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Information Technology: Terrorist Watch Lists Should Be Consolidated to Promote Better Integration and Sharing

GAO-03-322 Published: Apr 15, 2003. Publicly Released: Apr 30, 2003.
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Highlights

Terrorist and criminal watch list systems--sometimes referred to as watchout, lookout, target, or tip-off systems--are important tools in controlling and protecting our nation's borders. The events of September 11, 2001, and other incidents since then, have highlighted the need to share these watch lists. In light of the importance of border security, GAO was asked to identify federal databases and systems that contain watch lists, the agencies that maintain and use them in protecting our nation's borders, the kind of data they contain, whether federal agencies are sharing information from these lists with each other and with state and local governments and private organizations, the structural characteristics of those lists that are automated, and whether opportunities exist to consolidate these watch lists.

Recommendations

Recommendations for Executive Action

Agency Affected Recommendation Status
Federal Bureau of Investigation To promote better integration and sharing of watch lists, the Secretary of Homeland Security should, in collaboration with the heads of the departments and agencies that have and use watch lists, lead an effort to consolidate and standardize the federal government's watch list structures and policies. To determine and implement the appropriate level of watch list consolidation and standardization, this collaborative effort should include updating the watch list information provided in this report, as needed, and using this information to develop an architectural understanding of our nation's current or "as is" watch list environment.
Closed – Implemented
Consistent with GAO's recommendations, the President issued, in September 2003, Homeland Security Presidential Directive 6 that among other things (1) makes it U.S. policy to develop, integrate, and maintain thorough and accurate information on terrorists and (2) directs the Attorney General to establish an organization to consolidate the federal government's approach to terrorist screening and provide for the appropriate and lawful use of such terrorist information in the processes used to screen for terrorists. To implement the President's directive, the Attorney General, along with Secretaries of Homeland Security and State, and the Director of Central Intelligence, signed a memorandum of understanding on September 16, 2003, that, among other things, established the Terrorist Screening Center, with a director reporting to the Attorney General through the FBI Director, to execute the responsibilities specified in the directive, including consolidating the government's approach to terrorism screening and maintaining a consolidated terrorist screening database that is to be continuously updated. The Terrorist Screening Center began operating in December 2003. Since then, the center has, among other things, updated the watch list information provided in this report via collaborative discussions with the other federal watch list agencies and used it to develop an architectural understanding of the current watch list environment. It also used this information as part of its efforts to consolidate the watch lists with the establishment of the Terrorist Screening Database in 2004. This consolidated database, as we reported in September 2006 (see GAO-06-1031), is the U.S. government's master repository for all known and suspected international and domestic terrorist records used for watch-list related screening by federal agencies.
Federal Bureau of Investigation To promote better integration and sharing of watch lists, the Secretary of Homeland Security should, in collaboration with the heads of the departments and agencies that have and use watch lists, lead an effort to consolidate and standardize the federal government's watch list structures and policies. To determine and implement the appropriate level of watch list consolidation and standardization, this collaborative effort should include defining the requirements of our nation's target or "to be" watch list architectural environment, including requirements that address any agency-unique needs that can be justified, such as national security issues and civil liberty protections.
Closed – Implemented
Consistent with GAO's recommendations, the President issued, in September 2003, Homeland Security Presidential Directive 6 that among other things (1) makes it U.S. policy to develop, integrate, and maintain thorough and accurate information on terrorists and (2) directs the Attorney General to establish an organization to consolidate the federal government's approach to terrorist screening and provide for the appropriate and lawful use of such terrorist information in the processes used to screen for terrorists. To implement the President's directive, the Attorney General, along with Secretaries of Homeland Security and State, and the Director of Central Intelligence, signed a memorandum of understanding on September 16, 2003, that, among other things, established the Terrorist Screening Center, with a director reporting to the Attorney General through the FBI Director, to execute the responsibilities specified in the directive, including consolidating the government's approach to terrorism screening and maintaining a consolidated terrorist screening database that is to be continuously updated. The Terrorist Screening Center (TSC) began operating in December 2003. Since then, according to TSC officials, including the Director, the center has, among other things, defined the requirements of the nation's target or "to be" watch list architectural environment, including requirements that address agency-unique needs, such as national security issues and civil liberty protections. These officials also stated that this information was used as part of their efforts to consolidate the watch lists with the establishment of the Terrorist Screening Database in 2004. This consolidated database, as we reported in September 2006 (see GAO-06-1031), is the U.S. government's master repository for all known and suspected international and domestic terrorist records used for watch-list related screening by federal agencies.
