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A MESSAGE FROM THE ATTORNEY GENERAL
I have been honored to work with the President, the Congress, the federal law enforcement community, and our state, tribal, local and international counterparts, to improve our nation's justice system. I am proud of what we have accomplished together.
The Department of Justice Strategic Plan for fiscal years 2000-2005 builds on these accomplishments. It emphasizes building partnerships, strengthening local communities, and taking a practical, down-to-earth approach to solving problems. These are approaches that have been shown to work.
However, the plan also recognizes that we have much more to do-and new challenges to confront. I want to highlight several of these challenges:
Serious crime is down for eight years in a row. But it is still too high, and there is still too much violence. Children in the United States under 15 years of age are nearly 12 times more likely to die from a gunshot wound than children in the 25 other wealthiest industrialized nations combined. Violence in the home, primarily targeted against women, remains all too prevalent. And American Indians are the victims of violent crime at more than twice the rate of all U.S. residents. Clearly, we must continue to work to end the culture of violence in this country. We must take a comprehensive approach to violence reduction- through a strategic combination of enforcement, prevention and intervention. We must keep guns out of the wrong hands and punish criminals-including gun criminals-swiftly, firmly and effectively.
Advances in technology and the explosive growth of the Internet have changed the world forever. They have brought untold benefits. But they have also created new threats, including the threat of cyberterror-ism. To preserve the potential of the technology revolution and to protect privacy and thwart criminal activity, we need to work together, at all levels of government and among both the public and private sectors, to share information, expertise, training, and equipment-and to catch and sanction offenders.
Aided by the new technology, crime has increasingly become international. Terrorism, smuggling, money laundering, and fraud are examples of the types of criminal activity that now take place in a global arena where perpetrators may be geographically distant from the scenes of their crimes and where traditional territorial borders are more and more irrelevant. To meet this challenge, the United States must take the lead in building a global network of trusted independent nation-states willing and able to provide justice at home and cooperate internationally.
In recent years, the United States has imprisoned more and more people for longer and longer terms. Now, many of these offenders are returning to their communities, often with little or no supervision or support. This is one of the most pressing challenges we will face as a nation in the next few years. To meet it, we must provide a network of support, supervision and accountability that will maximize the potential for successful reintegration into the community and minimize the risk to society of possible fur-ther criminal behavior. If we do, the futures of these men and women will be brighter, our communities will be safer, and this nation will be stronger.
America is an increasingly diverse nation, populated by people of many races, cultures and ethnic back-grounds. Promoting mutual understanding and tolerance, ensuring equal protections under the law, and strengthening the trust of all our citizens in the fundamental fairness and integrity of our justice institutions, are perhaps our greatest challenges. No task is more important than continuing to expunge the vestiges of discrimination and group hatred that tarnish the American dream. They strike at the core of our democracy.
As a nation, we are fortunate to face these challenges from a position of strength. Our system of justice rests on a rock-solid foundation. And we have made great strides in protecting and building on that foundation. But we cannot become complacent. Rather, we must seize the opportunity to capitalize on our strength. Boldly, honestly and wisely, we must seek to secure the promise of this new millennium.
In closing, I want to express my admiration and gratitude to the men and women of the U. S. Department of Justice. Whether arguing a legal point in the courtroom, patrolling a remote border area, or investigating a serious crime, they do their jobs with skill, dedication and integrity. It has been an honor for me to work alongside them.
Janet Reno
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INTRODUCTION
Almost two hundred years ago, Thomas Jefferson wrote that "The most sacred of the duties of government [is] to do equal and impartial justice to all its citizens."(1) As the nation embarks on a new century, this sacred duty to fulfill the promise of justice for all remains the hallmark of the American experiment in democratic self-government. It is also the guiding ideal for the men and women of the U.S. Department of Justice (the Department) in carrying out their mission
"...to enforce the law and defend the interests of the United States according to the law; to provide federal leadership in preventing and controlling crime; to seek just punishment for those guilty of unlawful behavior; to administer and enforce the nation's immigration laws fairly and effectively; and to ensure fair and impartial administration of justice for all Americans."
