, I am assuming.
Mr. Golding. Right.
Ms. Sanchez. And day 20 the TWIC card comes into the port
they left from, but they don't have it wherever it is they are.
Mr. Golding. That's right.
Ms. Sanchez. So they are out for 28 days. Are they going to
other ports?
Mr. Golding. They may never stop. They may drop off their
barges in St. Louis, turn around and head back to New Orleans.
While they are notified, maybe via the Internet, that their
TWIC card is available to be picked up, they are unable to
physically do it because they are on the boat for 28 days, and
maybe it comes while they are on the boat. So we have to ask
for a blanket 60-day waiver so that they can get it on their 14
days that they are going to be off. It doesn't match up with
our day schedule for new hires.
Ms. Sanchez. How often do you have new hires?
Mr. Golding. In our industry, the new hires is a high
turnover rate. A lot of times their visions of what it is like
working on the river doesn't really match up with reality. So
we do have a high turnover in our initial job entry level. Once
they make a few trips, we know then whether they are going to
be with us long-term.
But with the new hires is the only problem. Because as the
TWIC card comes in they are on the boat for 28 days, and they
are not allowed to get off. So they are going to be in
violation of the 30-day interim work authority unless we ask
for a 60-day waiver, and we will be doing it constantly on our
new hires the way the system is set up now.
Ms. Sanchez. Okay. Now talk to me about the reader problem
that you said, because you have the crew, once you get a crew
together they are going out mostly together.
Mr. Golding. Yes, ma'am.
Ms. Sanchez. So in your opinion the reader--the card reader
would be where?
Mr. Golding. It is my understanding it would have to be
installed on the vessel. As crew members come aboard they would
have to key in to accept their entry into the vessel.
Ms. Sanchez. So your belief is that for a six-member crew
vessel you have got to put a reader, a card reader on that.
Mr. Golding. That is my understanding, that the rule would
require vessels to have card readers. As I said, this is home
to these men and women. They live together for 8 months out of
the year. We would like to keep the same crews on the same
boats for a lot of operational reasons. Some operators have
larger crews, larger boats, perhaps have 8-, 10-member crews.
But it is the same problem that they are all going to face, is
the environment is not conducive to a lot of this type
equipment as it is.
But they are home. I mean, they are family for the majority
of the year. It just seems a waste of time, money and effort to
put a reader on a boat. It is almost like having a reader at
your home and key in before you go in your living room. This is
the way these guys feel about it, and I wanted to bring that
message to you.
Ms. Sanchez. Ms. Marks, is that your understanding, that a
six-crew boat of his type going up an inland river would
require a reader, a card reader on the vessel?
Ms. Marks. Madam Chairwoman, I would have to ask you to ask
either the Coast Guard or TSA. We have nothing to do with the
card readers or that rule.
Ms. Sanchez. We will ask them. Okay. Thank you on that.
Ms. Bowman--I am sorry. I have a lot of notes up here--what
do you think it is costing you to make all this extra effort to
ensure that those who work on the port, whether they are
truckers or longshore people or administrators, what does it
cost you? What have you budgeted for the year to make a
propaganda campaign to get people in, to put signs up, and are
you being reimbursed for that at all?
Ms. Bowman. That is an excellent question. Thank you. I
don't have an exact figure for you, but maybe I could outline
some of the activities that we are doing.
First of all, the Port of Tacoma is paying for the TWIC
card for all of its employees, although we only have 250
employees, so it is not a huge expense, but it is a line item
budget.
Ms. Sanchez. This is for your administrators, people who
actually go to work and are part of the port system.
Ms. Bowman. Correct. We also operate some of our own
terminals, and so on those terminals we pay for our employees
to get their TWIC cards.
In terms of--I wouldn't necessarily call it a propaganda
campaign but the advertisement, we have, similar to what was
mentioned earlier, banners at all of the terminal gates, no
TWIC, no entry, that sort of a thing. Our security director
meets monthly with the terminal operators to talk about TWIC
enrollments. None of those costs have really been added up, but
it is a considerable amount of time.
I mean, the ports are at the front line of this process. We
want more than anybody else to make sure that this works. But
we haven't been reimbursed for staff time, for example, for
those sorts of things.
The issue that I brought up earlier regarding the reader
cards and reimbursement for that through the Port Security
Grant Program is allowing us to apply for TWIC implementation
money. That is great. We really appreciate that. But there is
also a 25 percent cost-share required. We feel that this is a
Federal mandate; and, if it is being mandated, why are we
requiring to put up 25 percent?
Ms. Sanchez. Excuse me. Did we waive that?
It is a DHS requirement. Thank you.
You said that you began with this in November 2007 and that
you believe you have about 40 percent of the people who would
require TWIC cards for your port are still not in the program,
having applied for it, basically; and the deadline is, of
course, April 2009. Do you think that there is adequate
capacity between now and April to get in those 40 percent of
the people or do you think there is going to be a problem for
you?
Ms. Bowman. I think there is going to be a problem at the
enrollment centers in terms of a surge. I guess the example
that I would use is what happened when passports became
required and there was an enormous backup.
I guess I would also use that example for what could
possibly happen with DHS and the Coast Guard of getting the
word out early about this requirement. Industry is doing
everything they can, and we complement our labor partners in
getting the word out to their workers as well, but we really
feel that the Federal agencies need to take a greater and more
active role in getting the word out about this.
It is not just an advertisement in a shipping journal.
Truckers aren't reading shipping journals. So whether it is an
advertisement in the newspaper, an ad on TV, those sorts of
things that really get the word out about this. Because nobody
wants to see it get to February and the system start to crash
because there is too many people.
Ms. Sanchez. What about the on-going--after April 9, let us
say we get the majority of the people--I don't know. They told
me earlier in the last panel it was going to be 100 percent.
But let us say that they get the majority of the people and get
them their TWIC card. But then you have the on-going issue of
new people coming or new hires, whether it is a trucker, it is
a longshoreman, it is somebody in your own administration. What
do you see the footprint being after April 2009 at your port as
far as access to be able to get new hires and others through
the process?
Ms. Bowman. Well, again, that is an excellent question. We
haven't heard any information from the agencies about what
their long-term enrollment plan is, whether the enrollment
center will be in its current location, whether that will be a
permanent location, and we are anxious to find out.
For example, at our port, we are expanding our terminals.
We currently have 200 or--excuse me--2 million TEUs. In the
next 5 years, we will be able to go up to 6 million TEUs. That
is a considerable number of new port employees coming on-line.
Again, we don't know if that enrollment center is going to
be there long-term or not. So it is a question that we have as
well. I am sorry I am not able to answer it.
Ms. Sanchez. Okay. Talk to me about this whole issue of
escorting foreign ship crew members. This also goes back to an
issue that I think some in maritime have asked about. Why is it
that a foreign crew member doesn't need a TWIC and can come on
to our port but those who are on ships need to get a TWIC? So
can you explain what your issue is with respect to escorting a
foreign ship?
Ms. Bowman. It is not just--just to clarify, it is not just
the foreign ship workers. For example, at our port, we have
roll-on roll-off vehicles. We are a major port for automobile
imports from KIA. So we have workers that actually have to go
up onto the ship and drive the automobiles off the ship into
the holding area. We don't know whether they are required to
have TWICs or not at this point.
But we have heard from the Port of Seattle, our neighbor 35
miles north, they have cruise ships. Cruise ship employees, are
they required to have--and these are just the entertainment
workers, hospitality workers, those sorts. Right now, there
seems to be no requirement for them to have a TWIC to work on
board. Do they need to have a secure area to get on and off the
ship, or are they now going to have to be required to go
through the public access but they are not going to have a TWIC
to get back on the board? So those are the issues that people
are facing; and, again, we are just looking for guidance moving
forward.
Ms. Sanchez. Thank you.
Mr. Byrd, you are representing the Trucking Association,
correct?
Mr. Byrd. Yes, ma'am.
Ms. Sanchez. Mr. Byrd, you were talking about your company.
I have a couple of questions with respect to your company,
because I am trying to figure out what some of your concerns
were, and then I have a broader overall thing.
With your company, do you have independent contractors or
do you actually have employees and you are worried about your
employees and their work as they come into the port?
Mr. Byrd. Yes ma'am. We have about 90 percent of our work
force is company employees and about 10 percent is independent
contractors. We have a number of issues, a number of concerns.
As I spoke in my opening remarks, we talked about the
duplication of credentialing.
Ms. Sanchez. This is a major problem.
Mr. Byrd. It is.
Ms. Sanchez. We all realize it here on this committee. Just
the fact we even have something like Florida where they have
their own TWIC card and then we have our TWIC card and then you
have the HAZMAT card. If I am--especially if I am an
independent trucker which isn't making any money and they have
got to get four cards in order to even go into any kind of a
port to have some kind of a haul I think that that is
outrageous.
Mr. Byrd. It has been excessive. Further on that point, one
of the things that we have issue with is, of course, the
duplication of background check and database credentialing for
the hazardous endorsement criteria to move hazardous material
throughout the country. We have a concern about the requirement
for nonsensitive, nondangerous hazardous materials, such as I
mentioned in the opening remarks; and, at the same time, we go
through the same background check to get a hazardous
endorsement on a CDL license that we go through for the TWIC.
On subsection B of section 1556 of the 9/11 Commission Act
it requires--part of the requirement was to have the TWIC to
satisfy the need for hazardous material endorsement. It is
ironic that truckers coming into our country from Canada and
Mexico, they have that privilege, that convenience, and
American truckers don't have it. We feel that is an injustice
to our drivers and our industry.
