Aviation Security: Enhancements Made in Passenger and Checked
Baggage Screening, but Challenges Remain (04-APR-06,
GAO-06-371T).
Securing commercial aviation is a daunting task--with hundreds of
airports, thousands of aircraft, and thousands of flights daily
carrying millions of passengers and pieces of checked baggage. It
has been over 3 years since the Transportation Security
Administration (TSA) assumed responsibility for passenger and
baggage screening at commercial airports. This testimony focuses
on the progress TSA is making in strengthening airline passenger
and checked baggage screening and the challenges that remain.
Particularly, this testimony highlights TSA's efforts to (1)
enhance the performance, management, and deployment of the
transportation security officer (TSO) workforce; (2) strengthen
procedures for screening passengers and checked baggage; and (3)
leverage and deploy screening technologies.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-06-371T
ACCNO: A50719
TITLE: Aviation Security: Enhancements Made in Passenger and
Checked Baggage Screening, but Challenges Remain
DATE: 04/04/2006
SUBJECT: Airport personnel
Airport security
Baggage screening
Commercial aviation
Employee training
Labor force
Passenger screening
Performance management
Strategic planning
Policies and procedures
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GAO-06-371T
* Passenger and Checked Baggage Screening
* TSA Has Taken Steps to Better Manage Its TSO Workforce, but
* TSA Has Strengthened TSO Training but Faces Challenges in De
* Proposed Passenger Checkpoint Screening Procedural Changes A
* TSA Could Strengthen Its Evaluation of Proposed Screening Pr
* DHS and TSA Are Taking Steps to Develop and Deploy Technolog
* TSA Is Focusing Its Checked Baggage Strategic Planning Effor
* Order by Mail or Phone
Testimony before the Committee on Commerce, Science, and Transportation,
U.S. Senate
United States Government Accountability Office
GAO
For Release on Delivery Expected at 10:00 a.m. EDT
Tuesday, April 4, 2006
AVIATION SECURITY
Enhancements Made in Passenger and Checked Baggage Screening, but
Challenges Remain
Statement of Cathleen A. Berrick, Director,
Homeland Security and Justice Issues
GAO-06-371T
Mr. Chairman and Members of the Committee:
I appreciate the opportunity to participate in today's hearing to discuss
the progress made and challenges remaining in the physical screening of
airline passengers and their checked baggage, and in the deployment of
explosive detection technologies. Securing commercial aviation is a
daunting task-with hundreds of airports, thousands of aircraft, and
thousands of flights daily carrying millions of passengers and pieces of
checked baggage. The Aviation and Transportation Security Act (ATSA),
enacted on November 19, 2001, created the Transportation Security
Administration (TSA) and mandated actions designed to strengthen aviation
security, including requiring that TSA assume responsibility for
conducting passenger and checked baggage screening at over 400 commercial
airports in the United States by November 19, 2002. It has been over 3
years since TSA assumed this responsibility, and the agency has spent
billions of dollars and implemented a wide range of initiatives to
strengthen the key components of its passenger and checked baggage
screening systems-people, processes, and technology. These components are
interconnected and are critical to the overall security of commercial
aviation.
My testimony today focuses on the progress TSA is making in strengthening
airline passenger and checked baggage screening, and the challenges that
remain. In particular, my testimony highlights four key areas, including
TSA's efforts to (1) enhance the performance of the transportation
security officer (TSO-formerly referred to as screeners) workforce and
manage and deploy the TSO workforce; (2) strengthen procedures for
screening passengers and checked baggage on passenger aircraft; (3)
leverage and deploy screening technologies; and (4) measure the
effectiveness of its passenger and checked baggage screening systems.
My comments are based on issued GAO reports and testimonies addressing the
security of the U.S. commercial aviation system and our preliminary
observations from ongoing work on TSA's passenger checkpoint screening
procedures and staffing standards for TSOs. We did our work in accordance
with generally accepted government auditing standards. Appendix I contains
a list of related GAO products released since September 11, 2001.
Summary
TSA has taken steps to enhance the performance, management, and deployment
of its TSO workforce, but it continues to face staffing and training
challenges. Acknowledging imbalances in the screener workforce, TSA
developed standards for determining TSO staffing for all airports at which
federal screening is required and developed a Screening Allocation Model
(SAM) to determine airport staffing levels. In determining staffing
allocations, the SAM takes into account not only flight and passenger
data, but also data unique to each airport-including flight schedules,
load factors, passenger and baggage distribution curves, and TSA passenger
and baggage screening configurations. However, in interviewing several
Federal Security Directors (FSD)-the ranking authorities responsible for
the leadership and coordination of TSA security activities at the nation's
commercial airports-we identified some preliminary concerns about the SAM.
For example, one assumption of the SAM is that 20 percent of the TSO
workforce at airports will be part-time. However, FSDs whom we spoke to
said that it has been a challenge to attract, hire, and retain TSA's
part-time TSO workforce, which has made this goal difficult to achieve.
Further, several of the FSDs we interviewed stated that they had not been
able to hire up to their authorized staffing levels, and that the SAM did
not take into account that TSOs were also being routinely used to carry
out non-screening and administrative duties. TSA has established the
National Screening Force to provide screening support to all airports in
times of special need, and implemented a number of initiatives to reduce
attrition among its TSO workforce. In addition to having an adequate
number of screeners, effective screening involves screeners being properly
trained to do their job. TSA has taken numerous steps to expand training
beyond the basic training requirement to include self-guided courses on
its Online Learning Center; a recurrent training requirement of 3-hours
per week, averaged over a quarter; and training on threat information,
explosives detection, and new screening approaches. However, insufficient
TSO staffing and a lack of high-speed Internet/intranet connectivity
create impediments to the TSO workforce taking full advantage of training
opportunities.
TSA is proposing changes to its screening procedures to enhance detection
capabilities, but could strengthen its evaluation of these procedures.
Since April 2005, TSA has gathered proposals for passenger screening
procedural changes from a variety of sources within the agency. Based on
preliminary observations from our ongoing review, we found that most of
these proposed changes for passenger screening were intended to improve
efficiency or TSA's ability to detect prohibited items. Other
security-related changes to passenger screening procedures are made based
on several risk-based factors, including results of covert (undercover,
unannounced) tests that are designed to reveal vulnerabilities in the
screening system. TSA also recently piloted additional procedures that
would incorporate unpredictability into the screening system and allow
TSOs to determine the level of screening passengers should receive based
on suspicious behavior. TSA vets proposed screening procedural changes
through various TSA offices and tests significant proposed changes in an
operational environment. However, our preliminary observations indicate
that TSA's evaluation of procedural changes could be strengthened to
include how the procedure would reduce vulnerability to a terrorist
attack.
TSA is supporting the development and deployment of technologies to
strengthen commercial aviation security but faces management and funding
challenges. Effective screening depends on having the right technology in
place to detect threats, and TSA has taken steps to deploy and develop
technologies to strengthen commercial aviation security. However,
challenges in funding and planning created impediments to the technology's
implementation. For example, to improve explosives detection at some
passenger screening checkpoints, TSA has deployed explosives trace portal
machines, which use puffs of air to help detect the presence of explosives
on individuals. The Department of Homeland Security's (DHS) fiscal year
2007 budget request states that about 434 explosive trace portal machines
will be in operation throughout the country during fiscal year 2007.
However, limited progress has been made in fielding other explosives
detection technology at passenger checkpoints. At baggage screening
checkpoints, TSA has been effective in deploying explosive trace detection
systems (in which TSOs collect samples by rubbing bags with swabs, which
are chemically analyzed to identify any traces of explosive materials) and
the more efficient explosive detection systems (in which probing radiation
is used to examine objects inside baggage and identify characteristic
signatures of threat explosives). Now that the initial deployment of this
equipment has been completed, however, TSA must focus on deploying
enhanced explosive detection systems, including larger or smaller models
depending on the needs of a particular airport, and on incorporating
explosive detection systems in-line with baggage conveyer systems, to
further enhance efficiency and security. In looking to the future, DHS has
agreed with our recommendations to improve its research and development
(R&D) management and planning, including completing basic research,
strategic planning, and risk assessment efforts; coordinating R&D efforts
with transportation stakeholders; and assessing the costs and benefits of
deploying explosive detection systems-either in-line or stand-alone at the
nation's airports. In February 2006, TSA took a positive step forward by
completing a strategic framework for its checked baggage screening
operations that will help ensure the efficient allocation of limited
resources to maximize technology's effectiveness in detecting threats.
However, additional work will be needed to determine funding and
deployment strategies to support the implementation of in-line baggage
screening systems.
TSA has measures in place to assess the effectiveness of passenger and
checked baggage screening systems. TSA headquarters has conducted covert
testing of passenger and checked baggage screening by having inspectors
attempt to pass threat objects through checkpoints in order to measure
vulnerabilities and identify systematic problems affecting TSO performance
in the areas of training, procedures, and technology. These tests have
identified that, overall, weaknesses and vulnerabilities exist in the
passenger and checked baggage screening systems. Implemented in September
2002, the testing protocols for passenger and checked baggage screening
changed in September 2005 to implement a more risk-based approach and
focus on catastrophic threats to aircraft. Additionally, in February 2004
and February 2005, for passengers and checked baggage, respectively, TSA
issued protocols to help FSDs conduct covert testing of local airport
screening activities. Other ways TSA tests the effectiveness of passenger
and baggage screening include the use of the Threat Image Projection
system, which projects threat images onto a screen as the bag is screened
to test the screener's ability to positively identify the threat; annual
screener recertification testing; and passenger and checked baggage
performance indexes. These performance indexes reflect indicators of
effectiveness, efficiency, and customer satisfaction. However, due to a
lack of targets for each component of the index, TSA may have difficulty
performing meaningful analyses of the parts of the index.
