Aviation Security: 
Computer-Assisted Passenger Prescreening System 
Faces Significant Implementation Challenges 

United States General Accounting Office (GAO) Report to Congressional Requesters GAO-04-385 12feb04

Abbreviations:
Transportation Security Administration (TSA) 
Computer-Assisted Passenger Prescreening System (CAPPS)

Results in Brief

Key activities in the development of CAPPS II have been delayed, and TSA has not yet completed important system planning activities. Specifically, TSA is currently behind schedule in testing and developing initial increments of CAPPS II, due in large part to delays in obtaining passenger data needed for testing from air carriers because of privacy concerns. Initial operating capability—the point at which the system will be ready to operate with one airline—was originally scheduled to be completed in November 2003; however, TSA officials stated that initial operating capability has been delayed and its new completion date is unknown. TSA also has not yet established a complete plan identifying specific system functionality that will be delivered, the schedule for delivery, and the estimated costs throughout the system’s development. Establishing such plans is critical to maintaining project focus and achieving intended system results. Project officials reported that they have developed cost and schedule plans for initial increments, but are unable to plan for future increments with any certainty due to testing delays.

As of January 1, 2004, TSA has not fully addressed seven of the eight CAPPS II issues identified by the Congress as key areas of interest, due in part to the early stage of the system’s development. These issues relate to (1) the effective management and monitoring of the system’s development and operation and (2) the public’s acceptance of the system through the protection of passengers’ privacy and enabling passengers to seek redress when errors occur. The Department of Homeland Security (DHS) has addressed one of the eight issues by establishing an internal oversight board to review the development of major DHS systems, including CAPPS II. DHS and TSA are taking steps to address the remaining seven issues, however, they have not yet

• determined and verified the accuracy of the databases to be used by CAPPS II,
  
  
• stress tested and demonstrated the accuracy and effectiveness of all search tools to be used by CAPPS II,
  
  
• completed a security plan to reduce opportunities for abuse and protect the system from unauthorized access,
  
  
• adopted policies to establish effective oversight of the use and operation of the system,
  
  
• identified and addressed all privacy concerns, and
  
  
• developed and documented a process under which passengers impacted by CAPPS II can appeal decisions and correct erroneous information.

In addition to facing developmental, operational, and public acceptance challenges related to the key areas of interest of the Congress, CAPPS II also faces a number of additional challenges that may impede its success. These challenges are developing the international cooperation needed to obtain passenger data, managing the expansion of the program’s mission beyond its original purpose, and ensuring that identity theft—in which an individual poses as and uses information of another individual—cannot be used to negate the security benefits of the system. We believe that these issues, if not resolved, pose major risks to the successful development, implementation, and operation of CAPPS II.

In order to address the shortcomings we have identified, we are making a number of recommendations to the Secretary of Homeland Security to strengthen CAPPS II project planning, develop plans to mitigate program risks, provide greater oversight of CAPPS II operations and use, and clarify passenger redress procedures.

We provided a draft of this report to DHS for its review and comment. In commenting on the draft report, the department generally concurred with the report and its recommendations, but expressed some concerns with the draft report’s presentation of CAPPS II progress, international cooperation, and mission expansion. We considered the department’s comments in finalizing the report, and made revisions where appropriate.

source: http://www.gao.gov/new.items/d04385.pdf 12feb04