Ms. Sanchez. I have a broader question. Do you believe that
truckers should be required to have this TWIC card? I ask that
because there are a lot of people out there, especially with
the independents, who believe this is a move, if you will, by
Congress or people to actually crack down on people who don't
have documents to be in this. In other words that we are just
really trying to clean up the trucking industry. Do you think
there is a real need for the truckers who go on to the ports to
be an actual part of the TWIC program?
Mr. Byrd. Madam Chair, I would think that there is a need
for a security background check to enter into sensitive, secure
areas of both seaports and airports and other DOE facilities,
DOD facilities, or what have you. We appreciate--as an
industry, we appreciate the fact that we are trying to make our
borders and our ports and our commerce safe from terrorism.
That is a good thing. We just think that a sensible, logical
approach would be more in-line.
For example, we have drivers that extend throughout the
country. Drivers that live in the center part of the country
and have to travel literally hundreds of miles in order just to
enroll for TWIC, the cost of the card is $130.50, but that
doesn't take into account the fact that when I stop a truck
from generating revenue it is like a manufacturing facility
stopping a production line. When I stop the revenue on that
truck I not only stop the revenue for my company but I also
stopped the earning ability of that driver. For him or her have
to travel hundreds of miles to enroll and then again hundreds
of miles perhaps to accept and take delivery of the card is a
bit burdensome.
I can tell you from my own experience, because I am a TWIC
cardholder, it didn't take 2 weeks to get my card. It took more
like 2 to 3 months. That is what we are seeing. So we are
concerned about that.
In Charleston, for example, our date of implementation is
December 1, as is Savannah; and we are concerned, frankly,
about the ability of getting these cards. We would hope that
the program might be in some way expanded so that a driver that
lives in the center part of the country inland may be able to
go into the Department of Motor Vehicles, for example, and go
through the same qualifying criteria in a more convenient
process.
But, to answer your question, we don't have any issue
complying with the requirements. We just would like to see it
in its original form: One card, one credential, one cost.
Ms. Sanchez. Great. Thank you.
Ms. Marks, recently, my staff went on a tour of the Port of
Los Angeles Long Beach. I, unfortunately, couldn't be there
that day, although I have gone many, many times.
But in particular they were looking at this whole issue of
TWIC. They went over to the enrollment center on Terminal
Island, for example. It was brought to their attention that the
disclosure forms given to enrollees were only in English and
that bilingual staff was prohibited from providing a verbal
translation. Has there been any progress at Terminal Island?
I ask this because when I look at California, I represent
the city of Anaheim, and its elementary school district has
kids who come to school where the main language in the home
that they come from is one of 93 different languages. So do you
know what is going on over there in the port?
Ms. Marks. Yes, Madam Chairwoman. That is an excellent
question, and our trusted agents that are bilingual at many of
our port facilities have been restricted from doing unofficial
translations. We have been informed by TSA that the 12
languages and the new disclosure forms will be available. We
anticipate receiving them sometime hopefully this week. We will
then not only send them not only to our 149 locations in our
mobile enrollments, but we will also provide refresher trainer
for our over 700 trusted agents who will need to make sure they
are available for people
Ms. Sanchez. You said there are six languages.
Ms. Marks. Twelve languages.
Ms. Sanchez. Twelve languages that you are going to
provide. You think it is going to come back in the next week or
so to you?
Ms. Marks. We believe so. As I believe the program
director, Maureen Fanguy, said this morning, they were just
approved, and we have been informed they will be coming to us,
and we will expedite them out as well as provide refresher
training.
Ms. Sanchez. Ms. Moskowitz, you were talking about--can you
elaborate or go back to the testimony you gave about family
members translating? Was that encouraged; was that just word-
of-mouth, you have got to bring somebody who is going to
translate for you because it is not available, and you are
going to be wasting your time? How did that standard come to
be?
Ms. Moskowitz. My understanding is that TSA made a policy
decision that they were going to allow applicants to bring
friends and family members, really the person of their choice,
to help translate. In fact, on the current disclosure form,
there is a signature area on the bottom where the helper needs
to sign under penalty of perjury that they have actually
provided information correctly. So that was--my understanding
is that is a policy decision.
Irrespective, as I mentioned in my testimony of Department
of Justice guidelines, it talks specifically about how friends
and family members are not appropriate for this type of
service, providing this kind of translation or interpretation.
Ms. Sanchez. Well, I would tend to agree with that. I mean,
I know Spanish, and I can read and write it, and I have pretty
good grammar in it, but there is no way I would pass myself off
as an official translator, especially when it comes to perjury,
you know, ability to disclose what criminal record somebody
might have. I think it is a very big issue for to us take a
look at and continue to ensure that TSA provides the
translators.
Ms. Marks, in the people that you have from Lockheed who
are at some of these centers, do you have any who are under--
who are official translators or who have the credentials as
official translators?
Ms. Marks. We have trusted agents at the facilities who are
bilingual. I cannot answer for you if they fit the official
definition of translator, but I will be happy to get back to
that for the written--to submit.
Ms. Sanchez. I definitely would like that, and I think we
need to ask TSA whether they have credentialed translators and
how many they have on staff with respect to these areas.
I am very concerned about this FBI database and the fact
that--about half of what States have been doing doesn't get
translated onto this database. I know this to be a fact because
we have had plenty of case issues going through my office, not
in this particular arena, but with respect to other issues,
where, in fact, arrests or things that should have been purged
because people were underaged at the time or what have you
never show up on the official FBI transcripts or database. In
fact, they are considered felons or what have you.
Ms. Moskowitz, how many waivers for disqualifying offenses
are denied based on incomplete information?
Ms. Moskowitz. Let me just explain. The waiver process is
available for people who actually have a disqualifying offense.
What we were referring to was the appeal process just to
clarify that.
Ms. Sanchez. Sorry. The appeal process.
Ms. Moskowitz. In the appeal situation, that is where the
worker has an opportunity to say, I actually am eligible; TSA
doesn't have all the information based on the FBI RAP sheet
that they looked at.
Ms. Sanchez. But, as you say it, you are guilty or you are
not getting your TWIC card unless you go and do the footwork to
come back and to tell us that you are clear?
Ms. Moskowitz. Exactly. Yeah. So we know--based on some of
our most recent TWIC dashboard, there were about 16,000
denials, and we understand about a third of those are criminal-
record-related. So thousands of workers have been denied based
on their criminal records as they appear on the FBI RAP sheet.
We know that, as I mentioned, the 99 percent success rate on
appeal show that these are workers who were needlessly denied.
If there was a better screening process that went beyond the
surface of the FBI RAP sheet, these workers would not be
required to go to the courthouses, locate this information and
submit an appeal to TSA.
Ms. Sanchez. How do these workers know they are to come to
somebody like you to help them with the appeal? Because, I
mean, that is a pretty scary process, actually to--to actually
bring up old things that are on your RAP sheet or what have
you, and to go through the process, and to go to the courts and
get information, and go through the appeals process. How do
people know? I mean, are you advertising? Does TSA tell them
where to go?
Ms. Moskowitz. Most of them will because we have done a lot
of outreach with the transportation unions. So a lot of the
union members know we are available to help. But there isn't
any kind of instruction across the country, nor could we,
frankly, handle all the workers that are being needlessly
denied. It is very daunting--I can tell you from talking with
hundreds of workers going through this bit, they are very
worried and stressed out and having nightmares, as are their
families, at the prospect of losing this job because they don't
know how to navigate the system, how they prove that they are
eligible. We know that at least 2,000 of them have not
appealed, and they have just timed out.
Ms. Sanchez. Those that don't--2,000 of them out of how
many?
Ms. Moskowitz. Out of 16,000--about 16,000 initial denials
that we have seen so far.
Ms. Sanchez. Because some people may not know to turn to
you or may just throw up their hands or may think there is a
problem. Okay.
Back to Ms. Marks. Ms. Fanguy said she thought there would
be 1.2 million workers under the TWIC card by April 2009. Right
now you have 500,000 who are enrolled, a little bit under
400,000 who have received the card. So that means you need to
issue--get through the process and issue about 800,000 cards
between now and April. Are you set up to do that, really?
Ms. Marks. We are really set up to do that. If you look at
our capacity, the capacity is there. We have over 700 trusted
agents ready. If you look at even our system where people can
pre-enroll and get an appointment, we have appointments at
every port available, some are full this week. Obviously we
have some impacts on the gulf and in Texas as we speak. But
every single one of those 149 ports has capacity available and
will take appointments today and next week.
Ms. Sanchez. What if everybody doesn't show up until the
last month?
Ms. Marks. Well, that is why we are trying desperately----
Ms. Sanchez. No, no, no. What happens if they don't show
up--and I ask this because I have workers telling me some of
you applied for the card 8 months ago, and it is only going to
be good for a year, a year-and-a-half, or 2 years, or whatever
the amount is, and they are going to have to pay their amount--
yet they haven't even used it yet, really, except to flash it
somewhere. They said then they are going to have to pay--so
everybody I am talking to is telling me they are going to wait
until the last day, because, you know, why should I pay $130
today when I can pay $130 on March 31, and then my card is good
for another 2 years, rather than having 6 months of not even
needing it?
Ms. Marks. Well, first, the card is valid for 5 years. The
$132.50 covers a credential for 5 years, and that credential
starts at the time that the card is actually printed at the TSA
facility in Kentucky. So please allow me to clarify that, that
it is good for 5 years, not 2.
We have been trying and working with all types of
stakeholders to encourage people to enroll now. One of the
reasons is, as Ms. Moskowitz said, if someone is going to get
denied, we hope they come in early so they have the ability to
appeal before they need to come into compliance. But we have
the ability to extend hours at every port. We have the ability
to extend locations, similar to how we put a new location at
Terminal Island. We have added mobile enrollment stations.