Background
Following the terrorist attacks of September 11, the President signed the
Aviation and Transportation Security Act into law on November 19, 2001,
with the primary goal of strengthening the security of the nation's
aviation system. To this end, ATSA created TSA as an agency with
responsibility for securing all modes of transportation, including
aviation.1 As part of this responsibility, TSA oversees security
operations at the nation's more than 400 commercial airports, including
passenger and checked baggage screening operations. Prior to the passage
of ATSA, the screening of passengers and checked baggage had been
performed by private screening companies under contract to the airlines.
The Federal Aviation Administration (FAA) was responsible for ensuring
compliance with screening regulations. Today, TSA security activities,
including passenger and checked baggage screening at airports, are
overseen by Federal Security Directors-the ranking authorities responsible
for the leadership and coordination of TSA security activities at the
nation's commercial airports. Each FSD is responsible for overseeing
security activities, including passenger and checked baggage screening, at
one or more commercial airports.
1ATSA created TSA as an agency within the Department of Transportation
(DOT) with responsibility for securing all modes of transportation,
including aviation. Pub. L. No. 107-71, S: 101, 115 Stat. 597 (2001). The
Homeland Security Act of 2002, signed into law on November 25, 2002,
transferred TSA from the DOT to the new Department of Homeland Security
Pub. L. No. 107-296, S: 403, 116 Stat. 2135, 2178.
TSA reported that between October 2004 and September 2005, about 735
million passengers were physically screened. In addition, 550 million bags
were screened using explosive detection systems with standard screening
procedures.
Passenger and Checked Baggage Screening
In addition to establishing TSA and giving it responsibility for passenger
and checked baggage screening operations, ATSA set forth specific
enhancements to screening operations for TSA to implement, with deadlines
for completing many of them. These requirements included
o assuming responsibility for screeners and screening operations
at more than 400 commercial airports by November 19, 2002;
o establishing a basic screener training program composed of a
minimum of 40 hours of classroom instruction and 60 hours of
on-the-job training;
o conducting an annual proficiency review of all screeners;
o conducting operational testing of screeners;2
o requiring remedial training for any screener who fails an
operational test; and
o screening all checked baggage for explosives using explosives
detection systems by December 31, 2002.3
Passenger screening is a process by which authorized TSA personnel
inspect individuals and property to deter and prevent the carriage
of any unauthorized explosive, incendiary, weapon, or other
dangerous item onboard an aircraft or into a sterile area.4 TSOs
(formerly referred to as screeners) must inspect individuals for
prohibited items at designated screening locations.5 The four
passenger screening functions are (1) X-ray screening of property,
(2) walk-through metal detector screening of individuals, (3)
hand-wand or pat-down screening of individuals, and (4) physical
search of property and trace detection for explosives.
Checked baggage screening is a process by which authorized
security screening personnel inspect checked baggage to deter,
detect, and prevent the carriage of any unauthorized explosive,
incendiary, or weapon onboard an aircraft. Checked baggage
screening is accomplished through the use of explosive detection
systems6 (EDS) or explosive trace detection (ETD) systems,7 and
through the use of other means, such as manual searches, canine
teams, and positive passenger bag match,8 when EDS and ETD systems
are unavailable.
The conference report accompanying the fiscal year 2006 DHS
appropriations act allocates about $3.6 billion to TSA for
passenger and checked baggage screening operations, of which about
$2.4 billion is for the TSO workforce and the remaining amount is
for private sector TSOs,9 equipment purchase, installation and
maintenance, and support functions associated with the TSO
workforce, such as training and other human resource functions.10
The President's fiscal year 2007 budget request includes about
$3.5 billion for passenger and checked baggage screening, of which
about $2.5 billion would support the TSO workforce.
TSA has taken and has planned actions to strengthen its management
and deployment of the TSO workforce, but it continues to face
challenges in hiring and deploying passenger and checked baggage
TSOs. To accomplish its security mission, TSA needs a sufficient
number of passenger and checked baggage TSOs trained and certified
in the latest screening procedures and technology. We reported in
February 2004 that staffing shortages and TSA's hiring process had
hindered the ability of some FSDs to provide sufficient resources
to staff screening checkpoints and oversee screening operations at
their checkpoints without using additional measures such as
overtime.11 TSA has acknowledged that its initial staffing efforts
created imbalances in the screener workforce and has since been
taking steps to address these imbalances over the past 2 years.
The Intelligence Reform and Terrorism Prevention Act of 2004
required TSA to develop and submit to Congress standards for
determining the aviation security staffing for all airports at
which screening is required.12 The act also directed GAO to review
these standards, which we are doing. These staffing standards are
to provide for necessary levels of airport security, while also
ensuring that security-related delays experienced by airline
passengers are minimized. In June 2005, TSA submitted its report
on aviation security staffing standards to Congress. Known as the
Screening Allocation Model (SAM), these standards are intended to
provide an objective measure for determining TSO airport staffing
levels, while staying within the congressionally mandated limit of
45,000 full-time equivalents (FTE) screeners. 13
Whereas TSA's prior staffing model was demand-driven based on
flight and passenger data, the SAM model analyzes not only demand
data but also data on the flow of passenger and baggage through
the airport and the availability of the workforce. In determining
the appropriate TSO staffing levels, the SAM first considers the
workload demands unique to each individual airport-including
flight schedules, load factors and connecting flights, and number
of passenger bags. These demand inputs are then processed against
certain assumptions about the processing of passengers and
baggage-including expected passenger and baggage processing rates,
required staffing for passenger lanes and baggage equipment, and
equipment alarm rates. Using these and various other data, the SAM
determines the daily workforce requirements and calculates a work
schedule for each airport. The schedule identifies a recommended
mix of full-time and part-time staff and a total number of TSO FTE
needed to staff the airport, consistent with a goal of 10 minutes
maximum wait time for processing passengers and baggage.
For fiscal year 2006, the SAM model estimated a requirement of
42,170 TSO FTEs for all airports nationwide. In order to stay
within a 43,000 TSO FTE budgetary limit for fiscal year 2006, TSA
officials reduced the number of FTEs allocated to airports to
42,056, which allowed it to fund the 615 TSO FTEs in the National
Screener Force-a force composed of TSOs who provide screening
support to all airports------and to maintain a contingency of 329
TSO FTEs in reserve to meet unanticipated demands, such as a new
air carrier coming on line at an airport.14 As of January 2006,
there were 37,501 full-time TSOs and 5,782 part-time TSOs on board
nationwide, representing an annualized rate of 41,085 TSO FTEs.
According to TSA headquarters officials, the SAM can be adjusted
to account for the uniqueness of particular airport security
checkpoints and airline traffic patterns. Further, it is up to the
FSDs to ensure that all of the data elements and assumptions are
accurate for their airports, and to bring to TSA's attention any
factors that should be reviewed to determine if changes to the SAM
are appropriate. The President's fiscal year 2007 budget requests
a total of 45,121 FTEs for TSO personnel compensation and
benefits.
As part of our ongoing review of the SAM model, we have identified
several preliminary concerns about TSA's efforts to address its
staffing imbalances and ensure appropriate coverage at airport
passenger and checked baggage screening checkpoints, which we are
continuing to assess. At the five airports we visited, FSD staff
raised concerns about the SAM assumptions as they related to their
particular airports.15 Among other things, they noted that the
recommendation for 20 percent part-time TSO workforce-measured in
terms of FTEs-often could not be reached, the expected processing
rates for passenger and baggage screening were not being realized,
non-passenger screening at large airports was higher than assumed,
and the number of TSO FTEs needed per checkpoint lane and per
baggage screening machine was not sufficient for peak periods.
Regarding the SAM assumption of a 20 percent part-time TSO FTE
level across all airports, FSD staff we visited stated that the 20
percent goal has been difficult to achieve because of, among other
things, economic conditions leading to competition for part-time
workers, remote airport locations coupled with a lack of mass
transit, TSO base pay that has not changed since fiscal year 2002,
and part-time workers' desire to convert to full-time status.
According to TSA headquarters officials, while the nationwide
annual TSO attrition rate is about 23 percent (compared to a rate
of 14 percent reported in February 2004), it is over 50 percent
for part-time TSOs. TSA has struggled with hiring part-time TSOs
since it began actively recruiting them in the summer of 2003. In
February 2004, we reported that FSDs at several of the airports we
visited stated that they experienced difficulty in attracting
needed part-time screeners, which they believed to be due to many
of the same factors, such as low pay and benefits, undesirable
hours, the location of their airport, the lack of accessible and
affordable parking or public transportation, and the high cost of
living in the areas surrounding some airports.16 These FSDs stated
that very few full-time screeners were interested in converting to
part-time status-a condition that still exists-and TSA officials
stated that attrition rates for part-time screeners were
considerably higher than those for full-time screeners.
