Customs and Border Protection CBP Strategic Plan (SOW T9 – Project Execution Plan) August 28, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 1 Contents ▪ Project Execution Plan ▪ Deliverables schedule over next three months ▪ Leadership engagement plan 2 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PRELIMINARY Project Execution Plan (months 1-3) McKinsey PWC/Ogilvy Phase 1: Create ~7 weeks • • • • Key activities • • • Hold kickoff meeting (SOW T1) Finalize strategic objectives building from existing research and interviews with CBP leadership / strategy functions (SOW T2) Define strategic choices with ALC based on analysis of tradeoffs (SOW T3) Stand up Integrated Strategy Team to support strategic development & comms Launch a multi-channel initiative to gather CBP-wide input and collect ideas to achieve strategic objectives Generate initial list of strategic initiatives with working team Rationalize existing planning strategy efforts across Offices based on strategic objectives / choices, and divestiture framework Agency Leadership Council (ALC) touchpoints (SOW T6) Agree on outcomes tied to Strategic Objectives • • • • • Deliverables (1) Project Kickoff Meeting Minutes (2) Final set of Strategic Objectives (3) Final set of Strategic Choices Integrated Strategy Team stood-up* List of initiatives/activities to stop doing* • • • • Map internal and external stakeholders Identify influencers / influencer networks vital to the success of the Strategy roll-out Segment and prioritize stakeholders noting preferences on medium, frequency, format, and other factors, as well as present engagement and communication strategies being employed Conduct “Listening Sessions” and surveys with select stakeholder segments to collect input and ideas to achieve strategic objectives Make Strategic Choices • • Stakeholder Map* Notes from Stakeholder Listening Session(s) * Phase 2: Codify ~3 weeks • • • Review the outputs of the stakeholder listening sessions and survey, and identify information and/or perception gaps Convene messaging workshop with representatives from CBP components to develop key communications plan goals and messages Develop “Message Pillars,” which will be communicated across all stakeholder segments and “Message Framework” that consists of a core message and supporting messages formatted into an easy-to-use, onepage “message box” that can be used by CBP leadership to guide all communications. • • • • • • Test and refine initiatives • • Message Pillars Message Framework Refine, prioritize, and sequence portfolio of strategic initiatives, ensuring initiatives meet ‘readiness’ criteria Iterate draft strategy with Office strategic functions to strengthen cascade Develop strategic roadmap to support implementation of portfolio of initiatives, and use to inform FY19 Strategic Priorities Codify CBP strategic plan and develop essential messaging tailored for different contexts Develop brand for strategic plan to attract attention and drive key messages Draft communication plan that engages both CBP frontline and external stakeholders through multi-channel approach Review draft strategic plan & implementation plan • • Draft CBP strategic plan* Draft Implementation plan* − Portfolio of Initiatives − Draft communication plan (6) Facilitated Leadership sessions (see above), (7) Weekly Updates, (8) Monthly Project Reports, (9) Project Execution plan (SOW T7) 3 * Additional planned deliverables Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PRELIMINARY Project Execution Plan (months 4-12) McKinsey PWC/Ogilvy Phase 3: Launch ~2 weeks • • • • • Key activities • Finalize CBP strategic plan (SOW T4) Finalize implementation plan (SOW T5) Collect feedback from frontline and external stakeholders on strategy Synthesize and share feedback from frontline, including actions CBP leadership plans to take Launch communication plan for internal and external CBP stakeholders, such as: − Communication cascade from supervisors to direct reports − Website to share updates and collect input − Online learning modules leveraging McKinsey Academy insight − Briefings for external stakeholders Design performance management system to create transparency into strategic initiatives implementation Agency Leadership Council (ALC) touchpoints (SOW T6) • • Perform a communications material audit, assess existing artifact alignment to core messages, and gauge gaps in materials and activities Develop a Strategic Communication Plan including identification of the channels and tactics, a mix of traditional communications, as well as digital and social media, content and tools to support stakeholder positioning and engagement, and metrics for measuring the effectiveness of the Plan Develop content and knowledge management protocols outlining the creation, maintenance, storage, and approval/dissemination of materials within CBP • • • • • Sign off on strategic plan & implementation plan, discuss roll-out • • Deliverables • Phase 4: Support ~40 weeks • • (4) Final CBP strategic plan (5) Final Implementation plan, including final communication plan Synthesized stakeholder feedback* Performance management approach* • Refine strategic initiatives working with Offices and Integrated Strategy Team Support regular progress reviews for strategic initiatives, and KPI tracking Review and refine strategic initiatives based on on-going programmatic review, feedback from key stakeholders and organizational performance Refine CBP strategic plan, as needed, based on lessons learned from strategic initiative implementation and • frontline engagement Continue to support communications cascade to build momentum and strengthen change management Support CBP leadership with on-going efforts to revise Communication Plan based on factors that include: − Changes and/or revisions required to meet Congressional stakeholders − Changes and/or revisions required to meet feedback from DHS HQ Change and/or revisions required to meet needs of CBP workforce Convene Additional “Listening Sessions’, stakeholder interviews, and/or survey’s may be performed as needed to develop additional materials based on CBP leadership’s needs. − Hold on-going leadership progress review meetings • • Strategic Communication Materials (5) Communication Process Documentation* • • • Refined strategic plan (as needed) * Refined strategic initiatives (as needed)* Ongoing communications and performance management* • Refined Communication Materials and Artifacts* (6) Facilitated Leadership sessions (see above) 4 * Additional planned products Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PRELIMINARY Schedule of deliverables over the next three months Week 1 Aug. 27 ALC agenda /decisions Week 2 Sep 3 Scope (1) Timeline (1) Strategic objectives (2) Week 3 Sep 10 Strategic objective outcomes (5) Week 4 Sep 17 Week 5 Sep 24 Strategic Choices (3) Week 6 Oct 1 Week 7 Oct 8 Strategic initiatives (4) Document Week 8 Oct 15 Week 9 Oct 22 Meeting Week 10 Oct 29 Portfolio of Initiatives (4) Comms plan (5) Deliverables 1 Kickoff minutes 2 Strategic objectives 3 Strategic choices 4 Strategic plan 5 Implementation plan 6 Facilitated ALC sessions 7 Update 8 Project report 9 Execution plan 5 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PRELIMINARY The working team will draft, the DLC will refine and the ALC will approve the agency strategic plan ALC DLC Working team Capstone event Path to develop agency strategic plan Aspiration and strategic objectives with outcomes Agency Leadership Council Deputy Leadership Council Sep 10 Aspiration and strategic objectives with outcomes Strategic initiatives & portfolio of initiatives Strategic choices 30 mins Sep 5 Detailed agendas on following pages 8 hour workshop, 4 hours, Washington DC Harpers Ferry 30 mins Sep 17 Strategic choices Sep 24 Leadership offsite (all SES) Oct 1 Strategic initiatives Oct 15 Oct 24* Nov 5 Portfolio of initiatives Working team1 * Strategic Initiatives workshop date to be confirmed 1 Representatives from ES, OS, OFO, AMO, OT and USBP meeting weekly on Wednesdays from 2-4pm Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 6 McKinsey&Company MONfHLY PROJECT REPORT #1 Department of Homeland Security (DHS) Customs and Border Protection (CBP) Integrated Consulting Services Task Order #3 - Strategic Plan Base BPA #HSBP1017Aooo24 Submitted: September 5, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 2 OVERVIEW The purpose of this Monthly Project Report is to provide a summary of all Contractor work performed under the contract over the course of the last month with a focus on progress to date, concerns/recommendations, risks, and next steps. Additional materials or reports shared during this period will be included separately as Appendices. This report is broken into seven (7) sections: 1. Technical status, including tracking of deliverable due dates and submission dates 2. Schedule status 3. Travel conducted 4. Concerns and/or recommendations from previous month 5. Risks identified during weekly updates, and current status 6. Upcoming action items 7. Appendices, including materials/reports developed during this period 1. TECHNICAL STATUS, INCLUDING DELIVERABLES The focus of this task order is "to develop a new Strategic Plan, ensuring the furtherance of the agency's mission objectives," as well to develop "an approach to implement and communicate the strategic plan to make it relevant to its employees, stakeholders and partners." Task Order #3 calls for nine Tasks. Progress to date on these tasks is reported below: Task 1 - Conduct Project Kick OffMeeting. The Contractor shall participate in a CBP kick-off meeting sponsored by CBP within two (2) business days of Task Order award. The purpose of the meeting is to introduce key Government and Contractor personnel, review and discuss the anticipated project schedule, identify possible risks or issues, and to address any other issues the Government or Contractor wish to discuss. The Contractor shall be prepared to discuss any items requiring clarification and gather information as necessary to support each deliverable. The Contractor shall provide a written summary of the Project Kick-OffMeeting detailed in the meeting minutes. Deliverables: (1) Project Kick-OffMeeting Minutes The team met with the COR on 8/28/2018 to Kick-Off the project. The Kick-Off Meeting Minutes are attached as Appendix A. Task 2 - Review and Refine Strategic Objectives. CBP recently defined a set of strategic objectives that will set the future direction of the agency: • Achieve "One CBP" culture: All of CBP is working together to deliver the best ofeach Office to the mission, to our operational priorities, and to each other • Attract and retain critical talent: CBP can hire, develop and retain the talent it needs to meet the demands of the mission today and the workforce needs of the future • Accelerate technology deployment: IT systems are reliable and the workforce is equipped with the tools and innovations needed to meet emerging threats Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 3 • Deepen partnerships: Partnerships in the USG, across sectors, and around the world are expanded to strengthen shared intelligence and to anticipate, identify and address potential threats • Enhance the stakeholder experience: Travelers, the trade community, and other stakeholders engage and interact with CBP in ways that meet or exceed their expectations. Building on that list and accounting for the core missions of CBP - border security, trade and travelfacilitation, and trade enforcement- this task will review the initial set ofobjectives for correctness, completeness, clarity and inclusion in the CBP Strategy. Deliverable: (2) Final set ofStrategic Objectives The team met with the Deputy Leadership Council to review the Strategic Objectives and began to define the outcomes for each of these objectives. This work with continue with the Working Team on September 6 and with the Agency Leadership Council on September 10. Task 3 - Define Strategic Choices. Based on CBP's Strategic Objectives, develop a set ofstrategic choices that will drive how CBP can most effectively execute its mission - balancing risk, performance and cost across all of its mission spaces. This list may include consideration of areas to de-emphasize or entirely divest from. Deliverable: (3) Final set ofStrategic Choices Task 4 - Draft CBP Strategic Plan. Using the deliverables from Tasks 2 and 3, draft a CBP Strategic Plan inclusive of the defined strategic objectives and strategic choices used to evaluate agency effectiveness and assist in better-informed management decisions. Deliverable: (4) CBP Strategic Plan Task 5 - Develop Implementation Plan. Develop an implementation plan to define a set of key initiatives that will enable CBP to meet the intent of its Strategic Objectives and a communications strategy that defines the most effective way to cascade the CBP Strategy (Task 4) to all CBP employees. Deliverable: (5) Implementation Plan that includes: • A list ofKey Initiatives, to include (a) initiative owners, (b) a delivery roadmap that includes discrete actions to be performed by the owners, (c) a definition ofsuccess for each initiative, and ( d) a method by which CBP leadership can track the outcomes for each initiative. • A communications approach that defines the most effective way to cascade the strategy to all CBP employees. This approach will include a. developing high quality written briefing materials that can be presented to Congressional stakeholders and delivered to the entirety of CBP's workforce and b. drafting oral presentations and speeches for senior leadership to communicate the strategy to the workforce and external stakeholders. Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 4 Task 6 - Meeting Facilitation. Development of the CBP Strategy must include direction andfeedbackfrom CBP's most senior leaders. The contractor should conduct facilitated sessions over the course of the period ofperformance to gather data, provide information, and gain leadership consensus and approval. Deliverable: (6) Facilitated Leadership sessions, as required The team facilitated a discussion with the Deputy Leadership Council on September s to define outcomes for strategic objectives. The team will bring these to the Agency Leadership Council for decision on September 10. The facilitation materials are in AppendixC. Task 7- Reporting. The Contractor shall provide progress updates in person or via conference call with CBP on a weekly basis. Progress Updates shall address schedule, performance and status of all deliverables to include activities that will affect the contract period ofperformance, problems/risks found, recommended solutions to problems/risks identified and work planned for the next period. At the COR's discretion, CBP may choose to receive progress updates less frequently if determined a meeting is unnecessary. The Contractor shall provide a monthly project report in writing no later than the fifth of each month. Each report shall include a summary of all Contractor work performed under the contract, including, but not limited to, an assessment of technical status, schedule status, any travel conducted, and any Contractor concerns or recommendations from the previous month, a complete tracking of deliverable due dates and submission dates, upcoming action items, and risks identified during the weekly updates. This report shall be used to justify the billing for each reporting period. The Contractor shall provide a draft Project Execution Plan to successfully complete all tasks outlined all task outlined in this SOW, within fifteen (15) days after award for CBP's review, comment and approval. The Contractor shall provide a final Project Plan to the COR not later than thirty (30) business days after TO award. Deliverables: (7) Weekly Update (8) Monthly Project Report (9) Project Execution Plan The Project Execution Plan has been completed (see Appendix B), and the first weekly updates and monthly project reports have been completed. The complete deliverables tracker is included below: Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 5 2. SCHEDULE STATUS We have completed Task 1 and Task 9, the first weekly update and the first monthly project report. 3. TRAVEL CONDUCTED N/A 4. CONCERNS AND RECOMMENDATIONS We do not have concerns on the progress towards deliverables. Risks (identified in section 5) will need to be appropriately mitigated to avoid becoming concerns. 5. RISKS IDENTIFIED AND CURRENT STATUS • learance: Two members of the working team 1(b) (6), (b) (7)(C) and have received reciprocal clearance, but other team members are not able to start on the contract as they were are under background investigation (b) (6), (b) (7)(C) Other potential team members to fill the gap on the working team will need to receive reciprocity, a full background investigation or be granted a provisional background investigation. These names will be submitted to the COR. . • Badges: Multiple team members have received reciprocity or a full clearance, but d th b d: d tb rt d h ·1 CBP Th . I d (b) (6), (b) (7)(C) • System Access: The working team does not have access to CBP systems or CBP accounts. 6. UPCOMING ACTION ITEMS Week 3 - September 10-14 • Align on outcomes for the five strategic objectives with the ALC • Develop strategic choices with the working team for DLC review • Draft the outline of the strategic plan • Begin developing communications and messaging from aspiration and strategic objectives Week 4 - September 17-21 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 6 • • • • Review strategic choices with DLC Prepare strategic choices with the working team for ALC decisions Layout shell for the strategic plan document Refine initial messaging, including outcomes Week 5 - September 24-28 • • • • Facilitate the ALC in making strategic choices Develop strategic initiatives with the working team for DLC review Begin drafting introductory and external environment sections of strategic plan Begin to test messaging with select focus groups 7. APPENDICES LIST All appendices listed below are included as separate attachments: • Appendix A: Project KickoffMeeting minutes • Appendix B: Project Execution Plan • Appendix C: Meeting Facilitation, DLC #1 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Customs and Border Protection Deputy Leadership Council - Strategy discussion September 5, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Meeting objectives O Review what work has happened, and align on what still needs to be done 8 0 Set a roadmap for strategy development over the next 3 months, and determine the best role for DLC Develop example outcomes for strategic objectives Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY O we will build on the foundation from the first phase to partner with CBP in establishing the future strategy Establish the foundation Create the new strategy ✓ ✓ Baseline CBP's current strategic direction (e.g., Vision & Strategy 2020, FY18 Strategic Priority Initiatives), and recommend actions to close gaps in execution ✓ Surface underlying challenges in CBP strategy formulation & execution, and propose recommendations to address ✓ Define set of gaps and unmitigated risks CBP must address in light of future trends ✓ Define aspiration and strategic objectives to anchor FY18 Strategic ✓ Test and refine aspiration and strategic objectives across CBP Develop framework for assessing of areas for potential divestiture or • • • Define set of strategic choices tied • to strategic objectives, and assess tradeoffs to support decision • Generate list of strategic initiatives, (existing, planned, new), and determine how to proceed based on strategy & divestiture criteria • de-prioritization Develop balanced portfolio of strategic initiatives (POI) based on impact, familiarity/risk, and timing • Build strategic roadmap to support POI implementation, including key Test and iterate Agency-level 'strategy pyramid' with Offices to Codify POI in revised 5-year strategic plan and test with CBP leadership using the '10 tests of public sector strategy' Define measurable outcomes for strategic objectives Complete strengthen, and to inform Officelevel strategies organization ✓ In progress Codify and cascade the new strategy current challenges where relevant Priority Initiatives and future strategic planning efforts ✓ Expand baseline of gaps and unmitigated risks to include ✓ ✓ Develop and launch stakeholder engagement plan to solicit feedback on new strategic plan before finalizing • Develop communication plan that engages both CBP frontline and external stakeholders through multi-channel approach • • Publish new CBP-wide strategic plan Design performance management system to create transparency into strategic initiatives implementation milestones and target outcomes Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 0 IPRELIMINARY Successful strategies have five main parts. During this phase, we will focus on agency strategic choices and supporting initiatives Elements of a successful strategy Best-practice conceptual approach An enduring as'J ra 011 for an organization's future that provides guidance and context for all decisions made by the organization Aspiration Outputs 01;ilt (21' StrAff'&h Ol;j;,.'C,lvl"< l,\.., , . . . . . ,,1•;..,1.t,,.,,.., ,., ...,.,., Previous phase Outcome-based goals for the organization's performance in 5 - 8 years It .. ··--·.~.c· -- ···· . ---·-- · ---· - - --I Strategic choices/ tradeoffs around how to achieve the organization's objectives supported by guiding principles and a decision-making framework - ..,....______._ l'I'!....... A Portf¢1'1o of 1nit1..ilivesiocr~h will el'\able {he holistic ev.:,tl>d~ and manaeement of $1rateg,,r:: initiatives owr time Specific set of investments (of people, time, resources) made to operationalize strategy/ achieve strategic objectives Implementation plans tied to budget, other resourcing, operating cadence, success metrics and oversight mechanisms SOURCE: Vision and Strategy 2020; CBP 2016 Annual Performance Report; Agencies' Strategic Plans Under GPRA; FY2018 Strategic Priority Initiatives; CBP interviews Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, S U.S.C. § 552 et seq ............. " .. .·---~ .•- •• .. • -__........--·_ ·-·-·- . ,.,. .,_, ... IPRELIMINARY 0 ~ What success looks like for this phase of the strategy effort i' I ;: • e @- ✓ @- ✓ @- ✓ @- ✓ D • * CBP has created a robust strategic plan to focus agency efforts and investments on a limited set of priority initiatives that will achieve the Commissioner's vision CBP employees understand what the strategic plan means for them and have been engaged in developing the strategy External partners respect and understand the strategy and their role in CBP's success The ALC makes strategic resourcing decisions based on a robust fact base and transparent criteria Delivering the strategy has become core to CBP's governance model, including ongoing performance management and proactive communications Each strategic objective has clear outcomes, milestones and owners Strategy is enduring beyond administrations and institutionalized within CBP Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IFOR DISCUSSION f) ALC, DLC, and working team inputs are needed to co-create a CBPowned strategy, that resonates with agents in the field [ii] Best practices for experience and outcomes • Lead, guide, and make decisions in the strategy development process • Communicate guidance to the broader Agency and offices • Provide viewpoint of how strategy resonates with external stakeholders Agency Leadership Council • Provide a comprehensive office leadership view Deputy Leadership Council .... 1 • Provide a "gut-check" of how initiatives might resonate with agents and officers in the field • Review and consider a first-cut of an Agency-wide perspective L~..I • Provide the closest view to a home office or a particular component • Generate innovative, operational, and pragmatic ideas that funnel from - and will resonate - with the field 1 Representatives from ES, OS, OFO, AMO, OT and USBP Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY f) The CBP leadership team - both the ALC and DLC - will be heavily involved in developing the agency strategy - Working team 2 Q 000 rn, DLC - Working team • Capstone event Conduct ALC/DLC offsite (workshop) to review strategic plan1 Updates based on offsite Determine comms and engagement approach Leadership offsite (all SES) 60 mins 60 mins 8 hours, Wash., DC 60 mins 60 mins 4 hours, Harpers Ferry l Sep 10 Sep 3 l • • Deputy Leadership Council - Review outcomes and strategic choices l Week of: ALC Review aspiration, and strategic objectives (and outcomes) Sep 17 • Early Oct1 • i • i Kick-off 60 mins i Reconsider outcomes and strategic choices 60 mins • i • T i • l • Oct 15 Oct 8 Review and debate strategic initiatives for offsite 60 mins • l • ~ Sep 24 • Craft strategic objective outcomes 30 mins l Oct 22 ~ Oct29 NovS T • i Make updates based on offsite 60 mins • • • Working meetings 2 hours, weekly 1 Strategic Initiatives workshop date to be confirmed 2 Representatives from ES, OS, OFO, AMO, OT and USBP meeting weekly on Wednesdays from 2-4pm Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq • 8 1n the prior phase, the ALC set an aspiration and five strategic objectives that will lay the groundwork for future strategy success • "To be America's most trusted and innovative law enforcement agency, relentlessly creating a safer and more economically competitive nation." -Phase 1, Mar 2018 ALC working session A V Aspiration Strategic objectives Attract, Train, Retain and Support a World-Class, Resilient Workforce: CBP can hire, develop and retain the talent it needs to meet the demands of the mission today and the workforce needs of the future. A V Empower with Innovative Technology: IT systems are reliable and the workforce is equipped with the tools and innovations needed to meet emerging threats . ......................................................................................................................................................................................................................................................................................... Strategic choices Supporting initiatives Governance plan A V aV Build and Develop Partnerships: Partnerships in the USG, across sectors, and around the world are expanded to strengthen shared intelligence and to anticipate, identify and address potential threats. Enhance the Stakeholder Experience: Travelers, the trade community, and other stakeholders engage and interact with CBP in ways that meet or exceed their expectations. Achieve "One CBP": All of CBP is working together to deliver the best of each office to the mission, to our operational priorities, and to each other. Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 8 Let's deep-dive into developing example outcomes for the strategic objectives. What does success look like in September 2023? 1 Attract, Train, Retain and Support a World-Class, 2 Empower with Innovative 3 Build and Develop Partnerships 4 Technology Enhance the Stakeholder 5 Achieve "One CBP'' Experience Resilient Workforce Illustrative outcomes • Offices achieve mandated staffing levels • Attrition reduced by XX%+ • Job satisfaction increased by XX%+ • Critical skill gaps closed by XX%+ • What it might feel like for the field "I feel like we have the people we need to do the job, and that CBP wants me to be successful here too" • XX%+ of POEs and U.S. BP Sectors respond that they have the best equipment possible to meet demands • Zero significant disruptions from system outages • XX%+ of offi cers/agents have basic technology needed to execute mission "I tiave all ttie equipment I need to do my work, and that includes IT!" • XX%+ increase in predeparture screening of travelers, cargo, and conveyance • X priority partnership agreements signed with foreign customs and border agencies • Customer satisfaction rates increase by XX%+ for travelers, commercial partners, and commercial customers • • "We get a lot of our help from our international partners telling us where to look; I know we help them too" Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq • XX%+ of personnel surveyed say t hat CBP is both a "wellcoordinated" and "collaborative" organization • Resources are allocated to best use across offices • "I understand how and where other Offices are contributing to the mission - and I feel it in my day-to-day'' Next steps • If you have additional comments and input for the upcoming ALC meeting on Monday, please contact us • If you have suggestions of working team members, please send to (b) (6), (b) (7)(C) • Please engage with your EAC and working team members to ensure we are creating the best collective strategy Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Appendix Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY We have assembled an integrated team to surge over the next three months, followed by continued support Team operating model • Set direction and aspiration for strategy effort • Provide resourcing, expertise and leadership support to deliver against • Bring strategy development and delivery expertise to all aspiration • Make decisions and resolve issues quickly to ensure progress at pace phases of effort • Lead rapid development of strategy and implementation plans, including approach for stakeholder engagement • Serve as strategic advisor to McKinsey&Company CBP leadership • Bring change management expertise to build and sustain momentum against objectives • Execute strategic communications and stakeholder engagement plans, including branding Team support Mid-November August 27 Strategy Development (McKinsey) Communications (PwC/Ogilvy) Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, S U.S.C. § 552 et seq Mid-2019 The FY19 Strategic Priority Initiatives placemat integrates the five strategic objectives ... are guided by five organizational Strategic Objectives CBP's Key Missions ... Trade & Travel Facilitation Border Security Counternetwork Approaches • • Border Operations Tactical Analysis CONOPS Trans- Regional Threats • • • Trade Operations Wall I Border Technology Interdiction Capabilities (Land I Air I Sea) Immigration Life Cycle Illicit Drug Interdiction • • I • • Next Generation Facilitation • • Intelligent Enforcement Resource Optimization • Attract, Train, Retain & Support a World-Class, Resilient Workforce Trade & Travel Verification Domain Awareness Opioids Fentanyl Narcotics Achieve "OneCBP" Actionable Common Operating Picture National Vetting Center • Preclearance Expansion • • Non-Intrusive Inspection Modernize Checkpoint Operations E-commerce Biometric Entry I Exit Intelligence Enterprise International Engagement Empower with Innovative Technology • • Buil d and Develop Partnerships Enhance t he Stakeholder Experience Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, S U.S.C. § 552 et seq IILLUSTRATIVE A Portfolio of Initiatives approach will enable the holistic evaluation and management of strategic initiatives over time Familiarity/risk Note: Size ind icates expected impact of initiative Portfolio of Initiatives Familiar • Has been done before, knowledge exist s internally • Involves limited execution risk Unfamiliar Litt le int ernal knowledge, but accessible externally Partner for success • • Uncertain Unclear if anyone has necessary knowledge Possibility of success difficult to estimate Can be overcome • wit h passage of time • •• • • • • • • • • 1 year 2-3 years 3-8 years • • • • Immed iat e mandates Fixing t oday's problems • Medi um-term improvement opportunities St ret ch goals • - Strat egic Objective #1 - Strat egic Obj ective #2 - Strat egic Obj ective #3 - Strat egic Obj ective #4 • Individual initiatives are plotted according to risk and time to results • The portfolio should be balanced in impact, familiarity/risk and timing • As time progresses, initiatives should migrate left and upwards, or be eliminated Longer-term Significa nt hurdles and engagement Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Customs and Border Protection CBP Strategy ALC meeting October 1, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 1 Objectives for today Agree on the overall set of strategic initiatives -year strategy Of those initiatives, identify 12-15 priority initiatives 2 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Federal agencies, state universities and private companies choose a limited set of initiatives to define their strategies FEMA Ohio State University Astrazeneca (biopharmaceuticals) 3 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq The CBP Strategy builds on and is distinct from the FY19 Priorities FY19 Priorities CBP Strategy 1 year time horizon 5 year time horizon Planned into the budget Not fully in the budget Being launched in October 2018 Being launched in January 2019 4 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq HIGHLY PRELIMINARY xx To be validated Potential CBP Strategic Initiatives (1 of 2) Strategic Initiative Countering Terrorism & Transnational Crime Counter network: push the terrorist fight further beyond our borders Identified terrorist threats intercepted in other countries 90% of time Illicit activity interdiction: identify and slow the flow of illicit drugs (e.g., opioids) and contraband 50%+ of drug interdictions linked to transnational crime organizations Vetting and Travel Authorization: identify potential Real-time access to background checks on 95% of foreign passengers Mission Areas protecting privacy (e.g., NVC) Border Security Trade and Travel Example outcomes Awareness & control: monitor and respond to illicit cross-border activity quickly and effectively Scores of >90/100 for operational control of border area; >75% non-intrusive cargo and passenger vehicle inspections of southern land border; >90% of identified threats responded to and resolved Common operating picture: put actionable, real-time >90% of on-duty operators and threats are geolocated; 100% of AMO aircraft connected to ATAK E-Commerce: ensure safety and security in cross border shipments Cross border shipments are trackable and traceable to investigate >80% of leads on illegal activity 21st century customs: enable cashless, secure, account-based customs processing 100% of customs payments are account-based and electronic Integrated checkpoint: communicate and collaborate between adjacent POEs and checkpoints Checkpoints and POEs on same operating system; can track individuals from POE to checkpoint Traveler verification: use biometrics to accelerate traveler processing and identify fraud 90% of air and 60% of land passengers screened biometrically; <1% fraud 5 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq HIGHLY PRELIMINARY Potential CBP Strategic Initiatives (2 of 2) Strategic Initiative Hiring: attract and bring on qualified applicants quickly Workforce Strategic Objectives Technology Partnerships Stakeholder Experience One CBP xx To be validated Example outcomes Hiring targets met (e.g., 5k agents in 7 years); 80% offer acceptance; <90 day time to hire; 8/10 applicants CSAT1 Skill Readiness: ensure job skills match requirements and future trends (e.g., dynamic workforce planning and training) Resilience: ensure the workforce maintains physical and emotional health throughout career Cloud and infrastructure: provide reliable access to cloud based services on resilient and secure systems 2 Mobility & app dev: provide personnel access to cuttingedge technology to further mission <0.1% system downtime; bandwidth upgrades are done in <10 days; any CBP program can be accessed on any CBP device; no major breaches of data/information 95% of personnel with mission need have a connected smart phone; outside devices integrated in <10 days Data analytics: ensure consistent, secure data access and enable analytics as a service 100% of relevant datasets are integrated and available for use; 50% of offices use analytics to inform decisions International partnerships: build front line capabilities of partner nations Northern Triangle countries can communicate situational awareness of their borders IC partnerships: collect and share data, analyze trends and provide insights to advance mission Real time access to mission data sets and surveillance infrastructure Travelers: provide a seamless experience for individuals crossing the border 8/10 CSAT score (7/10 in 2017); 15 minutes average wait time (21 minutes in 2016); 5 MVP pilots/year Business: facilitate the ease, speed and predictability of cross border management and movement of goods >75% say they understand how to use CBP systems efficiently to meet their needs; 8/10 CSAT score Public: ensure the general public understands and appreciates the CBP mission >50% of the public rate CBP positively; >50% of media coverage of CBP is neutral or positive Mission and team culture: leaders at all levels focus on mission and teamwork among workforce Mobility and joint duty: enable personnel to understand and appreciate other parts of the agency 80% of workforce feels leadership support (FEVS); 75% of workforce says agency accomplishes mission (FEVS) 10% of agents/officers change offices in 5 years; 100% of SES have spent >1 year in another office; 1 Customer Satisfaction score 2 FEVS target scores are the Government-wide average for a single Federal Employee Viewpoint Survey (FEVS) question 2 Organizational Health Index internal survey benchmarked across 2000 public and private sector organizations Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 6 -5 initiatives, and regularly monitor 10-12 initiatives Initiative Prioritization Criteria This initiative is transformative to mission delivery Direct sponsorship or oversight of the senior leadership team (e.g., ALC) is necessary for the success of the initiative Strategic initiatives Failing to execute this initiative poses significant risk (e.g., physical, political) Other activities ALC role Target # 1 3-5 (e.g., weekly or monthly shared problem-solving) 2 Monitor (e.g., quarterly briefings) 10-12 3 Delegate (e.g., dashboards, ad hoc briefings as needed) Others Cross-office collaboration is required for success 7 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq In the coming weeks, the CBP leadership team will reach decisions on the strategy and communications plan Date Objectives Leadership Oct 1 60 min Agree on the overall set of strategic initiatives (~25) to consider for -year strategy Of those initiatives, identify 12-15 priority initiatives EACs Oct 9 Offline Review selected priority initiatives EACs and DEACs Oct 15 Offline Review portfolio of initiatives (e.g., familiarity, timing, impact) Review Strategy one-pager EACs and DEACs Oct 22 4 hours Decide on Strategy one-pager Decide on metrics, milestones/targets for 12-15 strategic initiatives Decide on approach to managing initiatives EACs and DEACs Oct 29 30 minutes Review draft strategy Prepare for Nov. 8-9 offsite communications EACs Nov 8/ 9 3 hours Communicate strategy to leadership team All SES 8 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Appendix 9 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq ILLUSTRATIVE Using a Portfolio of Initiatives enables a balanced approach to strategy Familiarity/risk Note: Size indicates expected impact of initiative Portfolio of Initiatives Border Security Familiar Has been done before, knowledge exists internally Counter Terrorism Involves limited execution risk Workforce Trade and Travel Unfamiliar Little internal knowledge, but accessible externally Partner for success Uncertain Unclear if anyone has necessary knowledge Possibility of success difficult to estimate Can be overcome with passage of time Individual initiatives are plotted according to risk and time to results The portfolio should be balanced in impact, familiarity/risk and timing As time progresses, initiatives should migrate left and upwards, or be eliminated 1 year Immediate mandates problems 2-3 years Medium-term improvement opportunities Stretch goals 3-8 years Longer-term Significant hurdles and engagement 10 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP should consider six key elements when building out initiatives Strategic initiatives elements Owner Is there a clear owner and a way to hold that person accountable for progress? Definition of success Are measures of success defined, outcome-based, measurable, and being tracked? Delivery roadmap Is there a fully formed roadmap (with key milestones, timeframe, and risks identified) that is being used to track and guide progress? Is there a high level of confidence that the plan will achieve stated goals? Team Is there a fully dedicated team with appropriate skills and expertise? Budget/ resourcing Have required resource levels been established and allocated? Partner/ stakeholder engagement Have critical partners and stakeholders been identified? Is there a regular system of engagement in place? 11 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq The FY19 Strategic Priorities placemat has three key missions and five strategic objectives Strategic Objectives Key Missions Countering Terrorism & Transnational Crime Counternetwork Approaches Tactical Analysis CONOPS Trans-Regional Threats Illicit Drug Interdiction Opioids Fentanyl Narcotics Border Security Trade & Travel Facilitation Border Operations Attract, Train, Retain & Support a World-Class, Resilient Workforce Trade Operations Wall Border Technology Interdiction Capabilities (Land Air Sea) Immigration Life Cycle Next Generation Facilitation Intelligent Enforcement Resource Optimization Empower with Innovative Technology Trade & Travel Verification Domain Awareness Preclearance Expansion Non-Intrusive Inspection Modernize Checkpoint Operations Actionable Common Operating Picture National Vetting Center Build and Develop Partnerships E-Commerce Biometric Entry Exit Enhance the Stakeholder Experience Intelligence Enterprise International Engagement Achieve One CBP 12 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 1 MONTHLY PROJECT REPORT #2 Department of Homeland Security (DHS) Customs and Border Protection (CBP) Integrated Consulting Services Task Order #3 – Strategic Plan Base BPA #HSBP1017A00024 Submitted: October 5, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 2 OVERVIEW The purpose of this Monthly Project Report is to provide a summary of all Contractor work performed under the contract over the course of the last month with a focus on progress to date, concerns/recommendations, risks, and next steps. Additional materials or reports shared during this period will be included separately as Appendices. This report is broken into seven (7) sections: 1. Technical status, including tracking of deliverable due dates and submission dates 2. Schedule status 3. Travel conducted 4. Concerns and/or recommendations from previous month 5. Risks identified during weekly updates, and current status 6. Upcoming action items 7. Appendices, including materials/reports developed during this period 1. TECHNICAL STATUS, INCLUDING DELIVERABLES The focus of this task order is “to develop a new Strategic Plan, ensuring the furtherance of the agency’s mission objectives,” as well to develop “an approach to implement and communicate the strategic plan to make it relevant to its employees, stakeholders and partners.” Task Order #3 calls for nine Tasks. Progress to date on these tasks is reported below: Task 1 – Conduct Project Kick Off Meeting. The Contractor shall participate in a CBP kick off meeting sponsored by CBP within two (2) business days of Task Order award. The purpose of the meeting is to introduce key Government and Contractor personnel, review and discuss the anticipated project schedule, identify possible risks or issues, and to address any other issues the Government or Contractor wish to discuss. The Contractor shall be prepared to discuss any items requiring clarification and gather information as necessary to support each deliverable. The Contractor shall provide a written summary of the Project Kick Off Meeting detailed in the meeting minutes. Deliverables: (1) Project Kick Off Meeting Minutes Completed 8/28/2018 and reported in Monthly Report #1 Task 2 – Review and Refine Strategic Objectives. CBP recently defined a set of strategic objectives that will set the future direction of the agency: • Achieve “One CBP” culture: All of CBP is working together to deliver the best of each Office to the mission, to our operational priorities, and to each other • Attract and retain critical talent: CBP can hire, develop and retain the talent it needs to meet the demands of the mission today and the workforce needs of the future • Accelerate technology deployment: IT systems are reliable and the workforce is equipped with the tools and innovations needed to meet emerging threats Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 3 • Deepen partnerships: Partnerships in the USG, across sectors, and around the world are expanded to strengthen shared intelligence and to anticipate, identify and address potential threats • Enhance the stakeholder experience: Travelers, the trade community, and other stakeholders engage and interact with CBP in ways that meet or exceed their expectations. Building on that list and accounting for the core missions of CBP – border security, trade and travel facilitation, and trade enforcement - this task will review the initial set of objectives for correctness, completeness, clarity and inclusion in the CBP Strategy. Deliverable: (2) Final set of Strategic Objectives The team met with individual EACs and DEACs to refine the list of initiatives, in support of the Strategic Objectives. The team also met with the ALC to confirm that this list of 22 potential initiatives was the right set of things to choose from. Task 3 - Define Strategic Choices. Based on CBP’s Strategic Objectives, develop a set of strategic choices that will drive how CBP can most effectively execute its mission - balancing risk, performance and cost across all of its mission spaces. This list may include consideration of areas to de-emphasize or entirely divest from. Deliverable: (3) Final set of Strategic Choices The team met with the ALC to prioritize 22 initiatives, downselecting to 12 initiatives. Task 4 – Draft CBP Strategic Plan. Using the deliverables from Tasks 2 and 3, draft a CBP Strategic Plan inclusive of the defined strategic objectives and strategic choices used to evaluate agency effectiveness and assist in better-informed management decisions. Deliverable: (4) CBP Strategic Plan The team aligned with the Program Lead and the Chief of Staff on the outline for the strategic plan, based on the strategic objectives and supporting initiatives. Task 5 – Develop Implementation Plan. Develop an implementation plan to define a set of key initiatives that will enable CBP to meet the intent of its Strategic Objectives and a communications strategy that defines the most effective way to cascade the CBP Strategy (Task 4) to all CBP employees. Deliverable: (5) Implementation Plan that includes: • A list of Key Initiatives, to include (a) initiative owners, (b) a delivery roadmap that includes discrete actions to be performed by the owners, (c) a definition of success for each initiative, and (d) a method by which CBP leadership can track the outcomes for each initiative. • A communications approach that defines the most effective way to cascade the strategy to all CBP employees. This approach will include a. developing high quality written briefing materials that can be presented to Congressional stakeholders and Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 4 delivered to the entirety of CBP’s workforce and b. drafting oral presentations and speeches for senior leadership to communicate the strategy to the workforce and external stakeholders. The team has an initiative template for each of the 12 initiatives that will be populated by the Oct. 22 ALC offsite. Task 6 – Meeting Facilitation. Development of the CBP Strategy must include direction and feedback from CBP’s most senior leaders. The contractor should conduct facilitated sessions over the course of the period of performance to gather data, provide information, and gain leadership consensus and approval. Deliverable: (6) Facilitated Leadership sessions, as required The team facilitated a discussion with the Agency Leadership Council on October 1 to prioritize strategic initiatives. The facilitation materials are in Appendix A. Task 7– Reporting. The Contractor shall provide progress updates in person or via conference call with CBP on a weekly basis. Progress Updates shall address schedule, performance and status of all deliverables to include activities that will affect the contract period of performance, problems/risks found, recommended solutions to problems/risks identified and work planned for the next period. At the COR’s discretion, CBP may choose to receive progress updates less frequently if determined a meeting is unnecessary. The Contractor shall provide a monthly project report in writing no later than the fifth of each month. Each report shall include a summary of all Contractor work performed under the contract, including, but not limited to, an assessment of technical status, schedule status, any travel conducted, and any Contractor concerns or recommendations from the previous month, a complete tracking of deliverable due dates and submission dates, upcoming action items, and risks identified during the weekly updates. This report shall be used to justify the billing for each reporting period. The Contractor shall provide a draft Project Execution Plan to successfully complete all tasks outlined all task outlined in this SOW, within fifteen (15) days after award for CBP’s review, comment and approval. The Contractor shall provide a final Project Plan to the COR not later than thirty (30) business days after TO award. Deliverables: (7) Weekly Update (8) Monthly Project Report (9) Project Execution Plan The Project Execution Plan has been completed and reported in Monthly Report #1. The complete deliverables tracker is included below: # Deliverable 1. Project Kick-off meeting minutes (T1) 2. Project Execution Plan (T9) Submission date 9/4/2018 9/4/2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 5 3. 4. 5. 6. 7. 8. 9. 10. 11. Weekly Update #1 (T7) Meeting Facilitation, DLC #1 (T6) Monthly Project Report (T8) Weekly Update #2 (T7) Weekly Update #3 (T7) Weekly Update #4 (T7) Weekly Update #5 (T7) Meeting Facilitation, ALC (T6) Weekly Update #6 (T7) 9/4/2018 9/5/2018 9/5/2018 9/7/2018 9/14/2018 9/21/2018 9/28/2018 10/1/2018 10/5/2018 2. SCHEDULE STATUS We have completed Task 1 and Task 9, completed multiple elements of Task 6 and weekly updates and two monthly project reports. 3. TRAVEL CONDUCTED N/A 4. CONCERNS AND RECOMMENDATIONS We do not have concerns on the progress towards deliverables. Risks (identified in section 5) will need to be appropriately mitigated to avoid becoming concerns. 5. RISKS IDENTIFIED AND CURRENT STATUS Security Clearance: Requirements for complete BI and inability to use a provisional clearance may inhibit engagement from Ogilvy partners, who already work with CBP but are not required to have a completed BI on their other contract. Their paperwork has been submitted, but are awaiting clearance. System Access: The working team does not have access to CBP systems or CBP accounts; obtaining access will enable the team to view FOUO/LES information. 