Expediting Background Checks and Training Enabled the Service to Meet the Deputy Secretary’s Deployment Deadline

To expedite the deployment of thousands of air marshals, the Service  obtained preliminary background checks and provided abbreviated  training before deploying air marshal candidates on flights. DHS said that TSA’s Credentialing  Office had taken steps since June 2003 to ensure that every active air  marshal was operating under a top-secret clearance; and as of October  2003, about 3 percent of the active air marshals were operating under  interim security clearances. As a result, some  potential employees received their top-secret clearances ahead of other  candidates who were being trained or deployed on flights. Changes to the Training Curriculum Helped Expedite Deployment

To deploy the requisite number of air marshals by the Deputy Secretary’s  July 2002 deadline, the Service revised and abbreviated its training  program. Management Information, Policies, and Procedures Have Not Kept Pace with Expanded Operations

As the Service grew from a small, centralized organization to an  organization with 21 field offices and thousands of employees, its need for  information, policies, and procedures to manage its expanded workforce  and operations also grew. Management Information Is Not Sufficiently Detailed or Comprehensive for Effective Monitoring and Oversight

The Service collects information on air marshals’ work schedules and  other issues, including potential security incidents documented in reports  filed by air marshals after completing their missions, allegations of  misconduct by air marshals, and reasons provided by air marshals for  leaving the Service. Policy on Transfers Was Not Implemented until May 2003

Before its expansion, the Service was a centralized organization with one  office and fewer than 50 air marshals. Key Practices and Implementation Steps Can Help Address Merger Implementation Challenges

The Service is likely to face challenges in implementing changes resulting  from its mergers into DHS in March 2003 and into ICE in November 2003. While changes in the size of its workforce could eventually occur in light  of the many recent improvements to aviation security and federal budget  constraints, the plans announced to date point to changes in the roles,  responsibilities, and training of ICE’s workforces; the Service’s  coordination with TSA and other organizations; and administrative  matters. The Service is also likely to face coordination challenges following its  transfer from TSA to ICE. Conclusions

The rapid expansion of the Service’s mission and workforce posed  significant challenges, many of which the Service has begun to address. Recommendations for Executive Action

We recommend that the Secretary of the Department of Homeland  Security direct the Under Secretary for Border and Transportation  Security to support the Service’s continued commitment to developing  into a high-performing organization by taking the following actions to  improve management information and to implement key practices that  contribute to successful mergers and organizational transformations:    Develop an automated method to compare actual hours worked with  scheduled hours so that the Service can monitor the effectiveness of its  scheduling controls and support its planned long-term study of the effects  of flying on air marshals and their aviation security mission. To compare the background check procedures for the newly hired air  marshals with those used before September 2001, we obtained and  reviewed Service documents that described the process and procedures  used to apply for a top-secret clearance, as well as for an interim secret  clearance waiver. The  spreadsheets included cases reported between October 2001 and July  2003. Establish a communication strategy to  create shared expectations and report  related progress. Involve employees to obtain their ideas  and gain ownership for the  transformation.
Why GAO Did This Study

To help strengthen aviation security after the September 11, 2001, terrorist attacks, the Congress expanded the size and mission of the Federal Air Marshal Service (the Service) and located the Service within the newly created Transportation Security Administration (TSA). Between November 2001 and July 1, 2002, the Service grew from fewer than 50 air marshals to thousands, and its mission expanded to include the protection of domestic as well as international flights. In March 2003, the Service, with TSA, merged into the new Department of Homeland Security (DHS); and in November 2003, it was transferred from TSA and merged into DHS's Bureau of Immigration and Customs Enforcement (ICE). GAO looked at operational and management control issues that emerged during the rapid expansion of the Service, specifically addressing its (1) background check procedures and training; (2) management information, policies, and procedures; and (3) challenges likely to result from its mergers into DHS and ICE.

What GAO Found

To deploy its expanded workforce by July 1, 2002, a deadline set by the Deputy Secretary of Transportation, the Service used expedited procedures to obtain interim secret security clearances for air marshal candidates and provided abbreviated training for them. These procedures allowed candidates with interim clearances to work until they received their final top-secret clearances. Because of a governmentwide demand for clearances, nearly a quarter of the active air marshals had not received their top-secret clearances as of July 2003; but by October 2003, only about 3 percent were awaiting their top-secret clearances. To train its expanded workforce before the Deputy Secretary's deployment deadline, the Service incrementally revised and abbreviated its curriculum. The Service has begun to develop management information, policies, and procedures to support its expanded workforce and mission, but it has not yet completed this major effort. For example, it replaced a manual system for scheduling flight duty with an automated system, but it has not yet developed an automated means to monitor the effectiveness of its scheduling controls designed to prevent air marshals' fatigue. In addition, it has gathered and used information on potential security incidents and on air marshals' reasons for separation from the Service to improve its operations and workforce management. However, some of this information is not clear or detailed enough to facilitate follow-up. Finally, the Service has implemented policies needed to support its expansion. The Service is likely to face challenges in implementing changes resulting from its mergers into DHS and ICE, including changes to its roles, responsibilities, and training and to its procedures for coordinating with TSA's security organizations, as well as administrative changes. GAO's recent work on mergers and organizational transformations proposes several key practices--set implementation goals, establish a communication strategy, and involve employees to obtain their ideas--and associated implementation steps that could help the Service implement such changes.