At two of the five airports we visited as part of our ongoing
review of the SAM model, FSD staff told us that they had not been
able to hire up to their authorized staffing levels. In February
2004, we reported that many of the FSDs we interviewed expressed
concern that TSA's hiring process was not responsive to their
needs and hindered their ability to reach their authorized
staffing levels and adequately staff screening checkpoints.
Specifically, FSDs expressed concern with the lack of a continuous
hiring process to backfill screeners lost through attrition, and
their lack of authority to conduct hiring on an as-needed basis.
We reported that TSA was taking steps to make the hiring process
more responsive to FSDs' needs. Since then, TSA has provided FSDs
with more input into the hiring process in an effort to streamline
the process and enable FSDs to more quickly meet their staffing
needs.
During our five airport visits, some FSD staff also cited another
limitation of the SAM-specifically, that the model does not
account for screeners who are performing administrative or other
duties. The officials also noted that, because they are not
authorized to hire a sufficient number of mission support staff,
TSOs are being routinely used-in some cases full time-to carry out
non-screening and administrative duties, including supporting
payroll, scheduling, uniform supplies, legal support, logistics,
and operations center activities. At the five airports we visited
in January and February 2006, out of a total of 2,572 TSO FTEs
on-board at those airports, roughly 136 FTEs (just over five
percent) were being used for administrative duties. FSD staff
stated that some of these TSOs are being used on a part-time
basis, while others are used on a full-time basis. The use of TSOs
in these support functions could adversely affect the ability of
FSDs to adequately staff their screening checkpoints.
To compensate for screener shortages and to enable operational
flexibility to respond to changes in risk and threat, in October
2003, TSA established a National Transportation Security Officer
(TSO) Force (formerly known as the Mobile Screening Force
established in November 2002) to provide screening support to all
airports in times of emergency, seasonal demands, or under other
special circumstances that require a greater number of screeners
than regularly available to FSDs. In February 2004, we reported
that the National Screening Force consisted of over 700 full-time
passenger and baggage TSOs. TSA officials stated that while these
screeners have a home airport to which they are assigned, they
travel to airports in need of screening staff approximately 70
percent of the year.
TSA budgeted for 615 FTEs for the National Screening Force in
fiscal year 2006. The President's fiscal year 2007 budget request
includes $35 million for operational expenses of the force (not
including salaries and benefits of force members). According to
the budget request, in fiscal year 2007, the National Screening
Force will generally be deployed only to those airports
experiencing significant staffing shortfalls associated with
increased seasonal traffic or when a special event, such as a
Super Bowl or a large national conference, occurs requiring an
immediate influx of additional TSO support. At one category X
airport we recently visited, the FSD stated that because of
challenges in hiring and retaining TSOs for this airport, he
currently had 59 members of the National Screening Force deployed
to his airport, and had been relying on this force since 2004. The
President's fiscal year 2007 budget request states that TSA will
continue to review methods for reducing costs associated with this
force, including ensuring that each airport has a sufficient
staffing program in place to address short-term needs.
In February 2006 in the President's fiscal year 2007 budget
request, TSA identified a number of initiatives it has under way
to address the management of the TSO workforce, including
o requesting $10 million to support TSO retention programs,
including utilizing workforce retention flexibilities to
potentially include pay for performance, performance bonuses,
retention allowances, college credit reimbursement, and flexible
staffing; and
o establishing retention incentives for part-time screeners.
We will continue to examine these efforts as part of our ongoing
work on TSA's aviation security staffing standards.
Since we reported on TSO training in September 2003,17 TSA has
taken a number of actions designed to strengthen training
available to the TSO workforce as part of its efforts to enhance
the performance of TSOs. Additionally, TSA's Office of Inspections
(OI, formerly the Office of Internal Affairs and Program Review)
makes recommendations to TSA leadership in its reports on covert
(undercover, unannounced) testing results. These recommendations
address deficiencies identified during testing and are intended to
improve screening effectiveness. As of December 2005, OI had
issued 29 reports to management on the results of its checkpoint
and checked baggage covert testing. In total, the reports include
19 distinct recommendations related to passenger and checked
baggage screening.18 Of these 19 recommendations, 11 relate to
screener training.
In September 2003, we reported that TSA had not fully developed or
deployed a recurrent training program for passenger TSOs. At that
time, little training was available to TSOs once they completed
their basic TSO training. Since then, TSA has expanded training
available to the TSO workforce, such as introducing an Online
Learning Center that makes self-guided courses available over
TSA's intranet and the Internet and expanding training available
to supervisory TSOs. TSA also established a recurrent training
requirement of 3 hours per week, averaged over a quarter, and
provided FSDs with additional tools to facilitate and enhance TSO
training, including at least one modular bomb set kit-containing
components of an improvised explosive device (IED)-and at least
one weapons training kit. TSA has also instituted a program called
"Threat in the Spotlight" that, based on intelligence TSA
receives, provides screeners with the latest in threat information
regarding terrorist attempts to get threat objects past screening
checkpoints. Additionally, in December 2005, TSA reported
completing enhanced explosives detection training for over 18,000
TSOs. This training included both classroom and hands-on
experiences, and focused particularly on identifying X-ray images
of IED component parts, not just a completely assembled bomb. TSA
plans for the remaining TSO workforce to receive this training by
June 2006 through the Online Learning Center or other delivery
methods. TSA also has developed new training curricula to support
new screening approaches. For example, TSA recently developed a
training curriculum for TSOs in behavior observation and analysis
at the checkpoint to identify passengers exhibiting behaviors
indicative of stress, fear, or deception.
However, as we reported in May 2005, insufficient TSO staffing and
a lack of high-speed Internet/intranet connectivity to access the
Online Learning Center have made it difficult for all TSOs at many
airports to receive required training and has limited TSO access
to TSA training tools.19 As previously discussed, TSA is taking
steps to address the TSO staffing challenges. However, it is too
soon to determine whether TSA's efforts will address TSA's ability
to provide required training while maintaining adequate coverage
for screening operations. In terms of access to the Online
Learning Center, TSA plans to complete the deployment of
high-speed Internet/intranet connectivity to airports during
fiscal year 2007. TSA established its Online Learning Center to
provide passenger and baggage screeners with online, high-speed
access to training courses. However, effective use of the Online
Learning Center requires high-speed Internet/intranet access,
which TSA had not been able to provide to all airports. In May
2005, we reported that as of October 2004, about 45 percent of the
TSO workforce did not have high speed Internet/intranet access to
the Online Learning Center. The President's fiscal year 2007
budget request reports that approximately 220 of the more than 400
airport and field locations have full Information Technology (IT)
infrastructure installation, to include high-speed network
connectivity, while the rest of the airports operate with dial-up
access to TSA systems. According to the budget request, TSA will
use $120 million in fiscal year 2006 to deploy high-speed
connectivity to all category X and I airports and preliminary
high-speed connectivity to all category II, III, and IV airports.
The budget request includes a request for a total of $90 million
to support this effort in fiscal year 2007, of which $54 million
is needed to complete the deployment of high-speed connectivity at
category II, III, and IV airports.20
Our preliminary analysis of TSA data indicates that since April
2005, TSA has considered 70 proposed changes to passenger
checkpoint screening procedures.21 Most of these proposed changes
were generated by TSA airport officials and TSA's Security
Operations division, which is responsible for developing and
overseeing the implementation of checkpoint screening procedures.
TSA headquarters also formally solicited input from TSA airport
staff by initiating a field review of standard operating
procedures (SOP), which involved representatives from airports
across the nation. This review resulted in 120 suggested revisions
to the passenger checkpoint screening procedures. To a lesser
extent, changes to checkpoint screening procedures are recommended
by TSA senior leadership, such as the Assistant Administrator of
Security Operations or the Assistant Secretary. Congress has also
proposed and subsequently mandated changes to checkpoint screening
procedures, such as adding lighters to the list of items
prohibited on aircraft. According to a senior TSA official, recent
suggestions for procedural changes, such as removing small
scissors from the prohibited items list to allow TSOs to focus on
higher risk items, were generated by a TSA task force focused on
improving the agency's ability to detect explosives at the
screening checkpoint.
Based on our preliminary analysis, the majority of proposed SOP
changes considered by TSA in April 2005, August 2005, September
2005, and December 2005 were not specifically designed to enhance
the security of the screening process.22 Of the 70 proposed
checkpoint screening SOP changes considered by TSA, 23 were
intended to improve the efficiency of the screening process (e.g.
passenger flow) such as modifying the HazMat reporting
requirements to exclude torch lighters and pepper spray in
quantities less than 4 ounces. Seven of the 70 proposed changes
considered by TSA during this period were intended to specify or
clarify procedures for passengers requiring special consideration,
such as law enforcement officers. Ten of the proposed changes were
specifically intended to improve TSA's ability to detect
prohibited items. Sixteen proposed changes were intended to
enhance customer service or clarify the wording of the SOP.
Fourteen of the 70 proposed changes were not included in these
categories.23
According to TSA, security-related proposed changes to checkpoint
screening procedures are based on risk-based factors, including
previous terrorist incidents, threat information, vulnerabilities
of the screening system, as well as operational experience and
stakeholder concerns. For example, according to TSA officials, the
initial change to the pat-down procedure in September 2004 was
based on the attacks carried out on two Russian aircraft.