The Department of Justice Strategic Plan for fiscal years 2000-2005 provides a multiyear, comprehensive, and realistic plan for carrying out the Department's mission. It is oriented toward achieving our vision of securing equal justice for all, enhancing respect for the rule of law, and making America a safer and less violent nation. It provides to the President, the Congress and the American people a report on the problems and challenges the Department faces in the years ahead and the goals and objectives we have set for ourselves. It is both a reaffirmation of our fundamental commitment to serve the American people in the pursuit of justice and a promise to be accountable for our progress.
THE DEPARTMENT OF JUSTICE
The Department of Justice is headed by the Attorney General of the United States. It is comprised of 38 separate component organizations. These include the U.S. Attorneys (USAs) who prosecute offenders and represent the United States Government in court; the major investigative agencies - - the Federal Bureau of Investigation (FBI) and the Drug Enforcement Administration (DEA) - - which prevent and deter crime and arrest criminal suspects; the Immigration and Naturalization Service (INS) which controls the border and provides services to lawful immigrants; the U.S. Marshals Service (USMS) which protects the federal judiciary, apprehends fugitives and detains persons in federal custody; and the Bureau of Prisons (BOP) which confines convicted offenders. Litigating divisions enforce federal criminal and civil laws, including civil rights, tax, antitrust, environmental, and civil justice statutes. The Office of Justice Programs (OJP) and the Office of Community Oriented Policing Services (COPS) provide leadership and assistance to state, tribal, and local governments. Other major departmental components include the National Drug Intelligence Center (NDIC), the United States Trustees (UST), the Justice Management Division (JMD), the Executive Office for Immigration Review (EOIR), the Community Relations Service (CRS), and the Office of the Inspector General (OIG). Although headquartered in Washington, D.C., the Department conducts much of its work in offices located throughout the country and overseas.
CORE VALUES
In carrying out our mission, we are guided by the following core values:
Equal Justice Under the Law. Upholding the laws of the United States is the solemn responsibility entrusted to us by the American people. We enforce these laws fairly and uniformly to ensure that all Americans receive equal protection and justice under the law.
Honesty and Integrity. We adhere to the highest standards of ethical behavior.
Commitment to Excellence. We seek to provide the highest levels of service to the American people. We are effective and responsible stewards of the taxpayers' dollars.
Respect for the Worth and Dignity of Each Human Being. We treat each other and those we serve with fairness, dignity, and compassion. We value differences in people and ideas. We are committed to the well-being of our employees and to providing opportunities for individual growth and development.
THE PERFORMANCE MANDATE
In recent years, the Department, and the Federal Government generally, have begun to embrace the concepts of performance-based management. These concepts have been effective in bringing about significant improvements in many private and public sector organizations and programs both in the United States and abroad. At the heart of performance-based management is the idea that focusing on mission, agreeing on goals, and reporting results are the keys to improved performance.
Congress has mandated performance-based management through a series of bipartisan statutory reforms. (2) The centerpiece of this statutory framework is the Government Performance and Results Act (GPRA) of 1993 (P.L. 103-62). The GPRA requires agencies to develop strategic plans that identify their long range strategic goals and objectives; annual plans that set forth corresponding annual goals and indicators of performance; and annual reports that describe the actual levels of performance achieved compared to the annual goal.
The Department of Justice Strategic Plan for fiscal years 2000-2005 is prepared pursuant to the requirements of the GPRA. It revises and supersedes the initial GPRA strategic plan submitted by the Department in September 1997 covering fiscal years 1997-2002. The revised plan incorporates a number of changes. Many of these are in response to criticisms and suggestions from external reviewers, including the General Accounting Office.
