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U.S. Department of Justice Office of the Attorney General FY 2001 Performance Report & FY 2002 Revised Final, FY 2003 Performance Plan U.S. Department of Justice Message from the Attorney General This report on the Department of Justice’s performance during fiscal year 2001 and plans for fiscal year 2002 serves as an important mechanism of accountability and measure of progress. I am pleased to present it to you. The attacks of September 11th have redefined the mission of the Department of Justice. Defending our nation and the citizens of America against terrorist attacks is now our first and overriding priority. To fulfill this mission, we are devoting all the resources necessary to eliminate terrorist networks, to prevent terrorist attacks, and to bring to justice those who kill Americans in the name of murderous ideologies. This Report and Plan reflect that mission and outline future objectives related to it. We have launched the largest, most comprehensive criminal investigation in history to identify the perpetrators of the September 11th attacks and to prevent further terrorist attacks. Four thousand FBI agents are engaged, with their international counterparts, in an unprecedented worldwide effort to detect, disrupt and dismantle terrorist organizations. We have created a national task force to centralize control and information sharing during our investigation. In this fight against terrorism, the American people have been our valued and trusted and indispensable ally. Our partners in state and law enforcement have been our eyes and ears and muscle on the ground. We have sought and received additional tools from Congress and have begun to utilize many of these valuable tools. Within hours of passage of the USA PATRIOT Act we made use of its provisions to begin enhanced information sharing between law enforcement and the intelligence community. At the direction of the President, a Foreign Terrorist Tracking Task Force was created to ensure that we do everything in our power to prevent and deter terrorists from entering the country, and to locate and remove those who may have already entered. On November 8, 2001 I announced a comprehensive review and wartime reorganization of the Department of Justice to meet our counterterrorism mission. This effort recognizes that we cannot do everything we once did because lives now depend on us doing a few things very well. In addition to our primary mission, the Department of Justice will continue to vigorously enforce federal laws; deter, investigate and prosecute federal crimes, including gun, drug and civil rights violations; incarcerate offenders; partner with state, local and community groups to prevent crime; secure America’s borders; provide services to immigrants; and provide leadership and assistance in meeting the needs of crime victims. Our mission is clear. As the President said, in this mission “we will not tire, we will not falter, and we will not fail.” May God continue to bless America. John Ashcroft TABLE OF CONTENTS Introduction The Department of Justice .........................................................................................................................iii Mission Statement ......................................................................................................................................iii Core Values ............................................................................................................................................... iv Relationship to the Strategic Plan.............................................................................................................. iv Linkage to the Budget................................................................................................................................. v Measuring Law Enforcement Performance ................................................................................................ v Management Challenges and Initiatives..................................................................................................... v Data Reliability........................................................................................................................................... vi Organization of the Document................................................................................................................... vi Component Organizations .........................................................................................................................vii Strategic Goal 1: Protect America Against the Threat of Terrorism ................................................ 1 1.1 Prevention............................................................................................................................................ 3 1.2 Investigation....................................................................................................................................... 14 1.3 Prosecution........................................................................................................................................ 14 Strategic Goal 2: Enforce Federal Criminal Laws .............................................................................. 19 2.1 2.2 2.3 2.4 2.5 Violent Crime ..................................................................................................................................... 21 Drugs ................................................................................................................................................. 30 Espionage.......................................................................................................................................... 39 White Collar Crime ........................................................................................................................... 42 Crimes Against Children and the Exploitable .................................................................................... 59 Strategic Goal 3: Prevent and Reduce Crime and Violence by Assisting State, Tribal, Local and Community –Based Programs ............................................................. 63 3.1 3.2 3.3 3.4 3.5 Law Enforcement............................................................................................................................... 68 Juvenile Justice ................................................................................................................................. 76 Drug Abuse........................................................................................................................................ 81 Victims of Crime ................................................................................................................................ 85 Community Services.......................................................................................................................... 87 Strategic Goal 4: Protect the Rights and Interests of the American People by Legal Representation, Enforcement of Federal Laws and Defense of U.S. Interests ................... 93 4.1 4.2 4.3 4.4 Civil Rights......................................................................................................................................... 94 Environment .................................................................................................................................... 100 Antitrust ........................................................................................................................................... 103 Tax Laws ......................................................................................................................................... 109 Strategic Goal 5: Fairly and Effectively Administer the Immigration and Naturalization Laws of the United States ............................................................................................................... 