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National Commission on Terrorist Attacks upon the U.S.

Questions for the Record: Transportation Security Administration April 27, 2004 Please find below Questions for the Record for the Department of Homeland Security/Transportation Security Administration (DHS/TSA). The Commission would^ ^ appreciate it if DHS/TSA could provide detailedjesrjonges for each questimTalong wiffi" ) all supporting documentation. Please^ identi^meDHS/TSA office responsible^r eacH_ ^Sr^co^S^om^^fyr^e DHS/jSXmanager who is mogt about thesubjegiarea with-whortLwe can follow up^The point of contact thts"seToi^u^sTio1isTbrthe Record is Gerald Dillingham - Gdillingham@9llcommission.gov. 202-401-1543. Transportation Security - General 1. What is the status (including timetables) of the development and approval of DHS/TSA's FY 2003-2008 Strategic Plan for Transportation Security? Please provide any updated information available regarding the plan and its constituent elements since the September 5,2003 draft of the plan. 2. The September 5,2003 draft version of DHS/TSA's Strategic Plan for Transportation Security did not contain an implementation plan featuring a schedule, roles and responsibilities, enforcement and accountability measures, external oversight mechanisms, costs, and funding sources. To what extent will these elements be included in a final plan? If any of these items are not to be included in the final plan, where will they be addressed? 3. What is the status (including timetable) of the development and approval of the proposed National Transportation System Security Plan and its modal components? Please describe the extent to which the elements listed in Question 2 above will be included in these plans. 4. In lieu of an approved National Transportation Security Plan and a Strategic Plan for Transportation Security, on what basis is TSA establishing strategies, standards, practices, security priorities, resource allocations and budget requests? 5. How does TSA define security standards? Will such standards be expressed as outcome based goals or required procedures? What is the TSA plan for establishing security standards for each of the modes? What have been the specific efforts, and outcomes with regard to the development and adoption of security standards for all modes of transportation? 6. How does TSA plan to facilitate, measure compliance, and/or enforce the achievement and implementation of security standards for each mode?

7. How will ISA use security standards or other information and analysis to establish a minimal "baseline" of security for all modes of transportation; advocate the factoring of security strategies into design and construction of new transportation facilities? 8. What efforts has ISA made to date to enhance security in transportation modes other than commercial aviation? What efforts are planned for the short and long term and what is the timeline for their implementation? How are these plans reflected in pending budgets, current resource allocations and a prioritization scheme? 9. What is the status of establishing DHS/TSA as performance based organizations, particularly with regard to collecting and communicating performance information to Congressional committees, transportation stakeholders, and external review and oversight bodies? 10. What kinds of financing mechanisms (both innovative and traditional) are DHS/TSA considering to support and fund federal security responsibilities and to assist state and local transportation organizations to fund their responsibilities? 11. What is the status (including the timeline) of the TSA Threat Assessment and Risk Management Tool Suite? In lieu of the completion of the tool set, how is TSA conducting its risk assessments? 12. What vulnerability assessments been conducted in the various transportation modes? What are your plans (including timelines) for future assessments in each transportation mode and for inter-modal facilities? 13. What are the specific barriers and challenges to assuring compliance and enforcement of current transportation security laws, regulations, and guidance? How does TSA propose to address such barriers and challenges? 14. What has been the nature, scope, status, planned future activities and timeline to further secure the general aviation sector? 15. In order of priority, what are the key challenges that remain to planning, implementing, enforcing and assessing security measures across all transportation modes and within each mode? What is the status of transportation security related Memorandums of Agreement between DHS/TSA and the DOT modal administrations? 16. What process is DHS/TSA undertaking to identify the specific responsibilities of the federal government for transportation security across modes, versus the duties of state and local authorities, and private stakeholders? How and when will this division of duties, roles, and responsibilities be communicated to the Congress, the public and stakeholders?

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17. How is DHS/TSA assuring that urgent transportation security measures are implemented expeditiously while general planning efforts are still in development? 18. What elements does DHS/TSA believe are crucial to ensure vigorous public oversight of transportation security performance, without assisting terrorists in identifying vulnerabilities they may seek to exploit? 19. In what areas, both general and specific, does DHS/TSA believe it is important for the Commission to make recommendations in order to improve transportation security?

