DHS Exhibit 300 Public Release BY10 / NPPD - US-VISIT - Arrival and Departure Information System (ADIS) (2010) OVERVIEW General Information 1. Date of Submission: Apr 17, 2009 2. Agency: Department of Homeland Security 3. Bureau: National Protection and Programs Directorate (NPPD) 4. Name of this Capital NPPD - US-VISIT - Arrival and Departure Information System (ADIS) (2010) Asset: 5. Unique ID: 024-65-01-02-01-9561-00 (For IT investments only, see section 53. For all other, use agency ID system.) All investments 6. What kind of investment will this be in FY2010? (Please NOTE: Investments moving to O&M in FY2010, with Planning/Acquisition activities prior to FY2010 should not select O&M. These investments should indicate their current status.) Operations and Maintenance 7. What was the first budget year this investment was submitted to OMB? FY2010 8. Provide a brief summary and justification for this investment, including a brief description of how this closes in part or in whole an identified agency performance gap. ADIS is an electronic system that collects information about noncitizens who travel to the US. This includes arrival and departure border crossings, and immigration status updates for each traveler. ADIS receives information from multiple systems, some of which are from government organizations external to US-VISIT, and matches events to a unique person to create a complete record of events during their US visits. ADIS matches departures with arrivals to ascertain compliance, stores travel and status adjustment records, and provides a range of ad hoc queries and reporting capabilities. ADIS incorporates additional data elements and transactions associated with all US-VISIT increments and other immigration systems to maintain complete traveler histories. ADIS maintains travel histories on over 200 million alien travelers. The data collected includes key biographic and biometric identifiers, and processing information used to provide information to law enforcement and other stakeholders. ADIS receives 100% of all system confirmed arrivals and all air/sea arrival and departure manifests along with I-94/I-94W departure records, which is about twice the number of US-VISIT processed in-scope travelers. ADIS is a steady state investment that effectively meets the business requirements to maintain a complete traveler’s identity and travel history. ADIS was developed in response to the events of Sept 11, 2001 and was deployed in Oct 2002. The system continues to receive and process data and delivers accurate and complete reports to users. Historical trends indicate a gradual increase in database storage requirements and additional data feeds as new DHS or external agency immigration systems come on line. US VISIT conducts algorithm efficiency analysis on a regular basis. Refinements are made as necessary. The US VISIT Data Integrity Group in Identity Services reviews and analyzes all data from ADIS and the biometric system, IDENT, to develop in-country leads deemed credible. US-VISIT then provides these leads to Immigration and Customs Enforcement (ICE) for further investigation. ADIS also provides data to law enforcement and counter-terrorism intelligence authorities in support of their missions. 9. Did the Agency's Executive/Investment Committee approve this request? Yes 9.a. If "yes," what was the date of this approval? Aug 15, 2008 10. Did the Project Manager review this Exhibit? Yes 12. Has the agency developed and/or promoted cost effective, energy-efficient and environmentally sustainable techniques or practices for this project? Yes 12.a. Will this investment include electronic assets (including computers)? Yes 12.b. Is this investment for new construction or major retrofit of a Federal building or facility? (answer applicable to non-IT assets only) No 12.b.1. If “yes,” is an ESPC or UESC being used to help fund this investment? 12.b.2. If “yes,” will this investment meet sustainable design principles? 12.b.3. If “yes,” is it designed to be 30% more energy efficient than relevant code? 13. Does this investment support one of the PMA initiatives? Yes If “yes,” select the initiatives that apply: Human Capital Budget Performance Integration Financial Performance Expanded E-Government Yes Competitive Sourcing Faith Based and Community Real Property Asset Management Eliminating Improper Payments Privatization of Military Housing R and D Investment Criteria Housing and Urban Development Management and Performance Broadening Health Insurance Coverage through State Initiatives Right Sized Overseas Presence Coordination of VA and DoD Programs and Systems 13.a. Briefly and specifically describe for each selected how this asset directly supports the identified initiative(s)? (e.g. If E-Gov is selected, is it an approved shared service provider or the managing partner?) ADIS supports expanded eGovernment. ADIS is part of US-VISIT's core operational traveler identification systems that leverage technology in order to share info quickly and conveniently between federal, state, and local governments. ADIS shares collected traveler biographic data at ports-of-entry with law enforcement officials. Its electronic eGovernment technologies supports improved decision making without impeding the flow of legitimate travel. 14. Does this investment support a program assessed using Program Assessment Rating Tool (PART)? (For more information about the PART, visit www.whitehouse.gov/omb/part.) Yes 14.a. If “yes,” does this investment address a weakness found during the PART review? No 14.b. If “yes,” what is the name of the PARTed program? 