117 5.1 5.2 5.3 5.4 5.5 5.6 5.7 Enforcement .................................................................................................................................... 120 Criminal Aliens................................................................................................................................. 134 Service to the Public ........................................................................................................................ 139 Organization and Infrastructure ....................................................................................................... 143 Quality of Data ................................................................................................................................. 147 Border Facilitation............................................................................................................................ 150 Adjudication ..................................................................................................................................... 154 Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan i Strategic Goal 6: Protect American Society by Providing for the Safe, Secure, and Humane Confinement of Persons in Federal Custody..................................... 157 6.1 6.2 6.3 6.4 Detention ......................................................................................................................................... 160 Prison Capacity ............................................................................................................................... 167 Prison Operations............................................................................................................................ 170 Inmate Services............................................................................................................................... 177 Strategic Goal 7: Protect the Federal Judiciary and Provide Critical Support to the Federal Justice System to Ensure it Operates Effectively ......................... 183 7.1 7.2 7.3 7.4 Protecting the Judiciary ................................................................................................................... 184 Victim’s Rights ................................................................................................................................. 187 Defendants and Fugitives................................................................................................................ 189 Bankruptcy....................................................................................................................................... 194 Strategic Goal 8: Ensure Professionalism, Excellence, Accountability, and Integrity In the Management and Conduct of the Department of Justice........................................... 197 8.1 8.2 8.3 8.4 8.5 Integrity and Professionalism .......................................................................................................... 199 Financial Management .................................................................................................................... 203 Grant Management ......................................................................................................................... 209 Information Technology................................................................................................................... 212 Human Resources........................................................................................................................... 220 Appendices A. Discontinued FY 2000 Performance Measures – Performance Report............................................ 223 B. Material Issues from the Department of Justice FY 2000 Management Controls Report ................ 228 C. OIG Letter to Congress Listing the Ten Most Serious Management Challenges Facing the Department of Justice..................................................................................................... 229 D. The President’s Governmentwide Management Initiatives and the Attorney General’s Departmental Goals and Management Initiatives ................................................................................................... 247 E. Glossary of Abbreviations and Acronyms ......................................................................................... 248 F. Index of Justice Component Websites ............................................................................................. 253 G. Intellectual Property Report ............................................................................................................... 256 H. Performance Measure Crosswalk .................................................................................................... 261 ii Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan INTRODUCTION In recent years, the Department of Justice (DOJ), and the Federal Government generally, have begun to embrace the concepts of performance-based management. These concepts have been effective in bringing about significant improvements in many private and public sector organizations and programs both in the United States and abroad. At the heart of performance-based management is the idea that focusing on mission, agreeing on goals, and reporting results are the keys to improved performance. Congress has mandated performance-based management through a series of bipartisan statutory reforms. The centerpiece of this statutory framework is the Government Performance and Results Act (GPRA) of 1993 (P.L. 10362). The GPRA requires agencies to develop strategic plans that identify their long range strategic goals and objectives; annual plans that set forth corresponding annual goals and indicators of performance; and annual reports that describe the actual levels of performance achieved compared to the annual goal. This document, prepared pursuant to the requirements under GPRA, combines the Department of Justice Annual Performance Report for FY 2001, the Final Revised Annual Performance Plan for FY 2002 and the Annual Performance Plan for FY 2003. Combining our report on past accomplishments with our plans for the upcoming years provides the reader a useful, complete and integrated picture of our current performance, a preview of our future goals, and a summary of how our budget is expended. This Annual Performance Plan incorporates a number of changes that reflect the goals, objectives, and strategies of Attorney General Ashcroft, including a heightened focus on counterterrorism efforts. This document represents another step forward in the continuing efforts of the Department of Justice to implement the tenets of performance-based management at the heart of the GPRA. Further, this document satisfies the requirements for the Attorney General’s Annual Report and serves as a companion document to the Department of Justice Accountability Report. THE DEPARTMENT OF JUSTICE The Department of Justice (DOJ) is headed by the Attorney General of the United States, and is comprised of 39 separate component organizations. These include the U.S. Attorneys (USAs) who prosecute offenders and represent the United States Government in court; the major investigative agencies—the Federal Bureau of Investigation (FBI) and the Drug Enforcement Administration (DEA)—which prevent and deter crime and arrest criminal suspects; the Immigration and Naturalization Service (INS) which controls the border and provides services to lawful immigrants; the U.S. Marshals Service (USMS) which protects the federal judiciary, apprehends fugitives and detains persons in federal custody; and the Bureau of Prisons (BOP) which confines convicted offenders and prepares them for reentry into society. Litigating divisions enforce federal criminal and civil laws, including civil rights, tax, antitrust, environmental, and civil justice statutes. The Office of Justice Programs (OJP) and the Office of Community Oriented Policing Services (COPS) provide leadership and assistance to state, tribal, and local governments. Other major departmental components include the National Drug Intelligence Center (NDIC), the United States Trustees (UST), the Justice Management Division (JMD), the Executive Office for Immigration Review (EOIR), the Community Relations Service (CRS), the Office of Professional Responsibility (OPR), and the Office of the Inspector General (OIG). Although headquartered in Washington, D.C., the Department conducts much of its work in offices located throughout the country and overseas. MISSION STATEMENT "To enforce the law and defend the interests of the United States according to the law; to ensure public safety against threats foreign and domestic; to provide federal leadership in preventing and controlling crime; to seek just punishment for those guilty of unlawful behavior; administer and enforce the nation's immigration laws fairly and effectively; and to ensure fair and impartial administration of justice for all Americans." Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan iii CORE VALUES In carrying out our mission, we are guided by the following core values: Equal Justice Under the Law. Upholding the laws of the United States is the solemn responsibility entrusted to us by the American people. We enforce these laws fairly and uniformly to ensure that all Americans receive equal protection and justice under the law. Honesty and Integrity. We adhere to the highest standards of ethical behavior. Commitment to Excellence. We seek to provide the highest levels of service to the American people. We are effective and responsible stewards of the taxpayers' dollars. Respect for the Worth and Dignity of Each Human Being. We treat each other and those we serve with fairness, dignity, and compassion. We value differences in people and ideas. We are committed to the well-being of our employees and to providing opportunities for individual growth and development. RELATIONSHIP TO THE STRATEGIC PLAN The Department of Justice FY 2001-2006 Strategic Plan (available on the Internet at http://www.usdoj.gov/jmd/mps/strategic2001-2006/toc.htm) provides the overall direction and framework for the Department's Annual Performance Plan. The Annual Performance Plan, in turn, translates the broadly-stated goals and objectives of the Strategic Plan into specific annualized performance goals (or targets) linked to the Department's annual planning, reporting and budgeting activities. In many cases, our annual performance goals either closely parallel or are identical to the strategic objectives. In more difficult to measure areas, they may track more closely to the strategies themselves. For the most part, however, our annual performance goals are not self-measuring, that is, the goal statements will not include a target value of performance. Instead, one or more performance indicators are associated with each goal. These indicators provide the specific values or characteristics that enable the goal to be measured. In many instances, performance indicators focus on outputs or intermediate outcomes that reflect incremental progress toward a strategic objective. The Strategic Plan identifies eight overarching strategic goals the Department pursues in carrying out its mission. The Strategic Plan also sets forth long-term objectives and strategies, identifies cross cutting programs, and describes external factors that may affect goal achievement. Goal 1: PROTECT AMERICA AGAINST THE THREAT OF TERRORISM Goal 2: ENFORCE FEDERAL CRIMINAL LAWS Goal 3: PREVENT AND REDUCE CRIME AND VIOLENCE BY ASSISTING STATE, TRIBAL, LOCAL, AND COMMUNITY-BASED PROGRAMS. Goal 4: PROTECT THE RIGHTS AND INTERESTS OF THE AMERICAN PEOPLE BY LEGAL REPRESENTATION, ENFORCEMENT OF FEDERAL LAWS AND DEFENSE OF U.S. INTERESTS Goal 5: FAIRLY AND EFFECTIVELY ADMINISTER THE IMMIGRATION AND NATURALIZATION LAWS OF THE UNITED STATES Goal 6: PROTECT AMERICAN SOCIETY BY PROVIDING FOR THE SAFE, HUMANE AND SECURE CONFINEMENT OF PERSONS IN FEDERAL CUSTODY Goal 7: PROTECT THE FEDERAL JUDICIARY AND PROVIDE CRITICAL SUPPORT TO THE FEDERAL JUSTICE SYSTEM TO ENSURE IT OPERATES EFFECTIVELY Goal 8: ENSURE PROFESSIONALISM, EXCELLENCE, ACCOUNTABILITY AND INTEGRITY IN THE MANAGEMENT AND CONDUCT OF DEPARTMENT OF JUSTICE ACTIVITIES AND PROGRAMS iv Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan LINKAGE TO THE BUDGET At the Department of Justice, performance planning and reporting is linked with the budget process. We recognize that performance information is vital to making resource allocation decisions and should be an integral part of the budget. In presenting performance information with the budget, individual Annual Performance Plans are included in the budget requests of specific Department components. These individual Annual Performance Plans provide more detailed information on respective programs and constitute the foundation of the Department's plan. This Annual Performance Plan is attainable within the Department's FY 2003 budget request and the performance targets are attainable within the resource levels requested. Changes in resource levels from year to year are the result of budget adjustments and link to the appropriated amounts for the year with actual obligations reported in FY 2001, enacted levels for FY 2002 and requested levels for FY 2003. MEASURING LAW ENFORCEMENT PERFORMANCE The Department of Justice is committed to performance-based management. Over the past several years, we have worked to improve our measures so that they are realistic and meaningful. We have established performance goals and indicators that reflect results, not just workload or processes. For example, we focus law enforcement efforts on disrupting and dismantling targeted criminal groups, such as major drug trafficking organizations, Asian and Eurasian criminal enterprises, and major violent gangs. For our debt collection activities, we measure estimated annual savings to consumers resulting from our efforts. For border control, we identify and project corridors where we have effectively controlled the border, as determined by analyzing a variety of indicators such as crime rates along the borders and illegal alien apprehension rates. In those areas, such as litigation, where results-oriented measurement is particularly difficult, we will keep working to establish meaningful outcome goals and measures. Measuring law enforcement performance presents unique challenges. First, "success" for the Department of Justice is when justice is served fairly and impartially. It cannot be reduced to simplistic numerical counts of activities such as arrests, cases, or convictions. Therefore, although the Department provides retrospective data on a select number of these activities, it does not target levels of performance. The Department is concerned that doing so would lead to unintended and potentially adverse consequences. Success for the Department is also achieved when crime is deterred due to the presence of a highly effective enforcement capacity. Although measuring deterrence may be impossible, we have introduced the concept of "optimal deterrence" and "maximum feasible capacity" as indices of our state of readiness to thwart present and future threats. Finally, it is extremely difficult to isolate the effects of our work from other factors that affect outcomes and over which the Department of Justice has little or no control. Although we are encouraged when the national crime rate falls, as it has for the past eight years, the Department does not rely on macro level indicators, such as national crime rates, in measuring its performance. Many factors contribute to the rise and fall of the crime rates, including federal, state, tribal and local law enforcement activities and sociological, economic, and other factors. Instead, we have focused on more targeted indicators such as those described above. MANAGEMENT CHALLENGES AND INITIATIVES The combined performance report and performance plan gives particular attention to the major management challenges confronting the Department. Management challenges run the gamut from maintaining the security of information systems to ensuring sound financial management. They are areas of concern that bear significantly on how well the Department carries out its mission and meets its responsibilities as stewards of public funds. Management challenges are a collection of issues drawn from the Department’s FY 2001 Management Controls Report, the Department’s Office of Inspector General (OIG) list of Top Ten Management Challenges, and the General Accounting Office inputs. Specific measures are identified for each of these management challenges. In addition, measures have been established for each of the initiatives in the President’s Management Agenda. These initiatives include human capital, E-Government, competitive sourcing, financial management, budget and performance integration, and the Faith Base Community Initiative. Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan v DATA RELIABILITY The Department of Justice views data reliability and validity as critically important in the planning and assessment of our performance. This document contains a discussion of data validation and verification for each performance measure. In addition, to ensure that data contained in this document are reliable, each reporting component was surveyed to ensure that data reported met the Office of Management and Budget (OMB) standard for data reliability. Data that do not meet this standard were not included in the Report and Plan. The OMB standard is as follows: "Performance data is acceptably reliable when there is neither a refusal nor a marked reluctance by agency managers or government decision makers to use the data in carrying our their responsibilities. Performance data need not be perfect to be reliable, and the cost and effort to secure the performance data possibly can exceed the value of any data so obtained." ORGANIZATION OF THE DOCUMENT This document presents to the President, the Congress, and the public a clear picture of how the DOJ has used, and is planning to use, its resources to accomplish its mission. The body of the document is divided into eight sections, one for each of the eight strategic goals listed above. Under each strategic goal is an introduction to that goal, a discussion of the major management challenges associated with that goal, a description of evaluations that have been or are planned for programs supporting that goal, and all strategic objectives that are the underpinnings for achieving that goal. Each strategic objective is further divided into two primary sections. The first subsection begins with an annual goal that reflects the strategic objective. Under it are the over-arching strategies we plan to use to meet the strategic goal, as well as a description of the means (resources) we need for meeting that goal. The second subsection addresses our performance both past and anticipated in meeting the strategic objective. This subsection divides the strategic objective into manageable "performance clusters" that can be measured and described in detail. We discuss our performance in FY 2001, evaluate our FY 2002 performance plan based on that performance, and describe our planned performance for FY 2003. Each performance subsection ends with a discussion of crosscutting activities that affect that performance cluster. Performance planning is an iterative process. As we learn, we continue to refine our measures. Some measures, therefore, have been replaced or refined. All FY 2001 discontinued measures are included in Appendix A, since they have little relevancy to our current programmatic emphasis. This list also reflects the AG’s efforts to streamline and create a more focused annual plan. Newly developed indicators are labeled “New Measure” and measures labeled “Measure Refined” reflect the maturation of our measurement process. Finally, we have reported FY 2001 actual performance for all indicators, whether they are in the main body of this report or discontinued (see Appendix A). This provides a complete and comprehensive picture of our program accomplishments. The management challenges described under each strategic goal include those issues that the Department regards as "material weaknesses" or "material nonconformances" (see Appendix B), the OIG Top Ten Management Challenges (see Appendix C), as well as the Presidential Management Initiatives (see Appendix D) and issues that the Attorney General has reported to the President in the DOJ FY 2001 Management Controls Report (available Spring 2002 to the public on the Internet at www.usdoj.gov). Note that the OIG’s ten management issues may or may not be considered material weaknesses by the Department. The OIG list includes issues, such as grants management, that is inherently risky due to the amount of public funds involved and large volume of grantees. Even though some of the challenges may not be a problem for DOJ at this time, they require a high level of continuing attention to ensure the resources involved are used appropriately. The Appendix includes (A) the report on FY 2001 discontinued performance measures; (B) a list of DOJ FY 2001 material weaknesses and nonconformances; (C) the DOJ OIG’s memorandum to the Attorney General listing the ten most serious management challenges facing DOJ; (D) the Presidential Management Initiatives and the Attorney General’s Goals and Management Initiatives; (E) a glossary of abbreviations and acronyms; (F) a list of DOJ component web sites; (G) a report on Intellectual Property, which is required for the Attorney General’s Annual Report; and (H) a crosswalk of the performance indicators from the FY 2000 Performance Report to the current FY 2001 Performance Report (due to the change in ordering of the Department’s Strategic Objectives between FY 2001 and FY 2002). vi Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan This document is available on the Internet at http://www.usdoj.gov/ag/annualreports/pr2001/TableofContents.htm. COMPONENT ORGANIZATIONS Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan vii STRATEGIC GOAL ONE: Protect America Against the Threat of Terrorism Terrorism, both international and domestic, poses the most complex threat of any, for which the Department of Justice has responsibility. As dramatically evidenced by the attacks on September 11, 2001 and the subsequent anthrax attacks, international radical extremists and ad hoc coalitions of loosely affiliated individuals motivated by perceived injustices, as well as domestic groups and disgruntled individual American citizens – have attacked U.S. interests at home and abroad. They have increasingly chosen nontraditional targets and have employed unconventional weapons. In addition, the technological advancements of the information age have rendered crime-fighting efforts increasingly complex and have opened new avenues for global criminal activities. The increasing interconnectedness of critical infrastructures has created new vulnerabilities as criminals, terrorists, and hostile foreign intelligence services to exploit the power of cyber tools and weapons. To effectively address international and domestic terrorism, DOJ must concentrate on both prevention and response. The Department utilizes a multifaceted approach to detect, assess, deter, prevent, investigate, and respond to terrorist operations. On November 8, 2001, the Attorney General outlined a wartime reorganization and mobilization of the nation’s justice and law enforcement resources to meet the counterterrorism mission of DOJ. To fulfill the critical mission of protecting the U.S. from the threat of terrorism, the DOJ will devote all resources necessary to disrupt, weaken, and eliminate terrorist networks, to prevent or thwart terrorist operations, and to bring to justice the perpetrators of terrorist acts. DOJ recognizes that success in counterterrorism efforts will require not only the coordinated efforts of all