The Department of Homeland Security’s Office of Inspector General has issued the latest in a series

The Department of Homeland Security’s Office of Inspector General has issued the latest in a series of reports evaluating U.S. Customs and Border Protection’s Automated Targeting System. This report examines selected aspects of the ATS, determines their effectiveness in assisting CBP in detecting potential acts of terrorism, and identifies actions needed to improve the targeting of high-risk containers for inspection. ATS is an enforcement tool that uses sophisticated automated techniques and algorithms to perform risk-based analysis of anomalies and strategic intelligence to indicate which shipments are high-risk and require additional scrutiny and mandatory security inspections. CBP officers at ports of entry also use their local knowledge and judgment to select unusual or irregular shipments for inspection. A shipment selected by ATS or local CBP officers is held for a non-intrusive inspection; i.e., an X-ray image that CBP officers use to identify anomalies such as areas that appear unusual or inconsistent with the container contents listed on the shipping documents. If CBP officers are unable to resolve the anomaly with an NII they may refer a shipment for physical examination, which may consist of a visual inspection of the container’s interior, a limited inspection of selected contents or the complete unloading of the cargo. Record Retention. The report states that CBP could improve its record retention processes to support decisions made to waive or inspect high-risk shipments. Of the 391 shipments OIG identified as high-risk and selected for review, 57 (17%) did not have enough documentation to support the decisions made. All but nine of the 57 occurred prior to changes in policy CBP made in May 2007 to improve its review of high-risk shipments. Nevertheless, the report calls on CBP to change its requirements for document retention to support exam decisions. To be consistent with DHS requirements that risk assessments for inbound and outbound cargo be retained for up to 15 years and CBP requirements for importers to maintain their entry documentation for up to five years, CBP “should consider requiring that its entry examination records (including those supporting waiver decisions) are maintained for an adequate period of time to allow for quality assurance and system reviews.” CBP concurred with this recommendation and said it planned to develop a standard waiver form and record retention policy by Feb. 26, 2010. Exam Guidance. The report also highlights the need to update CBP’s guidance on conducting and recording physical exams of high-risk cargo containers. While the emphasis of CBP’s exams in the post-9/11 environment has shifted from narcotics enforcement to anti-terrorism, the agency has continued to rely on the narcotics-based exam guide it issued in 1999. CBP officers must therefore rely on their own judgment, experience and training to determine the type and extent of physical exams to conduct for anti-terrorism threats, including those involving biological, chemical, radiological and nuclear agents. In response, CBP said it plans to finalize (a) an updated exam guidance document by April 30 and (b) an updated Cargo Examination Reporting and Tracking System port guidance, which will include specific requirements for the input of exam findings, by July 30. Targeting Rules. Finally, the report states that CBP can improve its process for changing or deleting ATS targeting rules used to identify high-risk shipments by (a) providing more specific definitions for its risk categories, (b) ensuring that the rationale for rule changes implemented or not implemented is documented and recorded for future use, and (c) more clearly documenting the steps used to ensure that rule testing is consistent and that test results are thoroughly analyzed. In response, CBP developed a documentation process to capture and record information that includes the rationale for rule changes, definitions of terminology and the utilization of tools.

 

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