Two changes are especially noteworthy. First, we have included material describing the overall crime and justice environment as well as the specific problems and issues facing the Department. In essence, we have tried to give the reader greater context for understanding what we do and why. Second, we have attempted to more completely delineate the strategies by which we will achieve our goals and objectives.
We developed the plan with the active involvement of our component organizations. We provided copies of the draft plan to the chairs and ranking minority members of Senate and House committees on the judiciary and appropriations, the Senate Committee on Government Affairs and the House Committee on Government Reform. In addition, we posted a copy of the draft plan on the Department's web site for comment by our employees, other federal agency officials, and the general public.
Within the Department, strategic planning is the first step in an iterative planning and implementation cycle. This cycle, which is at the heart of the Department's efforts to implement performance-based management, involves setting long-term goals and objectives; translating these goals and objectives into budgets and program plans; implementing programs and monitoring their performance; and evaluating results (figure 1). In this cycle, the Department's strategic plan provides the overarching framework for component and function-specific plans as well as annual performance plans, budgets, and reports. (3)
The Department also is integrating performance-based management concepts and practices into other core management processes, including procurement, information technology, financial accounting, and human resources. For example, we are aligning our budget, accounting and performance data in order to produce a cohesive, integrated financial information framework.
Despite our progress, we recognize that further improvements are needed. Implementing performance-based management is an iterative, ongoing process that demands significant and fundamental changes in organizational culture and business processes.
ORGANIZATION OF THE PLAN
The plan is in three chapters. Chapter I briefly outlines the major themes underlying our strategic goals and objectives, including some of the key issues we are likely to face in the years ahead. Chapter II sets forth our goals, objectives and strategies for the next five years. It also describes key interagency crosscutting programs and summarizes the external factors that may affect goal achievement. Chapter III describes the role of evaluation in developing the strategic plan and provides a schedule of ongoing and planned program evaluations.
The scope and complexity of the Department's mission make it impossible to describe in a single document the full range and content of the Department's programs and activities. Where appropriate, reference has been made to other plans and reports that provide more detailed information in specific areas.
The Appendices include (A) a description of the resources required to implement the plan; (B) a description of the linkage between the strategic plan and the annual performance plan; (C) a summary list of mission-critical management challenges; (D) key facts on crime and justice; (E) a glossary of abbreviations and acronyms; and (F) a list of Justice component web sites.
This plan is available at http://www.usdoj.gov/jmd/mps/strategic2000_2005/index.htm.
1 Thomas Jefferson, Note in Destutt de Tracy, "Treatise on Political Economy," in The Writings of Thomas Jefferson, Washington, D.C.: The Thomas Jefferson Memorial Association, 1904, 14:465.
2 These include the Chief Financial Officers Act, the Government Management Reform Act, and the Clinger-Cohen Act.
3 They include, for example, the Department's Drug Control Strategic Plan, Five-Year Financial Management Plan, and the strategic plans of the FBI, DEA, USMS, INS and BOP. In addition, the Department prepares annual performance plans and reports.
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
CHAPTER I
CRIME AND JUSTICE IN AMERICA:
AN OVERVIEW OF RECENT TRENDS AND
EMERGING CHALLENGES (4)
As the nation embarks on a new century, it is useful to look at the major developments in crime and justice over the past 30 years in order to see both where we have come and where we may be headed. This section of the plan briefly describes these major developments, focusing on broad nationwide trends and issues. In addition, it attempts to look into the near term future to identify key conditions that are likely to impact crime and justice over the next five years and which have particular implications for the Department's strategic approach.
Reversing the Upward Trend of Crime
Since the mid 1990s there has been a remarkable and sustained reduction in the nation's rate of serious violent crime. As figure 2 shows, all of the leading measures of crime indicate a steady decline.