Department components, but also productive and cooperative efforts with other critical state, local, and federal partners. Several of the Department’s major components are heavily involved in the fight against terrorism: The Federal Bureau of Investigation (FBI) plays a critical role identifying and countering threats to the U.S. In addition, the FBI is the designated Lead Agency for terrorism investigations and crisis management. The FBI also provides law enforcement assistance and other specialized support when required. The Immigration and Naturalization Service (INS) and the Criminal Division work together to prevent the entry of terrorists into the U.S. through effective border control and through measures targeting smuggling organizations that may be used by potential terrorists. INS also works with the FBI in counterterrorism investigations and exercises administrative removal authority against persons who finance or provide material support to terrorists or designated terrorists organizations. The Drug Enforcement Administration (DEA) provides intelligence support to the FBI and agencies conducting counterterrorism activities. It’s Special Operations Division (SOD) serves as a point of contact for electronic surveillance assistance for terrorism-related requests. The United States Attorneys offices, through their Anti-Terrorism Coordinators, are part of a national network that coordinates the dissemination of information and the development of a preventive, investigative and prosecutorial strategy among federal law enforcement agencies, primary state and local police forces, and other appropriate state agencies and officials in each district throughout the country. The Criminal Division (CRM), through the Terrorism and Violent Crime Section, focuses on the development and prosecution of terrorism cases, preparation for and response to acts of terrorism, and coordination of counterterrorism issues with the U.S. Attorneys’ offices, other pertinent Executive Branch agencies, and multilateral organizations. In addition, CRM’s Computer Crime and Intellectual Property Sections focuses on the development and prosecution of cyberterrorism cases and issues regarding gathering electronic evidence. Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan 1 The Office of Justice Program’s (OJP) Office of Domestic Preparedness (ODP) provides state and local agencies with grant funding and needed services to acquire specialized response equipment, training, and technical assistance. This office transitions to Federal Emergency Management Agency (FEMA) in FY 2003. MANAGEMENT CHALLENGES There are no existing material weaknesses that will hinder the achievement of goals in this area in FY 2003. However, the DOJ Office of Inspector General’s (OIG) December 2001 list of the top ten management challenges facing the Department includes two management challenges in this area: Counterterrorism: Last year, the OIG restated the General Accounting Office (GAO) finding that governmentwide, anti-terrorism resources were not clearly linked to a threat analysis and a national antiterrorism strategy (GAO report #T-NSIAD-00-145). According to GAO, this situation creates the potential for gaps or duplication in the United States’ anti-terrorism strategy. This year, in light of the September 11, 2001, terrorist attacks on the United States, the OIG has sharpened its focus on this issue. In particular, the OIG refers to the FBI’s use of its counterterrorism funds, the mix of cases the FBI chooses to investigate, and the FBI’s management of its information technology projects. The OIG also refers to the domestic preparedness grants the OJP awards to state and local entities for training and equipment to respond to acts of terrorism, as well as the amount of funding awarded and whether grants are being used for their intended purpose. Finally, the OIG refers to various INS endeavors, such as the Visa Waiver Program, their efforts to control the northern border, the criteria for sending non-immigrants to secondary inspection at air ports of entry, an automated system to monitor foreign students, and their use of Advance Passenger Information System data to help deter the entry of terrorists or other criminals into the U.S. Sharing of Intelligence and Law Enforcement Information: The September 11 terrorist attacks also highlighted the critical importance of sharing intelligence and other law enforcement information among federal, state, and local agencies, both for the investigation of terrorist attacks and for the prevention of future attacks. DOJ must ensure that law enforcement agencies at all levels have access to information that could be important in helping detect and deter terrorist attacks. In late October, the President signed the USA PATRIOT Act of 2001, which permits greater sharing of intelligence and law enforcement information. The Department faces significant challenges in both ensuring that these new authorities are used appropriately and in ensuring that other federal, state, and local law enforcement agencies have access to information important to their work. Performance measures related to these management challenges are noted. 2 Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan STRATEGIC OBJECTIVE 1.1: PREVENT TERRORISM Prevent, disrupt, and defeat terrorist operations before they occur. Annual Goal 1.1: Prevent, disrupt, and defeat terrorist operations before they occur. STRATEGIES ¨ ¨ ¨ ¨ ¨ Establish Anti-Terrorism Task Forces within each jurisdictional district to coordinate anti-terrorist activities. Build and maintain the FBI’s fullest capacity to detect, deter, counter, and prevent terrorist activity. Develop an intelligence capability that fully supports the Department’s counterterrorism efforts. Mitigate threats, especially cyber-threats, to the U.S. national infrastructure. Fully coordinate with federal, state, and local government agencies in a comprehensive effort to develop and maintain adequate domestic preparedness. Dramatic changes in the international and domestic environments have produced credible and serious terrorist threats. Each of these threats, which include the efforts of international terrorists, the growing threat of criminal use of weapons of mass destruction (WMD), and criminal acts perpetrated by domestic terrorists, present the Department with a clear, but difficult challenge. The wide range of terrorist threats include: Osama Bin Ladin's al Qaeda network, terrorist organizations attempting to obtain a WMD capability, anthrax attacks and hoaxes, radical animal rights and environmental groups, violent anti-government groups and white supremacists, and threats against the information infrastructure. Due to the diversity of the terrorist threat and the complicated nature of terrorist investigation and response, the Department focuses on developing the capacity to respond to any terrorist issue, whether it is domestic or international. While the Department cannot prevent all terrorism, by developing a structure to build and maintain maximum feasible capability, the Department is in a position to prevent and deter terrorism to the maximum extent possible. To fulfill the critical mission of protecting the U.S. from the threat of terrorism, DOJ will devote all resources necessary to disrupt, weaken, and eliminate terrorist networks, to prevent or thwart terrorist operations, and to bring to justice the perpetrators of terrorist acts. DOJ recognizes that success in counterterrorism efforts will require not only the coordinated efforts of all Department components, but also productive and cooperative efforts with other critical state, local, and federal partners. DOJ is fully committed to breaking down the bureaucratic and cultural barriers that prevent meaningful coordination and cooperation between criminal law enforcement and counterintelligence operations, both within the department and between the department and other entities, while respecting legitimate legal restrictions. While the federal government plays a major role in preventing and responding to terrorist incidents, the state and local public safety community serve as our nation’s “first responders.” OJP’s Office of Domestic Preparedness (ODP) provides state and local agencies with grant funding services to acquire specialized response equipment, emergency responder training and technical assistance, and support to plan and conduct exercises tailored to the circumstances of the jurisdiction. In addition, the FBI provides training and certification to state and local bomb technicians. Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan 3 MEANS – Annual Goal 1.1 Dollars/FTE* Appropriation Criminal Division FBI Construction FBI General Admin. Counterterrorism OJP (ODP) U.S. Attorneys Sep. 11th Fund Subtotal Skills FY 2002 Enacted FTE $ mill 26 4 0 5 3834 1063 0 6 0 5 81 646 35 3 [0] [1080] 3976 $1732 FY 2003 Requested FTE $ mill 31 5 0 0 4392 783 7 5 0 35 0 0 55 4 [0] [2700] 4485 $832 The Department requires skilled agents, attorneys, analysts, and linguists. Linguists are critical to supporting criminal and national security investigations and intelligence success. This goal requires the skills and abilities of experienced attorneys, law enforcement professionals, and intelligence analysts. Information Technology 4 FY 2001 Actual FTE $ mill 22 4 0 0 4064 595 0 0 0 47 48 91 0 0 [0] [0] 4134 $737 FBI programs in this area are supported by: the Integrated Statistical Reporting and Analysis Application (ISRAA), a centralized database which tracks statistical case accomplishment from inception to closure; the Automated Case Support System (ACS), a database which captures all information pertaining to the administration of cases. Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan PERFORMANCE ASSESSMENT – Annual Goal 1.1 1.1A Prevent Terrorists’ Acts Background/Program Objectives: It is the Department’s goal to prevent terrorist acts. In order to achieve that objective, DOJ will build maximum feasible capacity in the counterterrorism program, allowing the Department to identify, assess, and address terrorist threats. Maximum feasible capacity assumes that the political/religious/social movements that drive terrorism are often beyond the control of any one department or government; therefore, it may not be possible to prevent all acts of terrorism. Through this strategy, however, the Department specifically identifies the critical elements of a fully successful counterterrorism program to: 1) assess current capacity, 2) identify performance gaps; and 3) develop strategies to fill these gaps and maximize the government’s ability to address terrorist threats. Performance: Pilot Performance Measure: Performance Capacity Pilot Performance Measure: Performance Indicator (PCI) Capacity Indicator (PCI) Status: The FBI is finalizing the Data Definitions: The PCI is derived from three variables that provide a Performance Capacity Indicator (PCI). The PCI snapshot of what the FBI Counterterrorism (CT) Program Capacity is, is a statistically valid, numerical measure of the relative to the current environmental conditions and threat. The specific capacity of the FBI CT to accomplish its variables used in construction of this index are classified. mission to prevent, disrupt, and defeat terrorist Data Collection and Storage: The data source for the PCI is obtained acts before they occur; pursue the arrest and through the FBI CT component of the FBI’s automated Annual Field prosecution of those who have conducted, Office Report (AFOR), which is submitted annually by each of the 56 FBI aided, and abetted those engaged in terrorist field offices, along with other data sources utilized by the FBI’s CT acts; and to provide crisis management Division. These data sources contain relevant information regarding the overall CT capacity not necessarily exhibited through the AFOR process. following acts of terrorism against U.S. interests. The indicator works by measuring the Data Validation and Verification: The data source information is interaction between the FBI counterterrorism compiled, analyzed, and verified at FBI headquarters. The information is program’s capacity and the external applied to a formula with the result being a numerical indicator, which expresses capacity relative to the prevailing threat level. The FBI will environment. By comparing these factors, the focus efforts on maximizing this score and the capability it represents. CTD is able to assess its progress in achieving its mission. An increase in the PCI represents Data Limitations: The data collection method relies upon FBI program an increase in the capacity of the FBI CT to managers to audit survey findings to ensure reliability. Although this method relies upon expert knowledge to make the reported information accomplish its mission. This indicator will be reliable, the survey instrument is still being perfected to provide clear completed by March 2002 and will include examples of how data responses should reliably report findings. outyear performance targets. Additionally, the FBI will continue to report other measures in combination with the PCI. Although much of the data used to calculate the index is classified, the equation and the numerical result will be included in the Department’s FY 2002 performance report. Performance Measure: Terrorist Acts Committed by Foreign Nationals Against U.S. Interests (within U.S. Borders) FY 2001 Target: 0 FY 2001 Actual: 6 Discussion: Incidents reported for FY 2001 are as follows: September 11, 2001 Suicide airplane bombing of towers One and Two of the World Trade Center (New York, New York), Suicide Airplane bombing of the Pentagon (Washington, DC), and Hijacking/Crash United Airlines flight #93 (Stony Creek, PA). FY 2002 Performance Plan Evaluation: Regardless of terrorist activity, the target will always remain zero. FY 2003 Performance Plan: 0 Terrorist Acts Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan 5 Strategies to Achieve the FY2003 Goal: A strategy of maximum feasible capacity builds the capability to restrain all types of groups and individuals engaged in acts of terrorism and to deter and respond to threats before attacks occur. It builds the capacity to safely and effectively respond to the challenges of unconventional terrorist methods such as the use of chemical, biological, nuclear, and radiological materials. It requires all elements of crisis and consequence management at the federal, state, and local levels through the country to develop and implement integrated terrorism response plans. It builds the capacity to rapidly identify, locate, apprehend, and prosecute those responsible for terrorist attacks when they do occur; and to prevent, disrupt, and defeat terrorist elements and plans, including computer intrusion and infrastructure threats, through early watch and warning capability and preventive measures. NEW MEASURE: Terrorist Acts Committed by Foreign Nationals Against U.S. Interests wtihin U.S. Borders[FBI] 3 3 2 1 0 FY01 Actual 0 0 0 0 FY00 FY02 FY03 Projected Data Definitions: Terrorist Acts Committed by Foreign Nationals counts separate incidents that involve the “unlawful use of force and violence against persons or property to intimidate or coerce a government, the civilian population, or any segment thereof, in furtherance of political or social objectives.” (28 C.F.R. Section 0.85). For purposes of this measure, a terrorist act can involve one or more perpetrators, but is directed towards a single general target (e.g., a building or physical structure, an aircraft). Although there may be several terrorist acts cited, two or more of these acts may represent a concerted effort to have a widespread, simultaneous impact (e.g., the events of September 11, 2001). Other key components within the Department Data Collection and Storage: The reported numbers were compiled through the expert knowledge of FBI CT senior management at will also contribute to the deterrence of headquarters for this