According to TSA, the pat-down procedure was further revised in
response to passenger concerns that the procedure was too
invasive. TSA officials stated that the pat-down procedure was
changed a third time based on additional threat information. TSA
also informed us that reported threat information led them to
further amend the pat-down procedure in December 2005.
Recommended changes to passenger checkpoint screening procedures
are also generated based on the results of covert testing
conducting by TSA's Office of Inspections and the DHS Office of
Inspector General (OIG). Covert tests are designed to assess
vulnerabilities in the checkpoint screening system to specific
threats, such as vulnerability to the various methods by which
terrorists may try to conceal hand guns, knives, or IEDs. OI and
the DHS OIG identified vulnerabilities in the checkpoint screening
system, which existed, in part, due to deficiencies in screening
procedures. To address these vulnerabilities, since March 2005, OI
and the DHS OIG recommended four changes to the passenger
checkpoint screening procedures.24 TSA has also made procedure
changes in response to operational experience and stakeholder
concerns. For example, TSA changed the SOP to specify the
"individual tester" instead of "supervisor" to alleviate field
confusion that supervisors were the only ones allowed to perform a
particular task. Also, based on field input, TSA is changing the
SOP to allow TSOs to instruct passengers with long hair to hold
their hair during the explosives trace portal (ETP) screening
process. TSA also made changes due to stakeholder concern, such as
modifications to the pat-down procedure. After passengers
expressed discomfort with the invasive nature of the procedure,
TSA modified it to be less invasive while maintaining its security
effectiveness.
As previously mentioned, TSA airport staff and headquarters
officials suggest changes to checkpoint screening procedures to
generally improve the efficiency, effectiveness and clarity of
screening procedures. These proposed procedural changes are
periodically gathered and vetted through various TSA offices, and
ultimately the Assistant Administrator of Security Operations, for
approval. The offices involved in the review process for SOP
changes include Security Operations, Office of Chief Counsel, and
the Office of Training. As required, proposed procedural changes
are also evaluated by other offices including the Office of
Intelligence and Analysis, Office of Civil Rights, and Office of
Passengers with Disabilities. Representatives of these component
divisions meet informally or formally to discuss proposed changes
and determine whether the changes should be incorporated into the
checkpoint screening SOP.
In addition, TSA officials informed us that the agency evaluates
all significant proposed changes in an operational environment
prior to determining whether such changes should be implemented
nationwide. Specifically, under the current Assistant Secretary,
TSA pilot tests changes that require substantial training or that
may generate concerns from the traveling public. The significant
changes implemented in December 2005 include revisions to the
pat-down procedure, the procedure for searching carry-on luggage,
the process for screening selectee passengers,25 and the list of
items prohibited on aircraft. The major changes also include a new
procedure for screening passengers for IEDs. While TSA evaluated
these procedures in an operational environment, our preliminary
analysis suggests that the evaluations primarily focused on the
operational feasibility of the procedures, and less on how these
procedures would reduce vulnerability to a terrorist attack. TSA
assesses the vulnerability of the existing checkpoint screening
system by conducting covert tests in which persons attempt to
carry prohibited items through the checkpoint without the items
being detected. However, TSA officials questioned whether covert
testing could be used to assess statistically whether new
procedures would decrease the vulnerability of the screening
system. For example, TSA officials stated that since some
procedures are only piloted in the operational environment for a
few days, TSA could not run enough covert tests for the results to
allow for comprehensive analysis of reduced vulnerability. TSA
officials also stated that because the agency implements a layered
approach to passenger screening, it would be difficult to
determine the extent to which any one layer reduces vulnerability
of the checkpoint screening system.
During the course of our review, we met with five aviation
security experts, four of which identified covert testing as the
best way to assess the security effectiveness of new and existing
procedures. However, they also acknowledged the difficulty of
using covert testing to assess the extent to which specific
procedures would reduce vulnerabilities, especially considering
that the effectiveness of a procedure also relies on the
capability of TSOs and screening equipment.
TSA also recently piloted additional procedures that would
incorporate unpredictability into the screening system and that
would allow TSOs to determine the level of screening passengers
should receive based on suspicious behavior. While TSA has not yet
determined whether to incorporate these new procedures into the
SOP, our preliminary observations indicate that TSA did not have a
formal evaluation plan in place when piloting these procedures.
Regarding screening passengers based on suspicious behavior, TSA
officials stated that this method has been successful for law
enforcement officials, including those operating in airports, as
well as aviation officials in other countries such as Israel. FSD
staff at three airports that participated in the piloting of these
procedures identified factors TSA headquarters should consider
prior to implementing these procedures, one of which is the lack
of TSOs to conduct these procedures. FSD staff at one airport said
that they had to close a screening lane in order to have a
sufficient number of TSOs to implement the piloted procedure. FSD
staff at all three airports also reported that some TSOs had to
work overtime so that other TSOs could be trained to implement
these procedures. TSA headquarters staff stated that the
prohibited items list and changes to other programs would offset
the additional TSO resources needed to implement these procedures.
However, FSD staff with whom we spoke at 2 of the airports that
piloted these procedures stated that the changes made did not free
up screening resources as was planned.
DHS's and TSA's research and development efforts for passenger and
checked baggage screening are part of a broader DHS program
focused on researching and developing technologies to detect,
prevent, and mitigate terrorist threats. History has shown that
terrorists will adapt their tactics and techniques in an attempt
to bypass increased security procedures, and are capable of
developing increasingly sophisticated measures in an attempt to
avoid detection. This ever changing threat necessitates the need
for continued R&D of new technologies and the fielding of these
technologies to strengthen aviation security.
In March 2005, the DHS OIG reported that significant improvement
in screener performance may not be possible without greater use of
new technology. The DHS OIG encouraged TSA to expedite its testing
programs and give priority to technologies that will enable the
screening workforce to better detect both weapons and explosives.
In addition, the President's fiscal year 2007 budget request
states that checkpoints do not currently have the ability to
accurately and quickly detect explosives on all passengers, and
only a minimal number of airline passengers are directed to a
selectee lane for further inspection in which they are manually
searched for explosives. The request further states that "many
travelers are allowed to pass through the checkpoints without
complete testing and detection," and recognizes the importance of
filling this detection gap. TSA officials stated that the agency
is addressing this issue through a variety of security measures.
TSA has recently put increased focus on the threats posed by IEDs
and is investing in technology for this purpose. For example,
about 60 explosives trace portal machines have been installed at
over 20 airports. This new technology uses puffs of air to help
detect the presence of explosives on individuals. DHS's fiscal
year 2007 budget request states that TSA expects that about 434
explosive trace portal machines will be in operation throughout
the country by September 2007. TSA is also developing backscatter
technology, in which backscatter signals interact with explosives,
plastics and metals, giving them shape and form and making them
easy to visually interpret. However, limited progress has been
made in fielding this technology at airport passenger screening
checkpoints. We will soon begin a review of DHS's and TSA's
progress in planning for, managing, and deploying their R&D
programs in support of passenger checkpoint screening operations.
To enhance checked baggage screening, TSA is developing and
testing next-generation EDS machines. Most of the currently
deployed EDS technology was developed prior to the passage of ATSA
and was based on criteria set forth by Congress in the Aviation
Security Improvement Act of 1990. According to TSA, since the
large-scale deployment of EDS machines in 2002 and 2003,
manufacturers have only marginally improved false alarm rates and
throughput capabilities of the equipment. The maximum number of
bags an EDS machine can screen per hour is 500, which can be
achieved only when the machines are integrated in-line with the
baggage conveyor system. New EDS equipment was certified in 2005,
including a smaller EDS machine designed to replace ETD machines
used for primary screening and an upgraded large EDS machine. In
September 2005, TSA entered into a $24.8 million contract to
purchase 72 smaller EDS machines to be installed at 24 airports.
The President's fiscal year 2007 budget request for TSA includes
funding to support research and development for EDS machines that
can operate at up to 900 bags per hour and employ new threat
detection concepts. In its February 2006 strategic framework for
checked baggage screening, TSA identified development of
high-throughput EDS machines and lowering of false alarm rates as
key arenas for improving investment management of next-generation
technologies.
We reported in September 2004 that DHS and TSA have made some
progress in managing transportation security R&D programs
according to applicable laws and R&D best practices. However, we
found that their efforts were incomplete in several areas,
including preparing strategic plans for R&D efforts that contain
measurable objectives, preparing and using risk assessments to
select and prioritize R&D projects, and coordinating with
stakeholders-a condition that increases the risk that their R&D
resources will not be effectively leveraged. We also found that
TSA and DHS delayed several key R&D projects and lacked both
estimated deployment dates for the vast majority of their R&D
projects and adequate databases to effectively manage their R&D
portfolios. We recommended that DHS and TSA (1) conduct some basic
research in the transportation security area; (2) complete their
strategic planning and risk assessment efforts; (3) develop a
management information system that will provide accurate,
complete, current, and readily accessible project information for
monitoring and managing their R&D portfolios; and (4) develop a
process with the Department of Transportation to coordinate
transportation security R&D efforts and share this information
with transportation stakeholders. DHS and TSA agreed that the
recommendations were key to a successful R&D program. We will
examine DHS's and TSA's efforts to implement these recommendations
as part our upcoming review of TSA's checkpoint R&D program.