10003638 - National Protection and Programs Division: US-VISIT Exit and Entry System for Visitors 14.c. If "yes," what rating did the PART receive? Moderately Effective 15. Is this investment for information technology? Yes For information technology investments only: 16. What is the level of the IT Project (per CIO Council’s PM Guidance)? Level 2 17. What project management qualifications does the Project Manager have? (per CIO Council’s PM Guidance) (1) Project manager has been validated as qualified for this investment 18. Is this investment or any project(s) within this investment identified as “high risk” on the Q4-FY 2008 agency high risk report (per OMB Memorandum M- 05-23) Yes 19. Is this a financial management system? No 19.a. If “yes,” does this investment address a FFMIA compliance area? 19.a.1. If “yes,” which compliance area: 19.a.2. If “no,” what does it address? The ADIS, established October 2002 in direct response to the events of 9/11/2001, is a key component of the overall US-VISIT program. It is charged with managing entry, stay management and exit processes for all non-immigrant travelers to the US. The biographic data collected is used in conjunction with biometric data collected by the IDENT system to identify potential criminals, illegal immigrants, and terrorist threats. 19.b. If “yes,” please identify the system name(s) and system acronym(s) as reported in the most recent financial systems inventory update required by Circular A–11 section 52. 20. What is the percentage breakout for the total FY2010 funding request for the following? (This should total 100%) Area Percentage Hardware 0.00 Software 0.00 Services 96.56 Other 3.44 Total 100.00 21. If this project produces information dissemination products for the public, are these products published to the Internet in conformance with OMB Memorandum 05-04 and included in your agency inventory, schedules and priorities? N/A 23. Are the records produced by this investment appropriately scheduled with the National Archives and Records Administration’s approval? Yes Question 24 must be answered by all Investments: 24. Does this investment directly support one of the GAO High Risk Areas? Yes SUMMARY OF SPENDING SUMMARY OF SPENDING FOR PROJECT PHASES (In Millions) 1. Provide the total estimated life-cycle cost for this investment by completing the following table. All amounts represent budget authority in millions, and are rounded to three decimal places. Federal personnel costs should be included only in the row designated “Government FTE Cost,” and should be excluded from the amounts shown for “Planning,” “Full Acquisition,” and “Operation/Maintenance.” The total estimated annual cost of the investment is the sum of costs for “Planning,” “Full Acquisition,” and “Operation/Maintenance.” For Federal buildings and facilities, life-cycle costs should include long term energy, environmental, decommissioning, and/or restoration costs. The costs associated with the entire life-cycle of the investment should be included in this report. All amounts represent Budget Authority PY-1 & Earlier PY CY BY -2007 2008 2009 2010 Planning: Budgetary Resources 0.000 0.000 0.000 0.000 Acquisition: Budgetary Resources 0.000 0.000 0.000 0.000 TOTAL, sum of stages: Budgetary Resources 0.000 0.000 0.000 0.000 Maintenance: Budgetary Resources 0.000 0.000 0.000 18.802 TOTAL, All Stages Budgetary Resources 0.000 0.000 0.000 18.802 Government FTE 0.000 0.000 0.000 0.000 Costs # of FTEs 0.00 0.00 0.00 0.00 Total, BR + FTE Cost 0.000 0.000 0.000 18.802 Note: For the multi-agency investments, this table should include all funding (both managing partner and partner agencies). Government FTE Costs should not be included as part of the TOTAL represented. 2. Will this project require the agency to hire additional FTE’s? No 2.a. If "yes," how many and in what year? 3. If the summary of spending has changed from the FY2009 President’s budget request, briefly explain those changes. ADIS O&M cost history: FY02 through FY08 = $18.887 million, not including the Data Center costs, which were covered by the Accenture contract, Materials Task 20 totaling $13.085 M. Note that FY13 O&M costs reported in this Exhibit are comparatively higher ($24M) due to another $9M planned hardware refresh in that year. US-VISIT has been operating ADIS since FY03. ADIS was deployed in FY02 as a system to track the entries and exits of visa waiver country participants. The critical ADIS core capability is the matching of non-immigrant arrival, departure and immigration status update records. In FY08, ADIS operations and maintenance concentrated on improving the matching of arrivals to departures through the implementation of Release 3.0, which cleaned up multiple overstay records, and through improvements in the matching algorithm. ADIS system availability averaged 99.4%, exceeding a 97% target. In FY08, the ADIS reconciliation code release systematically improved the business logic to reduce falsely identified overstay records by 28 percent. Although match rates improved from 91.3 percent in FY07 to 92.2 percent in FY08, the highest level of record matching accuracy possible is required to meet mission requirements, especially the identification of overstays. In FY09 the Dept of Energy Lawrence Livermore National Labs (LLNL) will assist US-VISIT in comparing current record matching performance to the performance of other types of record matching algorithms. The first report will be delivered in the first quarter FY09. A 15% annual increase in users experienced in FY07 and FY08 is expected to occur again in FY09. FY08 system availability was 99.4% and is expected to maintain an FY09 rate of 97% or better. An ADIS Assessment is being conducted in the first quarter of FY09 to identify the challenges facing ADIS. The report will provide an independent technical assessment of the production system architecture and recommendations for system revisions. Additional upgrades planned include a database upgrade from Oracle 9i to Oracle 10g and continued biographic matching improvements via both refined matching algorithms and incorporation of suggestions from the LLNL.