report. counterterrorism. DEA will partner with FBI on intelligence analysis and the INS will enhance Data Validation and Verification: See above. efforts to obtain tactical and strategic Data Limitations: The decision to count or discount an incident as a intelligence in source countries and share it terrorist act, according to the above definition, is subject to change with relevant partners. INS will support FBI based upon the latest available intelligence and the opinion of program investigations and conduct investigations of managers making the determination. In addition, acts of terrorism, by other foreign threats to the national security to their nature, are impossible to reduce to uniform, reliable measures. A single defined act of terrorism could range from a small-scale explosion disrupt and dismantle terrorism cells and that causes only property damage to the use of a weapon of mass supporters within the U.S. The Department will destruction that causes thousands of deaths and massive property build on existing liaison mechanisms with damage, and has a profound effect on national morale. foreign governments, intergovernmental organizations, and industry partners. INS intelligence will provide relevant INS offices with a list of terrorist organizations, as identified by the U.S. Intelligence Community that present the most significant threat to U.S. border integrity. Through a collaborative effort, primary organizations/individuals will be targeted. Intelligence gathering activities also include coordination of anti-smuggling/terrorism strategies with the FBI; the completion of a U.S.-Canada bilateral common threat assessment among all concerned agencies on border zones’ vulnerabilities; and increased automation in the intelligence collection and analysis process. To improve the effectiveness of efforts to apprehend persons attempting illegal entry, INS will expand international operations to provide consultative services concerning validity of travel documents to airline and immigration officials at airports. Finally, the INS will conduct special, short-term coordinated enforcement operations in source and transit countries, resulting in the apprehension and repatriation of mala fide migrants en route to the U.S. Crosscutting Activities: Crosscutting functions include deterring and responding to terrorist acts; improving capabilities through training, planning, exercises, and research and development; and improving coordination domestically and internationally. The FBI has the lead in deterring and responding to terrorists acts which occur in the U.S., while the Department of State has the lead in regard to acts abroad which impact U.S. citizens or U.S. interests. Department of Defense (DOD) leads tactical and logistical support, through well-established protocols. Extensive interagency and inter-jurisdictional training and exercising efforts focus on the goal of seamless counterterrorism response. DOJ, in coordination with the Departments of State, the Treasury and others, works closely with our allies in the G-8, in the Council of Europe, and in other multinational fora, to pursue common counterterrorism efforts. 6 Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan Crosscutting efforts to establish comprehensive border enforcement include cooperation with local communities and industries, as well as Canadian and Mexican authorities. INS agents in offices worldwide will continue to work closely with the Department of State, DEA, the U.S. Customs Service, the FBI, the U.S. Coast Guard, the Department of Agriculture, and foreign governments in order to exchange information with foreign immigration counterparts and to better identify and disrupt terrorist activities. The Border Coordination Initiative (BCI) is a crosscutting effort to increase shared information and intelligence along the U.S.-Mexico border. Through the establishment of joint performance measures, BCI has proven successful and is considering priority areas for expansion such as the Northern Border. This will further bolster the borders against terrorism threats. Other cooperative intelligence/investigative efforts include the INS Law Enforcement Support Center, which provides a link between federal, state, and local law enforcement officers and the database accessed by INS, and the El Paso Intelligence Center, which is a DEA-led, multi-agency tactical intelligence center. Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan 7 1.1B Protect Critical Infrastructure (Management Challenge) Background/Program Objectives: All critical infrastructures now rely on computers, advanced telecommunications, and, to an ever-increasing degree, the Internet. That dependence creates new vulnerabilities, which are exacerbated by several factors. First, most infrastructures rely on commercially available technology, which means that a vulnerability in hardware or software is not limited to one company, but is likely to be widespread. Second, infrastructures are increasingly interdependent and interconnected with one another, so it is difficult to predict the cascading effects that the disruption of one infrastructure would have on others. Third, the telecommunications infrastructure is now truly global. Satellite communications, the Internet, and foreign ownership of telecommunication carriers in the U.S. have all combined to undermine the notion of a “National Information Infrastructure.” The FBI’s National Infrastructure Protection Center’s (NIPC) goal is to enhance U.S. national security by preventing infrastructure damage through a multifaceted approach to maximize its investigative and preventative resources to thwart cyber attacks on the nation’s infrastructure. Computer Intrusions Investigated [FBI] Performance Measure: Computer Intrusions Investigated FY 2001 Target: Not Targeted (see below) FY 2001 Actual: Computer Intrusion Investigations Closed – 1,013, Computer Intrusion Investigations Opened and Pending – 2,226 Discussion: The increase in investigations is directly proportional to the number of trained agents in the field who have the ability to respond to reported intrusions. The number of computer intrusion investigations is also tied to an increase in the intelligence base of the Bureau, as well as an industry partners’ increase in violation reporting through the InfraGard and Key Asset programs. FY 2002/2003 Performance Plan Evaluation: In accordance with Department guidance, targeted levels of performance are not projected for this indicator Public Benefit: See below. Performance Measure: Computer Intrusion Convictions Number of Computer Intrusion Convictions/Pre-Trial Diversions FY 2001 Target: Not Targeted (see below) FY 2001 Actual: 91 (84 convictions, 7 pre-trial diversions) Discussion: Computer intrusions convictions rose as a result of increased investigations and level agent expertise. FY 2002/2003 Performance Plan Evaluation: In accordance with Department guidance, targeted levels of performance are not projected for this indicator. Public Benefit: Through computer intrusion investigations and prosecutions, DOJ works to arrest those who perpetrate computer intrusions that affect the nation’s infrastructure. In addition, these investigations enable the Department to gather information, develop and solidify relationships with critical partners, and maintain a presence visible to both potential criminals and the American public, all of which are critical pieces of the Department’s efforts against terrorism. 