TSA has made substantial progress in installing EDS and ETD
systems at the nation's airports-mainly as part of interim lobby
screening solutions-to provide the capability to screen all
checked baggage for explosives, as mandated by Congress. Although
TSA made progress in fielding EDS and ETD equipment at the
nation's airports, TSA placed this equipment in a stand-alone
mode-usually in airport lobbies-to conduct the primary screening
of checked baggage for explosives, rather than integrating EDS
machines in-line with airports' baggage conveyor systems. TSA
officials stated that they employed these interim solutions
because of the significant costs required to install in-line
systems and the need to reconfigure many airports' baggage
conveyor systems to accommodate the equipment. These interim
screening solutions led to operational inefficiencies, including
requiring a greater number of screeners and screening fewer bags
for explosives each hour, as compared with using EDS machines
in-line with baggage conveyor systems. Performing primary
screening using ETD machines, as is the case for more than 300
airports, is more labor intensive and less efficient than
screening using the EDS process. TSA's placement of stand-alone
EDS and ETD machines in airport lobbies also resulted in passenger
crowding, which presented unsafe conditions and may have added
security risks for passengers and airport workers. In May 2004,
TSA conducted a retrospective cost-benefit analysis on nine
airports with agreements to install in-line screening systems and
found that significant savings and other benefits, including
reduced screener staffing requirements and increased baggage
throughput, may be achieved through the installation of in-line
systems. TSA estimated that in-line baggage screening systems at
these nine airports would save the federal government about $1
billion over 7 years,26 compared with stand-alone EDS systems, and
that initial investment would be recovered in a little over 1
year.27 TSA's analysis also showed that a cost savings may not be
achieved for all airports. According to TSA's data, federal cost
savings varied from about $50 million to over $250 million at
eight of the nine airports, while at one airport, there was an
estimated $90 million loss.28
With the objective of initially fielding this equipment largely
accomplished, TSA is shifting its focus from equipping airports
with interim screening solutions to systematically planning for
the more optimal deployment of checked baggage screening systems,
although identifying the resources to fund the systems on a
large-scale basis continues to be a challenge. To assist TSA in
planning for the optimal deployment of checked baggage screening
systems, we recommended in our March 2005 report that TSA
systematically evaluate baggage screening needs at airports,
including the costs and benefits of installing in-line baggage
screening systems-explosive detection systems integrated in-line
with airport baggage conveyor systems-at airports that do not yet
have in-line systems installed. We suggested that part of such
planning should include analyzing which airports should receive
federal support for in-line EDS baggage screening systems based on
cost savings that could be achieved from more effective and
efficient baggage screening operations and on other factors,
including enhanced security. Also, for airports where in-line
systems may not be economically justified because of high
investment costs, we suggested that a cost-effectiveness analysis
be used to determine the benefits of additional stand-alone EDS
machines to screen checked baggage in place of the more
labor-intensive ETD machines. We also recommended that TSA
consider the costs and benefits of the new technologies being
developed through its research and development efforts, which
could provide smaller EDS machines that have the potential to
reduce the costs associated with installing in-line EDS baggage
screening systems or to replace ETD machines currently used as the
primary method for screening at over 300 airports nationwide. DHS
agreed with our recommendations and stated that TSA had initiated
an analysis of deploying in-line EDS machines and was in the
process of formulating criteria to identify those airports that
would benefit from an in-line EDS system. DHS also stated that TSA
had begun conducting an analysis of the airports that rely heavily
on ETD machines as the primary checked baggage screening
technology to identify those airports that would benefit from
augmenting ETDs with stand-alone EDS equipment.
On February 8, 2006, TSA issued a report to Congress outlining a
framework for a strategic plan for its TSA Checked Baggage
Screening Program. TSA plans to finalize the plan, including
funding and cost-sharing strategies for in-line baggage screening
systems, in Spring 2006. The framework introduces a strategy
intended to increase security through deploying EDS to as many
airports as practicable, lower life-cycle costs for the program,
minimize impacts to TSA and airport/airline operations, and
provide a flexible security infrastructure for accommodating
growing airline traffic and potential new threats. The framework
addresses the following issues:
o Optimized checked baggage screening solutions-finding the ideal
mix of higher-performance and lower-cost alternative screening
solutions.
o Funding prioritization schedule by airport-which airports
should receive funding for an in-line baggage screening system
based on quantitative modeling of security, economic, and other
factors.
o Deployment strategy-a plan for the acquisition of
next-generation EDS systems, the redeployment of existing EDS
assets, and investment in life-cycle extension programs.
o EDS Life-Cycle Management Plan-structured guidelines for EDS
R&D investment, procurement specifications for next-generation EDS
systems, and the redeployment of existing EDS assets and
investment in life-cycle extension programs that minimize the cost
of ownership of the EDS systems.
o Stakeholder collaboration plan-TSA plans to work closely with
airport operators and other key stakeholders to develop
airport-specific screening solutions, refine the nationwide EDS
deployment strategy, and investigate alternative funding programs
that may allow for innovative as well as non-federal sources of
funding or financing, including formulas for sharing costs between
different government entities and the private sector.
This strategic framework is a positive step forward in
systematically planning for TSA's checked baggage screening
program. The completion of a strategic plan for this program
should help TSA ensure that it is efficiently allocating its
limited resources to maximize the effectiveness of its checked
baggage screening operations. However, it will be important for
TSA to complete their analysis and plans for the funding of
in-line EDS systems, which has been the primary obstacle to the
deployment of these systems over the past few years.
TSA has strengthened its efforts to measure the performance of the
various components of the passenger and checked baggage screening
systems-people, processes, and technology-but results of covert
testing identified that weaknesses and vulnerabilities continue to
exist. In November 2003, we reported on the need for TSA to
strengthen its efforts to measure the performance of its aviation
security system.29 At that time, TSA had collected limited data on
the effectiveness of its aviation security programs and
initiatives. Specifically, limited covert testing had been
performed, the Threat Image Projection (TIP) system30 was not
fully operational at passenger screening checkpoints and was not
available for checked baggage screening systems, and TSA had not
fully implemented a congressionally mandated annual screener
proficiency review (referred to as the recertification program).
Since then, TSA has implemented and strengthened efforts to
collect performance data in these areas.
In the area of covert testing, TSA headquarters increased the
amount of passenger and checked baggage screening covert tests it
performs and recently changed its approach to covert testing to
focus its resources on catastrophic threats-threats that can take
down an airplane or blow up an airplane. These tests, in which
undercover OI inspectors attempt to pass threat objects through
passenger screening checkpoints and in checked baggage, are
designed to measure vulnerabilities in passenger and checked
baggage screening systems and to identify systematic problems
affecting performance of TSOs in the areas of people (training),
processes (procedures), and technology. OI began conducting covert
testing in September 2002, conducting test scenarios for the
passenger checkpoint and for checked baggage. These scenarios were
carried over from tests developed and conducted under FAA, but OI
reported using more updated weapons than those used by FAA and
more robust tests. TSA considers its covert testing as a snapshot
of a TSO's ability to detect threat objects at a particular point
in time, as one of several indicators of systemwide screener
performance, and as an important mechanism for identifying areas
in passenger and checked baggage screening needing improvement.
In September 2003, we reported that OI had conducted limited
covert testing, but planned to double the amount of tests it
conducted during fiscal year 2004, based on an anticipated
increase in its staff from about 100 full-time equivalents to
about 200 full-time equivalents.31 TSA officials stated that based
on budget constraints, OI's fiscal year 2004 staffing
authorization was limited to 183 full-time-equivalents.32 Despite
a smaller than expected staff increase, by the end of the second
quarter of fiscal year 2004, OI had already surpassed the number
of tests it had performed during fiscal year 2003-conducting a
total of 836 tests in fiscal year 2003 and 1,233 in the first two
quarters of fiscal year 2004.33
Our analysis of TSA's covert testing results for tests conducted
between September 2002 and September 2005 identified that overall,
weaknesses existed in the ability of screeners to detect threat
objects on passengers, in their carry-on bags, and in checked
baggage. Covert testing results in this analysis cannot be
generalized either to the airports where the tests were conducted
or to airports nationwide.34
During the first 3 years of covert testing, OI decided to maintain
the same test scenarios and same level of difficulty so that test
results would be comparable over time.35 In July 2005, OI began
revamping its covert testing program based on the results of the
Secretary of DHS's Second Stage Review-a review of the
department's programs, policies, operations, and structure.36
Specifically, the Assistant Secretary of DHS, TSA, instructed OI
to implement a more risk-based approach and focus its resources on
catastrophic threats-threats that can take down an airplane or
blow up an airplane. In August 2005, the Assistant Secretary of
DHS, TSA, further instructed OI to discontinue its former covert
testing program and implement the revamped covert testing program.
OI began implementation of its revamped testing in September 2005.
OI conducted 117 tests over a 1-week period at one airport
focusing on catastrophic threats and incorporated additional
testing elements that had not previously been included. According
to OI officials, this testing involved over 50 personnel from
various TSA components. Since then, OI has conducted tests at
three additional airports.37 OI officials stated that TSA
leadership is considering these initial tests in making final
determinations regarding the revised testing program that OI will
implement, and that final decisions regarding the structure,
content, and frequency of these tests have not yet been made.