Eighteen percent of the population to date have enrolled at
mobile enrollment stations at stakeholder locations, and we
have got another several hundred of those planned.
We are ready for the surge, but in all honesty, if everyone
comes on the last day, we cannot handle 800,000 people in a
week.
Ms. Sanchez. Okay. I have a little vignette here I want to
ask you about. This is about technical missteps which seem to
be significant problems within the program. It seems that there
is a Texas tankerman that applied for TWIC last November in
Beaumont. He was informed within a few weeks that his TWIC was
ready to pick up. He returned to the enrollment center in early
December, but Lockheed Martin could not activate the card due
to an unspecified glitch. A few weeks later he returned and
faced the same problem again. Last month, after his seventh
attempt to pick up the card, Lockheed Martin informed him that
the same problem existed with respect to activating his card.
He asked for a supervisor, but they said that that wouldn't be
possible.
So unspecified glitches, what are those, and how often do
they come up, and why has this guy had to go seven times and
still doesn't have a card?
Ms. Marks. I can't answer the specific, but I can commit to
you to look into that. We have enrolled successfully over
500,000 people. We have had some human errors as we have a
population of over 700 trusted agents doing this,
geographically dispersed, locally hired. Anytime an issue has
been raised to us by a stakeholder, by an enrollee, by a Member
of Congress, we have looked into it, and we have taken rapid
action. Anywhere where we can eliminate human error, we try to
build checks into the technology and into the system.
One prime example, which you mentioned earlier, was people
not being--not using their passports as their first credential
in terms of enrolling. We have retrained all of our trusted
agents to ensure that they do use passports as the first
document to be enrolled now.
But we are learning as we go along. We have made tremendous
progress, and I would be happy to take a look at that
individual case.
Ms. Sanchez. There are several cases that have been brought
to our attention that need help. Ms. Marks, what about Mr.
Byrd's request that there may be--that maybe centers or some
sort of thing might be put in middle America, because his
people have to drive hundreds of miles to go try to get a TWIC
card?
Ms. Marks. We are happy to evaluate any potential locations
for enrollment centers, as well as we have proposed to the TSA
and are working together on actually I believe it was Mr.
Byrd's request for is there a way that people can receive these
and not have to come back a second time. We have heard that
from Members and, I believe, from yourself over the past year
since we started enrollment, and we are trying to evaluate is
there a way with the secure card to be able to facilitate that
as well.
Ms. Sanchez. So let me just get for testimony on the record
here, Ms. Fanguy, the program manager for TSA and homeland
security on this program has said she believes by April 2009,
the deadline, there will be about 1.2 million people that
should have TWIC cards, and you said here to me today that you
believe you will be able to handle issuing TWIC cards--
considering you have issued a little under 400,000 at this
date, that you would be able to handle issuing 800,000 TWIC
cards by April 2009?
Ms. Marks. That is correct. We have the capacity and the
personnel to do it. We just need the remaining 800,000 to come
in and enroll. We encourage you and all the Members to
encourage your local communities to do that as soon as
possible.
Ms. Sanchez. Great. Thank you.
Does my staff have any question, or want an answer that you
all--oh, Mr. Green.
Mr. Green. Thank you, Madam Chair.
Ms. Sanchez. Just in time.
Mr. Green. Thank you. Thank you.
Ms. Sanchez. Mr. Green of Texas.
Mr. Green. Thank you. I was listening to your melodious
voice in the back and got carried away. I thank all of you for
appearing today.
Let me start with something the Chairwoman was visiting
with you about with reference to the 5 years. The time that the
card starts is from the moment it is printed, and it is good
for 5 years; is that correct? This being the case, why would a
person wait--why would a person immediately go out, secure a
card that really cannot be read, and lose the opportunity to
extend that period of time? What is the inducement to get the
card right away?
Ms. Marks. Well, the length of the card has nothing to do
with the card reader. The Coast Guard, starting October 15 in
New England, will be basically enforcing compliance with hand-
held readers. So starting October 15, the Coast Guard has
announced different zones coming into compliance between
October 15 and April 15 where people will need to show their
TWIC credential, which can be read with a hand-held reader.
Mr. Green. Okay. Now, when we started this process, it was
to be bifurcated. Were we to get the cards up first and then
the readers come on-line, or were we to have cards and readers
coming on-line at the same time? When did the process become
bifurcated?
Ms. Marks. Sir, I am afraid I can't answer that, being the
contractor on the TWIC cards. I would have to ask you to ask
either TSA or the Coast Guard.
Mr. Green. For edification purposes, we have had
representatives here from TSA and other agencies, and they
always talked until--just recently, not too long ago, maybe the
last 8 months is my recollection, about card and reader
together. In fact, we were given assurances about when the
program would be up and running. I mention this to you because
I am trying to understand the value of initiating the card,
putting it on-line without having the reader for the card. What
was the value in doing this?
Ms. Marks. Sir, again, I would have to defer to TSA.
Mr. Green. Does anyone else have information on what you
perceive to be the value in doing this to be?
Okay. With reference to the appeals process, the indication
to us is by way of intelligence from staff, 7,311 appeals
requested, 4,734 appeals granted. If you know--and I apologize
if I am asking the wrong people what I perceive to be the right
questions--if you know, does ``granted'' mean that the appeals
were actually granted in the sense that the persons were given
the opportunity to acquire the card and move on with the
process, or does it mean that these persons were given the
opportunity to continue with their appeal?
Ms. Moskowitz. I think I can answer that question. When the
appeals are granted, the TWIC card is approved, and that begins
card production.
Mr. Green. In terms of the number of appeals granted, the
Chairwoman mentioned this, you have this information deficit
within certain files. That granted appeal can be as a result of
the card seeker having gone out, acquired certain intelligence,
and accorded this intelligence to the agency or TSA so that
they can make a fair determination about the person's record.
Through no fault of the person, the record wasn't complete. Is
that a fair statement?
Ms. Moskowitz. That is exactly correct.
Mr. Green. This part of the process can be costly to the
person who actually has to prove now that he or she is a
legitimate person, notwithstanding some allegations that may
not be understood, but the legitimacy has to be proven. I would
assume that this means you will have to bring certified records
to someone, that they won't just take your word for it, you
will have to go someplace and acquire records that have been
certified. I assume that there is a cost associated with
getting records certified in Texas. We do have a cost if you
want records certified. I would also assume that there may have
to be some research involved. There are times that you have to
pay for the research that is involved.
So that $132.50 that you start paying can go up, depending
on how much research, how--what the cost is of the
certification of documents and a number of documents that will
have to be certified. Is that a fair statement?
Ms. Moskowitz. That is an extremely correct statement, and
I would add that the costs can range from days taken off work,
traveling to local courthouses, doing research, obtaining
copies of State criminal history records, which can cost
between $40 and $60 depending on the State, in addition to the
court certification costs for the folks who are getting the
records certified from the clerks' offices, and then there is
an issue of a number of workers who don't know where to turn
and don't know how to do this research, as the Chairwoman
recognized, are paying attorneys. I have heard rates of
attorneys charging $10,000 to research this information that is
missing from the FBI database.
Mr. Green. Have you found--and I don't want to stereotype,
but have you found any segment of the population to be more
vulnerable to this than another, or is this pervasive, and it
could happen to anyone; or do you find that may be happening to
some more than others? If so, define ``some'' for me.
Ms. Moskowitz. What I can say based on our experience
working on criminal record base to employment and licensing in
general and the clients who we have seen, there is a
disproportionate impact based on race, African Americans and
Latinos who are disproportionately impacted by any kind of
criminal record screening policy.
Mr. Green. Does anyone else have some intelligence that you
would like to share on these points? Anyone else? I don't mean
to deprive others with the opportunity to share.
With reference to the card lasting for 5 years, I know that
this was something that was decided on and that you have
accepted, but is there a reason why a card should last 5 years
as opposed to 10? Five years at the inception of this program
seems to cause a degree of consternation in terms of people
trying to save money. To some of us $132.50 is not a lot of
money, but to many others it really is a lot of money, and
those are the people that I really represent, if the truth be
told, those that have a problem with the $132.50. So is there
some rationale for the 5-year, or is it arbitrary and
capricious?
Mr. Byrd. Your Honor, I don't have a reason or a rationale
for the 5 years, but I can tell you that we share the concern
that you mentioned a moment ago about the fact that the card--
me and my company, we attempted to early enroll, and a large
portion of my workforce has their TWIC card already issued to
them, and that card is--the meter is ticking on that card, as I
understand, and we are losing part of the validity of that 5-
year process.
Mr. Green. Absolutely.
Now, back here, ma'am. You said that the Coast Guard will
start a process of utilizing hand-held readers; is that
correct?
Ms. Marks. That is correct.
Mr. Green. Are you saying that the pilot has already been
implemented, the reader is in place?
Ms. Marks. No, sir. These are mobile--that have nothing to
do with the card reader pilot. These are literally hand-held
readers to do spot checks until the card reader, as I
understand, but I would recommend you ask the Coast Guard.
Mr. Green. Because I am asking you this--the question is in
this sense: Are you saying that the Coast Guard will have a
device that we will call a reader that will now be able to scan
what we are calling the card and check the biometrics in the
card? Because that is ultimately where we are going. We want a
card with biometric, and we have got a reader that can scan so
that we can connect the card bearer to the card with more than
a visual.
Ms. Marks. That is what I have been led to believe, sir.
Again, I would ask you to talk to the Coast Guard.
Mr. Green. I think I should, and I don't want to hold you
to what the Coast Guard should tell me.
Ms. Sanchez. Mr. Green, just for amplification, that was
asked of the earlier panel which had the rear admiral, and that
is what they are seeking to do; however, they have not. They
don't have a hand-held at this point. It is coming.