6. UPCOMING ACTION ITEMS Week 7 – October 8-12 Complete 2-page initiative synopses, with metrics, baselines, and targets to facilitate Oct. 22 workshop Shared strategy one-page options with EACs Begin drafting strategic plan Prepare for logistics/facilitation of Oct. 22 offsite Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 6 Week 8 – October 15-19 Complete facilitation materials for Oct. 22 offsite Complete one-page charters for each of the 12 strategic initiatives Complete strategic plan draft Draft communications and messaging plan Week 9 – October 22-26 Facilitate ALC offsite ALC signoff on Strategy one-pager ALC decision on metrics, milestones/targets for 12 strategic initiatives Send strategic plan to key internal stakeholders Week 10 – October 29-Nov 2 Prepare for Nov. 8-9 SES offsite Hold messaging/communications workshop with ALC 7. APPENDICES LIST All appendices listed below are included as separate attachments: Appendix A: Meeting Facilitation, ALC #1 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 1 MONTHLY PROJECT REPORT #3 Department of Homeland Security (DHS) Customs and Border Protection (CBP) Integrated Consulting Services Task Order #3 – Strategic Plan Base BPA #HSBP1017A00024 Submitted: November 5, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 2 OVERVIEW The purpose of this Monthly Project Report is to provide a summary of all Contractor work performed under the contract over the course of the last month with a focus on progress to date, concerns/recommendations, risks, and next steps. Additional materials or reports shared during this period will be included separately as Appendices. This report is broken into seven (7) sections: 1. Technical status, including tracking of deliverable due dates and submission dates 2. Schedule status 3. Travel conducted 4. Concerns and/or recommendations from previous month 5. Risks identified during weekly updates, and current status 6. Upcoming action items 7. Appendices, including materials/reports developed during this period 1. TECHNICAL STATUS, INCLUDING DELIVERABLES The focus of this task order is “to develop a new Strategic Plan, ensuring the furtherance of the agency’s mission objectives,” as well to develop “an approach to implement and communicate the strategic plan to make it relevant to its employees, stakeholders and partners.” Task Order #3 calls for nine Tasks. Progress to date on these tasks is reported below: Task 1 – Conduct Project Kick Off Meeting. The Contractor shall participate in a CBP kick off meeting sponsored by CBP within two (2) business days of Task Order award. The purpose of the meeting is to introduce key Government and Contractor personnel, review and discuss the anticipated project schedule, identify possible risks or issues, and to address any other issues the Government or Contractor wish to discuss. The Contractor shall be prepared to discuss any items requiring clarification and gather information as necessary to support each deliverable. The Contractor shall provide a written summary of the Project Kick Off Meeting detailed in the meeting minutes. Deliverables: (1) Project Kick Off Meeting Minutes Completed 8/28/2018 and reported in Monthly Report #1 Task 2 – Review and Refine Strategic Objectives. CBP recently defined a set of strategic objectives that will set the future direction of the agency: • Achieve “One CBP” culture: All of CBP is working together to deliver the best of each Office to the mission, to our operational priorities, and to each other • Attract and retain critical talent: CBP can hire, develop and retain the talent it needs to meet the demands of the mission today and the workforce needs of the future • Accelerate technology deployment: IT systems are reliable and the workforce is equipped with the tools and innovations needed to meet emerging threats Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 3 • Deepen partnerships: Partnerships in the USG, across sectors, and around the world are expanded to strengthen shared intelligence and to anticipate, identify and address potential threats • Enhance the stakeholder experience: Travelers, the trade community, and other stakeholders engage and interact with CBP in ways that meet or exceed their expectations. Building on that list and accounting for the core missions of CBP – border security, trade and travel facilitation, and trade enforcement - this task will review the initial set of objectives for correctness, completeness, clarity and inclusion in the CBP Strategy. Deliverable: (2) Final set of Strategic Objectives The team met with individual EACs and DEACs to refine the list of initiatives, in support of the Strategic Objectives. The team also met with the ALC to confirm that this list of 22 potential initiatives was the right set of things to choose from. Task 3 - Define Strategic Choices. Based on CBP’s Strategic Objectives, develop a set of strategic choices that will drive how CBP can most effectively execute its mission - balancing risk, performance and cost across all of its mission spaces. This list may include consideration of areas to de-emphasize or entirely divest from. Deliverable: (3) Final set of Strategic Choices The team met with the ALC on October 1 st to prioritize 22 initiatives, down-selecting to 12 initiatives. The team then met with individual the COO, C-2, EACs and DEACs to refine the thinking around each of the 12 identified initiatives and gather feedback on the framing of the strategic initiatives. Task 4 – Draft CBP Strategic Plan. Using the deliverables from Tasks 2 and 3, draft a CBP Strategic Plan inclusive of the defined strategic objectives and strategic choices used to evaluate agency effectiveness and assist in better-informed management decisions. Deliverable: (4) CBP Strategic Plan The team aligned with the Program Lead and the Chief of Staff on the outline for the strategic plan, based on the strategic objectives and supporting initiatives. Since the last report, the strategic plan has been drafted and is in the editing and review process with the team. Task 5 – Develop Implementation Plan. Develop an implementation plan to define a set of key initiatives that will enable CBP to meet the intent of its Strategic Objectives and a communications strategy that defines the most effective way to cascade the CBP Strategy (Task 4) to all CBP employees. Deliverable: (5) Implementation Plan that includes: • A list of Key Initiatives, to include (a) initiative owners, (b) a delivery roadmap that includes discrete actions to be performed by the owners, (c) a definition of success for Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 4 each initiative, and (d) a method by which CBP leadership can track the outcomes for each initiative. • A communications approach that defines the most effective way to cascade the strategy to all CBP employees. This approach will include a. developing high quality written briefing materials that can be presented to Congressional stakeholders and delivered to the entirety of CBP’s workforce and b. drafting oral presentations and speeches for senior leadership to communicate the strategy to the workforce and external stakeholders. The team has developed an initiative template that includes the initiative owners, delivery roadmap, definition of success (e.g., desired outcomes), and metrics (including baseline and targets). This material will be reviewed and finalized by the ALC during a working session, which was originally scheduled for Oct. 22 and has been rescheduled to November. The decisions needs in this meeting will be to confirm the overall framing for the strategic initiatives, as well as decide on outcomes and owners. Task 6 – Meeting Facilitation. Development of the CBP Strategy must include direction and feedback from CBP’s most senior leaders. The contractor should conduct facilitated sessions over the course of the period of performance to gather data, provide information, and gain leadership consensus and approval. Deliverable: (6) Facilitated Leadership sessions, as required The team facilitated a discussion with C-1 and the COO on October 18 th. The materials are in Appendix A. In addition, the team had planned to facilitate a workshop with the ALC on October 22 nd to confirm the overall framing for the strategic initiatives, as well as decide on strategic initiative outcomes and owners. This meeting has been rescheduled to November. The pre-read materials that were distributed to the CBP leadership team (e.g., C-1, C-2, COO, EACs, and DEACs) are included here. Task 7– Reporting. The Contractor shall provide progress updates in person or via conference call with CBP on a weekly basis. Progress Updates shall address schedule, performance and status of all deliverables to include activities that will affect the contract period of performance, problems/risks found, recommended solutions to problems/risks identified and work planned for the next period. At the COR’s discretion, CBP may choose to receive progress updates less frequently if determined a meeting is unnecessary. The Contractor shall provide a monthly project report in writing no later than the fifth of each month. Each report shall include a summary of all Contractor work performed under the contract, including, but not limited to, an assessment of technical status, schedule status, any travel conducted, and any Contractor concerns or recommendations from the previous month, a complete tracking of deliverable due dates and submission dates, upcoming action items, and risks identified during the weekly updates. This report shall be used to justify the billing for each reporting period. Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 5 The Contractor shall provide a draft Project Execution Plan to successfully complete all tasks outlined all task outlined in this SOW, within fifteen (15) days after award for CBP’s review, comment and approval. The Contractor shall provide a final Project Plan to the COR not later than thirty (30) business days after TO award. Deliverables: (7) Weekly Update (8) Monthly Project Report (9) Project Execution Plan The Project Execution Plan has been completed and reported in Monthly Report #1. The complete deliverables tracker is included below: # 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. Deliverable Project Kick-off meeting minutes (T1) Project Execution Plan (T9) Weekly Update #1 (T7) Meeting Facilitation, DLC #1 (T6) Monthly Project Report (T8) Weekly Update #2 (T7) Weekly Update #3 (T7) Weekly Update #4 (T7) Weekly Update #5 (T7) Meeting Facilitation, ALC (T6) Weekly Update #6 (T7) Monthly Project Report (T8) Weekly Update #7 (T7) Weekly Update #8 (T7) Weekly Update #9 (T7) Weekly Update #10 (T7) Monthly Project Report (T8) Submission date 9/4/2018 9/4/2018 9/4/2018 9/5/2018 9/5/2018 9/7/2018 9/14/2018 9/21/2018 9/28/2018 10/1/2018 10/5/2018 10/5/2018 10/12/2018 10/19/2018 10/26/2018 11/2/2018 11/5/18 2. SCHEDULE STATUS We have completed Task 1 and Task 9, completed multiple elements of Task 4 and Task 6. We have provided weekly updates and three monthly project reports. 3. TRAVEL CONDUCTED N/A 4. CONCERNS AND RECOMMENDATIONS We do not have concerns on the progress towards deliverables. Risks (identified in section 5) will need to be appropriately mitigated to avoid becoming concerns. Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 6 5. RISKS IDENTIFIED AND CURRENT STATUS Our working session with the leadership team to make decisions on the strategy (e.g., overall framing, desired outcomes, initiatives owners, and metrics) has been delayed. This poses a risk to the original timeline and anticipated launch date for the strategy. 6. UPCOMING ACTION ITEMS Week 11 – Nov 5 to Nov 9 Develop considerations/templates for initiative “ownership” and performance management Prepare Guidehouse and Ogilvy for their work: review initiatives, initiative maturity, and background materials Prepare working team for transition to performance management planning; solicit feedback/discussion on communications approach to the workforce, across different components Week 12 – Nov 12 to Nov 16 Guidehouse to continue work on developing considerations for initiative “ownership” and performance management ALC workshop on Nov 16 (3:30 to 5:30 PM); ALC sign-off on Strategy one-pager ALC decision on outcomes and owners for 12 strategic initiatives Week 13 – Nov 19 to Nov 21 (Thanksgiving Week) Socialize schedule for strategy communications and performance management meetings Week 14 – Nov 26 to Nov 30 Guidehouse to develop considerations for organizational planning and performance management guidance for aligning processes to support the strategy Coordinate with working team and other offices to align planning and resourcing processes across the organization Prepare for measures/performance management/portfolio of initiatives workshop with ALC Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 7 7. APPENDICES LIST All appendices listed below are included as separate attachments: Appendix A: Oct. 18th C-1 briefing Appendix B: Pre-read for ALC (originally scheduled on Oct. 22) Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 1 MONTHLY PROJECT REPORT #4 Department of Homeland Security (DHS) Customs and Border Protection (CBP) Integrated Consulting Services Task Order #3 – Strategic Plan Base BPA #HSBP1017A00024 Submitted: December 5, 2018 Internal Use Only Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 2 OVERVIEW The purpose of this Monthly Project Report is to provide a summary of all Contractor work performed under the contract over the course of the last month with a focus on progress to date, concerns/recommendations, risks, and next steps. Additional materials or reports shared during this period will be included separately as Appendices. This report is broken into seven (7) sections: 1. Technical status, including tracking of deliverable due dates and submission dates 2. Schedule status 3. Travel conducted 4. Concerns and/or recommendations from previous month 5. Risks identified during weekly updates, and current status 6. Upcoming action items 7. Appendices, including materials/reports developed during this period 1. TECHNICAL STATUS, INCLUDING DELIVERABLES The focus of this task order is “to develop a new Strategic Plan, ensuring the furtherance of the agency’s mission objectives,” as well to develop “an approach to implement and communicate the strategic plan to make it relevant to its employees, stakeholders and partners.” Task Order #3 calls for nine Tasks. Progress to date on these tasks is reported below: Task 1 – Conduct Project Kick Off Meeting. The Contractor shall participate in a CBP kick off meeting sponsored by CBP within two (2) business days of Task Order award. The purpose of the meeting is to introduce key Government and Contractor personnel, review and discuss the anticipated project schedule, identify possible risks or issues, and to address any other issues the Government or Contractor wish to discuss. The Contractor shall be prepared to discuss any items requiring clarification and gather information as necessary to support each deliverable. The Contractor shall provide a written summary of the Project Kick Off Meeting detailed in the meeting minutes. Deliverables: (1) Project Kick Off Meeting Minutes Completed 8/28/2018 and reported in Monthly Report #1 Task 2 – Review and Refine Strategic Objectives. CBP recently defined a set of strategic objectives that will set the future direction of the agency: • Achieve “One CBP” culture: All of CBP is working together to deliver the best of each Office to the mission, to our operational priorities, and to each other • Attract and retain critical talent: CBP can hire, develop and retain the talent it needs to meet the demands of the mission today and the workforce needs of the future Internal Use Only Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 3 • Accelerate technology deployment: IT systems are reliable and the workforce is equipped with the tools and innovations needed to meet emerging threats • Deepen partnerships: Partnerships in the USG, across sectors, and around the world are expanded to strengthen shared intelligence and to anticipate, identify and address potential threats • Enhance the stakeholder experience: Travelers, the trade community, and other stakeholders engage and interact with CBP in ways that meet or exceed their expectations. Building on that list and accounting for the core missions of CBP – border security, trade and travel facilitation, and trade enforcement - this task will review the initial set of objectives for correctness, completeness, clarity and inclusion in the CBP Strategy. Deliverable: (2) Final set of Strategic Objectives During the December 4th workshop with the CBP Leadership Team (C1, C2, COO, EACs, and DEACs), the senior leaders aligned on the “one-pager” for the strategy with the framing around three goals related to mission, team, and future. This one-pager integrates the original five strategic objectives with the core missions of CBP. By selecting the “one-pager” the strategic objectives were finalized. See Appendix A page 7 for this deliverable. Task 3 - Define Strategic Choices. Based on CBP’s Strategic Objectives, develop a set of strategic choices that will drive how CBP can most effectively execute its mission - balancing risk, performance and cost across all of its mission spaces. This list may include consideration of areas to de-emphasize or entirely divest from. Deliverable: (3) Final set of Strategic Choices The discussion in the December 4th workshop helped to refine the scope of the 12 strategic initiatives. In particular, the CBP leadership team refined the desired outcomes, provided feedback on activities, and identified draft measures to track going forward. The set of strategic choices will be finalized once C1 has reviewed and approved the recommendation memo coming out of the workshop. Task 4 – Draft CBP Strategic Plan. Using the deliverables from Tasks 2 and 3, draft a CBP Strategic Plan inclusive of the defined strategic objectives and strategic choices used to evaluate agency effectiveness and assist in better-informed management decisions. Deliverable: (4) CBP Strategic Plan The team developed a draft of the strategic plan that provides detail on the external environment, the “mission, team, and future” goals, and the twelve strategic initiatives. (b) (6), (b) (7)(C) We shared it with (b) (6), (b) (7)(C) on November 16th. Based on feedback from we are revising the plan and will share an example write-up of one initiative by December Internal Use Only Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 4 6th. In addition, we will provide three graphic options for the strategy one-pager, which will be integrated into the strategic plan, by December 12 th. Task 5 – Develop Implementation Plan. Develop an implementation plan to define a set of key initiatives that will enable CBP to meet the intent of its Strategic Objectives and a communications strategy that defines the most effective way to cascade the CBP Strategy (Task 4) to all CBP employees. Deliverable: (5) Implementation Plan that includes: • A list of Key Initiatives, to include (a) initiative owners, (b) a delivery roadmap that includes discrete actions to be performed by the owners, (c) a definition of success for each initiative, and (d) a method by which CBP leadership can track the outcomes for each initiative. • A communications approach that defines the most effective way to cascade the strategy to all CBP employees. This approach will include a. developing high quality written briefing materials that can be presented to Congressional stakeholders and delivered to the entirety of CBP’s workforce and b. drafting oral presentations and speeches for senior leadership to communicate the strategy to the workforce and external stakeholders. The team developed outlines for both the Implementation Plan and the Communication Plan. The Communication Plan outline includes of all of the information that will be captured, such as communication objectives, approach (i.e., channel assessment, stakeholder analysis and mapping, recommendations), communication strategy (i.e., communication roll out, key messages, channels and tactics), and the launch and deployment schedule. The Implementation Plan outline includes sections for the following: strategy background, initiatives summary, governance structure, resource planning, performance monitoring, and implementation support. The outlines will be reviewed and approved by the client on 12/6. In addition to building the outlines, the team has also begun populating the information for the stakeholder analysis and mapping, and performing a performance management material audit. Task 6 – Meeting Facilitation. Development of the CBP Strategy must include direction and feedback from CBP’s most senior leaders. The contractor should conduct facilitated sessions over the course of the period of performance to gather data, provide information, and gain leadership consensus and approval. Deliverable: (6) Facilitated Leadership sessions, as required The team began listening sessions in November and met with EAC Young, DEAC EAC Jacksta, EAC Owen, C2 Perez and COO Sanders. The team also met with the PPBA team to discuss the integration of the Strategy with the RAP and UFR process, held on November 27, and WRED to discuss how McKinsey/Guidehouse can work with WRED to gather information from FEVS data and conduct listening sessions to be used in the (b) (6), (b) (7)(C) Internal Use Only Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 5 Communications and Implementation Plans. Listening sessions will continue through December. In addition, the team facilitated a workshop with the CBP Leadership Team (C1, C2, COO, EACs, and DEACs) on December 4th to make several key decisions related to the strategy. This workshop was originally scheduled on October 22 nd . There were three decisions that were reached as part of the workshop: 1) Confirmed the overall framing for the strategic initiatives 2) Revised the initiatives and proposed metrics to track 3) Decided on owners for the twelve strategic initiatives. The workbook for the session and PPT materials that were projected are included in the appendix. Task 7- Reporting. The Contractor shall provide progress updates in person or via conference call with CBP on a weekly basis. Progress Updates shall address schedule, performance and status of all deliverables to include activities that will affect the contract period ofperformance, problems/risks found, recommended solutions to problems/risks identified and work planned for the next period. At the COR's discretion, CBP may choose to receive progress updates less frequently if determined a meeting is unnecessary. The Contractor shall provide a monthly project report in writing no later than the fifth of each month. Each report shall include a summary of all Contractor work pe1formed under the contract, including, but not limited to, an assessment of technical status, schedule status, any travel conducted, and any Contractor concerns or recommendations from the previous month, a complete tracking of deliverable due dates and submission dates, upcoming action items, and risks identified during the weekly updates. This report shall be used to justifiJ the billing for each reporting period. The Contractor shall provide a draft Project Execution Plan to successfully complete all tasks outlined all task outlined in this SOW, within.fifteen (15) days after award for CBP's review, comment and approval. The Contractor shall provide a.final Project Plan to the COR not later than thirty (30) business days after TO award. Deliverables: (7) Weekly Update (BJ Monthly Project Report (9) Project Execution Plan The Project Execution Plan has been completed and reported in Monthly Report #1. The complete deliverables tracker is included below: # Deliverable Subn1ission date ---futemal Use Only Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 6 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. Project Execution Plan (T9) Weekly Update #1 (T7) Meeting Facilitation, DLC #1 (T6) Monthly Project Report (T8) Weekly Update #2 (T7) Weekly Update #3 (T7) Weekly Update #4 (T7) Weekly Update #5 (T7) Meeting Facilitation, ALC (T6) Weekly Update #6 (T7) Monthly Project Report (T8) Weekly Update #7 (T7) Weekly Update #8 (T7) Weekly Update #9 (T7) Weekly Update #10 (T7) Monthly Project Report (T8) Weekly update #11 (T7) Weekly update #12 (T7) Weekly update #13 (T7) Weekly update #14 (T7) 9/4/2018 9/4/2018 9/5/2018 9/5/2018 9/7/2018 9/14/2018 9/21/2018 9/28/2018 10/1/2018 10/5/2018 10/5/2018 10/12/2018 10/19/2018 10/26/2018 11/2/2018 11/5/18 11/9/2018 11/16/2018 11/21/2018 11/30/2018 2. SCHEDULE STATUS We have completed Task 1, 2 and 9, completed multiple elements of Tasks 3, 4, 5, and 6. We have provided weekly updates and four monthly project reports. 3. TRAVEL CONDUCTED N/A 4. CONCERNS AND RECOMMENDATIONS We do not have concerns on the progress towards deliverables. Risks (identified in section 5) will need to be appropriately mitigated to avoid becoming concerns. 