In February 2004, TSA provided protocols to help FSDs conduct
their own covert testing of local airport passenger screening
activities-a practice that TSA had previously prohibited.38
Between May 2004 and April 2005, FSDs conducted a total of 17,954
local covert tests at 350 airports; as of February 2006, TSA
reported that FSDs had conducted a total of 48,826 local covert
tests. In February 2005, TSA released a general procedures
document for local covert testing at checked baggage screening
locations. Between March 2005 and September 2005, 1,370 local
tests of EDS screening were conducted at 71 airports. TSA
headquarters officials stated that a key challenge FSDs face in
conducting local testing is the lack of available federal staff to
conduct the testing, particularly at smaller airports. In May
2005, we reported that TSA officials stated that they had not yet
begun to use data from local covert testing to identify training
and performance needs because of difficulties in ensuring that
local covert testing is implemented consistently nationwide.39 TSA
officials stated in March 2006 that data is available for use by
FSDs to identify training needs and TSO performance.
Covert testing is one method TSA uses to measure the security
effectiveness of passenger and checked baggage screening
procedures and technologies in the operating environment in
addition to other TSA measures that assess the performance of
passenger and checked baggage TSOs. One other source of
information on TSO performance in detecting threat objects is the
results from the TIP system. TIP is designed to test passenger
screeners' detection capabilities by projecting threat images,
including images of guns, knives, and explosives, onto bags as
they are screened during actual operations. TSOs are responsible
for identifying the threat image and calling for the bag to be
searched. Once prompted, TIP identifies to the screener whether
the threat is real and then records the TSO's performance in a
database that could be analyzed for performance trends.40 TIP
threat detection results in conjunction with OI covert test
results and local testing are intended to assist TSA in
identifying specific training and performance improvement efforts.
In May 2005, we reported that in October 2003 TSA reactivated TIP
as planned with an expanded library of 2,400 images at all but 1
of the more than 1,800 checkpoint lanes nationwide. In December
2005, TSA reported that it has further expanded the image library
to include additional images of IEDs and IED components as part of
its effort to improve TSOs' detection of explosives. Additionally,
the President's fiscal year 2007 budget request states that TSA
plans to maximize the training benefits of the TIP system by
tailoring TIP sessions to address individual TSO weaknesses
revealed in user performance data. For example, if a TSO has
particular difficulty identifying IEDs, the TIP would trigger the
projection of a higher proportion of simulated IEDs while that TSO
was operating the machine than under standard circumstances. While
there have been improvements in TIP for passenger screening, TIP
is not yet available for checked baggage screening. In April 2004,
we reported that TSA officials stated that they were working to
resolve technical challenges associated with using TIP for checked
baggage screening on EDS machines and have started EDS TIP image
development.41 However, in December 2004, TSA officials stated
that because of severe budget reductions, TSA will be unable to
begin implementing a TIP program for checked baggage in fiscal
year 2005. Officials did not specify when such a program might
begin.
Another measure of TSO performance is the results of annual
recertification testing. ATSA requires that each TSO receive an
annual proficiency review to ensure he or she continues to meet
all qualifications and standards required to perform the screening
function. To meet this requirement, TSA established a
recertification program. The first recertification program-which
was conducted during the period October 2003 through March
2004-was composed of two assessment components, one of TSOs'
performance and the other of TSOs' knowledge and skills. During
the performance assessment component of the recertification
program, TSOs are rated on both organizational and individual
goals, such as maintaining the nation's air security, vigilantly
carrying out duties with utmost attention to tasks that will
prevent security threats, and demonstrating the highest levels of
courtesy to travelers to maximize their levels of satisfaction
with screening services. The knowledge and skills assessment
component consists of three modules: (1) knowledge of standard
operating procedures, (2) image recognition, and (3) practical
demonstration of skills.
Across all airports, TSOs performed well on the recertification
testing for the first 2 years the program was in place, with about
1 percent of TSOs subject to recertification failing to complete
this requirement. In both years, TSOs faced the greatest
difficulty on their first attempt to pass the practical
demonstration of skills module-a hands-on simulated work sample
used to evaluate a screener's knowledge, skill, and ability when
performing specific screener tasks along with the ability to
provide customer service.42 According to TSA officials, at the
completion of recertification at an airport, TSA management has
access to reports at both the individual TSO and airport level,
which identify the specific areas that were missed during testing.
National level reports are also available that isolate areas that
need improvement and can be targeted in basic and recurrent
training. In fiscal year 2004, TSA established a performance
measure for the recertification program.43
During the first year of recertification testing, dual-function
TSOs who were actively working as both passenger and checked
baggage TSOs were required to take only the recertification test
for passenger TSOs. They were therefore not required to take the
recertification testing modules required for checked baggage, even
though they worked in that capacity.44 TSA's second annual
recertification testing, which began in October 2004, included
components for dual-function TSOs, but did not include an image
recognition module for checked baggage TSOs-which would include
dual-function screeners performing checked baggage screening. TSA
officials stated that a decision was made to not include an image
recognition module for checked baggage TSOs during this cycle
because not all checked baggage TSOs would have completed training
on the onscreen resolution protocol by the time recertification
testing was conducted at their airports.45 In October 2005, TSA
released guidance for screener recertification that included an
image recognition module for checked baggage and dual-function
screeners trained in the onscreen alarm resolution protocol.
In addition to enhancing its efforts to measure the performance of
TSOs, TSA also has developed two performance indexes to measure
the effectiveness of the passenger and checked baggage screening
systems. These indexes measure overall performance through a
composite of indicators and are derived by combining specific
performance measures relating to passenger and checked baggage
screening, respectively. Specifically, these indexes measure the
effectiveness of the screening systems through machine probability
of detection and covert testing results;46 efficiency through a
calculation of dollars spent per passenger or bag screened; and
customer satisfaction through a national poll, customer surveys,
and customer complaints at both airports and TSA's national call
center. We reported in May 2005 that the screening performance
indexes developed by TSA can be a useful analysis tool, but
without targets for each component of the index, TSA will have
difficulty performing meaningful analyses of the parts that make
up to the index. For example, without performance targets for
covert testing, TSA will not have identified a desired level of
performance related to screener detection of threat objects.
Performance targets for covert testing would enable TSA to focus
its improvement efforts on areas determined to be most critical,
as 100 percent detection capability may not be attainable. In
January 2005, TSA officials stated that the agency planned to
track the performance of individual index components and establish
performance targets against which to measure these components.
Since its inception, TSA has achieved significant accomplishments
in meeting congressional mandates related to establishing
passenger and checked baggage screening operations. With the
initial congressional mandates now largely met, TSA has turned its
attention to assessing and enhancing the efficiency and
effectiveness of its passenger and checked baggage screening
systems. As threats and technology evolve, it is vital that TSA
continue to enhance training and procedures for the TSO workforce.
Over the past several years, TSA has strengthened its TSO training
program in an effort to ensure that TSOs have the knowledge and
skills needed to successfully perform their screening functions.
However, without addressing the challenges to delivering ongoing
training, including installing high-speed connectivity at airport
training facilities, TSA may have difficulty maintaining a
screening workforce that possesses the critical skills needed to
perform at a desired level. TSA is also revising existing
screening procedures and developing new procedures to enhance
security effectiveness, many of which are risk-based, as we have
previously advocated. Additionally, TSA has developed a staffing
model intended to provide the necessary levels of TSOs to support
security activities at the nation's airports. However, given the
challenges TSA faces in determining appropriate staffing levels at
airports-to include hiring the appropriate mix of part-time TSOs
needed to support screening functions-it is critical that TSA
carefully consider how it strategically hires, deploys, and
manages its TSO workforce to help strengthen its passenger and
checked baggage screening programs.
As TSA works towards improving the performance of individual TSOs
and screening operations, it will also be important that the
agency deploy and leverage screening equipment and technologies,
sustain its research and development efforts, and strengthen its
R&D management and planning efforts. We are encouraged that TSA is
currently undertaking efforts to systematically analyze the cost
and benefits of in-line baggage screening systems and to identify
innovative funding and financing options. This planning should
help TSA support future funding requests by demonstrating enhanced
security, improved operational efficiencies, and cost savings to
both TSA and the affected airports.
Mr. Chairman, this concludes my statement. I would be pleased to
answer any questions that you or other members of the Committee
may have at this time.
For further information on this testimony, please contact Cathleen
A. Berrick at (202) 512-3404 or [email protected] . Contact points
for our Offices of Congressional Relations and Public Affairs may
be found on the last page of this statement.
In addition to the contact named above, Kristy Brown, Philip
Caramia, Kevin Copping, Katherine Davis, Christine Fossett, Tom
Lombardi, Laina Poon, and Maria Strudwick made key contributions
to this testimony.
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Affect Implementation of the Transportation Security
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Aviation Security: Federal Action Needed to Strengthen Domestic
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Aviation Security: Screener Training and Performance Measurement
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Aviation Security: Secure Flight Development and Testing Under
Way, but Risks Should Be Managed as System Is Further Developed.
GAO-05-356 . Washington, D.C.: March 28, 2005.
Aviation Security: Systematic Planning Needed to Optimize the
Deployment of Checked Baggage Screening Systems. GAO-05-365 .
Washington, D.C.: March 15, 2005.
Aviation Security: Measures for Testing the Effect of Using
Commercial Data for the Secure Flight Program. GAO-05-324 .