Mr. Green. I understand. Madam Chairwoman, as you recall,
it has been coming for some time. It seems that is just
metamorphosed now into a different type of device, because
initially we did not hear about the hand-held that was to be
something more, and now it is something less, and all of this
is moving in some circle, it seems.
Finally, Madam Chairwoman, and I thank you for the time, I
want to ask somewhat of a general question. The time--it seems
that we were having a situation where the wait time on the
phone was 20 minutes and 62 seconds, and I am told now that it
is down to 27 seconds, and that is due to Chairman Thompson
having contacted TSA. Just tell me, has that wait time changed?
I am told that it is 27 seconds now. If it is more than that,
maybe I need to ask the Chairman if he will make another call.
Ms. Marks. Sir, I can answer that since we provide the help
desk. It does average under 30 seconds on a given day, and that
is every day as we speak. We take about 10,000 calls in a given
week.
Mr. Green. Someone else had a hand up. Yes, sir.
Mr. Golding. Yes, sir, Mr. Green, Madam Chairman, I do want
to make one point clear. There have been improvements in this
program. The wait times are shorter for our mariner going to
the facilities. The help desk lines are quicker. The personnel
are more knowledgeable now at the centers now that they have
been at it a while, and our cards are coming faster. So I think
there are genuine improvements to the program.
Where we are still seeing problems, particularly as in the
fingerprinting, our older people for some reason--and females,
those two groups of people are having more trouble with the
sensitivity of the scanner fingerprints. Also computer
glitches, and I know that entails a lot, but that seems to
require multiple trips back at times, which causes a lot of
problems.
Addressing one other point with you, Madam Chairman,
regarding the readers on board the boat, I do think that is the
intention, because one of our companies in Mississippi, it is a
member of our organization, is waiting for the pilot program of
the readers to be sent to them so they can put them on board.
So I do think that is the intent is to put readers on board our
vessels.
There is a tremendous problem going on right now in
miscommunication in the port facilities. They have earlier
compliance dates than we do on board. We are April 15. Some of
the Coast Guard offices have told our mariners that you have
got to have your TWIC card on an earlier date if you are going
to go into New Orleans or if you are going to go into one of
these port facilities or other requirements. I think some real
work in the communication needs to be done, because the Coast
Guard officers have told us themselves you must have an earlier
date if you are going into that port. Well, we are April 15,
down the line for the mariners. So I see that as a
communication problem that is going on right now that does need
clarification. Thank you.
Mr. Green. You have caused me to think of something as you
were talking. Is the TWIC card portable; meaning, can you go
from one port to another and use a card? That is the way it was
supposed to be.
Mr. Golding. Yes, sir.
Mr. Green. But let me ask you this in terms of portability.
Do you find that some ports may have a different twist or tweak
and require a little something more than the card, and as a
result the card does not become the means by which you can
enter?
Mr. Golding. I am not in and out of the port facilities. We
are on and off our vessels. I would have to yield to one of the
port operators.
Mr. Green. I believe Mr. Byrd has a desire to respond.
Mr. Golding. If I could address one thing in relation to
the card that you just brought to mind. When I picked up my
card last week, I was told at the center, don't put it in your
wallet; the credit cards will deactivate the chip. If that is
the case, there may be hundreds of thousands of cards out there
that are deactivated, if that is the case. This young man just
happened to tell me as I was on the way out the door, don't put
it in your wallet. So I just present that for question.
Mr. Green. I can tell you that I had an experience
recently, I went to this big convention out in a place called
Colorado, I need not say more about it, and my card was a
magnetic card for my room in my hotel. I placed it in with my
other cards. That is exactly what happened to me. Exactly what
happened. The cards in my wallet somehow deactivated the card
that was to get me in my room. So I found myself late at night
trying to get somebody to help me--I can imagine what it is
going to be like for a worker who is trying to get--access his
job, and now he has got to go through line A and fill out form
C. Thank you for that. I will remember that. Yes, sir.
Mr. Byrd. Mr. Green, I was just going to respond to the
fact that we do enter and access the ports on the land side. So
what we are experiencing is exactly what you indicated, is the
fact that we are being asked to present and go through
duplicate credentialing and background checks in order to have
access to the ports at this time. As I mentioned, I think
before you entered into the room this morning, from the
trucking industry perspective, we have a concern in the fact
that we are having to go through duplicate background checks,
fingerprint-based criminal history background checks for U.S.
American truck drivers for their hazardous material
endorsement, whereas Mexican and Canadian drivers don't have to
do that. The TWIC represents that process for them, but not the
U.S. drivers.
Mr. Green. The TWIC card is the sole card needed for
persons who are from without the country, and from those who
are within the country you need two cards?
Mr. Byrd. You have to go through two background checks.
Mr. Green. Okay. That is news to me. I appreciate you
sharing that information.
Finally, 14 TWIC centers are down in Texas; is this
correct?
Ms. Marks. Two of the fourteen reopened today, sir, but we
are--we, just like everyone in the community, are trying to
bring, obviously, power in the TWIC enrollments in terms of
mobile deployments up as quick as we can.
Mr. Green. What does ``down'' mean? Explain that to me so I
can better understand.
Ms. Marks. I can use an example. In Galveston, the facility
that we were in was significantly damaged by Hurricane Ike. So
we have ensured that the equipment was safe, we have ensured
our personnel are safe. We are clearly concerned with that. Now
we are putting work-around plans in place to figure out where
can we set up a mobile station again that will allow us to
start enrollments again in some of the places impacted by
Hurricane Ike.
Mr. Green. Okay. We have two that have gone back on-line.
So we only have 12 down?
Ms. Marks. That is correct.
Mr. Green. Any anticipated time that the others will be
back on-line?
Ms. Marks. It varies by location. Again, we hope to open
one of our Houston facilities up again as soon as we get power.
We are prepared today, and we believe that power may come as
soon as Monday.
Mr. Green. Thank you.
Madam Chairwoman, thank you for being so generous with the
time.
Ms. Sanchez. Thank you, Mr. Green.
I have a couple of ending questions for Ms. Marks. The
first one is--well, first I will just say to Mr. Green, you may
have put that card, that magnetic card, actually not against
your other credit cards, but usually it is your phone that
deactivates it. If your phone was anywhere near, that always
manages to demagnetize a card.
Mr. Green. It was.
Ms. Sanchez. It is usually the phone.
But to Ms. Marks on that issue, I have noted that when I
have seen biometric cards, they are not really the type of
card--or the information is not put on the card in the sense of
what we are talking about as far as credit cards or as far as
key--room keys. Do you believe that the TWIC card can be
demagnetized by a phone or by some other means?
Ms. Marks. Madam Chairwoman, thank you for asking and
giving me the opportunity to address that. It cannot be. But
clearly I have some refresher training I need to do in some of
my enrollment locations immediately if that is the guidance
that is being given out. The chip contained on it is not
magnetic. We store data in a different way. Again, that is not
the issue. Thank you.
Ms. Sanchez. That has been my experience when I have seen
the types of chips. That is why I ask.
The last question is about your contract with TSA for the
project. I know that you have a performance-based bonus, which
is the award--called an award fee pool. Are you familiar with
what I am talking about?
Ms. Marks. We have an award fee plan, and that is what we
get measured against.
Ms. Sanchez. So you were given one bonus so far on March
31, 2008, totaling almost $400,000, but you haven't been
awarded a second performance bonus.
What improvements are your teams working on to meet mutual
goals with TSA?
Ms. Marks. Allow me again--it is not a bonus. This is an
award fee. This is our ability--assuming we hit acceptable
quality levels, the ability for us to earn some of that award
fee. It has penalties that go with it as well. For one example,
when we were not hitting the help desk call time, we were
actually penalized of other amounts that we would have earned.
That, again, is a contractual relationship between us and TSA
that we had to give back as well. So they work both ways.
We have eight defined acceptable quality levels that we get
measured against. When we achieve those levels, we then can
start earning the award fee. If we achieve 100 percent of
those--and it is staggered in between--we can do that. The
first award fee period, the majority--half the award fee was on
opening enrollment stations on schedule, which we did. As we
move on through the program, we are now in the second period,
the second 6-month period. During that second 6-month period,
it will all be based on items such as wait time, customer
satisfaction, all objective measurements that TSA measures us
on.
Ms. Sanchez. Great.
I thank all of you for your testimony before our committee
today, and I am sure that some of the Members who were not able
to make the subcommittee hearing may ask in writing some
questions of you all, and I hope you will get back to us and
answer those questions in a quick manner.
The committee is now--I think there might have to be some
official things I have to say. Hold on a moment. Actually, no.
So hearing no further business, this subcommittee stands
adjourned.
[Whereupon, at 12:53 p.m., the subcommittee was adjourned.]
A P P E N D I X
----------
Questions From Hon. Loretta Sanchez for Rear Admiral James Watson,
Director, Prevention Policy for Marine Safety, Security and
Stewardship, U.S. Coast Guard, Department of Homeland Security
Question 1. To what extent is the Coast Guard enforcing the TWIC
requirements, including verifying the TWIC holder's identity, at port
facilities where the program has been implemented? Has the Coast Guard
encountered any challenges to enforcing the TWIC requirements?
Answer. The Coast Guard began phasing in Transportation Worker
Identification Credential (TWIC) implementation at port facilities by
Captain of the Port (COTP) Zones beginning on October 15, 2008, and
continuing through April 15, 2009. Once the TWIC compliance
requirements are established, the Coast Guard will begin enforcing the
requirements in the COTP Zones. Coast Guard personnel will verify TWIC
compliance during announced facility inspections and unannounced
security spot checks. The Coast Guard will also conduct random TWIC
compliance inspections as directed by the COTP based upon risk and
resource allocation. The Coast Guard has not, as of yet, encountered
any challenges to enforcing the TWIC requirements.