5. RISKS IDENTIFIED AND CURRENT STATUS Our working session with the leadership team to make decisions on the strategy (e.g., overall framing, desired outcomes, initiatives owners, and metrics) was delayed ~6 weeks. That affected the original timeline and anticipated launch date for the strategy. Internal Use Only Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 7 6. UPCOMING ACTION ITEMS Week 15 – Dec 3 – 7 Facilitate workshop with CBP Leadership Team to (1) decide on strategy overview, (2) decide on outcomes and measures for 12 strategic initiatives, and (3) decide on owners for each initiative Review outlines for the communications and implementation plans Continue to develop stakeholder map Week 16 – Dec 10 – 14 Conduct listening session with the working team Meet with the communications POCs identified by the EACs and OPA Develop initial tools and templates as approval of outlines is given Identify influencers / influencer networks vital to the success of the Strategy rollout Week 17 – Dec 17 – 21 Schedule the messaging workshop to take place in January and prepare all necessary materials Identify roles and responsibilities of stakeholders for each strategic initiative Week 18 – Dec 24 – 28 Team on pause for the holidays Week 19 – Dec 31 – Jan 4 Team on pause for the holidays 7. APPENDICES LIST All appendices listed below are included as separate attachments: Appendix A: Workbook for December 4 CBP Strategy Workshop, including draft/ thought starter measures for strategic initiatives Appendix B: Agenda and supporting materials for December 4 CBP Strategy Workshop Internal Use Only Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Customs and Border Protection CBP Strategy C1 update October 18, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 1 Objectives for today Recap Oct. 1 ALC feedback and review options for CBP strategy overall Align on objectives for Oct. 22 EAC/DEAC session Consider strategic initiative outcomes and potential owners 2 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PRELIMINARY with others for regular briefings1 Strategic initiatives (e.g., weekly or monthly shared problem-solving) Counter network: Leverage collaboration, data and intelligence to push the terrorist and transnational crime fight beyond our borders Partnerships: foster and develop partnerships, particularly internationally and with intelligence community One CBP: execute mission by empowering leaders and unifying the workforce with trust and common purpose Data and Analytics: ensure access to quality data and use analytics to enable decision-making Hiring: modify recruiting and hiring processes to attract and onboard qualified applicants quickly Secure & compliant trade: develop capability to predict threats and enforce cross-border commerce IT Infrastructure: improve systems to provide reliable access to cloud-based services on resilient and secure infrastructure Resilience: ensure the workforce maintains physical and emotional health throughout career Monitor (e.g., quarterly briefings) Awareness and enforcement: increase awareness and improve rate of response to illicit cross-border activity Traveler verification: use biometrics to accelerate traveler processing and identify fraud while providing a seamless traveler experience Vetting and travel authorization: identify potential threats by integrating and validating all available peoplecentric information Stakeholder Experience: provide a seamless experience for individuals and groups interacting with CBP 1 Combines some initiatives suggested to be grouped in small group discussions 3 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP STRATEGY CBP Mission To safeguard America's borders thereby protecting the public from dangerous people and materials while enhancing the Nation's global economic competitiveness by enabling legitimate trade and travel MISSION Protect the American people and enable trade and travel Aspiration To be the most innovative and trusted law enforcement agency in the world PEOPLE Build a capable, resilient and ready workforce Counter Network Leverage collaboration, data and intelligence to push the terrorist and transnational crime fight beyond our borders Awareness & enforcement Increase situational awareness of border area to impede illicit cross-border travel Resilience Secure & Compliant Trade Develop capability to predict threats and enforce crossborder commerce One CBP Traveler verification Increase use of biometrics to accelerate traveler processing and identify fraud Hiring Option A FUTURE Invest in technology and partnerships to confront emerging threats Modify recruiting and hiring processes to attract and onboard qualified applicants quickly Data & Analytics Ensure access to quality data and use analytics to enable decision-making Ensure the workforce maintains physical and emotional health throughout their careers IT Infrastructure Improve systems to provide reliable access to cloudbased services on resilient and secure infrastructure Execute mission by empowering leaders and unifying the workforce with trust and common purpose Partnerships Foster and develop partnerships, particularly internationally and with intelligence community Identify potential threats by Vetting & integrating and validating all authorization available people-centric information user interfaces and Stakeholder Improve business procedures to Experience provide a seamless experience for travelers and businesses Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 4 CBP STRATEGY CBP Mission To safeguard America's borders thereby protecting the public from dangerous people and materials while enhancing the Nation's global economic competitiveness by enabling legitimate trade and travel Secure the border to protect the American people Awareness and enforcement Increase awareness and improve rate of response to illicit cross-border activity Vetting and authorization Identify potential threats by integrating and validating all available peoplecentric information Counter Network Push the terrorist and transnational crime fight further beyond our borders Facilitate trade and travel Secure & Compliant Trade Develop capability to predict threats and enforce cross-border commerce Traveler verification Use biometrics to accelerate traveler processing and identify fraud Stakeholder experience Provide a seamless experience for individuals and groups interacting with CBP Option B Aspiration To be the most innovative and trusted law enforcement agency in the world Invest in technology and partnerships for the future Partnerships Foster and develop partnerships, particularly internationally and with the intelligence community Data & Analytics Ensure access to quality data and use analytics to enable decision-making IT Infrastructure Improve systems to provide reliable access to cloud-based services on resilient and secure infrastructure Build a capable, resilient and ready workforce Hiring Modify recruiting and hiring processes to attract and onboard qualified applicants quickly Resilience Ensure the workforce maintains physical and emotional health One CBP Execute mission by empowering leaders and unifying the workforce with trust and common purpose 5 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP STRATEGY CBP Mission To safeguard America's borders thereby protecting the public from dangerous people and materials while enhancing the Nation's global economic competitiveness by enabling legitimate trade and travel Counter terrorism Counter Network Push the terrorist and transnational crime fight further beyond our borders Vetting and authorization Identify potential threats by integrating and validating all available people-centric information Workforce Hiring Resilience Option C Aspiration To be the most innovative and trusted law enforcement agency in the world Enhance border security Awareness Increase awareness of activity around the border Enforcement Improve rate of response to illicit cross-border activity Secure and facilitate trade and travel Secure & Compliant Trade Develop capability to predict threats and enforce cross-border commerce Traveler verification Use biometrics to accelerate traveler processing and identify fraud Modify recruiting and hiring processes to attract and onboard qualified applicants quickly Ensure the workforce maintains physical and emotional health Technology Data & Analytics Ensure access to quality data and use analytics to enable decision-making IT Infrastructure Improve systems to provide reliable access to cloud-based services on resilient and secure infrastructure Partnerships Foster and develop partnerships, particularly internationally and with the intelligence community Stakeholder experience Provide a seamless experience for individuals and groups interacting with CBP One CBP Execute mission by empowering leaders and unifying the workforce with trust and common purpose 6 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq EACs and DEACs have weighed in on strategy options Option A Mission, People, Future Option B Secure, Facilitate, People, Future Option C 3 mission areas, 5 objectives This matches the lines of business This is the only option the whole workforce will understand This option feels more like OneCBP This is just a checklist Could be better because it splits mission in two categories This shows the decision making Could last beyond the tenure of one Commissioner I like it from a simplicity standpoint Easy to translate to field personnel 7 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq The goal of the Oct. 22 session is to decide on the overall strategy as well as outcomes and measures for the 12 strategic initiatives Meeting objectives Decide on Strategy overview (one-page) Decide on outcomes for 12 strategic initiatives Decide on initial measures for each initiative Agenda (October 22) 12:00 12:30 Review of initiatives / Lunch 12:30 12:45 Objectives and Introductions 12:45 01:00 Strategy one-pager 01:00 01:45 Initiative discussions Round 1 01:45 02:15 Recap Round 1 02:15 02:30 Break 02:30 03:15 Initiative discussions Round 2 03:15 03:45 Recap Round 2 03:45 04:00 Portfolio of Initiatives / Close 8 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PRELIMINARY FUTURE PEOPLE MISSION Strategic initiatives require outcomes and owners to succeed Description Expected outcomes Counter Network Leverage collaboration, data and intelligence to push the terrorist and transnational crime fight beyond our borders Terrorists and TCOs identified and caught outside the U.S. Awareness & enforcement Increase situational awareness of border area to impede illicit cross-border travel The border is secure Secure & Compliant Trade Develop capability to predict threats and enforce crossborder commerce Trade is secure and predictable Traveler verification Increase use of biometrics to accelerate traveler processing and identify fraud Travelers are verified quickly and accurately Vetting & authorization Identify potential threats by integrating and validating all available people-centric information Threats are identified before arrival at POEs Stakeholder Experience Improve user interfaces and business procedures to provide a seamless experience for travelers and businesses Travelers and businesses trust and respect CBP Hiring Modify recruiting and hiring processes to attract and onboard qualified applicants quickly Staffing levels meet mission needs Resilience Ensure the workforce maintains physical and emotional health throughout their careers The workforce is resilient One CBP Execute mission by empowering leaders and a unifying the workforce with trust and common purpose People work across offices to deliver mission Data & Analytics Ensure access to quality data and use analytics to enable decision-making Operators make decisions based on real-time information informed by data and analytics IT Infrastructure Improve systems to provide reliable access to cloud-based services on resilient and secure infrastructure Personnel can access the best technology to do their jobs Partnerships Foster and develop partnerships, particularly internationally and intelligence community CBP works with a range of organizations to accomplish mission Owner ... 9 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Appendix 10 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PRELIMINARY ALC Prioritization of Strategic Initiatives (October 1) Prioritize Delegate xx Merged based on Oct. 1 ALC Mission Areas Potential Initiatives Countering Terrorism & Transnational Crime Border Security ALC Guidance (e.g., NVC) Counter network: push the terrorist and TCO fight further beyond our borders Illicit activity interdiction: identify and slow the flow of illicit drugs and contraband Awareness & control: monitor and respond to illicit cross-border activity quickly and effectively Common operating picture: put actionable, realIntegrated checkpoint: communicate and collaborate between adjacent POEs and checkpoints Trade and Travel E-Commerce: ensure safety and security in cross border shipments Trade Enforcement: ensure compliance with trade and customs laws and regulations Traveler verification: use biometrics to accelerate traveler processing and identify fraud Hiring: attract and bring on qualified applicants quickly Workforce Skill Readiness: ensure job skills match requirements and future trends Resilience: ensure the workforce maintains physical and emotional health Cloud and infrastructure: provide reliable access to cloud based services on resilient, secure systems Strategic Objectives Technology Mobility & app dev: provide personnel access to cutting-edge technology to further mission Data analytics: ensure consistent, secure data access and enable analytics as a service Partnerships Stakeholder Experience Foster and develop partnerships with international governments, the intelligence community and other USG Travelers: provide a seamless experience for individuals crossing the border Business: facilitate the ease, speed and predictability of cross border movement of goods Public: ensure the general public understands and appreciates the CBP mission One CBP Mission and team culture: leaders focus on mission and teamwork among workforce Mobility and joint duty: enable personnel to understand and appreciate other parts of the agency 11 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Customs and Border Protection CBP Strategy – Top team working session Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 1 Objectives #1 Decide on Strategy overview (one-page) #2 Decide on outcomes and measures for 12 strategic initiatives #3 Decide on owners for each initiative 3 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Decision #1 Strategy overview 5 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP STRATEGY CBP Mission To safeguard America's borders thereby protecting the public from dangerous people and materials while enhancing the Nation's global economic competitiveness by enabling legitimate trade and travel MISSION Protect the American people and enable trade and travel Counter network Aspiration To be the most innovative and trusted law enforcement agency in the world TEAM Build a capable, resilient, and ready workforce Leverage data and intelligence to identify, illuminate, degrade, and disrupt transnational organized threats to the border and homeland situational awareness Awareness & Increase to impede and respond to illicit enforcement cross-border traffic Secure & compliant trade Predict and identify threats to facilitate cross-border commerce and deliver consequences Traveler verification Use cutting-edge technology to expedite traveler processing, identify fraud, and confirm overstays Hiring Attract, recruit, and hire the most qualified applicants quickly Resilience Promote physical and emotional health for employees and their families One CBP Option A Build a culture of trust, leadership, and common purpose at all levels of CBP FUTURE Invest in technology and partnerships to confront emerging threats Data & analytics Use quality data and advanced analytics to make decisions and take action IT infrastructure Provide access to cloudbased services and resilient, secure infrastructure to streamline CBP work Partnerships Expand international and intelligence partnerships to extend influence beyond CBP capabilities Coordinate traveler and Vetting & immigration data across authorization agencies to identify threats stakeholder Stakeholder Improve interactions to facilitate travel experience and business Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 7 CBP STRATEGY CBP Mission To safeguard America's borders thereby protecting the public from dangerous people and materials while enhancing the Nation's global economic competitiveness by enabling legitimate trade and travel Secure the border to protect the American people Awareness & enforcement Increase situational awareness to impede and respond to illicit crossborder traffic Vetting and authorization Coordinate traveler and immigration data across agencies to identify threats Counter network Leverage data and intelligence to identify, illuminate, degrade, and disrupt transnational organized threats to the border and homeland Facilitate trade and travel Secure & compliant trade Predict and identify threats to facilitate cross-border commerce and deliver consequences Traveler verification Use cutting-edge technology to expedite traveler processing, identify fraud, and confirm overstays Stakeholder experience Improve stakeholder interactions to facilitate travel and business Option B Aspiration To be the most innovative and trusted law enforcement agency in the world Build a capable, resilient, and ready workforce Hiring Attract, recruit, and hire on the most qualified applicants quickly Resilience Promote physical and emotional health for employees and their families One CBP Build a culture of trust, leadership, and common purpose at all levels of CBP Invest in technology and partnerships for the future Data & analytics Use quality data and advanced analytics to make decisions and take action IT infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work Partnerships Expand international and intelligence partnerships to extend influence beyond CBP capabilities 8 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP STRATEGY CBP Mission To safeguard America's borders thereby protecting the public from dangerous people and materials while enhancing the Nation's global economic competitiveness by enabling legitimate trade and travel Counter terrorism Leverage data and intelligence to identify, illuminate, degrade, and disrupt transnational organized threats to the border and homeland Vetting and authorization Coordinate traveler and immigration data across agencies to identify threats Workforce Hiring Resilience Aspiration To be the most innovative and trusted law enforcement agency in the world Enhance border security Awareness Counter network Option C Increase situational awareness of illicit cross-border traffic Secure and facilitate trade and travel Secure & compliant trade Predict and identify threats to facilitate crossborder commerce and deliver consequences Enforcement Improve impedance and response to illicit crossborder traffic Traveler verification Use cutting-edge technology to expedite traveler processing, identify fraud, and confirm overstays Attract, recruit, and hire the most qualified applicants quickly Promote physical and emotional health for employees and their families Technology Data & analytics Use quality data and advanced analytics to make decisions and take action IT Infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work Partnerships Expand international and intelligence partnerships to extend influence beyond CBP capabilities Stakeholder experience Improve stakeholder interactions to facilitate travel and business One CBP Build a culture of trust, leadership, and common purpose at all levels of CBP 9 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP leadership has weighed in on the strategy options Option B Secure, Facilitate, Team, Future Option C 3 mission areas, 5 objectives We’ve never done it this way before This matches the lines of business This is how we’ve always done it This is the only option the whole workforce will understand Separating “secure” and “facilitation” ensures they don’t get lost This is just a checklist This option feels more like One CBP Could be better because it splits mission in two categories This shows the decision making process we’ve come through Option A Mission, Team, Future I like “Mission, People, Future” Hard to know what’s important It’s simple and easy to get behind Could last beyond the tenure of one Commissioner I like it from a simplicity standpoint Old school…we’ve seen all this before Easy to translate to field personnel If we’re looking for a culture change, this will not get us there Raises us up a level – really like this A more corporate mindset Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 10 Decision #2 Outcomes for 12 strategic initiatives 11 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PRELIMINARY FUTURE TEAM MISSION Strategic initiatives require outcomes in order to measure success Description Desired outcome Counter network Leverage data and intelligence to identify, illuminate, degrade, and disrupt transnational organized threats to the border and homeland Terrorists and TCOs identified and disrupted Awareness & enforcement Increase situational awareness to impede and respond to illicit cross-border traffic The border is secure Secure & compliant trade Predict and identify threats to facilitate cross-border commerce and deliver consequences Trade is secure, predictable, and legal Traveler verification Use cutting-edge technology to expedite traveler processing, identify fraud, and confirm overstays Travelers are verified quickly and accurately Vetting & authorization Coordinate traveler and immigration data across agencies to identify threats CBP identifies bad actors before arrival at POEs Stakeholder experience Improve stakeholder interactions to facilitate travel and business Travelers and businesses trust and value CBP Hiring Attract, recruit, and hire the most qualified applicants quickly Staffing levels meet mission needs Resilience Promote physical and emotional health for employees and their families The workforce is resilient One CBP Build a culture of trust, leadership, and common purpose at all levels of CBP People work across offices to deliver mission Data & analytics Use quality data and advanced analytics to make decisions and take action Personnel make decisions based on timely information informed by quality data and analytics IT infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work Personnel can access the technology they need to do their jobs Partnerships Expand international and intelligence partnerships to extend influence beyond CBP capabilities Strong partnerships with other organizations advance priority mission 13 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Each strategic initiative overview includes the external environment, CBP baseline and outcomes, actions and measures External Environment CBP Baseline Initiative outcome, actions and measures 14 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Measures can be framed in two related ways to help CBP assess the progress of its strategy and strategic initiatives Are we doing the right things? And, are we doing the right things well? e.g., an assessment of activity or activity quality Are we having the impact we expect? e.g., an assessment of outcome A combination of both activity- and outcome-based measures are recommended to track goal achievement Examples Measures Strategic initiative Awareness & enforcement Activity-based Mobile towers installed Outcome-based Situational awareness % of people apprehended at POEs The border is secure Time to hire Net staffing levels relative to mission need Staffing levels meet mission needs SUAS deployed Hiring Polygraphers onboarded Applicants enrolled in care program Desired outcome Number of hires 15 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Counter network 17 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq COUNTER NETWORK: EXTERNAL ENVIRONMENT PRELIMINARY Terrorism, transnational crime, and state on state activity continue to be significant global challenges Terrorism-related incidents are persistent Number per year, globally Crime accounts for at least 1.5% of global GDP Estimated annual revenues for illicit trade by sector (as of 2011) Drug Trafficking $320 bn Counterfeiting 18 $250 bn Forced Labor, Pvt. Enterprise $15 bn Illicit Oil Trade $10.8 bn 12 Illicit Wildlife Trade $10.0 bn 10 Fish $9.5 bn Timber $7.0 bn Art $6.3 bn Gold1 $2.3 bn Human Organs $1.2 bn Small Arms $1.0 bn Diamonds $0.9 bn 16 14 8 6 4 2 0 1970 80 90 2000 10 2016 1 Gold estimates are for three countries, only (Democratic Republic of the Congo, South Africa and Peru) SOURCE: World Economic Forum Council on Illicit Trade, 2012-2014; figures presented compiled by a 2011 Global Financial Integrity study Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 18 COUNTER NETWORK: CBP BASELINE PRELIMINARY CBP has increased interdiction capabilities at POEs and at the border, but threats continue to diversify and scale Historical operational outcomes In FY17, CBP officers and BPA arrested 10,908 individuals who were wanted by law enforcement authorities Corruption and impunity1 Environment and natural resources Cybercrime IIIicit trade and financial flows External drivers Human mobility and exploitation Violence and instability1 CBP officers encountered 216,370 inadmissible individuals at ports of entry In FY17, CBP seized more than 2.14M pounds of narcotics and disrupted more than 81K pounds of narcotics In FY17, CBP identified and prevented the boarding of 15,907 travelers on flights destined for the U.S. who may have presented an immigration or security risk2 …and provided actionable information to our partners 1 Ungoverned space typically sets the conditions where terrorist organizations, TCOs, and other bad actors are able to thrive 2 These passengers were identified through the combined efforts of the National Targeting Center, the Immigration Advisory Program, and the Regional Carrier Liaison Group SOURCE: World Economic Forum; CBP Border Security Report Fiscal Year 2017 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 19 COUNTER NETWORK: STRATEGIC INITIATIVE PRELIMINARY Counter Network: Leverage data and intelligence to identify, illuminate, degrade, and disrupt trans-national organized threats to the border and homeland Actions • Participate with—or contribute to—whole of government and international actions that leverage partner agencies’ authorities as a means of addressing the threat to the US border and homeland • Integrate tactical/strategic information and provide actionable intelligence law enforcement, military, regulatory, and intelligence community partners Outcome: Terrorists and TCOs identified and disrupted Draft/thought-starter measures % of priority threats fully mapped to source and risk assessed % of threats identified overseas (as % total) % of distinct data sets imbedded into NTC % of partnerships leading to actionable information / apprehension Type Baseline Target Outcome N/A – New measure … Outcome N/A – New measure … Activity Currently in development … Activity N/A – New measure … Owner: To be decided 20 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Awareness & enforcement 21 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq AWARENESS & ENFORCEMENT: EXTERNAL ENVIRONMENT Growing volume and diversity of cross-border activity present new challenges to identifying threats Travelers to the U.S. have increased steadily People, millions Illicit cross-border activity has diversified News headlines, June-October 2018 398 “Illicit drone flights surge along U.S.