Federal Bureau of Investigation To promote better integration and sharing of watch lists, the Secretary of Homeland Security should, in collaboration with the heads of the departments and agencies that have and use watch lists, lead an effort to consolidate and standardize the federal government's watch list structures and policies. To determine and implement the appropriate level of watch list consolidation and standardization, this collaborative effort should include basing the target architecture on achievement of the mission goals and objectives contained in the President's homeland security strategy and on congressional direction, as well as on opportunities to leverage state and local government and private-sector information sources.
Closed – Implemented
Consistent with GAO's recommendations, the President issued, in September 2003, Homeland Security Presidential Directive 6 that among other things (1) makes it U.S. policy to develop, integrate, and maintain thorough and accurate information on terrorists and (2) directs the Attorney General to establish an organization to consolidate the federal government's approach to terrorist screening and provide for the appropriate and lawful use of such terrorist information in the processes used to screen for terrorists. To implement the President's directive, the Attorney General, along with Secretaries of Homeland Security and State, and the Director of Central Intelligence, signed a memorandum of understanding on September 16, 2003, that, among other things, established the Terrorist Screening Center, with a director reporting to the Attorney General through the FBI Director, to execute the responsibilities specified in the directive, including consolidating the government's approach to terrorism screening and maintaining a consolidated terrorist screening database that is to be continuously updated. The Terrorist Screening Center (TSC) began operating in December 2003. Since then, according to TSC officials, including the Director, the center has, among other things, developed a target architecture that addresses homeland security strategic goals and objectives, congressional direction, and opportunities to leverage non-federal sources. These officials also stated that this information was used as part of their efforts to consolidate the watch lists with the establishment of the Terrorist Screening Database in 2004. This consolidated database, as we reported in September 2006 (see GAO-06-1031), is the U.S. government's master repository for all known and suspected international and domestic terrorist records used for watch-list related screening by federal agencies.
Federal Bureau of Investigation To promote better integration and sharing of watch lists, the Secretary of Homeland Security should, in collaboration with the heads of the departments and agencies that have and use watch lists, lead an effort to consolidate and standardize the federal government's watch list structures and policies. To determine and implement the appropriate level of watch list consolidation and standardization, this collaborative effort should include developing a near-term strategy for implementing the target architecture that provides for the integration of existing watch lists, as well as a longer-term strategy that provides for migrating to a more consolidated and standardized set of watch lists.
Closed – Implemented
Consistent with GAO's recommendations, the President issued, in September 2003, Homeland Security Presidential Directive 6 that among other things (1) makes it U.S. policy to develop, integrate, and maintain thorough and accurate information on terrorists and (2) directs the Attorney General to establish an organization to consolidate the federal government's approach to terrorist screening and provide for the appropriate and lawful use of such terrorist information in the processes used to screen for terrorists. To implement the President's directive, the Attorney General, along with Secretaries of Homeland Security and State, and the Director of Central Intelligence, signed a memorandum of understanding on September 16, 2003, that, among other things, established the Terrorist Screening Center, with a director reporting to the Attorney General through the FBI Director, to execute the responsibilities specified in the directive, including consolidating the government's approach to terrorism screening and maintaining a consolidated terrorist screening database that is to be continuously updated. The Terrorist Screening Center (TSC) began operating in December 2003. Since then, according to TSC officials, including the Director, the center, among other things, developed a near-term strategy for integrating the lists that was used as part of their efforts to consolidate the watch lists with the establishment of the Terrorist Screening Database in 2004. This consolidated database, as we reported in September 2006 (see GAO-06-1031), is the U.S. government's master repository for all known and suspected international and domestic terrorist records used for watch-list related screening by federal agencies. TSC officials stated that they continue to pursue a longer-term strategy for evolving the Terrorist Screening Database.
Federal Bureau of Investigation To promote better integration and sharing of watch lists, the Secretary of Homeland Security should, in collaboration with the heads of the departments and agencies that have and use watch lists, lead an effort to consolidate and standardize the federal government's watch list structures and policies. To determine and implement the appropriate level of watch list consolidation and standardization, this collaborative effort should include ensuring that these strategies provide for defining and adopting more standard policies and procedures for watch list sharing and addressing any legal issues affecting, and cultural barriers to, greater watch list sharing.
Closed – Implemented