Question 2. Why does an applicant for a Coast Guard license or
Merchant Mariner's Document who has gone through the TWIC enrollment
process need to also travel to a Coast Guard Regional Exam Center to be
fingerprinted? Why can't the two agencies that exist within the same
Federal Department share data so a mariner doesn't have to make a third
trip to a Government office to get the credential he or she needs to
earn a living?
Answer. Consolidation of Coast Guard-issued mariner qualification
credentials was proposed in a Supplemental Notice of Proposed
Rulemaking in conjunction with the Transportation Worker Identification
Credential (TWIC) Final Rulemaking on January 25, 2007. The proposal
acknowledges the need to reduce the burden on mariners who now must
apply for and carry a TWIC as well as mariner qualification
credentials. The proposed Merchant Mariner Credential (MMC) would
consolidate the Merchant Mariner's Document, license, Certificate of
Registry, and endorsements required by the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers
(STCW), 1978, as amended.
The proposed consolidation proposal includes provisions for the
Transportation Security Administration (TSA) to supply the Coast Guard
with information collected during TWIC enrollment so the Coast Guard
can eliminate appearance requirements for mariners applying for new
and/or renewal credentials. It also proposed to reduce the fees that
some mariners must pay for their credentials by eliminating the need to
pay for more than one credential. These proposed changes, if
implemented would decrease the number of appearance requires for
mariners.
Question 3. The January 2007 TWIC rules allow for 30 days of
interim work authority for new hires that have completed the TWIC
enrollment process but have not yet received their TWIC. This can be
extended to 60 days with the approval of the Coast Guard Captain of the
Port. Given that many mariners report that it's taken much longer than
30 days to get a TWIC, and given that work schedules in the many
sectors of the maritime industry require individuals to be on a boat
for 30 days or more, wouldn't it make sense to extend this period to a
blanket 60 days, without requiring companies or mariners to jump
through the hoop of requesting COTP approval?
Answer. In accordance with the regulation (33 CFR 105.257), certain
newly hired employees may be granted entry to secure areas of the
facility for up to 30 consecutive calendar days prior to receiving
their Transportation Worker Identification Credentials (TWIC) provided
all of the requirements are met, and provided that the new hire is
accompanied by an individual with a TWIC. If the Transportation
Security Administration (TSA) does not act upon a TWIC application
within 30 days, the cognizant Coast Guard Captain of the Port (COTP)
may further extend access to secure areas for an additional 30 days.
Any deviation from this process would require a change to the existing
regulations.
Question 4. There is the distinct possibility that Lockheed Martin
and TSA will be overwhelmed by a flood of applicants within the next
couple of months and that applicants will be face to wait a significant
amount of time before they can attain a TWIC card. Will the Coast Guard
modify the enforcement dates if TSA and Lockheed Martin are unable to
process application requests in a timely manner?
Answer. The Transportation Worker Identification Credential (TWIC)
Final Rule, published on January 25, 2007, stated the Transportation
Security Administration (TSA) could not guarantee processing of an
individual's application and issuance of his/her TWIC in less than 30
days. The TSA is currently overseeing 149 TWIC enrollment centers
across the country. To date, the majority of these enrollment centers
have extra capacity to facilitate additional enrollments and
activations prior to compliance beginning in a particular COTP Zone.
It is unlikely that enforcement dates would be changed. We announce
compliance dates in both a press release and in the Federal Register
prior to the compliance date when enforcement begins. By regulation,
announcements must be made 90 days prior to the compliance date;
however we have been announcing as far out as 120 days whenever
possible. Leading up to the compliance date, we increase outreach
efforts to those areas to make every attempt to notify individuals that
TWIC compliance is coming and individuals with a need should obtain a
TWIC. Lead outreach initiatives to date have encouraged maritime
stakeholders, port partners and potential applicants to apply for their
TWIC as early as possible.
Question 5. Two months ago, the National Maritime Security Advisory
Committee (NMSAC) submitted 17 pages of comments and concerns to the
Coast Guard regarding the TWIC program.
Why hasn't the Coast Guard responded to the input?
Answer. The Coast Guard provided responses to questions submitted
by the National Maritime Security Advisory Committee (NMSAC) on
September 18, 2008.
Question 6. How much money is the Coast Guard going to request next
year for hand-held readers?
Answer. On September 18, 2008, the Coast Guard awarded a 48-month
contract to Science Applications International Corporation (SAIC) in
the amount of $2,274,377 to provide training, warranty, help-desk
support and the acquisition of up to 300 hand-held Transportation
Worker Identification Credential (TWIC) readers. Future year funding
needs will be assessed after the hand-held readers are deployed and
evaluated.
Question 7. It is my understanding that in the aftermath of
Hurricane Gustav, the Captain of the Port of New Orleans issued a memo
stating that TWIC holders should be classified as high-priority
personnel and should be allowed onto the port. This was the first time
that the TWIC card had been used in such a way. Will this become
standard operating procedure in the future?
Answer. TWIC was used as a valid identification credential for
individuals who were critical components to the re-establishment of
commerce and re-vitalization of the Port of New Orleans as identified
by the Coast Guard Captain of the Port (COTP). This action is an option
for future COTPs to assist critical industry and maritime personnel if
re-entry into hurricane-impacted ports becomes hindered. Currently FEMA
is looking at utilizing FIPS-201 interoperable credentials, among other
identity credentials, to support incident management and response. TWIC
is being considered as part of these discussions.
Questions From Hon. Loretta Sanchez for Maurine Fanguy, Acting
Director, Maritime and Surface Credentialing, Transportation Security
Administration, Department of Homeland Security
Question 1. What is your plan for the post-April 15, 2009 period?
How will you ensure that everyone who needs to get a TWIC after
that date can do so at least as conveniently as today?
Answer. The Transportation Worker Identification Credential (TWIC)
enrollment process was developed to support workers both pre- and post-
April 15, 2009. The Transportation Security Administration (TSA) has
established 149 enrollment centers across the United States and in U.S.
territories to serve workers in maritime areas. TSA will continue to
operate centers to support workers in maritime areas, taking into
account feedback from local security partners. It is anticipated that
the number of enrollment centers will not change, however, based on a
hub-and-spoke concept, there may be adjustments to hours and resources
at outlying enrollment centers that are underutilized or where maritime
operations are seasonal in nature. This will allow for a more efficient
use of resources while still accommodating the individual workers.
Question 2. Why should an applicant for a TWIC have to return to
the enrollment center to pick up his or her card when a passport can be
mailed back to the applicant? This seems like a significant burden on
working Americans that can and should be eliminated.
Answer. The Transportation Security Administration (TSA)
established the enrollment and activation process based on national
credentialing and security standards that included a requirement for
workers to biometrically verify their identity at card pick-up. This is
an important security step in the process and completes the ``chain of
trust'' in the Transportation Worker Identification Credential (TWIC)
model. The two-step process was included in the TWIC final rule and the
burden to workers was included in the regulatory evaluation. TSA will
continue to work with Government credentialing and security standards
experts to identify areas for improvement, but there is no plan to
change the process at this time.
Question 3. Given that the TWIC card reader pilot must be completed
and results analyzed before TSA can initiate the second rulemaking,
when do you expect to start the pilot? What are the estimated time
frames for issuing the second rule?
Answer. The Security and Accountability For Every Port Act of 2006
(SAFE Port Act) requires the Department of Homeland Security to issue
final reader regulations no later than 2 years following commencement
of the pilot programs. Those final rules must be consistent with the
findings of the pilot program. The Transportation Security
Administration (TSA) started working with pilot test participants and
developing plans shortly after the SAFE Port Act was enacted. A plan
for a three-phase test was approved in December 2007. The first phase
of that plan included conducting technical tests of the Transportation
Worker Identification Credential readers in a controlled environment.
The first of those tests began on August 20, 2008. On October 7, 2008
the first test results were made available to the pilot test
participants and to the public. These, and other, reader tests will
continue throughout the pilot. TSA expects to conduct field reader
tests at pilot participant vessels and facilities during calendar year
2009.
The Coast Guard expects to issue an Advance Notice of Proposed
Rulemaking (ANPRM) before the end of the year. An NPRM would follow,
incorporating comments received on the ANPRM and any available pilot
data. We expect to hold public meetings during the comment periods for
both the ANPRM and the NPRM. A final rule would be issued once the
pilot program is completed, as per the SAFE Port Act, taking the
results of the pilot and all comments received into consideration.
Question 4. TSA originally estimated that the TWIC enrollment
contract would cost about $70 million. Since the enrollment population
is greater than originally expected, to what extent has the total
contract cost increased?
Answer. The enrollment portion of the Transportation Worker
Identification Credential (TWIC) enrollment services contract is
transaction-based, and our contractor is paid $43.25 per enrollment.
The price per enrollment does not change based on the number of
enrollments. Furthermore, neither the contract ceiling nor the base
period estimated expenditure will change as a result of the potential
increase in the population estimate. The base period estimated
expenditure would accommodate the potential rise in the population
estimate from 850,000 to 1.2 million workers; at $43.25 per enrollment,
this rise equates to an increase from $36,762,500 to $51.9 million; the
remainder of the base period estimated ceiling would then be available
for other activities associated with system maintenance and
enhancements.
Question 5. Is the TWIC enrollment contractor meeting all
performance metrics stipulated in the contract? If not, what metrics
are not being met and why? How has help desk performance and
fingerprint reject metrics changed over time?
Answer. The Transportation Security Administration (TSA) awarded
Lockheed Martin a performance-based contract that includes Acceptable
Quality Levels (AQLs) directly tied to the Transportation Worker
Identification Credential (TWIC) program's enrollment objectives.