-Mexico border as smugglers hunt for soft spots” - Washington Post 396 394 392 +4% 390 “Authorities along U.S., Mexico border find tunnel with rail system, solar-powered lighting under California” 388 386 384 0 2015 - Newsweek 16 2017 SOURCE: CBP Trade and Travel Numbers 2015-17; press searches Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 22 AWARENESS & ENFORCEMENT: CBP BASELINE Interdiction and situational awareness varies and remains challenging Illegal entrants apprehended or turned back have steadily fallen since 2016 Interdiction effectiveness rate, percentage Situational awareness varies in level of certainty 2010 OpCon status 83 82 81 80 79 78 77 0 2013 Controlled 14 15 16 2018 (as of Q3) Despite the information age, technology, and new tools, the job of a USBP agent is basically the same as it was 25 years ago [and it shouldn’t be] Managed Low-Level Monitored 17 Monitored Low activity Today our situational awareness of the Southwest border is less than 50% - Border Patrol Agent - Border Patrol Agent SOURCE: CBP FY19 Congressional Justification; FY18 Q3 GPRAMA Measures; USBP, Holding the Line in the 21st Century; CBP interviews Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 23 AWARENESS & ENFORCEMENT: STRATEGIC INITIATIVE PRELIMINARY Awareness and enforcement: Increase situational awareness to impede and respond to illicit cross-border traffic Actions • Enhance situational awareness: leverage technology to improve operational efficiency and effectiveness; • • • integrate interagency information and all available inputs to establish a comprehensive operational picture that provides actionable information that enables decisionmakers and operators; increase zone of security away from physical borders Strengthen impedance and denial: invest in impedance and denial capability; work with partner agencies and components to maximize programs that discourage illegal entries; utilize foreign liaisons to disrupt special interest alien travel before they reach US borders Enhance response and resolution: invest in capabilities and policy revisions to increase tactical mobility; continue to expand operational mobility; utilize emerging technology; apply investments and programs to reduce operational response time; and support security at border through a layered approach Sustain needed relationships with state and local law enforcement agencies, and in particular, those at critical nodes relevant to CBP’s missions to secure the border Outcome: The border is secure Draft/thought-starter measures % of people apprehended at POEs Type Outcome Surveillance capability score Activity Rate of interdiction effectiveness along the SW border between POEs (GPRA) % of people apprehended multiple times along the SW border (GPRA) Baseline N/A – New measure Currently in development Activity 78.9% (2017) Activity 10.5% (2017) Target … … 83.9% (1% increase/year) 5.5% (1% decrease/year) Owner: To be decided Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 24 Secure & compliant trade 25 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq SECURE & COMPLIANT TRADE: EXTERNAL ENVIRONMENT With the growth in E-commerce, the volume of trade and international mail continues to increase ~80% of Americans shop online today Percentage of residents International mail more than doubled in the past few years Pieces, millions Millions of shipments arrive by land and sea Shipments, millions, FY17 400 79 11 167% +259% 150 10 22 3 2000 2018 FY13 FY17 Rail cargo Truck cargo SOURCE: Pew Research Center; Senate testimony, “Trade and Commerce at U.S. Ports of Entry,” July 18, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Maritime containers 26 SECURE & COMPLIANT TRADE : CBP BASELINE CBP is interrupting illicit trade activities, but system upgrades and automation could improve enforcement and consequence delivery Value of shipments seized as a result of IPR violations grew 18% per year USD, millions Some transactions remain cash-based with manual reconciliations and disparate electronic systems 220 200 $2.5B collected in cash and checks in more than 4M transactions +18% / year 180 $1.6B cash and checks in nearly 3.4M transactions collected at PoEs 160 140 0 FY14 FY15 FY16 We need fully integrated scanning equipment in the mail environment [to cope with increasing volume] - OFO Officer FY17 Manual reconciliation of collections, requiring resources and time We’re not automating for automation sake—we’re streamlining experience Officers and field personnel for usersperform as well asdaily for CBP or weekly bank deposits Employees use disparate, non-interfaced systems SOURCE: FY19 CBP CBJ; Senate testimony; GAO-18-271; CBP interviews; “Resource Optimization at Ports of Entry,” FY17 Report to Congress, September 17, 2017 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 27 SECURE & COMPLIANT TRADE : STRATEGIC INITIATIVE PRELIMINARY Secure and compliant trade: Predict and identify threats to facilitate cross-border commerce and deliver consequences Actions • Adapt CBP operations to emerging supply chain dynamics by enhancing existing data collection, targeting, • • • examinations, intelligence, and international engagement Increase operational efficiency by expanding risk management practices, using data analytics, and expanding existing advance electronic data pilot in the international mail Determine highest risk e-commerce packages using a counter network approach including state-of-the-art techniques or technology; implement improved targeting solutions, strengthen interagency partnerships, and integrate data solutions to enhance current operational understanding and improve ability to target Use technology and automation for agile response to threats in the trade environment Outcome: Trade is secure, predictable, and legal Draft/thought-starter measures Value of shipments seized as a result of IPR violations (GPRA) % of duty payments collected by noncash, non-check, accounts-based means # of USPS International Service Centers using fully integrated scanning equipm’t % of land/sea POEs with fully integrated drive-through systems Type Baseline Outcome $213M (2017) Outcome N/A – new measure Activity 0 out of 5 (Oct. 2018) Activity Currently being piloted Target $487M (based on current + 18% trendline) 90% (based on CBP interviews, GAO reports) 5 out of 5 (based on CBP interviews, GAO reports) 50% (based on CBP interviews, GAO reports) Owner: To be decided Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 28 Traveler verification 29 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq TRAVELER VERIFICATION: EXTERNAL ENVIRONMENT Foreign governments are using biometric authentication Australia & New Zealand India All passports are now biometric Largest biometric database in the world The SmartGate (or eGate) system uses facial recognition technology to link visitors and returning residents to their visas and biometric passports (called ePassports) India's national ID program (“Aadhaar”) uses a biometrics-based digital identity, instantly verifiable online at the point of service, that collects an iris image, ten fingerprints, and a digital photograph 30 SOURCE: Press search Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq TRAVELER VERIFICATION: CBP BASELINE CBP biometric verification pilot reached most major international airports and merited early results The biometric verification pilot reached airports with nearly half of international passengers Percentage, as of December 2017 11 100 Pilots are seeing results but have varied rates of consistency Percentage of failed photos, December 2017 BOS 26 IAD 23 ORD 47 21 JFK 42 20 LAS 16 Overall 8 airports in pilot1 13 (out of Remaining top 20) airports airports .1% of passengers included in pilot 15 IAH 8 HOU MIA 3 2 New facial recognition system “New facial recognition system nabs imposter at nabs imposter at Dulles Dulles International International Airport” Airport - Washington Post - Washington Post 1 Seven were in the top 20 airports SOURCE: OIG-18-80; Transportation.gov, “International Report Passengers” Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 31 TRAVELER VERIFICATION: STRATEGIC INITIATIVE PRELIMINARY Traveler verification: Use cutting-edge technology to expedite traveler processing, identify fraud, and confirm overstays Actions • Expand implementation of Biometric Entry/Exit to increase accuracy of matching arrival and departure information for travelers • Apply innovative technology to implement direct communication with travelers regarding their authorized period of admission into the United States Outcome: Travelers are verified quickly and accurately Draft/thought-starter measures Type Baseline Target Outcome N/A – new measure 90% Activity 0.1% (Dec. 2017) Avg rate of photo failure Activity 15% (Dec. 2017) # of airports with biometric verification capabilities Activity 15 (Oct. 2018) % of international travelers verified biometrically % of foreign departures at the top 20 internat’l airports verified biometrically 100% (based on OIG-1880) 3% (based on 2-3% rate at HOU and MIA pilots) 25 (based on CBP interviews) Owner: To be decided 32 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Vetting & authorization 33 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq VETTING & AUTHORIZATION: EXTERNAL ENVIRONMENT PRELIMINARY Travelers to and from the US have increased over the past five years with steady volumes of new foreign travelers New foreign visitor volumes are steady Non-immigrant visas, millions Cross-border passenger flows are rising People, millions 400 POV 350 Air Pedestrians 300 14.0 14.1 FY15 FY16 12.4 13.2 Sea Bus 250 200 150 100 50 0 FY13 FY14 FY15 FY16 FY17 FY14 SOURCE: US Department of Transportation; US Department of State Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq FY17 34 VETTING & AUTHORIZATION: CBP BASELINE PRELIMINARY CBP coordinates traveler and immigration data during the interagency vetting process Feb. 2018 – Creation of the National Vetting Center positioned CBP at the center of the National interagency to improve the use and Security coordination of Intelligence Community and Presidential Law Enforcement information in the Memorandum 9 national vetting enterprise, to include travel and benefit application “…The National Vetting Center will support unprecedented work by DHS and the entire US intelligence community to keep terrorists, violent criminals, and other dangerous individuals from reaching our shores.” - Kirstjen M. Nielsen, Secretary of Homeland Security (February 6, 2018) “…federal agencies will have the ability to use the NVC’s tools and analytic programs in a consolidated, efficient, and streamlined fashion with greater accuracy and speed than ever before.” - Francis X. Taylor, former Under Secretary for Intelligence and Analysis, DHS (June 22, 2018) 1 The five categories of threat actors are: terrorism, foreign intelligence, transnational organized crime, cyber, and military threats Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 35 VETTING & AUTHORIZATION: STRATEGIC INITIATIVE PRELIMINARY Vetting & authorization: Coordinate traveler and immigration data across agencies to identify threats Actions Coordinate vetting efforts to identify individuals who present a threat to national security or the prosperity of the United States • Provide a capability, both in a shared physical presence and through virtual connectivity, to bring together Intelligence Community and Law Enforcement information in a manner that better informs vetting decisions • Consolidate relevant information into a unified technology interface for analysts who will provide recommendations to their respective agencies concerning the adjudications • NVC Growth Strategy focuses on: Scale: Increase the populations (vetting request sets) that receive classified vetting services Scope: Enhance the types of vetting analytics applied to populations beyond biographics Depth: Expand the mission areas supported beyond counter-terrorism to cover NSPM threat vectors • Outcome: CBP identifies bad actors before arrival at POEs Draft/thought-starter measures Type Baseline Target % of travelers identified as inadmissible Outcome … 0.5%-1% Vetting request sets (e.g., scale) Activity 1 – ESTA 16-18 (e.g., travel, immig., credentialed) Vetting support agencies (e.g., scale) Activity 4 – IC & LE 6-8 (e.g., DoD, DEA) Types of vetting (e.g., depth) Activity 1 – Biographics Mission Areas (e.g., scope) Activity 1 – Counter Terrorism 3+ (e.g., Biographics, Person-centric, Other) 6 (+ TOC, VI, CP, Military Threat Actor, Cyber) Owner: To be decided Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 36 Stakeholder experience 37 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq STAKEHOLDER EXPERIENCE: EXTERNAL ENVIRONMENT PRELIMINARY Stakeholder expectations are increasing as companies like Amazon influence customer demands—and government lags behind Federal government is perceived to perform poorly in customer satisfaction compared to the private sector, Average industry score out of 10, 2016 “AMAZON EFFECT” 76% Of customers expect organizations to understand their individual needs 81% Grocery store 8.3 E-commerce site 8.2 Bank or credit union 8.1 Credit card 7.7 Car insurance 7.6 Mobile phone 7.6 Airline 7.5 Electric utility 7.4 6.9 Cable or satellite Of customers demand improved response time 6.2 State government Federal government SOURCE: IBM Institute for Business Value report; McKinsey Customer Experience Journey Pulse Survey, December 2016 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 5.6 38 STAKEHOLDER EXPERIENCE: CBP BASELINE PRELIMINARY Customer satisfaction with CBP services and systems indicates opportunities for improvement CBP customer satisfaction trails other USG agencies Average score out of 10, 2016 Customer satisfaction with CBP systems is fairly stable Overall score out of 1001 2016 NPS 8.6 USPS 8.2 NWS 8.1 State 8.0 USCIS 7.9 VA 7.8 FEMA 7.6 Census 7.5 CBP 7.4 USAJobs 7.1 TSA 7.0 66 69 CBP.gov ! 69 2017 69 ACE Dissatisfied users cited concerns with navigation and functional limitations 1 CBP.gov scores are from September of that year SOURCE: McKinsey Customer Experience Journey Pulse Survey, December 2016; CBP.gov; GAO-18-271 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 39 STAKEHOLDER EXPERIENCE: STRATEGIC INITIATIVE PRELIMINARY Stakeholder experience: Improve stakeholder interactions to facilitate travel and business Actions • Transform processes and technologies to meet needs of travelers and businesses (e.g., speed, ease, reliability) • Implement public engagement efforts to educate travelers and businesses about CBP mission, requirements, • and processes and to communicate new developments and pertinent guidance Develop standards and best practices to facilitate trade in support of small businesses and e-commerce; explore facilitation technology options; and educate the e-commerce community Outcome: Travelers and businesses trust and value CBP Draft/thought-starter measures Type Baseline Target Customer satisfaction score Outcome 7.38 (2016) 7.7 (avg CSAT among federal agencies) CBP.gov satisfaction score Outcome 67% (Sep. 2018) 72% (1% increase/year) ACE satisfaction score Outcome 69% (2017) 74% (1% increase/year) Owner: To be decided 40 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Hiring 41 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq HIRING: EXTERNAL ENVIRONMENT PRELIMINARY US societal factors directly affect qualified and interested law enforcement applicant pools, further squeezed by competition US public opinion varies towards law enforcement. Approval ratings are at 64%, but vary by race and political affiliation The US job market is strong. Current, seasonally-adjusted unemployment rate in the US is at 3.9%, the lowest since 1969 “Job seeker” market means that employers fight for candidates. Candidates tend to compare interview experience and time to hire; government time to hire averages lag industry by more than 4x Unique qualifications complicate an already competitive landscape. Less than 13% of US 17 to 24 year-olds qualify for military or law enforcement service due to moral, mental, or physical fitness deficiencies Law enforcement agencies are often competing for the same talent1 Applicants needed to yield 1 EOD DEA-SA 67 USSS-SA 60 CBP-BPA 44 ICE-HSICI 34 ICE-DO 34 CBP-CBPO USSS-UD 30 24 1 The following agencies and positions are listed: Customs and Border Protection-Border Patrol Agent, Drug Enforcement Agency-Special Agent, United States Secret Service-Special Agent, Customs and Border Protection-Customs and Border Protection Officer, Immigration and Customs Enforcement-Homeland Security Investigations Criminal Investigator, Immigration and Customs Enforcement-Deportation Officer, United States Secret Service-Uniformed Division Officer SOURCE: Time to Hire Study; EOY FY18 Updates from CBP Human Resources Management Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 42 HIRING: CBP BASELINE Frontline hiring processes have improved but time to hire and staffing levels remain below targets A quarter of hires are within target time to hire of 192 days, percentage of hires per month, FY18 100 Frontline staffing is 8K below target levels Employees, thousands BPA 90 CPBO 80 MIA 52.2 0.8 0.5 43.9 43.5 1.9 AIA 2.4 43.9 0.6 0.3 MIA AIA 24.5 70 60 23.4 CPBO 19.6 BPA 50 40 30 26.4 20 10 0 Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Target staffing O/H EOY (requirement)1 FY17 Losses Gains O/H EOY FY18 Net staffing, by Component 1 Target staffing requirement numbers are based on varied sources: CBPO Workforce Staffing Model, EAC Owens Memo, AIA and MIA appropriated FTE. As these numbers are a hybrid, they do not reflect in entirety the total force numbers, as appropriated annually by Congress. SOURCE: EOY FY18 Updates from CBP Human Resources Management Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 43 HIRING: STRATEGIC INITIATIVE PRELIMINARY Hiring: Attract, recruit, and hire the most qualified applicants quickly Actions • Fully implement changes to recruiting and hiring efforts, to attract and bring on qualified applicants quickly • Increase percentage of candidates able to successfully complete all steps in the hiring process • Improve recruiting themes and messages that align with CBP’s complex and crucial mission, to increase the propensity of candidates to apply Outcome: Staffing levels meet mission needs Draft/thought-starter measures Type % net staffing of requirement, CBP Overall Outcome Number of total hires, CBP Overall Outcome Workforce Planning Model developed and utilized to determine target net hires Average Time to Hire, Frontline and NonFrontline positions # of Applicants needed to deliver 1 EOD (Applicant to EOD ratio) Applicant satisfaction score Activity Activity Activity Activity Baseline Target Total: 84% (HR FY18 CBP Staffing Report) Total FY18: 2,357 Frontline Increase by approx. 3% YoY, to 99% by FY24 2,500-3,500 per year, as appropriations permit OFO BPA, OFO, AIA and MIA Frontline: 17% <192 days; Non-frontline: 135 BPA: 44:1 (EOY FY18 HRM); CBPO: 30:1 Currently in development Frontline: 60% <192 days; Non-frontline: 110 Improve ratio by 5% per year 8 out of 10 score, as “positive, professional” Owner: To be decided Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 44 Resilience 45 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq RESILIENCE: EXTERNAL ENVIRONMENT PRELIMINARY Workplace-related stress is on the rise—broader trends are particularly applicable to law enforcement roles and duties 25% of employees view their jobs as the number one stressor in their lives; Stress is the “global health epidemic of the 21st century” Employee anxiety, stress, and depression account for the majority of all emotional health cases, increasing to 80% in 2014 55% 80% 2012 2014 The psychological and physical problems of burned-out employees cost an estimated $125 billion to $190 billion a year in healthcare spending in the US Common law enforcement factors that tend to cause particular work stress/fatigue: • Mission risks • Remote locations • Frequent rotating shifts Source: Center for Disease Control, World Health Organization 46 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq RESILIENCE: CBP BASELINE PRELIMINARY The CBP workforce experiences greater levels of stress than the overall population Ten different stressors affect at least a third of the workforce1 Percentage of respondents Staffing shortages 29 Excessive oversight 29 Fatigue 29 Occupational Health 27 Feeling "always on the job" 27 Paperwork 27 Family/friends lack of understanding 16 Negative public comments 15 Risk of being injured on the job 14 Upholding higher standard of behavior 11 Organizational Operational 30 23 35 Family/friends feel effects of job stress General population 38 38 Policy change frequency Stressor: CBP 51 Inadequate equipment Alcohol abuse affects a third of the workforce Percentage of respondents Alcohol misuse 25 Heavy drinking CBP employees have higher rates of depression, anxiety, and PTSD than civilian counterparts Percentage of respondents CBP General population 16.74 15.92 11.72 6.73 3.53 3.03 Personal Depression Anxiety PTSD 1 Rank-ordered stressors that caused a “fair amount” or “a lot” of stress to employees, stressors that affected more than >10% of respondents; of note, 13 of 18 total stressors are listed. The data, and the categorization of the stressor is replicated directly from the RAND study. 