T5 B55 Fbi Response 2 Of 3 Fdr- Tab 13-9a- Entire Contents- Name Check- Discussion Paper 164

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National Name Check Program The National Name Check Program (NNCP) has the mission of disseminating information from the FBI's Central Records System in response to requests submitted by federal agencies, congressional committees, the federal judiciary, friendly foreign police and intelligence agencies, and state and local criminal justice agencies. For all except law enforcement requests, the program is to be operated on a fee-for-service basis, with the beneficiary of the name check paying for it, not the American taxpayers. The Central Records System contains the FBI's administrative, personnel and investigative files. The NNCP has its genesis in Executive Order 10450, issued during the Eisenhower Administration. This executive order addresses personnel security issues, and mandates National Agency Checks (NAC) as part of the pre-employment vetting and background investigation process. The FBI is a primary NAC conducted on all U. S. Government employees. From this modest beginning, the NNCP has grown exponentially, with more and more customers seeking background information from FBI files on individuals before bestowing a privilege - - Whether that privilege is government employment or an appointment; a security clearance; attendance at a White House function; a Green card or naturalization; admission to the bar; or a visa for the privilege of visiting our homeland; more than 70 federal and state agencies regularly request an FBI name check. In addition to serving our regular governmental customers, the FBI conducts numerous name searches in direct support of the counterintelligence, counterterrorism and homeland security efforts of the FBI. The FBJ processes 200,000 visa requests per year, including 74,000 Visas Condor. Prior to September 11, 2001, the FBI processed approximately 2.5 million name check requests per year. FBI Name Check Process It may be helpful to the Commission to follow along with Attachment A, a flow chart of the FBI visa name check work process. Consular officers worldwide determine whether a visa request falls into one of the special visa categories requiring additional scrutiny. The consular officer will submit their name check requests by cable, simultaneously to both the FBI and State Department headquarters. In the next step of the process, the FBI communications center forwards the batches of names to be checked electronically to the name check program. The name is electronically checked against the FBI Universal Indices (UNI). The searches seek all instances of the individual's name and close date of birth, whether a main file name or reference. By way of explanation, a main file name is that of an individual who is, himself, the subject of an FBI investigation, whereas a reference is someone whose name appears in an FBI investigation. References may be associates, witnesses, conspirators, or a myriad of other reasons may exist to explain why an FBI Agent believed it important to index a particular name in an investigation for later recovery. The names are searched in a multitude of combinations, switching the order of first, last, middle names, as well as combinations with just the first and last, first and middle, and so on. It also searches different phonetic spelling variations of the names, especially important considering that many names in our indices have been transliterated from a language other than English.

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If there is a match with a name in a FBI record, it is designated as a "Hit", meaning that the system has stopped on a possible match with the name being checked, but now a human being must review the file or indices entry to further refine the names "Hit" on. If the search comes up with a name and birth date match, it is designated an "Ident." An "Ident" is usually easier to resolve. Resolution Rate Approximately 85% of name checks are electronically returned as having "No Record" within 72 hours. A "No Record" indicates that the FBI's Central Records System contains no identifiable information regarding to this individual. Because a name and birth date are not sufficient to positively correlate the file with an individual, additional review is required. A secondary manual name search usually identifies an additional 10% of the requests as having a "No Record", for a 95% overall "No Record" response rate. This is usually accomplished within a week of the request. The remaining 5% are identified as possibly being the subject of an FBI record. The FBI record must now be retrieved and reviewed. If the records were electronically uploaded into the FBI Automated Case Support (ACS) electronic recordkeeping system, it can be viewed quickly. If not, the relevant information must be retrieved from the existing paper record. Review of this information will determine whether the information is identified with the subject of the request. If not, the request is closed as a "No Record." The information in the file is reviewed for possible derogatory information. Less than 1% of the requests are identified with an individual with possible derogatory information. These requests are forwarded to the appropriate FBI investigative division for further analysis. If the investigative division determines there is no objection to the visa request, the request is returned to the name check dissemination desk for forwarding to the State Department. If there is an FBI objection to the visa request, the investigative division will prepare a written Security Advisory Opinion (SAO) and forward it to the State Department. In reviewing these visa requests, the FBI has identified individuals attempting to enter the United States who are of serious concern to the FBI. Most name check requests that are over 30 days old are the result of the time required to retrieve and review field office record information. Some delay occurs at substantive analysts' desks, but this is to be expected. These analysts are assigned to the investigative divisions and are primarily assigned to the analysis of intelligence reports from around the world in order to support on-going investigations, or to support the flow of intelligence to policy makers. These are the best professionals, however, to review information in our records and to then make an informed decision on whether a requester of a visa represents a threat to our homeland, or is interested in illegally acquiring our targeted technology. Nevertheless, the FBI's resolves 99% of all types of visa requests within 120 days. Improperly formatted cables are an obvious weak point in the visa submission process. The State Department submits their names by cable, whereas other agencies submit their requests by disc or tape and formatting errors are returned on disc to the requesting agency. This allows the requesting agency to identify and correct the errors in an electronic format.