Intelligence 1. What is the status of the key programs, projects, policies, and procedures within DHS/TSA and among other federal agencies, state, and local governments and private stakeholders, to increase the gathering, analysis and sharing of intelligence information with transportation stakeholders? 2. Please describe the current plans and strategies for communicating risk assessment information including threats, vulnerabilities and priorities to transportation stakeholders and the general public? 3. Please describe the nature, scope, and frequency of intelligence information that DHS receives from the Terrorist Threat Information Center (TTIC)? 4. What is the status of the threat and vulnerability assessments that are assigned to DHS's Information Analysis and Infrastructure Protection Division (IAIP)? 5. Please identify each of the intelligence centers within DHS. Describe the discrete roles and mission of each and how the work of each is integrated and then reported to policymakers and stakeholders? 6. What is the development status and schedule for completion of the unified watchlist at the Terrorist Screening Center (TSC)? 7. How will the unified watch list operate? To whom and how will a "hit" be communicated? 8. What is the status of the so called "no fly list"? What improvements have been made in the data content and quality of the list, particularly with regard to name matching capacity and reduction of false positives? What further improvements are needed? What are the consequences of a "hit" in terms of notification of law enforcement and the application of defensive measures and other actions? What is

the rate of false positives and what process exit to resolve these alleged false positives? What plans exist to use this vehicle across other modes of transportation? 9. What are the remaining gaps in ensuring that transportation stakeholders have timely access to needed and useable intelligence information? What are TSA's plans to close any remaining gaps? 10. How is TSIS organized? How many Full Time Equivalent (FTE) positions are authorized? Filled? How many FTE's are assigned to provide intelligence for each of the transportation modes? 11. Please describe the relationship between TSIS and IAIP, TTIC, TSC and the National Targeting Center? Computed Assisted Passenger Profiling System 1. What is your analysis of the reason or reasons why the Computer Assisted Passenger Prescreening System (CAPPS) in place on 9/11 produced very different results for the hijackers on the American Airlines flights (where nine often were selected, including Atta on Colgan Flight 5930) and United Airlines (where only one of the nine was selected)? How does this disparity square with the apparent similarities among all of the hijackers profiles? In processing the hijackers on 9/11, did United's CAPPS system meet all relevant FAA requirements? If not, what were the deficiencies? 2. Is there an existing business case or tactical plan for the development of CAPPS II? If so, please provide the latest version of this plan along with all available supporting documentation. 3. What specific actions have been taken or planned to be taken (please provide dates and names of responsible organizations) to address the key challenges associated with CAPPS II, including the development of an appeals process, obtaining international cooperation, concerns about CAPPS II use beyond the identification of potential terrorist threats to include other law enforcement purposes, system compromise because of identity theft, and obtaining public support and participation (privacy concerns)? 4. What will be the security consequences of being a CAPPS II selectee? How will the CAPPS II program and the treatment of selectees be integrated into checkpoint screener training? 5. What is the current date for initial operating capabilities for CAPPS II and for completion/full deployment date? 6. What are the plans for expanding CAPPS II to other modes of transportation?

7. How does DHS/TSA plan to safeguard the CAPPS II information it shares with foreign countries while maximizing the use and effectiveness of the program?

Other Pre-Board Screening

1. What is the nature and scope of other activities, besides CAPPS II, that have been undertaken or planned to enhance security in the aviation pre board screening vector, such as behavioral - pattern recognition for airport security personnel? 2. What is the nature and scope of DHS/TSA initiatives or plans for the design, development and deployment of what is referred to as the "checkpoint of the future"? Please describe research and development activities to promote next generation screening. Please describe DHS/TSA methods for identifying priorities among competing technologies including multi-threat portals, and for addressing issues related to human factors in screening operations both at present and for the future? 3. What is the current status and development schedule for the Transportation Worker's Identification Program (TWIC)? What is the status of the on-going pilot test of TWIC related technologies? What are the known cost centers, costs, and payees associated with implementing and operating the TWIC program, including how will the new cards/system be integrated with existing infrastructure (i.e., card readers)? How does DHS/TSA plan to address the potential for fraud and identity theft? What standards and prerequisites will be established in order to receive a TWIC? 4. What have been the annual attrition rates for security screeners since DHS/TSA assumed responsibility for screening? 5. How does the DHS/TSA testing protocols for security screeners differ from those that were in place under Federal Aviation Administration (FAA)? How does the difficulty, number of tests, and rate of testing compare with those previously conducted by FAA? 6. What have been the number and types of screener testing (covert and standard) since DHS/TSA assumed responsibility for the screener checkpoints? What proportion of the screener workforce has been subject to covert tests and what were the results of those tests? 7. How many screeners have been terminated since DHS/TSA assumed responsibility for aviation security and for what reasons (including failure of recertification, background check, performance, other)?