2 Past two weeks 3 Past year (National Comorbidity Survey-Replication (Kessler et. al., 2005)) 4 Past 30 days SOURCE: RAND CBP Resiliency study, November to January, 2017 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 47 RESILIENCE: STRATEGIC INITIATIVE PRELIMINARY Resilience: Promote physical and emotional health for employees and their families Actions • Enhance physical, mental, and emotional health throughout the employee’s with emphasis on the • • • • agent/officer’s overall wellness, which is critical to the team and mission Promote a fully engaged and resilient workforce supported by an open and trusting workplace culture that facilitates health-seeking behavior and enhances retention Provide continuous access to information, resources, and support through various methods and networks that reach all employees throughout the Agency Reduce organizational stressors identified in the RAND survey by organizing guided discussions and soliciting employee feedback Enhance and align health and medical functions to optimally support operations, execute personnel protective measures, and enhance personnel safety Outcome: The workforce is resilient Draft/thought-starter measures Type Baseline Target Employee engagement index FEVS score Activity 57 (2017 CPB overall) 67 (2017 Federal average) Non-retirement attrition Activity Resiliency program support fully rolled out; trainings complete Activity BPA: 5%; CBPO: 4% (FY18 HR data) Currently indevelopment 3-5% per year 100% workforce aware of support programs Owner: To be decided 48 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq One CBP 49 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq ONE CBP: EXTERNAL ENVIRONMENT PRELIMINARY Other USG agencies have fundamentally shifted from traditional structures to more expansive views on resource-sharing The Army, Navy, Air Force, and Marine Corps have often fought ferociously over roles and missions in war fighting and over budgets and posts of leadership. The Goldwater-Nichols Act (1986)...among other things, mandated that promotion to high rank required some period of duty with a different service or with a joint (i.e., multiservice) command. This had strong and immediate effects, causing [senior officers] to think more broadly about the military establishment as a whole… …a related development was a significant transfer of planning and command responsibilities from the service chiefs and their staffs to the joint and unified commands outside of Washington… …the voices of [these] commanders…became as influential as those of the service chiefs. SOURCE: 9/11 Commission Report Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 50 ONE CBP: CBP BASELINE PRELIMINARY “Storm conditions” test collaboration and teamwork – but without a mission need, CBP institutionally returns to component silos Over the last year, CBP components worked side-by-side to ensure mission success on: How many other actions, planning activities, or resourcing processes were conducted like this … Hurricane response, to Hurricanes Florence, Michael, Harvey Front-line against the opioid epidemic, and working across agencies to ensure information sharing … instead of in coordination across “One CBP”? Tackling the recruiting challenge, to ensure that CBP continues to hire great talent against mission needs SOURCE: “Team of Teams: New Rules of Engagement for a Complex World,” GEN Stanley McChrystal, accessed from www.FastCompany.com Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 51 ONE CBP: STRATEGIC INITIATIVE PRELIMINARY One CBP: Build a culture of trust, leadership, and common purpose at all levels of CBP Actions Reward the sharing of space, dollars, and data – and consistently train and educate the workforce in CBP operations, planning, and training to increase the habitual relationships and professionalism needed to operate in a changing mission landscape Building teamwork day-to-day and in storm conditions: occurs in specific space and time, operating “day-today” like the workforce would in “storm” conditions. The coordination between components, training, and onboarding is reinforced and “mission-focused;” the individual agent/officer is the “reason for the daily routine” and empowered fully by clarity of mission, technology, and instruction Reinforcing continuous learning and mindset: upon entry to CBP, the workforce must learn and appreciate a basic understanding of each component mission set, to be reinforced throughout an individual’s advancement in the form of Joint Duty Assignments, Senior Executive Service rotations, reading lists and professional discussions, the creation of additional capacity for the internal “think tank” of CBP, and engagement in a data stewardship network Advance a cohesive and comprehensive CBP intelligence enterprise that will enable proactive enforcement opportunities and improve the timeliness of warnings and trends of potential threats through formal partnerships and a highly skilled intelligence workforce Outcome: People work across offices to deliver mission Draft/thought-starter measures Type Organizational Health scores and trends Outcome FEVS rating, Q39: “Agency is successful at accomplishing mission” Baseline Currently indevelopment Activity 63% (2017) 76 (2017 Federal average) % of training that is cross-office Activity N/A – New measure … % of workforce (GS13-15) that has done a JDA Activity N/A – New measure … Target 60/100 (avg) Owner: To be decided Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 52 Data & analytics 53 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq DATA & ANALYTICS: EXTERNAL ENVIRONMENT PRELIMINARY Organizations are leveraging data and analytics to put information in the hands of users Organizations that successfully harness data and analytics have… Apps integrate real-time data for users to make decisions Uber example Analytics tools and skills Domain expertise Access to broad sets of quality data Ability to operationalize insights Strong executive sponsorship REQUEST UberSUV All targets (e.g.., riders) geolocated Varied assets (e.g., drivers) geolocated A single portal for hand-held use Analytics connects assets to targets 54 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq DATA & ANALYTICS: CBP BASELINE PRELIMINARY Although there are a variety of challenges, there are endless opportunities from successfully pairing data and analytics Data and systems are fragmented… Examples Less than 1% of agents are geolocated - USBP Agent But opportunity exists to advance mission Flight hour Return on Investment (ROI) example Mission outcome (e.g., cocaine seizures) Return on investment Costs (e.g., flight hours) Multiple data owners makes data integration difficult - OIT Personnel Network bandwidth and data architecture are major hurdles to analytics efforts - OIT Personnel We have a return on investment of 30 lbs. of cocaine per flight hour . . . but I don’t know of anyone else at CBP doing these kinds of calculations on resource allocation - Air and Marine Officer 55 SOURCE: CBP interviews Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq DATA & ANALYTICS: STRATEGIC INITIATIVE PRELIMINARY Data and analytics: Use quality data and advanced analytics to make decisions and take action Actions • Create a holistic data governance and architecture across CBP to establish basis for cross-functional at scale • • analytics and eliminate organization data silos Collect and integrate quality data, including intelligence and risk assessments, to provide predictive analytics in support of an actionable common operating picture that ensures agents, officers, and trade personnel have the relevant quality information to conduct border and trade enforcement activities Use advanced analytics to identify trends, explore alternative courses of action, and present quality data-drive information for decision making for operational, resource, and policy decisions Outcome: Personnel make decisions based on timely information informed by quality data and analytics Draft/thought-starter measures % of apprehensions aided by common op. picture % of trade enforcement interventions enabled by analytics % of on-duty agents/officers with common op. picture on smart phone (enabled by data and analytics) Type Baseline Target Outcome N/A – New measure … Outcome N/A – New measure … Activity N/A – New measure … Owner: To be decided Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 56 IT infrastructure 57 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IT INFRASTRUCTURE: EXTERNAL ENVIRONMENT PRELIMINARY Leading companies are investing in the cloud, mobile and big data while customer expectations of reliability are increasing Global IT services spending is increasing, with cloud, mobile, and big data technologies growing fastest USD, billions Personal cloud storage traffic expected to grow at ~36% compound annual growth Exabytes 1,107 48 906 Analytic, innovative technologies (e.g., 3D printing, AR/VR, AI, IoT) 128 Cloud, mobile, big data and social technologies 103 Traditional technology (Technologies that are mostly non-mobile and on-premises) +42% 307 +50% 207 675 14 -12% 593 2015 E2020 2016 2020 (projected) SOURCE: IDC, Worldwide Black Book: 3rd Platform Edition (May 2017); IDC FutureScape: Worldwide IT Industry 2017 Predictions; WDC Investor Day presentation Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 58 IT INFRASTRUCTURE: CBP BASELINE PRELIMINARY Out-of-date computers and unplanned outages remain challenges, while a key data center closure can precipitate cloud migration Current Most workstations and laptops are >4 years old1 Percentage, January 2018 Passenger screening systems2 have averaged 10 unplanned outages per month Outages of passenger screening systems, 2016-17 15 <4 yrs 14 14 23 4-7 yrs 10 10 Avg 42 10 9 Software as a service offered by application 2020-2021 7 Springfield data center closure complete 2022 Migration from Springfield data center begins 2019 12 6 >7 yrs 31 2 Jun Jul Aug Sept Oct Nov Dec Jan Feb Mar 1 OIT assesses end-of-life for hardware and devices as more than five years old (OIG-17-114) 2 (TPAC, APC, GE) SOURCE: OIT; OIG-17-114; CBP interviews Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 59 IT INFRASTRUCTURE: STRATEGIC INITIATIVE PRELIMINARY IT infrastructure: Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work Actions • Increase resilience and performance end-to-end: accelerate technology refresh programs; continue maturing tools, tests, and exercises that validate existing resilience measures; and incorporate concepts to proactively address emerging threats • Manage integrated cloud migration and infrastructure modernization for all mission-essential systems and mission-relevant systems delivering modernized capabilities and improved user interfaces with no interruption in service • Enhance cybersecurity posture in support of cloud migration and increased edge-device use without impacting system effectiveness • Develop necessary data warehousing and infrastructure, acquire analytic tools and platforms, and develop capabilities for advanced analytic modelling • Ensure the application of new technologies and techniques sustain privacy protections and the agency’s effort to remain transparent with the public Outcome: Personnel can access the technology they need to do their jobs Draft/thought-starter measures Type Baseline Target IT user satisfaction score % of basic, end-user hardware and devices up to date # of unplanned outages of passenger screening systems (TPAC, APC, GE) Activity N/A – New measure … Activity 23% (Jan. 2018) 98% (based on need) Activity 2-15 per month (Jun. 2016-Mar. 2017) % of applications/systems cloud-hosted Activity N/A – New measure 1-2 per month (based on need) 90% of back-office components; 30-50% of front-end components Owner: To be decided Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 60 Partnerships 61 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PARTNERSHIPS: EXTERNAL ENVIRONMENT PRELIMINARY Weak nation states, transnational crime and economic instability are challenges that require partnership to address Weak or failed states allow for instability Nation state stability, colored by quintile Not weak or failed Top quintile 4th quintile 3rd quintile 2nd quintile Bottom quintile Economic challenges limit opportunities Transnational criminal networks increase violence Homicide rate, per 100K inhabitants El Salvador Honduras Venezuela Jamaica Lesotho Belize South Africa Saint Kitts and Nevis Guatemala Trinidad and Tobago N. Triangle countries Prominent news of events in Central America 109 64 57 43 38 34 34 34 31 31 SOURCE: Terrorism incidents - Global Terrorism Database; Brookings Institute; Reuters; Council on Foreign Relations Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 62 PARTNERSHIPS: CBP BASELINE PRELIMINARY Building capability with critical partners provides the opportunity to access information and improve delivery on mission There are currently 16 members of the US Intelligence Community, originally established in 1981 by EO 12333 Apprehensions at the US-Mexico border from Northern Triangle countries have exceeded those from Mexico in most recent fiscal years Apprehensions at US-Mexico border1 Thousands Mexico Northern Triangle 229 239 193 201 188 163 135 128 … 2014 15 16 2017 1 Northern Triangle countries include El Salvador, Guatemala and Honduras. Data refer to number of reported apprehensions, not the number of unique individuals apprehended. SOURCE: Pew Research Center; Customs and Border Protection Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 63 PARTNERSHIPS: STRATEGIC INITIATIVE PRELIMINARY Partnerships: Expand international and intelligence partnerships to extend influence beyond CBP capabilities Actions • Build international partnerships and strategic alliances through information sharing, training, joint and integrated • operations, and stability strategies Take planning, process, coordination, and support legislative steps for CBP to join the Intelligence Community Outcome: Strong partnerships with other organizations advance priority mission Draft/thought-starter measures Type Baseline Target Law enforcement capability of partner nations Activity TBD TBD Membership in the IC Activity In planning and development By 2023 Activity … … Activity N/A – New measure … # of partnerships with Northern Triangle or Mexico national governments # of dedicated CBP liaisons to Mexico/Northern Triangle countries Owner: To be decided Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 64 Decision #3 Owners for 12 strategic initiatives 65 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq DRAFT FOR DISCUSSION What does “strategic initiative ownership” mean? Ownership … implies both implicit and explicit responsibility and accountability An owner…defines success in terms of desired outcomes, metrics and targets, …so that the initiative can be measured and tracked An owner… identifies a lead and a team to the initiative, appropriately skilled and experienced… brings in additional experts if needed… and supports with leadership, direction and guidance An owner…engages with his/her team to develop a roadmap (with key milestone across a timeframe) to guide progress…and is able to communicate risks and trade-offs An owner… determines required budget and resource levels…plans and programs for resource levels… highlights gaps, risks and trade-offs to fellow leaders An owner…identifies and engages with internal and external partners and critical stakeholders, regularly Ownership means that you play a key role in removing roadblocks in initiative implementation and are the accountable ALC member for this aspect of the strategy 67 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq The ALC should plan to “roll up their sleeves” on 5 initiatives, and regularly monitor 7 initiatives “Roll up our sleeves” (e.g., weekly or monthly shared problem-solving) Counter network Strategic initiatives Leverage data and intelligence to identify, illuminate, degrade, and disrupt transnational organized threats to the border and homeland Attract, recruit, and hire the most qualified applicants quickly Data & analytics One CBP Hiring Build a culture of trust, leadership, and common purpose at all levels of CBP Partnerships Use quality data and advanced analytics to make decisions and take action Expand international and intelligence partnerships to extend influence beyond CBP capabilities Monitor (e.g., quarterly briefings) Awareness & enforcement Increase situational awareness to impede and respond to illicit crossborder traffic Secure & compliant trade Traveler verification Predict and identify threats to facilitate crossborder commerce and deliver consequences Stakeholder experience Improve stakeholder interactions to facilitate travel and business Use cutting-edge technology to expedite traveler processing, identify fraud, and confirm overstays Resilience Promote physical and emotional health for employees and their families Vetting & authorization Coordinate traveler and immigration data across agencies to identify threats IT infrastructure Provide access to cloudbased services and resilient, secure infrastructure to streamline CBP work 68 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq PRELIMINARY Strategic initiatives require owners to be successful FUTURE TEAM MISSION Description Desired outcome Owner Terrorists and TCOs identified and disrupted … Counter network Leverage data and intelligence to identify, illuminate, degrade, and disrupt transnational organized threats to the border and homeland Awareness & enforcement Increase situational awareness to impede and respond to illicit cross-border traffic The border is secure … Secure & compliant trade Predict and identify threats to facilitate cross-border commerce and deliver consequences Trade is secure, predictable, and legal … Traveler verification Use cutting-edge technology to expedite traveler processing, identify fraud, and confirm overstays Travelers are verified quickly and accurately … Vetting & authorization Coordinate traveler and immigration data across agencies to identify threats CBP identifies bad actors before arrival at POEs … Stakeholder experience Improve stakeholder interactions to facilitate travel and business Travelers and businesses trust and value CBP … Hiring Attract, recruit, and hire the most qualified applicants quickly Staffing levels meet mission needs … Resilience Promote physical and emotional health for employees and their families The workforce is resilient … One CBP Build a culture of trust, leadership, and common purpose at all levels of CBP People work across offices to deliver mission … Data & analytics Use quality data and advanced analytics to make decisions and take action Personnel make decisions based on timely information informed by quality data and analytics … IT infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work Personnel can access the technology they need to do their jobs … Partnerships Expand international and intelligence partnerships to extend influence beyond CBP capabilities Strong partnerships with other organizations advance priority mission … 69 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Customs and Border Protecct~on CBP Strategy-Top team working session December 4, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Objectives for today #1 1 Decide on Strategy overview (one-page) #2 1 Decide on outcomes and measures for 12 strategic initiatives #3 1 Decide on owners for each initiative Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Proposed "rules of the road" Forwardlooking & action-oriented Call out the "elephants in the room" If you disagree - speak up! We're all in this together I Full engagement today I Other rules of the road? Agenda 9:00 – 9:20 Objectives and rules of the road 9:20 – 9:40 Strategy one-pager 9:40 – 10:40 Initiative measures – Round 1 10:40 – 11:00 Recap Round 1 11:00 – 11:15 BREAK 11:15 – 12:00 Initiative measures – Round 2 12:00 – 12:15 Recap Round 2 12:15 – 1:00 Initiative owners and path forward 4 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP STRATEGY OP-tion ~ CBP Mission Aspiration To safeguard America's borders thereby protecting the To be the most innovative and trusted law enforcement agency in the world public from dangerous people and materials whi le enhancing the Nation's global economic competitiveness by enabling legit imate trade and travel MISSION FUTURE Protect the American people Invest in technology and partnerships and enable trade and travel to confront emerging threats 0 Leverage data and intelligence to identify, illuminate, degrade, and disrupt t ransnational organ ized t hreats to the border and homeland Counter network .r.:I Awareness & " f t lnc_rease situationa l aware~~s~ to impede and respond to 1lhc1t cross-border t raffic Secure & 1:Eecompliant •• trade Predict and identify threats to facilitate cross-border commerce and deliver consequences en orcemen ~ Traveler • 6 II verification 1f]1 Hiring -"' - Q8 M Resilience f 'fr One CBP Attract, recruit, and hire t he most qualified applicants quickly Promote physical and emotional health for employees and their fami lies Build a culture of trust, leadership and common purpose at all levels of CBP ~ , Data & analytics 4'~ O {!;) il infrastructure Partnerships Use cutting-edge technology to expedite t raveler processing, ident ify fra ud, and confirm overstays Use quality data and advanced analytics to make decisions and take action Provide access to cloudbased services and resilient, secure infrastructure to streamline CBP work Expand international and intelligence partnerships to extend influence beyond CBP capabilit ies Vetting & ~oor_d ina~e traveler and 1mm1grat1on data across authorization agencies to identify threats • • k h Id Improve st akeholder ta e. 0 er interactions to facilitate travel experience and business 5 • Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IS CBP STRATEGY OP-tionB CBP Mission Aspiration To safeguard America's borders thereby protecting the To be the most innovative and trusted law enforcement agency in the world public from dangerous people and materials whi le enhancing the Nation's global economic competitiveness by enabling legit imate trade and travel Secure the border to protect the American people Facilitate trade and travel Build a capable, resilient, and ready workforce ~ Awareness & enforcement 1ffJ Secure & compliant trade t), Hiring Increase situationa l awareness to impede and respond to illicit crossborder traffic Predict and identify threats to facilitate cross-border commerce and deliver consequences 1, • Vetting and authorization Coordinate traveler and immigration data across agencies to identify threats 0 Counter network Leverage data and intelligence to identify, illuminate, degrade, and disrupt transnational organized threats to the border and homeland Traveler verification Use cutting-edge technology to expedite traveler processing, identify fraud, and confirm overstays 9 Stakeholder experience Improve stakeholder interactions to faci litate t ravel and business Attract, recruit, and hire on t he most qualified applicants quickly 08 Resilience Promote physical and emotional health for employees and t heir fam ilies - f 'j OneCBP Build a culture of trust, leadership, and common purpose at all levels of CBP Invest in technology and partnerships for the future - ~ Data & analytics Use quality data and advanced analytics to make decisions and take action 0 IT infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work ~ Partnerships Expand international and intelligence partnerships to extend influence beyond CBP capabilities Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP STRATEGY CBP Mission Aspiration To safeguard America's borders thereby prot ecting the public from dangerous people and materials while enhancing the Nat ion's global To be t he most innovative and trusted law enforcement agency in the world economic competitiveness by enabli ng legit imate trade and t ravel Enhance border security Counter terrorism Q Counter network Leverage data and intelligence to identify, illuminate, degrade, and disrupt t ransnational organized t hreats to the border and homeland 116 Vetting and authorization Coordinate traveler and immigration dat a across agencies to identify t hreat s Workforce Hiring ~o. og Resilience Secure and facilitate trade and travel ~Awareness W Increase situationa l awareness of illicit cross-border traffic Predict and ident ify threats to faci litate crossborder commerce and deliver consequences (@) Enforcement Improve impedance and response to illicit crossborder traffic Secure & compliant trade • Traveler verification Use cutting-edge technology to expedite traveler processing, identify fra ud, and confirm overstays Attract, recruit, and hire t he most qualified applicants quickly Promote physical and emotional health for employees and t heir fami lies Technology $ Data & analytics Use qua lity data and advanced analytics to make decisions and take action 0 IT Infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work ~ Partnerships Expand internat ional and intelligence partnerships to ext end influence beyond CBP capabilities Stakeholder experience Improve stakeholder interactions to facil itate t ravel and business One CBP Build a culture of trust, leadership, and common purpose at all levels of CBP •n Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP leadership has weighed in on the strategy options Option B Secure, Facilitate, Team, Future Option C 3 mission areas, 5 objectives We’ve never done it this way before This matches the lines of business This is how we’ve always done it This is the only option the whole workforce will understand Separating “secure” and “facilitation” ensures they don’t get lost This is just a checklist This option feels more like One CBP Could be better because it splits mission in two categories This shows the decision making process we’ve come through Option A Mission, Team, Future I like “Mission, People, Future” Hard to know what’s important It’s simple and easy to get behind Could last beyond the tenure of one Commissioner I like it from a simplicity standpoint Old school…we’ve seen all this before Easy to translate to field personnel If we’re looking for a culture change, this will not get us there Raises us up a level – really like this A more corporate mindset Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 8 Agenda 9:00 – 9:20 Objectives and rules of the road 9:20 – 9:40 Strategy one-pager 9:40 – 10:40 Initiative measures – Round 1 10:40 – 11:00 Recap Round 1 11:00 – 11:15 BREAK 11:15 – 12:00 Initiative measures – Round 2 12:00 – 12:15 Recap Round 2 12:15 – 1:00 Initiative owners and path forward 9 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY Strategic initiatives require outcomes in order to measure success Description Desired outcome 0 Counter network Leverage data and intelligence to ident ify, illuminate, degrade, and disrupt transnational organized t hreats to t he border and homeland Terrorists and TCOs identified and disrupted ~ Awareness & enforcement Increase situational awareness to impede and respond to illicit cross-border traffic The border is secure 1Ea •• Secure & compliant trade Predict and ident ify t hreats to fa cilitate cross-border commerce and deliver consequences Trade is secure, predictable, and legal e Traveler verification Use cutting-edge t echnology t o expedite traveler processing, identify fra ud, and confirm overstays Travelers are verified quickly and accurately Vetting & authorization Coordinate traveler and immigratio n data across agencies to ident ify t hreat s CBP identifies bad actors before arrival at POEs Stakeholder experience Improve stakeholder interactions to facil it ate travel and business Travelers and businesses trust and value CBP Hiring Attract, recruit, and hire t he most qualified applicants quickly Staffing levels meet mission needs Resilience Promot e physical and emotional health for employees and t heir fam ilies The workforce is resilient One CBP Build a cult ure of t rust, leadership, and common purpose at all levels of CBP People work across offices to deliver mission Data & analytics Use quality data and advanced analytics to make decisio ns and take action Personnel make decisions based on timely information informed by quality data and analytics IT infrastructure Provide access t o cloud-based services and resilient, secure infrastructure t o streamline CBP work Personnel can access the technology they need to do their jobs Partnerships Expand international and intelligence partnerships t o extend infl uence beyond CBP capabilit ies Strong partnerships with other organizations advance priority mission • • ,o, og ••• t 'l Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Measures can be framed in two related ways to help CBP assess the progress of its strategy and strategic initiatives Are we doing the right things? And, are we doing the right things well? e.g., an assessment of activity or activity quality Are we having the impact we expect? e.g., an assessment of outcome A combination of both activity- and outcome-based measures are recommended to track goal achievement Measures Activity-based Desired outcome Strategic initiative Awareness & enforcement Hiring • M obile towers installed • SUAS deployed • Polygraphers on boarded • Applicant s enrolled in care program • Situational awareness • • Time to hire • • Number of hires % of people The border is secure apprehen