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In summary, How long does it take to complete a visa request name check? As shown on the graph, 92% are completed in 30 days, 98-99% of the requests are resolved in 120 days.

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NAME CHECK SUBMISSION

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A.Consular offices submit their name check requests by cable to both the FBI and State. The FBI communications center batches the cables. Cables in the wrong format are rejected. B.FBI communications center fwds batch electronically and the name is batch-checked against the electronic FBI Universal Indices (UNI). - Approximately 85% of name checks are electronically returned as a "no record" within 48 hours. (A "no record" indicates that the FBI's Central Records System contains no identifiable record relating to this individual.) - Duplicate submissions are not checked and the duplicate finding is returned to State. - Errors do not enter the name check process. FBI provides paper notification to State of error cables.

FILE REVIEW

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C. A secondary search conducted usually identifies an additional 10% as a "no record" for a 95% response rate within one month. D.The remaining 3% are identified as having an FBI record which may, or may not, be identical to the subject of the request. E.The FBI records are reviewed for derogatory information. 1% of the requests are identified with an individual with relevant information. These requests are forwarded to the

appropriate operational desk.

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F. If the operational desk determines there is no objection to the visa request, the request is returned to the dissemination desk for forwarding to State. -If there is an FBI objection to the visa request, the op desk will prepare a security advisory opinion and fwd it to State.

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DISCUSSION PAPER FOR MEETING OF THE SECRETARY OF STATE, ATTORNEY GENERAL, AND SECRETARY OF HOMELAND SECURITY MAY 19, 2003 Subj: Visa Processing by the FBI's National Name Check Program Background The FBI has worked closely with State on visa name check procedures. These past six months have seen considerable improvement in the coordination of visa name check processing. Nevertheless, it appears State continues to assess there is unacceptable delay in the visa process. The FBI believes State's perception that the FBI's name check program is the cause for these delays in visa reviews is well wide of the mark. The processing of ~200,000 per year State Department visas is part of an overall name check process that will check over 9.8 million names this fiscal year. Recognizing the importance to international relations and homeland security, the FBI is spending considerable effort to ensure expeditious, yet thorough review of visa request name checks. It should be noted, however, that the FBI's review of visa requests, while time sensitive, is focused on an accurate result and should require as much time as possible to obtain that result. The continuing effort by the FBI has eliminated all uncertainties as to the status of visa requests being processed by the FBI. This was accomplished through clarification of the database, software modifications that allowed development of details metrics, and the development of an internal FBI tracking system for SAO opinions.

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Metrics As in the name checks processes for 70 other agencies, the name check program for State Department visas accurately monitors the status of visa requests in the name check system. The reliability is unequivocal. Tab A illustrates the current status of visa name checks. The system's metrics are a dynamic tool, allowing the FBI to identify when to add additional personnel to process visas. The metrics also provide an accurate tool to determine whether the name check process is causing major delays for visa requests. Processing Times The FBI's name check system resolves 99% of all types of visas within 120 days. Most name check requests that are over 90 days old are a result of the time required to retrieve and review field office files. Some delay has occurred at substantive analysts'