Consistent with GAO's recommendations, the President issued, in September 2003, Homeland Security Presidential Directive 6 that among other things (1) makes it U.S. policy to develop, integrate, and maintain thorough and accurate information on terrorists and (2) directs the Attorney General to establish an organization to consolidate the federal government's approach to terrorist screening and provide for the appropriate and lawful use of such terrorist information in the processes used to screen for terrorists. To implement the President's directive, the Attorney General, along with Secretaries of Homeland Security and State, and the Director of Central Intelligence, signed a memorandum of understanding on September 16, 2003, that, among other things, established the Terrorist Screening Center, with a director reporting to the Attorney General through the FBI Director, to execute the responsibilities specified in the directive, including consolidating the government's approach to terrorism screening and maintaining a consolidated terrorist screening database that is to be continuously updated. The Terrorist Screening Center (TSC) began operating in December 2003. Since then, according to TSC officials, including the Director, the center, among other things, developed a near-term strategy for integrating the lists that was used as part of their efforts to consolidate the watch lists with the establishment of the Terrorist Screening Database in 2004. This consolidated database, as we reported in September 2006 (see GAO-06-1031), is the U.S. government's master repository for all known and suspected international and domestic terrorist records used for watch-list related screening by federal agencies. TSC officials stated that they continue to pursue a longer-term strategy for evolving the Terrorist Screening Database that provides for, among other things, defining and adopting more standard policies and procedures for watch list sharing and addressing legal issues and cultural barriers impeding greater watch list sharing.
Federal Bureau of Investigation In addition, the Secretary of Homeland Security should report to Congress by September 30, 2003, and every 6 months thereafter, on the status and progress of these efforts, as well as on any legislative action needed to accomplish them.
Closed – Implemented
Consistent with GAO's recommendations, the President issued, in September 2003, Homeland Security Presidential Directive 6 that among other things (1) makes it U.S. policy to develop, integrate, and maintain thorough and accurate information on terrorists and (2) directs the Attorney General to establish an organization to consolidate the federal government's approach to terrorist screening and provide for the appropriate and lawful use of such terrorist information in the processes used to screen for terrorists. To implement the President's directive, the Attorney General, along with Secretaries of Homeland Security and State, and the Director of Central Intelligence, signed a memorandum of understanding on September 16, 2003, that, among other things, established the Terrorist Screening Center, with a director reporting to the Attorney General through the FBI Director, to execute the responsibilities specified in the directive, including consolidating the government's approach to terrorism screening and maintaining a consolidated terrorist screening database that is to be continuously updated. The Terrorist Screening Center (TSC) began operating in December 2003. Since then, according to TSC officials, including the Director, the center has, among other things, reported to Congress periodically on the status and progress of its efforts via testimonies before congressional committees, written responses to congressional inquiries, and briefings with congressional staff.
Federal Bureau of Investigation To promote better integration and sharing of watch lists, the Secretary of Homeland Security should, in collaboration with the heads of the departments and agencies that have and use watch lists, lead an effort to consolidate and standardize the federal government's watch list structures and policies. To determine and implement the appropriate level of watch list consolidation and standardization, this collaborative effort should include developing and implementing the strategies within the context of the ongoing enterprise architecture efforts of each of the collaborating departments and agencies.
Closed – Implemented
Consistent with GAO's recommendations, the President issued, in September 2003, Homeland Security Presidential Directive 6 that among other things (1) makes it U.S. policy to develop, integrate, and maintain thorough and accurate information on terrorists and (2) directs the Attorney General to establish an organization to consolidate the federal government's approach to terrorist screening and provide for the appropriate and lawful use of such terrorist information in the processes used to screen for terrorists. To implement the President's directive, the Attorney General, along with Secretaries of Homeland Security and State, and the Director of Central Intelligence, signed a memorandum of understanding on September 16, 2003, that, among other things, established the Terrorist Screening Center, with a director reporting to the Attorney General through the FBI Director, to execute the responsibilities specified in the directive, including consolidating the government's approach to terrorism screening and maintaining a consolidated terrorist screening database that is to be continuously updated. The Terrorist Screening Center (TSC) began operating in December 2003. Since then, the TSC has, among other things, consolidated the watch lists with the establishment of the Terrorist Screening Database in 2004. This consolidated database, as we reported in September 2006 (see GAO-06-1031), is the U.S. government?s master repository for all known and suspected international and domestic terrorist records used for watch-list related screening by federal agencies. According to TSC officials, including the Director, as part of the consolidation effort, the center developed and implemented its strategies within the context of the evolving enterprise architecture efforts of the several departments and agencies, including the Department of Justice and Federal Bureau of Investigation.

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Border securityComputer matchingCounterterrorismEnterprise architectureHomeland securityTransportation securityInformation resources managementInteragency relationsInternal controlsLaw enforcement information systemsStrategic planningSystems compatibilityTerrorism