ded at POEs Net staffing levels relative to mission need Staffing levels meet mission needs Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Each strategic initiative overview includes the external environment, CBP baseline and outcomes, actions and measures External Environment CBP Baseline Initiative outcome, actions and measures 112 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq During this next session, you will have the opportunity to dive deeply into 3 initiatives in your breakout group For each initiative, your group will discuss: • The external environment relevant to each initiative • The CBP baseline related to the initiative • The draft initiative description, including the desired outcome, actions, and measures Your group will be responsible for: 1) identifying major revisions to the desired outcomes and actions for initiatives 2) proposing measures to be tracked in the ALC information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Agenda 9:00 – 9:20 Objectives and rules of the road 9:20 – 9:40 Strategy one-pager 9:40 – 10:40 Initiative measures – Round 1 10:40 – 11:00 Recap Round 1 11:00 – 11:15 BREAK 11:15 – 12:00 Initiative measures – Round 2 12:00 – 12:15 Recap Round 2 12:15 – 1:00 Initiative owners and path forward 14 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IDRAFT I FOR DISCUSSION What does "strategic initiative ownership" mean? Ownership ... implies both implicit and explicit responsibility and accountability An owner ... defines success in terms of desired outcomes, metrics and targets, ... so that the initiative can be measured and tracked An owner ... identifies a lead and a team to the initiative, appropriately skilled and experienced ... brings in additional experts if needed ... and supports with leadership, direction and guidance An owner ... engages with his/her team to develop a roadmap (with key milestone across a timeframe) to guide progress ... and is able to communicate risks and trade-offs An owner ... determines required budget and resource levels ... plans and programs for resource levels ... highlights gaps, risks and trade-offs to fellow leaders An owner .. .identifies and engages with internal and external partners and critical stakeholders, regularly Ownership means that you play a key role in removing roadblocks in initiative implementation and are the accountable ALC member for this aspect of the strategy Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq The ALC should plan to "roll up their sleeves" on 5 initiatives, and regularly monitor 7 initiatives ·~ "Roll up our sleeves" (e.g., weekly or month ly shared problem-solving) 0 Counter network tOt ••• Hiring Leverage dat a and intelligence t o identify, illuminate, degrade, and disrupt t ransnational organized threat s to the border and homeland Attract, recruit, and hire the most qualified applicants quickly f JOneCBP ~ l Data {!;) & J~ analytics Build a culture of t rust, leadership, and common purpose at all levels of CBP Use quality data and advanced analytics to make decisions and t ake action Partnerships Expand international and intelligence partnerships to ext end influence beyond CBP capabilities Monitor (e.g., quarterly briefings) ~ " Awareness & enforcement Increase situational awareness to impede and respond to illicit crossborder t raffic • tf:l Secure & 13:Bcompliant •• trade Stake~older experience Improve stakeholder interactio ns to facilitate t ravel and business • Predict and identify threats to facilitate crossborder commerce and deliver consequences 08 L. Traveler verification • Coordinate traveler and immigrat ion data across agencies to identify t hreats Use cutting-edge technology to expedite traveler processing, ident ify fraud, and confirm overstays Resilience Promote physical and emotional health for employees and t heir fami lies Vetting & authorization O IT infrastructure Provide access to clo udbased services and resilient, secure infrastructure to streamline CBP work I 16 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY Strategic initiatives require owners to be successful Description Desired outcome 0 Counter network Leverage data and intelligence to ident ify, illuminate, degrade, and disrupt transnational organized t hreats to t he border and homeland ~ Awareness & enforcement Increase situational awareness to impede and respond to illicit cross-border traffic The border is secure 1Ea •• Secure & compliant trade Predict and identify threats to fa cilitate cross-border commerce and deliver consequences Trade is secure, predictable, and legal e Traveler verification Use cutting-edge technology to expedite traveler processing, identify fraud, and confirm overstays Travelers are verified quickly and accurately Vetting & authorization Coordinate traveler and immigratio n data across agencies to identify threats CBP identifies bad actors before arrival at POEs Stakeholder experience Improve stakeholder interactions to facilitate travel and business Travelers and businesses trust and value CBP Hiring Attract, recruit, and hire the most qualified applicants quickly Staffing levels meet mission needs Resilience Promote physical and emotional health for employees and t heir fam ilies The workforce is resilient One CBP Build a cult ure of trust, leadership, and common purpose at all levels of CBP People work across offices to deliver mission Data & analytics Use quality data and advanced analytics to make decisions and take action Personnel make decisions based on timely information informed by quality data and analytics 0 IT infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work Personnel can access the technology they need to do their jobs (!;} Partnerships Expand international and intelligence partnerships to extend influence beyond CBP capabilities Strong partnerships with other organizations advance priority mission • • ,o, og ••• t 'l Terrorists and TCOs identified and disrupted Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Owner IPRELIMINARY Next steps on CBP Strategy Output: • Recomm- Interim activities: endation • Refine draft memo strategy developed • Socialize draft for Cl on strategy with EACs decisions & solicit feedback reached • Conduct messaging wo rkshop & remaining listen ing sessions • Initiate commun ication & implementation plan development • Meet with owners and leads to begin initiative planning Output: • • Draft Portfolio of Initiatives (POI) reviewed Next steps on strategy, implementtation and commun icat ions Interim activities: Finalize: • • Strategy • Tools and templates fo r comm unication & implementation plans • Output: • POI Comm unication & implementation plans • Interim activities: Broader Launch leadership communication & feedback on implementation plans initiatives, desired outcomes, measures & owners Input on commun ication & implementtation plans I 18 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Reference 19 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Discussion groups Strategic Initiative Facilitators Counter network lA Awareness & enforcement Partnerships Traveler verification 1B Vetting & authorization Stakeholder experience Hiring 2A Resilience One CBP Secure & compliant trade 2B Data & analytics IT infrastructure 120 Confidential and proprietary information exempt from disclosu re under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Customs and Border Protection CBP Strategy-Top team working session October 22, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Objectives #1 Decide on Strategy overview (one-page) #2 Decide on outcomes and measures for 12 strategic initiatives #3 Decide on owners for each initiative Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Decision #1 Strategy overview Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP STRATEGY OP-tion~ CBP Mission Aspiration To safeguard America's borders thereby protecting the public from dangerous people and materials while enhancing the Nation's global economic competitiveness by enabling legitimate trade and travel To be the most innovative and trusted law enforcement agency in the world MISSION FUTURE Protect the American people and enable trade and travel Invest in technology and partnerships to confront emerging threats 0 Counter network Leverage data and intelligence to identify and disrupt organized threats to the homeland ..::::i Awareness & lnc_rease situational aware~~s~ ._, f t to impede and respond to 1lhc1t en orcemen cross-border traffic Secure & l:Escompliant •• trade Predict and identify threats to regulate cross-border commerce and deliver consequences Q Use cutting-edge technology to expedite traveler processing and identify fraud • Traveler verification L. Vetting & 1!!1. . authorization • Stake~older experience tOtHiring ••• a0o •:,.. Resilience f J One CBP Attract, recruit and hire to bring on the most qualified applicants quickly Equip the workforce and their families to maintain physical and emotional health Build a culture of trust, leadership and common purpose to work together across CBP ~, Data & analytics 4'~ O ITinfrastructure ~ Partnerships Coordinate t~e v:ttin~ of traveler and 1mm1grat1on data to identify potential threats Improve user interfaces and processes to facilitate travel and business Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Use diverse data and advanced analytics to make decisions and take action Provide access to cloudbased services and resilient, secure infrastructure to streamline CBP work Develop international and intelligence partnerships to extend influence beyond CBP capabilities CBP STRATEGY OP-tion 8 CBP Mission Aspiration To safeguard America's borders thereby protecting the public from dangerous people and materials while enhancing the Nation's global economic competitiveness by enabling legitimate trade and travel To be the most innovative and trusted law enforcement agency in the world Secure the border to protect the American people Facilitate trade and travel Build a capable, resilient and ready workforce ~ Awareness & enforcement 1Ee Secure & compliant trade •• t'Qt Increase situational awareness to impede and respond to illicit crossborder traffic Predict and identify threats to regulate cross-border commerce and deliver consequences Attract, recruit and hire to bring on the most qualified applicants quickly 6 • 11 Vetting and authorization Coordinate the vetting of traveler and immigration data to identify potential threats 0 Counter network Leverage data and intelligence to identify and disrupt organized threats to the homeland Traveler verification Use cutting-edge technology to expedite traveler processing and identify fraud • Stakeholder experience Improve user interfaces and processes to facilitate travel and business 08 Hiring Resilience Equip the workforce and their families to maintain physical and emotional health - f 'fr One CBP Build a culture of trust, leadership and common purpose to work together across CBP Invest in technology and partnerships for the future - @. Data & analytics Use diverse data and advanced analytics to make decisions and take action 0 IT infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work ~ Partnerships Develop international and intelligence partnerships to extend influence beyond CBP capabilities Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP STRATEGY OP-tion e CBP Mission Aspiration To safeguard America's borders thereby protecting the public from dangerous people and materials while enhancing the Nation's global economic competitiveness by enabling legitimate trade and travel To be the most innovative and trusted law enforcement agency in the world Counter terrorism Q Enhance border security Counter network Leverage data and intelligence to identify and disrupt organized threats to the homeland 11. Vetting and authorization Coordinate the vetting of traveler and immigration data to identify potential threats Secure and facilitate trade and travel ~ Awareness "w Increase situational awareness of illicit cross-border traffic Predict and identify threats to regulate crossborder commerce and deliver consequences (®J Enforcement Improve impedance and response to illicit crossborder traffic e Secure & compliant trade Traveler verification Use cutting-edge technology to expedite traveler processing and identify fraud Workforce ~(;. 08 Hiring Attract, recruit and hire to bring on the most qualified applicants quickly Resilience Equip the workforce and their families to maintain physical and emotional health Technology Ii). Data & analytics Use diverse data and advanced analytics to make decisions and take action 0 IT Infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work (!;) Partnerships Develop international and intelligence partnerships to extend influence beyond CBP capabilities Stakeholder experience Improve user interfaces and processes to facilitate travel and business One CBP Build a culture of trust, leadership and common purpose to work together across CBP •-fl Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq CBP leadership has weighed in on the strategy options Option B Secure, Facilitate, Team, Future Option C 3 mission areas, 5 objectives We've never done it this way before This matches the lines of business This is how we've always done it This is the only option the whole workforce will understand Separating "secure" and "facilitation" ensures they don't get lost This is just a checklist This option feels more like One CBP Could be better because it splits mission in two categories This shows the decision making process we've come through Option A Mission, Team, Future I like "Mission, People, Future" Hard to know what's important It's simple and easy to get behind Could last beyond the tenure of one Commissioner I like it from a simplicity standpoint Old school... we've seen all this before Easy to translate to field personnel If we're looking for a culture change, this will not get us there Raises us up a level - really like this A more corporate mindset Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Decision #2 Outcomes and measures for 12 strategic initiatives Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY Strategic initiatives require outcomes in order to measure success Description Desired outcome Q Counter network Leverage data and intelligence to identify and disrupt organized threats to the homeland Terrorists and TCOs identified and disrupted ~ Awareness & enforcement Increase situational awareness to impede and respond to illicit cross-border traffic The border is secure lm •• Secure & compliant trade Predict and identify threats to regulate cross-border commerce and deliver consequences Trade is secure, predictable and legal ' • Traveler verification Use cutting-edge technology to expedite traveler processing and identify fraud Travelers are verified quickly and accurately Vetting & authorization Coordinate the vetting of traveler and immigration data to identify potential threats CBP identifies bad actors before arrival at PoEs Stakeholder experience Improve user interfaces and procedures to facilitate travel and business Travelers and businesses trust and respect CBP Hiring Attract, recruit and hire to bring on the most qualified applicants quickly Staffing levels meet mission needs Resilience Equip the workforce and their families to maintain physical and emotional health The workforce is resilient One CBP Build a culture of trust, leadership and common purpose to work together across CBP People work across offices to deliver mission ~~ Data & analytics Use diverse data and advanced analytics to make decisions and take action Personnel make decisions based on real-time information informed by data and analytics 0 IT infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work Personnel can access the best technology to do their jobs ~ Partnerships Develop international and intelligence partnerships to extend influence beyond CBP capabilities Strong partnerships with other organizations advance priority mission 6 ,f;, ••• o& .j.ja. fl t!~ Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Each strategic initiative overview includes the external environment, CBP baseline and actions, outcome and measures External Environment CBP Baseline Initiative outcome, actions and measures Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY COUNTER NETWORK: EXTERNAL ENVIRONMENT Terrorism, transnational crime, and state on state activity continue to emerge as significant global challenges Terrorism-related incidents are persistent # per year, globally Crime accounts for at least 1.5% of global GDP Estimated annual revenues for illicit trade by sector (as of 2011) / $320 bn Drug Trafficking T Counterfeiting 18 Ka Forced Labor, Pvt. Enterprise 16 ....t Illicit Oil Trade 14 World 12 fl, Illicit Wildlife Trade 10 • Fish 8 I Timber $7.0 bn ' Art $6.3 bn ~ Gold 1 $2.3 bn ~ Human Organs $1.2 bn ;; Small Arms $1.0bn , $0.9 bn 6 4 2 0 1970 80 90 2000 10 2016 Diamonds 1 Gold estimates are for three countries, only (Democratic Republic of the Congo, South Africa and Peru) SOURCE: World Economic Forum Council on Illicit Trade, 2012-2014; figures presented compiled by a 2011 Global Financial Integrity study Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY CBP has increased interdiction capabilities at PoEs and at the border, but threats continue to diversify and scale COUNTER NETWORK: CBP BASELINE Historical operational outcomes In FY17, CBP officers and BPA arrested 10,908 individuals who were wanted by law enforcement authorities Environment and ~ _ - - _ natural resources ~ / ' '\ / I I Cyber- crime Corruption and impunity1 ~ 'y I I \ ' Illicit trade and ' financial flows \ Human mobility and exploitation \ CBP officers encountered 216,370 inadmissible individuals at ports of entry In FY17, CBP seized more than 2.14M pounds of narcotics and disrupted more than 81K pounds of narcotics / ---- Violence and instability1 In FY17, CBP identified and prevented the boarding of 15,907 travelers on flights destined for the U.S. who may have presented an immigration or security risk 2 I.. and provided actionable information to our partners 1 Ungoverned space typically sets the conditions where terrorist organizations, TCOs, and other bad actors are able to thrive 2 These passengers were identified through the combined efforts of the National Targeting Center, the Immigration Advisory Program, and the Regional Carrier Liaison Group SOURCE: World Economic Forum; CBP Border Security Report Fiscal Year 2017 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY COUNTER NETWORK: STRATEGIC INITIATIVE Counter Network: Leverage data and intelligence to identify and disrupt organized threats to the homeland Actions • Enable whole of government and international actions that leverage partner agencies' authorities as a means of addressing the threat to the US border and homeland • Expand to provide actionable tactical and strategic intelligence to law enforcement, military, regulatory, and intelligence community partners Outcome: Terrorists and TCOs identified and disrupted Measures Baseline Target To be decided on October 22 I Owner: To be decided on October 22 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq AWARENESS & ENFORCEMENT: EXTERNAL ENVIRONMENT Growing volume and diversity of cross-border activity present new challenges to identifying threats Travelers to the U.S. have increased steadily People, millions Illicit cross-border activity has diversified News headlines, June-October 2018 398 "Illicit drone flights surge along U.S.-Mexico border as smugglers hunt for soft spots" 396 394 - Washington Post 392 390 "Authorities along U.S., Mexico border find tunnel with rail system, solar-powered lighting under California" 388 386 384 - Newsweek 0 ~---------'----------' 2015 16 2017 SOURCE: CBP Trade and Travel Numbers 2015-17; press searches Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq AWARENESS & ENFORCEMENT: CBP BASELINE Interdictions and situational awareness varies and remains challenging Illegal entrants apprehended or turned back have steadily fallen since 2016 Situational awareness varies in level of certainty Interdiction effectiveness rate, percentage 2010 OpCon status 83 82 81 Laredo 80 79 78 I 77 0 2013 14 15 16 Controlled I 17 Low-Level Monitored DLow activity ' ' Today our situational awareness of the Southwest border is less than 50% •• - Border Patrol Agent SOURCE: CBP FY19 Congressional Justification; FY18 Q3 GPRAMA Measures, Holding the Line in the 21st Century; CBP interviews Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq AWARENESS & ENFORCEMENT: STRATEGIC INITIATIVE Awareness and enforcement: Increase situational awareness to impede and respond to illicit cross-border traffic IPRELIMINARY Actions • • • Enhance situational awareness: leverage technology to improve operational efficiency and effectiveness; integrate interagency information and all available inputs to establish a comprehensive operational picture that provides actionable information that enables decisionmakers and operators; increase zone of security away from physical borders Strengthen impedance and denial: invest in impedance and denial capability; work with partner agencies and components to maximize programs that discourage illegal entries; utilize foreign liaisons to disrupt special interest alien travel before they reach US borders Enhance response and resolution: invest in capabilities and policy revisions to increase tactical mobility; continue to expand operational mobility; utilize emerging technology; apply investments and programs to reduce operational response time; and support security at border through a layered approach Outcome: The border is secure Measures Baseline Target To be decided on October 22 I Owner: To be decided on October 22 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq SECURE & COMPLIANT TRADE: EXTERNAL ENVIRONMENT With the growth in E-commerce, the volume of trade and international mail continues to increase ~so% of Americans shop online today Percent of residents International mail more than doubled in the past few years Pieces, millions Millions of shipments arrive by land and sea Shipments, millions, FY17 400 79 3 2000 2018 FY13 FY17 Rail cargo Truck cargo SOURCE: Pew Research Center; Senate testimony, "Trade and Commerce at U.S. Ports of Entry," July 18, 2018 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Maritime containers SECURE & COMPLIANT TRADE: CBP BASELINE CBP is interrupting illicit trade activities, but system upgrades and automation could improve enforcement and consequence delivery Value of shipments seized as a result of IPR violations grew 18% per year USD, millions Some transactions remain cash-based with manual reconciliations and disparate electronic systems 220 $2.5B collected in cash and checks in more than 4M transactions 200 180 160 140 0 ....___ _ _ _ FY14 ----1.._ _ _ _ _.L..-_ _ _ _......J FYlS FY16 We need fully integrated scanning equipment in the mail environment [to cope with increasing volume] - OFO Officer FY17 m $1.6B cash and checks in nearly 3.4M transactions collected at PoEs i i ------- Manual reconciliation of collections, requiring resources and time Officers and field personnel perform daily or weekly bank deposits Employees use disparate, non-interfaced systems SOURCE: FY19 CBP CBJ; Senate testimony, GAO-18-271; CBP interviews; "Resource Optimization at Ports of Entry," FY17 Report to Congress, September 17, 2017 Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY SECURE & COMPLIANT TRADE : STRATEGIC INITIATIVE Secure and compliant trade: Predict and identify threats to regulate cross-border commerce and deliver consequences Actions • • • • Enhance and adapt all affected CBP operations to respond to emerging supply chain dynamics, including enhancing existing data collection, targeting, examinations, intelligence, and international engagement Enable risk-based enforcement to increase operational efficiency: expand risk management practices, increase operational efficiency and effectiveness by using data analytics; expand existing advance electronic data pilot in the international mail Determine highest risk e-commerce packages using a counter network approach including state-of-the-art techniques and technology; implement improved targeting solutions, strengthen interagency partnerships, and integrate data solutions to enhance current operational models and strategies Use technology and automation to increase ease and ability to enforce compliance and effectively apply punitive measures when needed Outcome: Trade is secure, predictable and legal Measures Baseline Target To be decided on October 22 I Owner: To be decided on October 22 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq TRAVELER VERIFICATION: EXTERNAL ENVIRONMENT Foreign governments are using biometric authentication ,,_::.Australia & New Zealand India All passports are now biometric Largest biometric database in the world The SmartGate (or eGate) system uses facial recognition technology to link visitors and returning residents to their visas and biometric passports (called ePassports) India's national ID program ("Aadhaar") uses a biometrics-based digital identity, instantly verifiable online at the point of service, that collects an iris image, ten fingerprints, and a digital photograph SOURCE: Press search Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq TRAVELER VERIFICATION: CBP BASELINE CBP biometric verification pilot reached most major airports and merited early results The biometric verification pilot reached airports with nearly half of inbound foreign passengers Percentage, as of December 2017 --• 100 Pilots are seeing results but have varied rates of consistency Percentage of failed photos, December 2017 BOS 26 IAD ORD JFK 42 LAS Overall 15 IAH --------------------------------• f R . . 13 ( . 