Washington, D.C.: February 23, 2005.
Transportation Security: Systematic Planning Needed to Optimize
Resources. GAO-05-357T . Washington, D.C.: February 15, 2005.
Aviation Security: Preliminary Observations on TSA's Progress to
Allow Airports to Use Private Passenger and Baggage Screening
Services. GAO-05-126 . Washington, D.C.: November 19, 2004.
General Aviation Security: Increased Federal Oversight Is Needed,
but Continued Partnership with the Private Sector Is Critical to
Long-Term Success. GAO-05-144 . Washington, D.C.: November 10,
2004.
Aviation Security: Further Steps Needed to Strengthen the Security
of Commercial Airport Perimeters and Access Controls. GAO-04-728 .
Washington, D.C.: June 4, 2004.
Transportation Security Administration: High-Level Attention
Needed to Strengthen Acquisition Function. GAO-04-544 .
Washington, D.C.: May 28, 2004.
Aviation Security: Challenges in Using Biometric Technologies.
GAO-04-785T . Washington, D.C.: May 19, 2004.
Nonproliferation: Further Improvements Needed in U.S. Efforts to
Counter Threats from Man-Portable Air Defense Systems. GAO-04-519
. Washington, D.C.: May 13, 2004.
Aviation Security: Private Screening Contractors Have Little
Flexibility to Implement Innovative Approaches. GAO-04-505T .
Washington, D.C.: April 22, 2004.
Aviation Security: Improvement Still Needed in Federal Aviation
Security Efforts. GAO-04-592T . Washington, D.C.: March 30, 2004.
Aviation Security: Challenges Delay Implementation of
Computer-Assisted Passenger Prescreening System. GAO-04-504T .
Washington, D.C.: March 17, 2004.
Aviation Security: Factors Could Limit the Effectiveness of the
Transportation Security Administration's Efforts to Secure Aerial
Advertising Operations. GAO-04-499R . Washington, D.C.: March 5,
2004.
Aviation Security: Computer-Assisted Passenger Prescreening System
Faces Significant Implementation Challenges. GAO-04-385 .
Washington, D.C.: February 13, 2004.
Aviation Security: Challenges Exist in Stabilizing and Enhancing
Passenger and Baggage Screening Operations. GAO-04-440T .
Washington, D.C.: February 12, 2004.
The Department of Homeland Security Needs to Fully Adopt a
Knowledge-based Approach to Its Counter-MANPADS Development
Program. GAO-04-341R . Washington, D.C.: January 30, 2004.
Aviation Security: Efforts to Measure Effectiveness and Strengthen
Security Programs. GAO-04-285T . Washington, D.C.: November 20,
2003.
Aviation Security: Federal Air Marshal Service Is Addressing
Challenges of Its Expanded Mission and Workforce, but Additional
Actions Needed. GAO-04-242 . Washington, D.C.: November 19, 2003.
Aviation Security: Efforts to Measure Effectiveness and Address
Challenges. GAO-04-232T . Washington, D.C.: November 5, 2003.
Airport Passenger Screening: Preliminary Observations on Progress
Made and Challenges Remaining. GAO-03-1173 . Washington, D.C.:
September 24, 2003.
Aviation Security: Progress Since September 11, 2001, and the
Challenges Ahead. GAO-03-1150T . Washington, D.C.: September 9,
2003.
Transportation Security: Federal Action Needed to Enhance Security
Efforts. GAO-03-1154T . Washington, D.C.: September 9, 2003.
Transportation Security: Federal Action Needed to Help Address
Security Challenges. GAO-03-843 . Washington, D.C.: June 30, 2003.
Federal Aviation Administration: Reauthorization Provides
Opportunities to Address Key Agency Challenges. GAO-03-653T .
Washington, D.C.: April 10, 2003.
Transportation Security: Post-September 11th Initiatives and
Long-Term Challenges. GAO-03-616T . Washington, D.C.: April 1,
2003.
Airport Finance: Past Funding Levels May Not Be Sufficient to
Cover Airports' Planned Capital Development. GAO-03-497T .
Washington, D.C.: February 25, 2003.
Transportation Security Administration: Actions and Plans to Build
a Results-Oriented Culture. GAO-03-190 . Washington, D.C.: January
17, 2003.
Aviation Safety: Undeclared Air Shipments of Dangerous Goods and
DOT's Enforcement Approach. GAO-03-22 . Washington, D.C.: January
10, 2003.
Aviation Security: Vulnerabilities and Potential Improvements for
the Air Cargo System. GAO-03-344 . Washington, D.C.: December 20,
2002.
Aviation Security: Registered Traveler Program Policy and
Implementation Issues. GAO-03-253 . Washington, D.C.: November 22,
2002.
Airport Finance: Using Airport Grant Funds for Security Projects
Has Affected Some Development Projects. GAO-03-27. Washington,
D.C.: October 15, 2002.
Commercial Aviation: Financial Condition and Industry Responses
Affect Competition. GAO-03-171T . Washington, D.C.: October 2,
2002.
Aviation Security: Transportation Security Administration Faces
Immediate and Long-Term Challenges. GAO-02-971T . Washington,
D.C.: July 25, 2002.
Aviation Security: Information Concerning the Arming of Commercial
Pilots. GAO-02-822R. Washington, D.C.: June 28, 2002.
Aviation Security: Vulnerabilities in, and Alternatives for,
Preboard Screening Security Operations. GAO-01-1171T . Washington,
D.C.: September 25, 2001.
Aviation Security: Weaknesses in Airport Security and Options for
Assigning Screening Responsibilities. GAO-01-1165T . Washington,
D.C.: September 21, 2001.
Homeland Security: A Framework for Addressing the Nation's
Efforts. GAO-01-1158T . Washington, D.C.: September 21, 2001.
Aviation Security: Terrorist Acts Demonstrate Urgent Need to
Improve Security at the Nation's Airports. GAO-01-1162T .
Washington, D.C.: September 20, 2001.
Aviation Security: Terrorist Acts Illustrate Severe Weaknesses in
Aviation Security. GAO-01-1166T . Washington, D.C.: September 20,
2001.
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2TSA defines an operational screening test as any covert test of a
screener conducted by TSA, on any screening function, to assess the
screener's threat item detection ability or adherence to TSA-approved
procedures.
3Pursuant to the Homeland Security Act, the deadline for screening all
checked baggage using explosive detection systems was, in effect, extended
until December 31, 2003.
4Sterile areas are areas located within the terminal where passengers wait
after screening to board departing aircraft. Access to these areas is
generally controlled by TSA screeners at checkpoints where they conduct
physical screening of passengers and their carry-on baggage for weapons
and explosives.
5TSOs must deny passage beyond the screening location to any individual or
property that has not been screened or inspected in accordance with
passenger screening standard operating procedures. If an individual
refuses to permit inspection of any item, that item must not be allowed
into the sterile area or aboard an aircraft.
6Explosive detection systems use probing radiation to examine objects
inside baggage and identify the characteristic signatures of threat
explosives. EDS equipment operates in an automated mode.
7Explosive trace detection works by detecting vapors and residues of
explosives. Human operators collect samples by rubbing bags with swabs,
which are chemically analyzed to identify any traces of explosive
materials.
8Positive passenger bag match is an alternative method of screening
checked baggage that requires that the passenger be on the same aircraft
as the checked baggage.
9ATSA required that TSA begin allowing all commercial airports to apply to
TSA to transition from a federal to a private TSO workforce. To support
this effort, TSA created the Screening Partnership Program to allow all
commercial airports an opportunity to apply to TSA for permission to use
qualified private screening contractors and private sector screeners.
Currently, private screening companies provide passenger and checked
baggage screening at six airports.
TSA Has Taken Steps to Strengthen the Management and Performance of Its
TSO Workforce, but Continues to Face Challenges
TSA Has Taken Steps to Better Manage Its TSO Workforce, but Faces Challenges in
Hiring, Deploying, and Retaining TSOs
10Department of Homeland Security Appropriations Act, 2006, Pub. L. No.
109-90, 119 Stat. 2064 (2005); H.R. Conf. Rep. No. 109-241, at 49-50
(2005).
11GAO, Aviation Security: Challenges Exist in Stabilizing and Enhancing
Passenger and Baggage Screening Operations, GAO-04-440T (Washington, D.C.:
Feb. 12, 2004).
12Intelligence Reform and Terrorism Prevention Act of 2004, Pub. L. No.
108-458, S: 4023, 118 Stat 3638, 3723-24.
13One full-time-equivalent is equal to one work year or 2,080 non-overtime
hours.
14This budgetary FTE limit is not to be confused with the 45,000 FTE
screener cap imposed by Congress in the FY2006 DHS Appropriations Act that
limits the total number of FTE screeners available to TSA.
15We interviewed FSD staff at 3 category X airports, 1 category I
airports, and 1 category III airport. TSA classifies the commercial
airports in the United States into one of five security risk categories
(X, I, II, III, IV, and V) based on various factors, such as the total
number of takeoffs and landings annually, and other special security
considerations. In general, category X airports have the largest number of
passenger boardings, and category IV airports have the smallest.
16 GAO-04-440T.
TSA Has Strengthened TSO Training but Faces Challenges in Delivering the
Training
17GAO, Airport Passenger Screening: Preliminary Observations on Progress
Made and Challenges Remaining, GAO-03-1173 (Washington, D.C.: Sept. 24,
2003).