Lockheed Martin is currently exceeding all AQLs in accordance with the
contract.
Lockheed Martin did not initially meet the AQL for help desk
response times of 3 minutes. A corrective action plan was requested, in
accordance with the Quality Assurance and Surveillance Plan (QASP),
which Lockheed Martin provided and implemented. As a result of these
corrective actions, Lockheed is reporting an average response time of 2
minutes or less, which exceeds the AQL.
The fingerprint rejection rate has consistently improved and is
currently less than 1 percent. The fingerprint reject AQL in the
contract is 2 percent.
Question 6. What is TSA's official position on expanding the TWIC
program to other modes of transportation beyond the maritime sector?
Answer. The Transportation Security Administration does not
currently have plans to expand the Transportation Worker Identification
Credential beyond the maritime sector.
Question 7. One of the more controversial TWIC issues has always
been the encryption of fingerprint data. There's been a lot of
discussion about whether encryption would create additional processing
time, increase processing failures and drive up the cost. Despite all
these concerns, DHS decided to go ahead and encrypt the card data. But
now we're finding out that this system may not work. A recent report
from the National Maritime Security Advisory Committee's TWIC Working
Group states:
``It has been discovered that the encryption of the fingerprints on
certain cards was not performed properly which causes the decryption to
fail. No one will know the extent of the problem until those cards that
have been issued are tested.''
Can you talk to me about the extent of the encryption problem and
when will it be fixed? What will happen to the malfunctioning TWIC
cards? Who will pay the additional cost to fix it?
Answer. The incorrect encipherment of the ANSI 378 biometrics
template stored within the Transportation Worker Identification
Credential (TWIC) card application is an extremely rare card issuance
event. According to information provided as recently as October 8,
2008, from the Transportation Security Administration's (TSA) prime
contractor, less than 100 records in 600,000 were found to have an
incorrect encipherment. All were identified and corrected, and new
cards were ordered for the impacted workers. TSA and the TWIC prime
contractor have taken steps to reduce this type of fault even further
and, as already stated, are replacing the impacted cards at a cost to
be borne by the program.
Question 8. TSA contractors known as ``Trusted Agents'' enroll
transportation workers who sign up for the TWIC. These people are on
the front lines of the TWIC system. They schedule applicant meetings,
answer their questions, troubleshoot any problems, verify applicants'
personal information and take fingerprints. It's important that they be
well-trained and fully qualified, because their errors can cost someone
a job or even allow a terrorist to slip through the cracks.
Unfortunately, a number of the problems we hear about with the TWIC are
associated with trusted agents. Some of these trusted agents can't find
the TWIC cards when applicants come to pick them up. They can't find
people in the computer system or they don't collect or scan immigration
documents properly.
What kind of training are these people getting? What are the
qualification requirements for trusted agents? Can you assure this
committee that no one working as a trusted agent--or performing trusted
agent duties--has done so while working through a temporary placement
company?
Answer. During the initial contract startup, the Transportation
Security Administration (TSA) provided Lockheed Martin with a
comprehensive Trusted Agent Training Package and conducted the initial
training in support of the initial deployment. The Lockheed Martin
training program is based on this initial TSA training package and
Lockheed Martin continues to conduct training for all Trusted Agents.
In addition, Lockheed Martin is conducting refresher training across
the enrollment sites and provides periodic training updates. Lockheed
Martin does contract with other companies to support the need for
Trusted Agents; the contract does not restrict Lockheed Martin from
using temporary placement companies to support the Trusted Agent
requirements. All Trusted Agents, however, must successfully complete
the Security Threat Assessment necessary to receive a Transportation
Worker Identification Credential and must successfully complete the
additional TSA Security process required of all TSA contractors. All
Trusted Agents must follow the training guidelines and direction
provided by Lockheed Martin. Lockheed Martin has established Area
Coordinators, Field Coordinators, and Trusted Agent Supervisors to
support the management of the Trusted Agents staffing the 149
enrollment sites.
Question 9. It's really common for Americans to move from one part
of the country to another. That's especially true for workers who are
required to have a TWIC. Mariners can leave from one port, spend months
at sea, and return to a completely different port. In fact, I'm aware
of a seafarer who applied for a TWIC in Florida but subsequently moved
to the Great Lakes area. TSA says he's got to go back to Florida to
pick up his TWIC even though he doesn't live there or even work there.
He asked for the paperwork to be transferred, but the answer was no. He
asked for the TWIC to be sent by FedEx, but the answer was no. He
offered to pay for the FedEx fee, but the answer was no. What are
people in this situation supposed to do? If we can mail a passport to
somebody, why can't you mail out a TWIC?
Answer. The Transportation Security Administration (TSA) has
received a number of requests by workers to pick up their
Transportation Worker Identification Credential (TWIC) at a different
enrollment location other than the site where they initially enrolled.
We have identified the requests for those individuals who are now at
the October compliance ports, and Lockheed Martin is sending the TWIC
cards to the requested location. In addition, we are working with
Lockheed Martin on a solution that will allow the capability for
transportation workers to request a change in the pick-up location.
This solution is expected to be implemented in the near future. In the
meantime, we will continue to support the requests with a priority
going to those individuals where the compliance date has been
announced.
Unlike a passport that can be mailed directly to the individual, it
is necessary for the individual worker to return to an enrollment site
to activate his/her TWIC and to ensure the TWIC is working properly.
TSA established the enrollment and activation process based on national
credentialing and security standards that included a requirement for
workers to biometrically verify their identity at card pick-up. This is
an important security step in the process and completes the ``chain of
trust'' in the TWIC model. The two-step process was included in the
TWIC final rule and the burden to workers was included in the
regulatory evaluation. TSA will continue to work with Government
credentialing and security standards experts to identify areas for
improvement, but there is no plan to change the process at this time.
Question 10. It is my understanding that many workers are unfairly
denied a TWIC by TSA based on inaccurate and unreliable criminal
history information because 50 percent of the FBI's records are
incomplete. What steps are being taken to clean up these databases and
what role does TSA have in ensuring that the information that this
information is accurate?
Answer. No person has been unfairly denied a Transportation Worker
Identification Credential (TWIC) based on inaccurate or unreliable
information. The Transportation Security Administration (TSA) affords
all TWIC applicants the opportunity to correct criminal records that
are inaccurate or that have not been updated before a decision is made
to either issue or deny a TWIC. In the case of a potential criminal
disqualification, TSA sends the applicant a letter stating that he or
she may not be eligible for a TWIC and lists the criminal record on
which we are relying. We invite the applicant to appeal this initial
determination and notify us if the criminal record is inaccurate within
60 days (or more if the applicant requests an extension of time to
reply). It is only after an applicant is given every opportunity to
utilize our redress process that TSA makes a determination as to
whether or not an applicant is eligible for a TWIC. TSA is able to
grant the overwhelming majority of appeals because applicants provide
us with corrected criminal records that show the applicant to be
eligible for a TWIC.
TSA has no role in the maintenance of or standards concerning the
national repository for criminal history records criminal history. The
Federal Bureau of Investigation (FBI), through the Criminal Justice
Information Service (CJIS), maintains and has established submission
guidelines for the States and Federal law enforcement agencies to
follow. TSA staff has participated in working group meetings led by the
Compact Council (the national independent authority that sets policy in
this area) to discuss how the CJIS data may be improved.
Question 11a. Currently, workers who do not speak English as their
first language are having problems filling out the paperwork and
submitting this information at the TWIC enrollment centers because of
the absence of any meaningful policy to provide translated multi-
lingual services and interpreters, even at the ports with the largest
immigrant populations.
Please tell me what specific analysis TSA has done to determine the
need for multilingual services, beyond allowing workers to bring
friends and family members to help translate.
Answer. When the Transportation Security Administration (TSA)
conducted economic and related analyses for the Transportation Worker
Identification Credential (TWIC) rulemaking, we discovered that there
is very little data available on the people who enter maritime
facilities and vessels. This view was generally articulated by all of
the security partners who participated in the rulemaking process. As a
result, the TSA has no specific numbers on TWIC applicants who may be
considered to have limited English Proficiency (LEP).
Question 11b. Are you aware that the Department of Justice's
guidance on complying with Title VI of the Civil Rights Act of 1964
strongly cautions against allowing non-qualified personnel, like family
and friends, to translate especially in cases, like the TWIC program,
which involve disclosures of sensitive personnel information, like
criminal records and immigration status, and highly technical rules and
policies?
It is my understanding that TSA and Lockheed Martin are relying on
families and friends to translate information and I would like to know
if the current system is in compliance with Title VI.
Please tell me what specific analysis TSA has done to determine the
need for multilingual services, beyond allowing workers to bring
friends and family members to help translate.
Answer. The Transportation Security Administration is aware of the
Department of Justice (DOJ) guidance on this issue. Section 2 of the
Executive Order, entitled ``Federally Conducted Programs and
Activities'' provides that each Federal agency must work to ensure that
persons with limited English proficiency (LEP) have meaningful access
to the agency's programs and activities. The DOJ Guidance on the
Executive Order discusses a variety of tools that agencies may use to
meet the spirit of the Order, including translating important documents
and permitting LEP persons to use their own interpreters. For the
Transportation Worker Identification Credential (TWIC) program, we have
incorporated both of these suggested tools in the enrollment process.
The TWIC Program provides communications materials in Spanish and
English. Our pre-enrollment web site is offered in Spanish and English,
as well as our help desk services. The TWIC Disclosure Form has been
translated into 13 languages based on input from our security partners
and ``field-testing'' and these have been placed on the web site. Also,
as indicated on the disclosure form, TWIC applicants who are not
proficient in English may bring a translator to enrollment to assist in
completing the process. We continue to research other ways to assist
individuals who have limited English proficiency, and work closely with
our security partner groups such as the National Employment Law Project
(NELP) and our TWIC Stakeholder Communications Committee (TSCC) to
gather recommendations and feedback.