8 2,226 2,500 1,756 2,000 1,500 1,000 1,000 500 921 2,032 921 1,013 399 0 FY98 FY99 FY00 FY01 FY02 FY03 Investigations Closed Investigations Open and Pending Computer Intrusion Convictions/PreTrial Diversions [FBI] 100 91 80 60 40 50 41 54 26 20 0 FY97 FY98 FY99 FY00 FY01 FY02 FY03 Actual Data Definition: Pretrial Diversion: A pretrial diversion can be claimed when a subject and the USA agree to a pretrial diversion plan under which the subject must complete a plan of lawful behavior in lieu of prosecution. Generally, a pretrial diversion plan may be considered for misdemeanor offenses involving first time offenders. Data Collection and Storage: The data source for the number of intrusions investigated is the FBI’s Monthly Administrative Report/Automated Case Support (MAR/ACS) system. Data Validation and Verification: For the computer intrusions, before data is entered into the system, they are reviewed and approved by an FBI field manager. Data in both systems are subsequently verified through the FBI’s inspection process. Inspection occurs on a 2 to 3 year cycle. Using statistical sampling methods data in ISRAA is traced back to source documents contained in FBI files. Data Limitations: None known at this time. Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan Performance Measure: Key Assets Identified FY 2001 Target: 3,200 FY 2001 Actual: 5,700 Discussion: The target was exceeded. The number of Key Assets indicates the number of identified organizations, systems, or physical plants, the loss of which would have widespread or dire economic or social impact on a national, regional, or local basis. FBI field agents identify assets in their jurisdiction that may qualify as Key Assets and consult with the owners on their operations and impact on the locality’s critical infrastructure. Key Assets are identified and entered into a database from which maps are created that help determine any overlapping or secondary Key Assets that are interlinked. FY 2002 Performance Plan Evaluation: Based on program performance in FY 2001, we establishing FY 2002 target to 6,100. FY 2003 Performance Target: 6,500 Public Benefit: The FBI's NIPC works closely with the private sector and promotes a close working relationship between law enforcement, industry, and government at all levels. The core of the NIPC approach is prevention, detection, and response. Key Assets Identified [FBI] 8,000 5,384 5,700 6,000 4,000 2,000 0 6,100 6,500 3,200 2,745 400 FY98 FY99 Actual FY00 FY01 FY02 FY03 Projected Data Collection and Storage: Key Assets are identified and entered into a database. Data Validation and Verification: The mapping process helps to verify that an “asset” is a critical Key Asset and any others that have not been identified. This results in a continual process of validating the information. The maps/grids produced from the database are used to plan for various scenarios in the event of a threat or an incident. Data Limitations: Although the numbers provided are cumulative, the delta between any two years may not be a true indicator of activity given that as new assets are identified, other assets may no longer meet the Key Asset criteria and are removed from the database. Strategies to Achieve the FY 2003 Goal: Key Assets continue to be identified. Simultaneously, processes of contingency planning, determining cascading effects, and interdependencies have already begun for some key assets. NIPC will continue to work to assess vulnerabilities and develop proactive techniques and countermeasures. NIPC will also work closely with the private sector and promote a close working relationship between law enforcement, industry, and government at all levels. In FY2003, DOJ will develop all necessary assets and capabilities to support operations aimed at disrupting and defeating threats to critical infrastructures. Specifically, NIPC will work to assess vulnerabilities and develop proactive techniques and countermeasures. Other strategies within NIPC include 1) the recruitment of agents and analysts with specialized computer expertise; 2) training and education on computer incident investigations and infrastructure protection for both FBI personnel and public and private sector partners; 3) continuation of the InfraGard program to ensure that private sector infrastructure owners and operators share information about cyber intrusions, exploited vulnerabilities, and physical infrastructure threats; 4) the development of an indications and warning network for federal computer systems; 5) the continuation of research and development; and 6) the provision of state of the art tools, technologies, and intellectual capital related to computer intrusions and infrastructure protection. In addition, the Criminal Division’s Computer Crime and Intellectual Property Section (CCIPS) will provide expert legal and technical advice regarding information warfare, infrastructure protection and other topics related to Critical Infrastructure Protection. During FY 2003, CCIPS will focus on: international outreach, in coordination with the Department’s Office of International Affairs and the State Department; increasing mechanisms for information sharing between industry and government; legal and policy issues presented by intrusions detection systems, penetration testing and other means of protecting critical networks; devising means to protect network resources while respecting the legitimate privacy rights of persons who use those networks; encouraging the private sector to take sufficient measures to help protect the infrastructure; and develop prevention programs, such as the Cybercitizen Partnership, to increase public awareness and teach responsible/ethical online behavior. Also, the FBI's National Infrastructure Threat Warning System in the U.S disseminates infrastructure protection alerts, advisories, and vulnerability/threat assessments relative to infrastructure protection to the public and private sector stakeholders, and the law enforcement community. The FBI ensures the development and Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan 9 implementation of contingency plans designed to protect infrastructure assets, maintain maximum feasible capacity for deterrence, and to facilitate the rapid response to threats, compromise, or attack. Crosscutting Activities: The NIPC staff includes detailees from federal and state agencies as well as two international partners. These agencies include: Department of Energy (DOE), Central Intelligence Agency (CIA), DOD, United States Air Force (USAF), Defense Central Intelligence Service, NSA, Postal Service, Navy, GSA, etc. NIPC staff ensures coordination with FBI field offices, other government agencies and foreign police and security. Rapid response to intrusions is often required, placing a premium on cooperation. The InfraGard initiative encourages the exchange of information by government and private sector members through the formation of local InfraGard chapters within the jurisdiction of each FBI Field Office. Chapter membership includes representatives from the FBI, private industry, other government agencies, state and local law enforcement, and the academic community. The initiative provides four basic services to its members: an intrusion alert network using encrypted e-mail; a secure website for communications about suspicious activity or intrusions; local chapter activities; and a help desk for questions. 10 Department of Justice · FY01 Performance Report/ FY02 Revised Final Performance Plan/ FY03 Performance Plan 1.1C Improve Domestic Preparedness (Management Challenge) Background/ Program Objectives: Two key elements of domestic preparedness include expertise in hazardous devices and emergency response capabilities to threats such as weapons of mass destruction. The Hazardous Devices School (HDS) is the only formal domestic training school for state and local law enforcement to learn safe and effective bomb disposal operations. HDS prepare bomb technicians to locate, identify, render safe, and dispose of improvised hazardous devices, including those containing explosives, incendiary materials, and materials classified as weapons of mass destruction. Qualifications for bomb technician certification include graduation from the HDS Basic Course, and the continued successful completion of the HDS Recertification Course every three years. Additionally, a bomb technician must be actively employed by a law enforcement or public safety organization and be assigned to bomb squad respons