18Some recommendations appear repeatedly in multiple reports issued by
OIAPR.
19GAO, Aviation Security: Screener Training and Performance Measurement
Strengthened but More Work Remains, GAO-05-457 (Washington D.C.: May 2,
2005).
20According to the budget request, the remaining $36 million is needed to
support operations and maintenance costs, including recurring costs for
routers, switches, circuits, cabinets, racks, and network monitoring.
TSA Is Making Changes to Its Passenger Screening Procedures to Enhance
Detection Capabilities Based on Risk and Other Factors, but Could
Strengthen Its Evaluation of Proposed Procedures
Proposed Passenger Checkpoint Screening Procedural Changes Are Generally Based
on Operational Experience and Risk-Based Assessments
21In April 2005, TSA began documenting proposed changes to passenger
checkpoint screening procedures.
22TSA does not review proposed SOP changes on a regular basis. Rather, the
administration accumulates proposed changes and reviews them periodically
on an as-needed basis. Since TSA began documenting proposed changes to
checkpoint screening procedures, the agency has conducted three reviews of
proposed changes, which took place in April 2005, August 2005, and
September 2005.
23TSA attributed nine proposed changes to senior leadership direction, and
TSA did not categorize five proposed changes from 2005.
TSA Could Strengthen Its Evaluation of Proposed Screening Procedural Changes
Based on our Preliminary Observations
24Office of Inspections recommended two additional changes to checkpoint
screening procedures prior to March 2005.
25A selectee is a person identified for additional screening by a
computer-assisted passenger screening system or another process as
determined and approved by TSA.
TSA Is Supporting the Development and Deployment of Technologies to
Strengthen Commercial Aviation Security, but Faces Management and Funding
Challenges
DHS and TSA Are Taking Steps to Develop and Deploy Technologies for Screening
Passengers and Checked Baggage, but Further Planning Is Needed to Focus R&D
Efforts
TSA Is Focusing Its Checked Baggage Strategic Planning Efforts on Deployment of
In-line EDS Systems, but Faces Challenges in Funding These Systems on a
Large-Scale Basis
26This figure refers to the net present value saved over 7 years if
received up front.
27For a basis of comparison, Office of Management and Budget Circular A-94
stipulates using a 7 percent real discount rate to compute the present
value of cost savings. TSA used a 4 percent real discount rate. Following
Office of Management and Budget guidance, cost savings are $1.14 billion.
In addition, in TSA's analysis, the federal government does not pay for
$319 million, or 25 percent, of project costs. Accounting for these costs
to reflect total costs, as recommended by Circular A-94, lowers overall
savings to $820 million.
28The relatively large costs for upfront in-line EDS at one airport are
not offset by the modest amount of estimated operation and maintenance
cost savings; therefore, the in-line EDS system may be more costly than
EDS stand-alone. By contrast, at another airport the upfront costs of
in-line EDS are lower than for stand-alone EDS, and there is a substantial
amount of estimated operation and maintenance cost savings. Therefore, the
in-line EDS system for this latter airport may be less costly than
stand-alone EDS.
TSA Has Strengthened Its Efforts to Measure the Effectiveness of Screening
Systems
29GAO, Aviation Security: Efforts to Measure Effectiveness and Address
Challenges, GAO-04-232T , (Washington, D.C.: Nov. 5, 2003).
30The Threat Image Projection system is designed to test TSOs' detection
capabilities by projecting threat images, including images of guns and
explosives, into bags as they are screened. TSOs are responsible for
positively identifying the threat image and calling for the bag to be
searched.
31 GAO-03-1173 .
32Covert testing is an ancillary duty and not a full-time assignment for
the majority of OI staff. According to OI, 14 full-time-equivalent
positions in headquarters are dedicated fully to the covert testing
program, which includes covert testing of all modes of transportation, not
just airports. These 14 full-time-equivalents are in a special group that
forms the core of team leaders for the covert testing trips.
33OI conducted a total of 2,369 passenger and checked baggage covert tests
in fiscal year 2004.
34Test results cannot be generalized because sample tests were not
identified using the principles of probability sampling. In a probability
sample to assess screener detection of threat objects, each screening of a
passenger or baggage would have to have a chance of being selected. A
well-designed probability sample would enable failure rates to be
generalized to all airports. However, for cost and operational reasons,
probability sampling may not be feasible for passenger and checked baggage
screening because it would require a very large sample size and an
exhaustive examination of each sampled passenger or baggage to determine
if there was a threat object to detect.
35In August 2004, OI began piloting various enhanced covert test scenarios
based on more current threat information.
36The review examined elements of the Department of Homeland Security in
order to recommend ways that DHS could better manage risk in terms of
threat, vulnerability, and consequence; prioritize policies and
operational missions according to this risk-based approach; and establish
a series of preventive and protective steps that would increase security
at multiple levels.
37OI conducted testing at two of the three airports twice during September
2005 through December 2005.
38The local covert testing protocols were updated in June 2004 and August
2004 to provide information on alternative testing methods.
39 GAO-05-457.
40The TIP database records both the TIP hit rate and TIP false alarm rate.
These two results are used to determine the probability of detection and
probability of false alarm, which determine overall TIP performance. The
TIP performance measure is classified as sensitive security information.
41GAO, Aviation Security: Private Screening Contractors Have Little
Flexibility to Implement Innovative Approaches, GAO-04-505T (Washington,
D.C.: April 22, 2004).
42We cannot reported on the specific results of the testing due to the
security classification of this testing.
43Information related to the measures is sensitive security information.
44As of January 7, 2005, TSA reported that its workforce included
approximately 25,947 dual-trained TSOs who were certified to serve as
passenger or baggage TSOs.
45TSA's onscreen resolution protocol requires that when an EDS machine
alarm goes off, indicating the possibility of explosives, TSA screeners,
by reviewing computer-generated images of the inside of the bag, attempt
to determine whether or not a suspect item or items are in fact explosive
materials. If the screener is unable to make this determination, the bag
is diverted from the main conveyor belt into an area where it receives a
secondary screening by a screener with an ETD machine.
46According to TSA, the machine probabilities of detection are established
by the certification standards for each particular model of machine, and
machines are not deployed unless they have met those standards.
Concluding Observations
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Highlights of GAO-06-371T , a testimony before the Committee on Commerce,
Science, and Transportation, U.S. Senate
April 4, 2006
AVIATION SECURITY
Enhancements Made in Passenger and Checked Baggage Screening, but
Challenges Remain
Securing commercial aviation is a daunting task-with hundreds of airports,
thousands of aircraft, and thousands of flights daily carrying millions of
passengers and pieces of checked baggage. It has been over 3 years since
the Transportation Security Administration (TSA) assumed responsibility
for passenger and baggage screening at commercial airports. This testimony
focuses on the progress TSA is making in strengthening airline passenger
and checked baggage screening and the challenges that remain.
Particularly, this testimony highlights TSA's efforts to (1) enhance the
performance, management, and deployment of the transportation security
officer (TSO) workforce; (2) strengthen procedures for screening
passengers and checked baggage; and (3) leverage and deploy screening
technologies.
What GAO Recommends
In prior reports, GAO has made numerous recommendations designed to
strengthen aviation security, to include passenger and checked baggage
screening operations. TSA generally agreed with our recommendations and is
taking actions to implement them. GAO also has several ongoing reviews
related to the issues addressed in this testimony, and will issue separate
reports related to these areas at later dates, with additional
recommendations as appropriate.
TSA has taken steps to enhance the TSO workforce's performance,
management, and deployment, yet continues to face challenges in allocating
staff and ensuring that training is available. For example, TSA developed
a Screening Allocation Model to determine TSO staffing levels at
commercial airports. However, some assumptions in the model-such as that
20 percent of the TSO workforce will be part-time-may be flawed, given
that federal security directors (the lead TSA authorities at U.S.
airports) have had difficulty filling this quota and some said they have
not been able to hire up to their authorized staffing levels. In addition,
while TSA has taken steps to improve the training offered to its TSO
workforce, insufficient staffing and a lack of electronic connectivity to
access on-line learning have prevented TSOs from taking full advantage of
training opportunities.
TSA is proposing changes to its screening procedures to enhance detection
capabilities in part based on risk assessments, as GAO has previously
advocated. Since April 2005, TSA has gathered, vetted, and tested a
variety of new procedures for passenger and baggage screening. Some
passenger screening procedure changes are based on risk-related factors,
including results of covert (undercover, unannounced) tests that are
designed to reveal system vulnerabilities. Our ongoing work on how TSA
makes these changes indicates that TSA could do more evaluation to ensure
the changes achieve the desired results.
TSA has taken steps to develop and deploy technologies to strengthen
commercial aviation security; however, challenges in funding and planning
have created impediments to implementation. For example, TSA has deployed
explosives detection systems-either stand-alone or incorporated in-line
with baggage conveyor systems-to detect explosives in checked baggage. A
TSA cost-benefit analysis of the in-line systems being installed at 9
airports showed that they could yield significant savings for the federal
government. However, their deployment has been hampered by a lack of
planning and funding strategies. TSA is currently assessing financing
options to support the deployment of in-line systems and has begun
prioritizing which airports would benefit from their deployment.
*** End of document. ***