Question 12a. It is my understanding that TSA does not know how
many truckers will be required to attain a TWIC and that the Agency has
only recently increased its outreach to the trucking population.
Why doesn't TSA have this information?
Answer. The Transportation Security Administration (TSA) originally
conducted population estimates by working with academia, industry
security partners, trade associations, labor unions, and other
Government agencies to develop an initial population estimate for all
maritime transportation workers, including truckers, who may require a
Transportation Worker Identification Credential (TWIC). Nearly 700,000
trucking companies operate in the United States and provide short-haul,
long-haul, and drayage services and meet pre-planned, as well as just-
in-time delivery requirements. The fluidity and mobility of the
trucking industry add to the complexity of developing population
estimates for truckers who require a TWIC.
Question 12b. Are you confident that 100 percent of the truckers in
this country are aware of the fact that they will have to get a TWIC
card if they transport cargo to and from maritime facilities?
Answer. The Transportation Security Administration (TSA) has worked
closely with the Coast Guard to ensure that truck drivers are aware of
the TWIC requirement and are prepared prior to compliance. In New
England, Coast Guard, in coordination with terminal operators,
conducted pre-compliance checks to ensure that truck drivers were
informed and ready for the new requirement. When compliance went into
effect on October 15, 2008, TSA and Coast Guard received positive
reports about trucker readiness from field personnel. Nearly all truck
drivers presented a TWIC for entry to the terminals. TSA will continue
to work closely with Coast Guard to conduct pre-compliance activities
at all ports to ensure awareness and readiness.
TSA has conducted extensive outreach to maritime transportation
workers, including truckers who transport cargo to and from maritime
facilities. In addition, the Transportation Worker Identification
Credential (TWIC) Final Rule requires that owners and operators inform
their workers of the need for a TWIC. Coast Guard Captain of the Ports
have also conducted extensive local outreach to facility owners and
operators, Area Maritime Security Committees, and regional trucking
companies, to ensure this traditionally non-maritime population is
aware of TWIC.
TSA's communication campaign has included multiple outreach
efforts, including:
A national TWIC Stakeholder Communications Committee (TSCC)
that includes representatives from trucking-related industry
associations and labor unions, such as the American Trucking
Associations (ATA), Intermodal Association of North America
(IANA), Owner-Operator Independent Drivers Association (OOIDA),
AFL-CIO, and the Teamsters. This group meets approximately
every month to review progress and answer stakeholder
questions.
E-mail communication with over 7,000 industry security
partners on a nearly weekly basis.
Attendance at national and local security partner meetings,
conferences, and workshops, including trucking-specific
meetings sponsored by industry associations and State trucking
associations.
Participation in locally sponsored TWIC working groups that
include trucking companies and drivers.
Advertising in trucking trade publications.
Local media events with locally known industry members and
elected representatives to promote TWIC enrollment and
compliance.
Satellite radio call-in programs.
Press releases tailored to drive local media attention.
Port-specific outreach brochures and flyers.
Industry-specific promotional materials, including specific
flyers for trucking, rail, mariner populations.
United States Coast Guard local exercises to promote
enrollment and compliance-readiness through spot checks at
access control points.
Question 13. Railroad personnel will also be required to attain
TWICs and it is my understanding that many of these men and women are
unaware of this obligation.
What outreach have you done with this community?
Have you spoken with all of the labor organizations representing
this large segment of the transportation population?
Answer. The Coast Guard and the Transportation Security
Administration (TSA) have met on numerous occasions with the American
Short Line and Regional Railroad Association (ASLRRA), which represents
over 500 shortline operators across the country, and the American
Association of Railroads (AAR), which represents all Class I freight
railroads in the United States. The Coast Guard and TSA have attended
national and regional meetings with railroad operators and security
personnel, to discuss the requirements of the Transportation Worker
Identification Credential (TWIC) program, and provided maps of all
facilities regulated by the Coast Guard pursuant to the Maritime
Transportation Security Act of 2002 (MTSA) in North America to
facilitate their planning. Both the AAR and ASLRRA have been proactive
in ensuring the railroad operators are aware of the TWIC program and
their responsibility to ensure that personnel who need unescorted
access to secure areas of certain facilities must possess a TWIC. It is
important to note that railroad employees are not specifically required
by law or regulation to obtain a TWIC due to their occupation alone. As
with other forms of transportation, such as trucking, the TWIC
regulations impact all individuals who require unescorted access to
secure areas of facilities or vessels which are regulated under MTSA.
Currently, there are over 3,200 maritime facilities regulated pursuant
to MTSA and over 10,000 vessels.
Questions From Hon. Loretta Sanchez for Stephen M. Lord, Acting
Director, Homeland Security and Justice Issues, Government Accounting
Office
Question 1. One of the challenges you reference in your testimony
is the rate of enrollment, do you think that Department will be able to
successfully overcome this challenge and meet the April 15 deadline?
Answer. While about 498,000 enrollments (41 percent) out of an
estimated target population of 1.2 million had been processed as of
September 12, 2008, an additional 702,000 workers (59 percent) still
need to be enrolled in the program by the April 15, 2009 deadline.
Assuming current enrollment rates of about 45,000 workers per month,
and as highlighted in the testimony, TSA could experience an enrollee
shortfall of several hundred thousand workers by the April 15, 2009
enrollment deadline. While it is difficult to predict whether TSA will
successfully overcome this enrollment challenge, and whether additional
resources will be devoted to help address this enrollment issue, we
will continue to monitor enrollment trends as part of our on-going TWIC
review.
Question 2. Your written testimony references TSA's inability to
successfully predict the number of TWIC applicants. What went wrong?
Why was TSA unable to successfully identify the number of individuals
who would be required to obtain a TWIC?
Answer. According to the TWIC program director, it is difficult to
estimate how many individuals will enroll in the program as no
association, port owner, or Government agency previously tracked this
information. It is difficult to estimate the numbers of some types of
workers requiring TWICs at individual facilities, such as truckers,
since they operate independently and are sometimes engaged in
transporting activities at several ports. We are encouraged that TSA
and its contractor are taking additional steps to update enrollment
estimates for the Ports of Houston, New York, Baton Rouge, Los Angeles,
and Long Beach.
Question 3. The second challenge you reference is technology and
the testing needed to ensure that the readers will be fully
operational. What steps should TSA take to maximize the lessons learned
from the testing that is currently on-going in South Carolina?
Answer. As highlighted in the hearing, we believe that TSA should
carefully test the TWIC technology before fully deploying it. We are
encouraged that TSA is conducting tests of the TWIC technology to
ensure that it can operate effectively in the harsh maritime
environment and in a variety of vessels and port facilities. TWIC's
economic impact on commerce is also being evaluated. As part of our
current review, we will review TSA's testing and assessment of
biometric card readers and other access control technologies in the
maritime environment. A primary objective of the tests is to assess the
effect that using TWIC for biometric verification of identity,
credential authentication, and validation would have on the flow of
commerce. According to TSA's plans, it will need to develop and
promulgate a second rule to govern the use of these readers by ports
and vessels. It will also need to establish a reader conformance
testing program to support future acquisitions. To accomplish these
objectives, TSA will need to carefully structure its tests to ensure
that it will be able to collect the needed data to support these future
decisions and activities. For example, to assess the effect on the flow
of commerce, TSA will need to compare entrance processes and times,
e.g., the number of seconds per transaction, using TWIC readers with
baseline conditions that do not currently use TWIC readers.
Question 4. TSA is going to begin TWIC enforcement before the fixed
readers are in place. Why do you think it has taken so long for the
Department to test the reader technology and rollout a complete program
instead of giant flash-pass?
Answer. Our current and prior work has identified a number of
program challenges related to testing and the program roll-out.
According to the program documentation we reviewed, the pilot tests
will end in late 2009. However, we have not assessed whether this is a
reasonable amount of time for completing these tests. Our final report
will provide an update on the results of these tests, and the time
taken to complete these tests.
Question 5. TSA has not yet established an end date for the reader
pilot test. How long should this pilot last and what should TSA do with
the information that it gains from the pilot?
Answer. TSA's TWIC program schedule indicates that the pilot tests
will be completed in late 2009. At the hearing, the Coast Guard
representative indicated that the draft rule would be issued soon after
the hearing, that is, before the results of the pilot tests are
available. It is important that the technology be fully tested before
it is deployed, and that the results of the tests be used to help
inform the development of the second rule. We will continue to monitor
this issue as part of our on-going TWIC review.
Questions From Hon. Loretta Sanchez for Judith Marks, President,
Transportation and Security Solutions, Lockheed Martin Corporation
Question 1. How much money has Lockheed Martin spent on outreach,
enrollment, screening, and other activities?
Answer. Response was not provided at the time of publication.
Question 2. What is your plan for the post-April 15, 2009 period?
How will you ensure that everyone who needs to get a TWIC after that
date can do so at least as conveniently as today?
Answer. Response was not provided at the time of publication.
Question 3. It is my understanding that TSA is currently
considering whether or not it should give your company an award fee for
the work it has done these past months. Do you believe that Lockheed
Martin has earned this fee and if so, why?
Answer. Response was not provided at the time of publication.
Question 4. One of the issues raised today is the requirement to
return to the Lockheed Martin enrollment center to pick up the TWIC
cards. Many folks have argued that if the State Department can mail
passports then the Homeland Security Department should be able to mail
TWIC cards instead of requiring a second trip to the enrollment
facility. Do you support the concept of mailing the TWIC cards to the
applicants?