8 airports in pilot 1 out o top 20) airports emammg airports .1%of passengers .included . t m pi 1 0 HOU MIA "New facial recognition system nabs imposter at Dulles International Airport" - Washington Post 1 Seven were in the Top 20 airports SOURCE: OIG-18-80; Transportation .gov, "International Report Passengers" Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY TRAVELER VERIFICATION : STRATEGIC INITIATIVE Traveler verification: Use cutting-edge technology to expedite traveler processing and identify fraud Actions • Expand implementation of Biometric Entry/Exit to increase accuracy of matching arrival and departure information for travelers • Apply new technology to implement direct communication with travelers regarding their authorized period of admission into the U.S. Outcome: Travelers are verified quickly and accurately Measures Baseline Target To be decided on October 22 I Owner: To be decided on October 22 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY Travelers to and from the U.S. have increased over the last 5 years with steady volumes of new foreign travelers VETTING & AUTHORIZATION: EXTERNAL ENVIRONMENT Cross border passenger flows are rising People, millions New foreign visitor volumes are steady Non-immigrant visas, millions 400 • • • • • 350 300 250 POV 14.0 14.1 FYlS FY16 Air Pedestrians Sea Bus 200 150 100 so 0 FY13 FY14 FYlS FY16 FY17 FY14 SOURCE: US Department of Transportation, US Department of State Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq FY17 IPRELIMINARY VETTING & AUTHORIZATION: CBP BASELINE CBP sits at the center of coordinating the vetting of traveler and immigration data • February 2018 - Ordered the creation of the National Vetting Center, positioned CBP at the center of the interagency to improve the use of Intelligence Community and Law Enforcement information in the national vetting enterprise " ... The National Vetting Center will support unprecedented work by OHS and the entire U.S. intelligence community to keep terrorists, violent criminals, and other dangerous individuals from reaching our shores." - February 6, 2018- Kirstjen M. Nielsen ' .r !St' ' as a SE i-i ,~ t~ r5: _ I I =.:, ft1 L ,•. ~ J ~1 " ... federal agencies will have the ability to use the NVC's tools and analytic programs in a consolidated, efficient, and streamlined fashion with greater accuracy and speed than ever before." - June 11, 2018 - ••••• 1 The five categories of threat actors are: terrorism, foreign intelligence, transnational organized crime, cyber, and military threats Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Francis X. Taylor IPRELIMINARY VETTING & AUTHORIZATION : STRATEGIC INITIATIVE Vetting & authorization: Coordinate the vetting of traveler and immigration data to identify potential threats Actions • Coordinates vetting efforts to identify individuals who present a threat to national security, border security, homeland security, or public safety. • Provides a capability, both in a shared physical presence and through virtual connectivity, to bring together Intelligence Community and Law Enforcement information in a manner that better informs vetting decisions. • Consolidate relevant information into a unified technology interface for analysts who will provide recommendations to their respective agencies concerning the adjudications. • NVC Growth Strategy • Scale: Increase the populations (vetting request sets) that receive classified vetting services • Scope: Enhance the types of vetting analytics applied to populations beyond biographies • Depth: Expand the mission areas supported beyond Counter-terrorism (CT) to cover NSPM threat vectors Outcome: CBP identifies bad actors before arrival at PoEs Measures Baseline Target To be decided on October 22 I Owner: To be decided on October 22 12s Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY STAKEHOLDER EXPERIENCE: EXTERNAL ENVIRONMENT Stakeholder expectations are increasing as companies like Amazon influence customer demands-and government lags behind Federal government is perceived to perform poorly in customer satisfaction compared to the private sector, Average industry score out of 10, 2016 "AMAZON EFFECT" ~ Grocery store 8.3 [ii --- E-commerce site 8.2 rC Bank or credit union ~ Credit card ~ Car insurance - Of customers expect organizations to understand their individual needs Of customers demand improved response time • Mobile phone ~ Airline ~ Electric utility D Cable or satellite ~ State government • Federal government SOURCE: IBM Institute for Business Value report; McKinsey Customer Experience Journey Pulse Survey, December 2016 Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 5.6 IPRELIMINARY STAKEHOLDER EXPERIENCE: CBP BASELINE Customer satisfaction with CBP services and systems allows opportunities for improvement CBP customer satisfaction trails other USG agencies Customer satisfaction with CBP systems is fairly stable Average score out of 10, 2016 Overall score out of 1001 • 2016 • 2017 NPS USPS NWS State USCIS VA CBP.gov FEMA Census I CBP • ACE Dissatisfied users cited concerns with navigation and functional limitations USAJobs TSA 1 CBP .gov scores are from September of that year SOURCE: McKinsey Customer Experience Journey Pulse Survey, December 2016; CBP.gov; GAO-18-271 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY STAKEHOLDER EXPERIENCE: STRATEGIC INITIATIVE Stakeholder experience: Improve user interfaces and processes to facilitate travel and business Actions • Transform processes and technologies to meet customers needs {e.g., speed, ease, reliability) • Implement public engagement efforts to educate stakeholders about CBP mission, requirements, and processes and to communicate new developments and pertinent guidance • Develop standards and best practices to facilitate trade in support of small businesses and e-commerce; explore facilitation technology options; and educate the e-commerce community Outcome: Travelers and businesses trust and respect CBP Measures Baseline Target To be decided on October 22 I Owner: To be decided on October 22 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY HIRING: EXTERNAL ENVIRONMENT US societal factors directly affect qualified and interested law enforcement applicant pools, further squeezed by competition ~ US public opinion varies towards law OV enforcement. Approval ratings are at 64%, ~ but vary by race and political affiliation ooo ~ The US job market is strong. Current, seasonally-adjusted unemployment rate in the US is at 3.9%, the lowest since 1969 ~ "Job seeker" market means that employers fight for candidates. Candidates tend to compare interview experience and time to hire; government time to hire averages lag industry by more than 4x Law enforcement agencies are often competing for the same talent 1 Applicants needed to yield 1 EOD DEA-SA USSS-SA CBP-BPA ICE-HSICI ICE-DO Unique qualifications complicate an already competitive landscape. Less than 13% of US 17 to 24 year-olds qualify for military or law enforcement service due to moral, mental, or physical fitness deficiencies CBP-CBPO USSS-UD 1 The following agencies and positions are listed: Customs and Border Protection-Border Patrol Agent, Drug Enforcement Agency-Special Agent, United States Secret Service-Special Agent, Customs and Border Patrol-Customs and Border Protection Officer, Immigration and Customs Enforcement-Homeland Security Investigations Criminal Investigator, Immigration and Customs Enforcement-Deportation Officer, United States Secret Service-Uniformed Division Officer SOURCE: Time to Hire Study, EOY FY18 Updates from CBP Human Resources Management Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq HIRING: CBP BASELINE Frontline hiring processes have improved but time to hire and staffing levels remain below targets A quarter of hires are within target time to hire of 192 days, % of hires per month, FY18 • • • • 100 90 80 Frontline staffing is 8k below target levels Employees, thousands BPA CPBO MIA AIA 43.9 43.5 1111111 1111111 AIA MIA 70 CPBO 60 50 40 30 --- ·----- ---· ----------------------- --· ~------ ---- ·--- -------------- ------· BPA 20 10 0 Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Target staffing O/H EOY (requirement)1 FY17 Losses Gains O/H EOY FY18 Net staffing, by Component 1 Target staffing requirement numbers are based on varied sources: CBPO Workforce Staffing Model, EAC Owens Memo, AIA and MIA appropriated FTE. As these numbers are a hybrid, they do not reflect in entirety the total force numbers, as appropriated annually by Congress. SOURCE: EOY FY18 Updates from CBP Human Resources Management Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq I 30 IPRELIMINARY HIRING: STRATEGIC INITIATIVE Hiring: Attract, recruit and hire to bring on the most qualified applicants quickly Actions • Fully implement changes to recruiting and hiring efforts, to attract and bring on qualified applicants quickly • Monitor total net hires against staffing requirements developed by Workforce Planning models, by region and by component • Improve recruiting themes and messages that align with CBP's complex and crucial mission, to increase the propensity of candidates to apply Outcome: Staffing levels meet mission needs Measures Baseline Target To be decided on October 22 I Owner: To be decided on October 22 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY RESILIENCE: EXTERNAL ENVIRONMENT Workplace-related stress is on the rise-broader trends are particularly applicable to law enforcement roles and duties 25% of employees view their jobs as the number one stressor in their lives; Stress is the "global health epidemic of the 21st century" 0 Employee anxiety, stress, and depression account for the majority of all emotional health cases 55% 0 80% 2012 2014 The psychological and physical problems of burned-out employees cost an estimated $125 billion to $190 billion a year in healthcare spending in the US Common law enforcement factors that tend to cause particular work stress/fatigue: • Mission risks • Remote locations • Frequent rotating shifts Source: Center for Disease Control, World Health Organization Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY RESILIENCE: CBP BASELINE The CBP workforce experiences greater levels of stress than the overall population Ten different stressors affect at least a third of the workforce1, % respondents do do do Staffing shortages Mt Family/friends feel effects of job stress do do do Excessive oversight 38 General population CBP 30 25 23 Policy change frequency Alcohol misuse Fatigue Heavy drinking Occupational Health CBP employees have higher rates of depression, anxiety, and PTSD than civilian counterparts, % respondents Feeling "always on the job" do Paperwork Mt Mt Family/friends lack of understanding Mt • Inadequate equipment Mt ~ Alcohol abuse affects a third of the workforce % respondents • CBP 15.9 2 Negative public comments General population 16.74 Risk of being injured on the job Upholding higher standard of behavior Stressor: do Organizational ~ Operational 3.5 3 Mt Personal Depression Anxiety PTSD 1 Rank-ordered stressors that caused a "fair amount" or "a lot" of stress to employees, stressors that affected more than >10% of respondents; of note, 13 of 18 total stressors are listed. The data, and the categorization of the stressor is replicated directly from the RAND study 2 Past two weeks 3 Past year (National Comorbidity Survey-Replication (Kessler et. al., 2005) 4 Past 30 days SOURCE: RAND CPB Resiliency study, November to January, 2017 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY RESILIENCE: STRATEGIC INITIATIVE Resilience: Equip the workforce and their families to maintain physical and emotional health Actions • Ensure the workforce maintains physical, mental, and emotional health throughout the longevity of a career, recognizing that full-body agent/officer wellness is critical to the team and mission • CBP fosters a fully engaged and resilient workforce that is supported by an open and trusting workplace culture that facilitates health-seeking behavior • CBP employees and families can readily access information, resources, and support through a variety of networks that accommodates the geographic disbursement of the workforce • CBP takes step to reduce the organizational stressors identified in the RAND survey, and CBP offices have regular discussions related to resiliency in the workplace Outcome: The workforce is resilient Measures Baseline Target To be decided on October 22 IOwner: To be decided on October 22 I 34 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY ONE CBP: EXTERNAL ENVIRONMENT Other USG agencies have fundamentally shifted from traditional structures to more expansive views on resource-sharing •• •• The Army, Navy, Air Force, and Marine Corps have often fought ferociously over roles and missions in war fighting and over budgets and posts of leadership . The Goldwater-Nichols Act (1986) ... among other things, mandated that promotion to high rank required some period of duty with a different service or with a ... a related development was a significant transfer of planning and command responsibilities from the service chiefs and their staffs to the joint and unified commands outside of Washington ... ... the voices of [these] commanders ... became as influential as those of the service chiefs. SOURCE: 9/11 Commission Report Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY ONE CBP: CBP BASELINE "Storm conditions" test collaboration and teamwork - but without a mission need, CBP institutionally returns towards component silos Over the last year, CBP components worked side-by-side on to ensure mission success: How many additional actions, planning, or resourcing, were conducted like this ... Hurricane response, to Hurricanes Florence, Michael, Harvey Front-line against the opioid epidemic, and working across agencies to ensure information sharing Tackling the recruiting challenge, to ensure that CBP continues to hire great talent against mission needs SOURCE: Team of Teams, GEN Stanley McCrystal, in Fast Company Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq I 36 IPRELIMINARY ONE CBP: STRATEGIC INITIATIVE One CBP: Build a culture of trust, leadership and common purpose to work together across CBP Actions • Reward the sharing of space, dollars, and data - and constantly train and educate the workforce in CBP operations, planning, and training to increase the habitual relationships and professionalism needed to operate in a changing mission landscape • Building habitual relationships: occurs in specific space and time, operating "day to day" like the workforce would in "storm" conditions. The LOB structure is reinforced; the individual agent/officer is the "reason for the daily routine" and empowered fully by clarity of mission, technology, and instruction. • Reinforcing continuous learning and mindset: upon entry to CBP, the workforce must learn and appreciate a basic understanding of each component mission set, to be reinforced throughout an individual's advancement in the form of Joint Duty Assignments, SES rotations, reading lists and professional discussions, and the creation of additional capacity for the internal "think tank" of CBP Outcome: People work across offices to deliver mission Measures Baseline Target To be decided on October 22 IOwner: To be decided on October 22 I 37 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY Organizations are leveraging data and analytics to put information in the hands of users DATA & ANALYTICS: EXTERNAL ENVIRONMENT Organizations that successfully harness data and analytics have ... ~ Analytics tools and skills ffl Domain expertise ~ Access to broad sets of quality data Apps integrate real-time data for users to make decisions Uber exam le • • • ~ Ability to operationalize insights -o ~ Strong executive sponsorship @ UberBLACK All targets (e.g .. , riders) geolocated Varied assets (e.g., drivers) geolocated A single portal for hand-held use Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Analytics connects assets to targets IPRELIMINARY DATA & ANALYTICS: CBP BASELINE Although there are a variety of challenges, there are endless opportunities from successfully pairing data and analytics Data and systems are fragmented ... But opportunity exists to advance mission Example Flight hour ROI example Less than 1% of agents are geolocated - USBPAgent Mission outcome (e.g., cocaine seizures) Return on investment Costs (e.g., flight hours) 9 dorn · ,,,a,ns . varied t Wtth YPes of Multiple data owners makes data integration difficult - 0/T Personnel sensors • •We have a return on investment of 30 lbs. of cocaine per flight hour ... but I don't know of anyone else at CBP doing these kinds of calculations on resource allocation 99 and data architecture are major hurdles to analytics efforts - 0/T Personnel - Air and Marine Officer SOURCE: CBP interviews Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY DATA & ANALYTICS: STRATEGIC INITIATIVE Data and analytics: Use diverse data and advanced analytics to make decisions and take action Actions • Develop necessary data warehousing and infrastructure, acquire analytic tools and platforms, and develop capabilities for advanced analytic modelling • Collect and integrate intelligence and risk assessment data to develop an actionable common operational picture that ensures agents and officers have the relevant information to conduct border enforcement activities • Increase use of predictive analytics and intelligence to combine shipment data, biographical and biometric data, past importation and travel patterns, and enforcement action information to stay ahead of emerging threats and drive consequence delivery • Support enhanced data analytics to understand ROI, identify trends within applicant pools, and present datadriven information for decisions Outcome: Personnel make decisions based on real-time information informed by data and analytics Measures Baseline Target To be decided on October 22 I Owner: To be decided on October 22 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY IT INFRASTRUCTURE: EXTERNAL ENVIRONMENT Leading companies are investing in the cloud, mobile and big data while customer expectations of reliability are increasing Global IT services spending is increasing, with cloud, mobile, and big data technologies growing fastest Personal cloud storage traffic expected to grow at "'36% compound annual growth USO, billions Exabytes 48 Analytic, innovative technologies, {e.g., 3D printing, AR/VR, Al, loT) Cloud, mobile, big data and social technologies 14 Traditional technology {Technologies that are mostly non-mobile and on-premises) 2015 E2020 SOURCE: IDC, Worldwide Black Book: 3rd Platform Edition (May 2017); IDC FutureScape: Worldwide IT Industry 2017 Predictions; 2016 WDC Investor Day presentation Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq 2020 IPRELIMINARY IT INFRASTRUCTURE: CBP BASELINE Out of date computers and unplanned outages remain challenges, while a key data center closure can precipitate cloud migration Most workstations and laptops are >4 years old 1 Percentage, January 2018 Passenger screening systems have averaged 10 unplanned outages per month Outages of passenger screening systems, 2016-17 15 <4 yrs Migration from Springfield data center begins Software as a service offered by application en 0 """' N Avg •- 4-7 yrs -• - N """' 0 N 0 I N 0 N >7 yrs Springfield data center closure complete N N 0 June July Aug Sept Oct Nov Dec Jan FebMarch N 1 OIT assesses end-of-life for hardware and devices as more than five years old (OIG-17-114) SOURCE: OIT; OIG-17-114; CBP interviews 2 (TPAC, APC, GE) Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY IT INFRASTRUCTURE: STRATEGIC INITIATIVE IT infrastructure: Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work Actions • Create a holistic data governance and architecture across CBP to establish basis for cross-functional at scale analytics and eliminate organization data silos • Increase resilience and performance end-to-end: accelerate technology refresh programs; continue maturing tools, tests, and exercises that validate existing resilience measures; and incorporate concepts to proactively address emerging threats • Manage integrated cloud migration and infrastructure modernization for all mission essential systems and mission relevant systems delivering modernized capabilities and improved user interfaces with no interruption in service • Enhance cybersecurity posture in support of cloud migration and increased edge-device use without impacting system effectiveness Outcome: Personnel can access the best technology to do their jobs Measures Baseline Target To be decided on October 22 I Owner: To be decided on October 22 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY PARTNERSHIPS: EXTERNAL ENVIRONMENT Weak nation states, transnational crime and economic instability are challenges that require partnership to address Weak or failed states allow for instability Nation state stability, colored by quintile • • • • Not weak or failed Top quintile 4th quintile 3rd quintile 2nd quintile Bottom quintile Economic challenges limit opportunities Transnational criminal networks have increased violence Homicide rate, per 100K inhabitants • El Salvador Honduras Venezuela Migration source Prominent news and events, Central America ~ ) REUTERS 109 64 Jamaica Drought Leaves up to 2.8 Million Hungry in Central America Lesotho 1-P Belize ELEPHANTS INTHE ROOM , Jobs and Opportuni1 y An: the Only Path to Peace in Central America South Africa Saint Kitts and Nevis ELEPHANTS IN THE ROOM Jobs and Opportunity Are the Only Path to Peace in Central America Guatemala Trinidad and Tobago SOURCE: Terrorism incidents - Global Terrorism Database, Brookings Institute, Reuters, Council on Foreign Relations Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY PARTNERSHIPS: CBP BASELINE Building capability with critical partners provides the opportunity to access information and improve delivery on mission There are currently 16 members of the US Intelligence Community, originally established in 1981 by EO 12333 Apprehensions at the US-Mexico border from Northern Triangle countries have exceeded those from Mexico in most recent fiscal years Apprehensions at US-Mexico border, 1 thousands • 2014 15 Mexico • 16 1 Northern Triangle countries include El Salvador, Guatemala and Honduras. Data refer to number of reported apprehensions, not the number of unique individuals apprehended . SOURCE: Pew Research Center, Customs and Border Protection Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Northern Triangle 2017 IPRELIMINARY PARTNERSHIPS: STRATEGIC INITIATIVE Partnerships: Develop international and intelligence partnerships to extend influence beyond CBP capabilities Actions • Sustain needed relationships with state and local law enforcement agencies, and in particular, those at critical nodes relevant to CBP's missions to secure the border, facilitate trade and travel, counter terrorism and transnational crime • With the interagency, build international partnerships and strategic alliances with Northern Triangle countries that facilitate information sharing, training, joint and integrated operations, and stability strategies • Advance a cohesive and comprehensive CBP IE that will enable proactive enforcement opportunities and improve the timeliness of warnings and trends of potential threats through formal partnerships and a highly skilled intelligence workforce • Take planning, process, coordination, and support legislative steps for CBP to join the IC Outcome: Strong partnerships with other organizations advance priority mission Measures Baseline Target To be decided on October 22 IOwner: To be decided on October 22 I 46 Confidential and proprietary information exempt from disclosure under Section (b)(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq Decision #3 Owners for 12 strategic initiatives Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq IPRELIMINARY Strategic initiatives require owners to be successful Description Desired outcome Q Counter network Leverage data and intelligence to identify and disrupt organized threats to the homeland Terrorists and TCOs identified and disrupted ~ Awareness & enforcement Increase situational awareness to impede and respond to illicit cross-border traffic The border is secure lm •• Secure & compliant trade Predict and identify threats to regulate cross-border commerce and deliver consequences Trade is secure, predictable and legal ' • Traveler verification Use cutting-edge technology to expedite traveler processing and identify fraud Travelers are verified quickly and accurately Vetting & authorization Coordinate the vetting of traveler and immigration data to identify potential threats CBP identifies bad actors before arrival at PoEs Stakeholder experience Improve user interfaces and procedures to facilitate travel and business Travelers and businesses trust and respect CBP Hiring Attract, recruit and hire to bring on the most qualified applicants quickly Staffing levels meet mission needs Resilience Equip the workforce and their families to maintain physical and emotional health The workforce is resilient One CBP Build a culture of trust, leadership and common purpose to work together across CBP People work across offices to deliver mission Data & analytics Use diverse data and advanced analytics to make decisions and take action Personnel make decisions based on real-time information informed by data and analytics 0 IT infrastructure Provide access to cloud-based services and resilient, secure infrastructure to streamline CBP work Personnel can access the best technology to do their jobs ~ Partnerships Develop international and intelligence partnerships to extend influence beyond CBP capabilities Strong partnerships with other organizations advance priority mission 6 Owner I 48 Confidential and proprietary information exempt from disclosure under Section (b}(4) of the Freedom of Information Act, 5 U.S.C. § 552 et seq