8. What is the status of screener recertification testing for passenger and checked baggage screeners? 9. What is the status of the Threat Image Projection Program (TIP) in terms of the ratio of machines that are TIP equipped versus not equipped, current and future deployment statistics? What have been the findings, conclusions and usage of any analysis of TIP relate data in terms of the skills and abilities of screeners and as a training tool? 10. What is the status of the Registered Travelers Program? Is there a business plan/case or strategic plan for the development and deployment of the program? If so, please provide this documentation. 11. Please describe what steps DHS/TSA is taking to improve explosives detection of items carried on the passenger's person or in carry-on belongings?

Checked Baggage Screening 1. What proportion of checked baggage is currently being screened with EDS/ETD? How is the remainder of checked baggage screened? Are there monthly reports made to Congress of the progress of deploying and use of EDS/ETD, if so please provide copies of these reports? 2. What is the status/schedule and estimated costs of installing in-line screening of checked bags? 3. Since DHS/TSA assumed responsibility for aviation security, what has been the number and nature (covert and not-covert) of checked bags screening tests? What has been the outcome of those tests? What are future plans for subsequent testing of checked bags screening? 4. What is the status of the Performance Management Information System (PMIS)? What kinds of information or reports are available from PMIS with regard to passenger and baggage screening operations? How has that information been used? 5. What efforts are being made to address airport concerns about having sufficient screener personnel at peak times? Access Controls 1. What is the status and future plans for DHS/TSA's vulnerability assessments for commercial airports?

2. What have been the nature, scope, and future plans of DHS/TSA's covert testing of security procedures and controls for secure areas of the airports? 3. What have been the nature, scope, and future plans of DHS/TS A's inspections to monitor compliance with regulations governing the security of perimeters and access controls at airports? 4. What is the status of the legislative requirement for all airports to establish security programs for airport vendors? 5. What is the status of background checks on individuals who are regularly escorted while in secure areas? 6. Please describe the major elements of DHS/TSA efforts to protect commercial aircraft from the threat of MANPADS? What is the timeline for deciding what measures will be required? When will MANPAD counter-measures be instituted? How will such countermeasures be paid for? Air Cargo Security

1. What is the implementation status (including timetable) of all the elements of the November 2003 Cargo Security Strategic Plan? 2. What is the inspection protocol for freight forwarders and air carriers for cargo security? 3. How has the number of inspectors with cargo security changed since 2001 ?

4. What is the status of the cargo profiling system?

5. What is the status of training and deploying armed pilots for cargo carriers? Pilots and Flights Attendants 1. What is the status of requiring "smart" identification cards—encrypted with biometrics for pilots? 2. What is the status of federal notification of all foreign nationals seeking pilot training regardless of aircraft weight?

3. What is the DHS/TSA position on pending legislation in Congress to require security certification of flight attendants? 4. What is the nature and scope of the new "common strategy" for flight crew responses to aircraft hijacking attempts? How is it different than the common strategy in effect on 9/11 ? 5. What steps have been taken to compare transportation certifications/licenses and permits to the federal government's terror watch lists? Please describe what efforts are being made to undertake such checks before the TWIC program is operational. 6. Please describe the major elements of DHS/TSA efforts to improve security at aviation facilities (i.e., air traffic control towers)? What is the status of these efforts? What major initiatives remain to be implemented? Maritime and Land Security 1. What is the implementation status of the various provisions of the Maritime Transportation Security Act? 2. What is the status of the Port Security Grants award program? 3. What is the status of the Container Security Initiative? 4. What is the status of Customs Trade Partnership Against Terrorism? 5. What is the status of Operation Safe Commerce? 6. What other efforts has DHS/TSA planned or implemented to enhance maritime related security? 7. What efforts has DHS/TSA planned or implemented post 9-11 to enhance mass transit security? 8. What efforts has DHS/TSA planned or implemented post 9-11 to enhance highway security? 9. What is the nature and scope of DHS/TSA's security efforts for pipelines?

10. Please describe planned or implemented efforts to enhance rail security.

Research and Development 1. How is research and development at DHS coordinated with TSA and other federal agencies to minimize gaps in research and leverage resources? 2. What has been the outcome of DHS and ISA's efforts to engage the private sector to identify and support R&D to enhance transportation security?

3. What are the most significant barriers and challenges to researching, developing, and deploying technologies to improve transportation security? How is DHS/TSA addressing these barriers and challenges?