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desks. FBI's goal is to have all requests completed within 120 days. To clear older cases the FBI has brought in additional personnel and authorized substantial overtime work. The number of cases in excess of 120 days has been significantly diminished. TnTFBI is continuing these efforts. State Department Numbers Given the expeditious processing of all but a few visa requests, State's concern about substantial delay in the name check process is based on their count of pending cases. State has consistently quoted numbers of pending visa requests far in excess of what is actually in the name check system. First, the numbers and processing times in the FBI database are accurate and represent the visa requests that are in the FBI name check system. The FBI assesses the difference in State's numbers from those of the FBI to be the result of the method by which State submits visa requests to the FBI. Cables generated by individual consulates and embassies pass both to State and the FBI separately. The FBI computers pull the information from the cables and begin processing the names. Each name pulled from the cable is recorded and accurately maintained while it is in the name check system. The FBI understands State's database contains the numbers of cables received from consulates and embassies. State has no method to determine the number of requests entered into the FBI system and, in fact, uses the FBI database to monitor the status of visa requests pending at the FBI. The FBI assumes State numbers of pending visas are derived from the difference between the number of cables it receives and the responses it receives from the FBI. State's Numbers Are in Error This raises the question as to why State records are a greater number of cables than are actually in the name check system. There are several concrete reasons that explain some of the differences. Cables with formatting errors are not entered into the FBI name check system. The FBI system prints out a report of error for each cable and in the past the FBI passed these reports to State. Reconciling the error cable with State's database required manual entry into their database. State was expending considerable effort addressing this issue and in December 2002 directed the FBI to discontinue forwarding these error reports. Subsequently, the FBI retained the reports in case State might need them. As State has no other method to ascertain whether a cable had an error, the FBI suspects a number of error messages remain in State's database. Another problem has been submission of duplicate requests. Duplicate submissions are not retained in the name check system. Tab B shows almost 1 in 6 State submissions are duplicates. FBI provides State with an electronic report of duplicates, but as with errors, considerable effort is required by State to resolve the duplicate cables. Another potential area where divergent numbers may be created is in the time it takes State to notify consulates or embassies after receipt of FBI's report. State's bifurcated submission system is unique among the 70 agencies that submit name checks to the FBI. The clear indicator that the bifurcated submission process has

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created an accounting mess is that State is the only federal agency whose name-check numbers diverge from the FBI's. POO. David Hardy, FBI RMD 9/11 Law Enforcement Privacy

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Working Together for Solutions Already, State has embarked on a solution to resolve these differences through submission of visas through State vice by separate cable directly to the FBI. The FBI fully supports this effort. Recognizing there needs to be interim measures until the time State submits all visa requests on tape, State is batching unresolved cables held within their database and submitting them on tape to the FBI. In order to avoid the duplicate problem, the FBI has developed special codes and manipulates the name check process for each submission. This is a time consuming, but necessary process to support State's efforts. This week alone the FBI is running thousands of names submitted by State from State's database. In addition, the FBI is focused on responding expeditiously to this spring's student visa requests and is working with State to identify a format that will allow the name check system to identify and track student visas. The FBI is bringing in additional support employees to collect files from the field. The FBI's Counterterrorism Division is temporarily assigning additional agents to conduct SAO reviews. Fee for Services The number of name check submissions has increased from 3.5 million name checks in FY 2002 to an expected 9.8 million checks in FY 2003. While the name check program is able to meet mission requirements, the increase in numbers has placed stress on resources. A high level functional requirements study is almost complete as a first step in developing a more modern system. In the interim, one aspect of the name check program that allows flexibility and the ability to surge resources might be considered by State. The name check program is a reimbursable program where fees charged to the applicant may be passed to support the program. This provides the ability for the FBI to quickly dedicate resources for projects and contingencies directly for the benefit of the agency providing funding. Understanding State's reluctance in the past to consider this option, it would seem to be of enormous benefit in the current situation.

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RESOLVED CONDOR VISAS

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Visa Issues May 13, 2003

May 19 Meeting (AG, Secretaries of State and DBS) Issues we want to raise Response to State memorandum 9/11 Law Enforcement Sensitive

Section 306 of Enhanced Border Security and Visa Entry Act of 2002 Waivers of Inadmissibility

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