Answer. Response was not provided at the time of publication.
Question 5. It is my understanding that TWIC applicants have to
pick up their TWIC cards at the place in which they enrolled. What
happens if they move? Why can't Lockheed Martin send their card to the
enrollment center that is closest to their new home?
Answer. Response was not provided at the time of publication.
Question 6. This morning we learned that Lockheed Martin has not
made the application process available to workers who do not speak
English as their first language, even though many ports, and especially
the truck drivers who work there, have limited English proficiency.
That includes the failure to hire qualified bilingual staff, especially
in major ports with large immigrant populations, translate educational
materials into critical languages, and other safeguards required of
Government contractors under Title VI of the Civil Rights Act of 1964.
Please tell us what specific analysis you have done to determine your
obligations under Title VI at the various ports and what steps you have
taken to provide multilingual services?
Answer. Response was not provided at the time of publication.
Question 7. We have heard from several witnesses about serious
problems with the training of Lockheed Martin's ``trusted agents'' and
the failure to collect all the proper citizenship and immigration
paperwork so workers are not denied their TWIC. What type of training
is provided to your employees?
Answer. Response was not provided at the time of publication.
Question 8. Fourteen TWIC enrollment centers were closed because of
the destruction wrought by Hurricane Ike. What steps have been taken to
bring these centers back on-line?
Answer. Response was not provided at the time of publication.
Question 9. In the short history of your firm's involvement with
TWIC, there have been significant concerns raised about process and
delays. Your firm underestimated the level of support that would be
required for workers to complete the TWIC enrollment process. Can you
assure me that you will devote the necessary resources to assist the
projected 1.5 million transportation workers who will need these cards?
Answer. Response was not provided at the time of publication.
Questions From Hon. Loretta Sanchez for Stephanie Bowman, Manager,
Federal Government Affairs, Port of Tacoma
Question 1. In your written testimony, you reference problems with
the fingerprint readers at the enrollment centers. Please provide us
with more information about this issue.
Answer. Response was not provided at the time of publication.
Question 2. Every time I talk with my constituents about the TWIC
program, I hear about a lack of communication. What is happening at
your port?
Answer. Response was not provided at the time of publication.
Question 3. According to your written testimony, the Port of Tacoma
has developed is own guidelines for escorting personnel. What guidance
has the Department given you with regards to this issue?
Answer. Response was not provided at the time of publication.
Question 4. What guidance has TSA given your port with regards to
TWIC enrollment after the initial phase is completed?
Answer. Response was not provided at the time of publication.
Question 5. How much money and how long will it cost to install
readers at your port?
Answer. Response was not provided at the time of publication.
Questions From Hon. Loretta Sanchez for Philip L. Byrd, Sr., President
and CEO, Bulldog Hiway Express
Question 1. In your written testimony, you stress the need for the
Federal TWIC to be the one-and-only transportation security ID. Why is
this important? Why shouldn't individual States be allowed to have
their own ID?
Answer. Response was not provided at the time of publication.
Question 2. How many different types of background checks do your
drivers currently undergo?
Answer. At Bulldog Hiway Express our drivers are subject to the
following background checks:
TWIC
HME for the CDL
Individual sea port I.D. pass background checks.
This constitutes approximately 12 port I.D.'s for my company.
Question 3. It is my understanding that there has been limited
outreach to the trucking community with regards to the upcoming TWIC
enforcement deadline. What type of outreach has been done in South
Carolina?
Answer. I personally feel that the outreach to the community has
been adequate concerning the upcoming enforcement deadlines.
Question 4. On average, how many times have your drivers had to go
to their respective TWIC enrollment centers?
Answer. On average our drivers have had to make 2 trips to the
enrollment center, and one trip to our office for pre-enrollment. We
still have several drivers that have not received their TWIC card that
date back to the first quarter of 2008.
Question 5. On average, how long has it taken your drivers to
attain a TWIC?
Answer. On average it has taken 2.5 months for our drivers to
attain a TWIC.
Questions From Hon. Loretta Sanchez for Steve Golding, President,
Golding Barge Line
Question 1. What are the biggest problems your employees/members
are experiencing with TWIC enrollment?
Answer. Our employees are experiencing some fingerprint reader
difficulty. This is particularly true with our older mariners. Several
of our employees have been told that they could not pick up their TWIC
cards because the office that they went to was experiencing ``computer
glitches''. Overall the TWIC enrollment process has improved from what
it was 6 months ago.
Question 2. How long, in your experience, does it take from the
time a mariner applies for a TWIC to the time he or she is notified
that the TWIC is ready for pickup?
Answer. The time that a mariner applies for a TWIC card until they
actually are notified that the card is ready for pick-up has greatly
improved. It is now down to about a 2-week average time.
Question 3. Can you describe the changes your company has had to
make to deal with the TWIC requirements? How have they affected your
employees? Tell us about the typical Golding Barge employee who needs a
TWIC and what this requirement has meant to him or her.
Answer. The TWIC process is another obstacle to a new prospective
employee choosing a career in the barge industry. Oftentimes we have to
ask them to travel 2-6 hours round-trip from their home to the nearest
enrollment center to apply, and then ask them to return for a second
trip to pick up their card. It becomes another barrier to their entry
into our industry. Most of the time the applicant needs a job as fast
as he can find it. By adding this traveling and returning to the center
to pick up the card, we have made it harder for us to attract new
hires. We desperately need to alleviate the second trip back to a TWIC
center to pick up the cards. There has to be a secure way to get these
cards back to the mariner like a passport is done.
We need to create more venues to allow a new hire to more
conveniently enroll for a TWIC card. It is not uncommon for a new hire
to have a 6-hour round-trip drive to the nearest TWIC center to get his
or her card. We desperately need to be able to apply for these cards in
post offices, airports, and Coast Guard offices so that we do not put
up more obstacles toward our prospective new employees choosing our
industry.
We need the Coast Guard to be able to extend the interim work
authority from 30 days to 60 days without having to get this approval
from the ``Captain of the Port'' on each individual case. When we have
a new employee and put him on the boat, he is gone for a 30-day period.
He will normally get a notice that his new card is ready to be picked
up between his 10th and 20th day on the boat. He may be 1,000 miles
away from the TWIC center that he enrolled in and in the middle of his
30-day hitch. We do not let our mariners get off the boat during their
30-day hitch unless it is an absolute emergency. We will constantly be
applying for a 60-day interim work authority on our new hires so that
he or she can pick up their TWIC card on their ``days off'' after their
first 30-day hitch. The work schedule of 30 days on and 15 days off
just do not match up for only a 30-day work authority. We desperately
need the 60 days to be made automatic on all new hires so that we do
not have to keep going to the captain of the port and requesting the
60-day authority.
Question 4. Why do you think that card readers aren't necessary on
towing vessels?
Answer. Card readers have no place and serve absolutely no purpose
on an inland towboat. We only carry a crew of six on our boats and
every 2 weeks we only have 3 mariners getting off for crew change, and
three getting on. This crew change is all the interchange of people
that are coming and going on our vessels. Our crews are all very close
friends, or they are related. They live with each other on-board for 8
months out of the year and are only at home for 4 months out of the
year. They know each other better than they know their own families. In
most cases, they are more like family than co-workers. All of my crew
members feel as thought it would be like having to go through a card
reader to come into your own home. The boat is home to my crews and we
want it to feel that way. These readers were designed for busy port
facilities where dozens of people are coming and going each day. The
crews on our towing vessels live together for 8 months out of the year
and need no reader to come back to their homes after being off for 2
weeks vacation.
Questions From Hon. Loretta Sanchez for Laura Moskowitz, Staff
Attorney, National Employment Law Project (NELP)
Question 1a. In your written testimony, you talk about how workers
are unfairly denied a TWIC by TSA based on inaccurate and unreliable
criminal history information because 50 percent of the FBI's records
are incomplete. That happens mostly because the States fail to update
the status of arrest records to let the FBI know if there has in fact
been a conviction.
Why is this a problem for workers applying for a TWIC card and what
can TSA do right away to fix it?
Answer. Response was not provided at the time of publication.
Question 1b. What steps should the FBI take to fix its databases?
Answer. Response was not provided at the time of publication.
Question 2. According to your written testimony, many workers with
criminal records are afraid to apply for a TWIC, which may have
something to do with the low enrollment rates. In your experience
providing training to workers and helping in various ports, what is the
most important thing that TSA and Lockheed Martin can do right away to
get at this serious problem?
Answer. Response was not provided at the time of publication.
Question 3a. We heard today, that even U.S. citizens are having a
hard time navigating the process with Lockheed Martin's ``trusted
agents'' and with TSA to prove that they are qualified for a TWIC.
How often does this happen in your experience?
Answer. Response was not provided at the time of publication.
Question 3b. What should Lockheed Martin and TSA do right away to
ensure that all eligible workers in this situation are not denied the
TWIC and made to jump through so many hoops that they are discouraged
from applying or appealing?
Answer. Response was not provided at the time of publication.
Question 4. Many non-native English speakers are struggling to fill
out the TWIC paperwork and many of these individuals are having to rely
on their friends and family to translate for them. In your experience,
how often is this happening and where is this occurring?
Answer. Response was not provided at the time of publication.
Question 5. Over the past several months, you have helped many
transportation workers track down missing paperwork so that they can
appeal an initial disqualification. On average, how much time does it
take and how much does it cost to track down this information?
Answer. Response was not provided at the time of publication.
Question 6. In your testimony, you highlight the current flaws with
the administration's databases and watchlists--flaws that have made it
more difficult for a former Navy reservist--a U.S. citizen--to obtain a
TWIC card. What should the administration do to fix us this problem?
Answer. Response was not provided at the time of publication.