Not long ago, the picture was not so bright. In the 1960s, the generally downward course that crime rates had followed since the 1930s came to an end. The use of illegal drugs began to be more widespread, and governments at all levels responded aggressively by strengthening enforcement efforts against drug law violators, attempting to block illegal drugs at the borders, working with other countries to dismantle the criminal organizations that manufacture and distribute drugs, and mounting efforts to reduce demand for drugs. In addition, serious crimes, including violent ones, committed by young people began to increase at a fast rate. By the late 1980s, violent crime committed by young people had reached epidemic proportions. This was tied in part to a growing market for cocaine and especially its derivative, crack, in the 1980s and by the easy availability of guns.
As crime escalated, the police made more arrests; lawmakers began passing tougher laws; the number of cases prosecuted by the courts increased; and the number of people in prisons or jails, or under probation and parole supervision, reached historic highs. Over time, there were widespread changes in policies regarding crime and criminals, the resources invested in fighting crime, and the institutions that we rely upon to prevent crime and enforce the law. Foremost among these changes were the following developments:
Figure 2
To view data, click on the chart.
Source: Bureau of Justice Statistics, National Crime Victimization
Survey FBI, Uniform Crime Reports, Crime in the United StatesNote: The serious violent crimes included are rape, robbery, aggravated
assault, and homicide. Because of changes made to the victimization
survey, data prior to 1992 are adjusted to make them comparable
to data collected under the re-designed methodology. Estimates for
1993 and beyond are based on collection year while earlier
estimates are based on data year.
crime, and the institutions that we rely upon to prevent crime and enforce the law. Foremost among these changes were the following developments:
A More Coordinated National Effort. In 1968, Congress passed the Safe Streets Act. This watershed event marked a key step toward defining the Federal Government's responsibility for carrying out a coordinated national fight against crime. For the first time, the Department was authorized to provide federal financial assistance to strengthen and improve state and local criminal and juvenile justice systems.
After declining precipitously in the early 1980s, federal financial assistance has increased significantly in recent years. It has helped states, localities, and others adopt innovative and promising practices in a wide variety of program areas, including community policing, domestic violence, and victim assistance. At the federal level, it has helped develop and disseminate new knowledge about crime, delinquency and the criminal and juvenile justice systems.
During this same time period, the Federal Government, and specifically the Department, began to increasingly invoke federal laws and resources to tackle sophisticated criminal organizations and serious offenders. It formed numerous multijurisdictional partnerships with state and local law enforcement, and supported improved information-sharing efforts among criminal justice agencies. In the 1990s, these collaborative partnerships among federal, state, and local law enforcement agencies were strengthened and expanded. For example, U.S. Attorneys are more and more playing instrumental roles in working with state and local law enforcement to define district-level priorities and develop coordinated strategies.
A More Collaborative Approach.. Since the late 1980s, criminal and juvenile justice agencies have relied increasingly on partnerships not only with other government agencies but also with community-based organizations (including schools, churches, social service providers, health care agencies, victim advocacy groups, and the business community) to address specific crime and delinquency problems at the local level. In part, these interdisciplinary and interagency collaborations are a response to the growing awareness that the causes and correlates of crime and delinquency are far too numerous and complex for any one agency to address single-handedly, and that effective solutions must involve more than a law enforcement response.
Stronger, Better-Prepared Criminal Justice Agencies. Criminal justice capabilities of all levels of government have been significantly strengthened over the past three decades, largely as the result of increased spending for criminal justice purposes (figure 3). Today, law enforcement and other justice agencies are better staffed, better trained and better equipped than they were 30 years ago. Most have also been able to modernize
Figure 3
To view data, click on the chart.
Source: Bureau of Justice Statistics,
Justice Expenditure and Employment Abstracts
by automating and enhancing their records and data systems, improving communications, upgrading forensic capabilities, and introducing computerized mapping and other analytic techniques. At the federal level, there have been similar improvements. For example, the FBI has upgraded its National Crime Information Center (NCIC), introduced a new Integrated Automated Fingerprint Identification System (IAFIS), and developed the Combined DNA Index System (CODIS) for matching DNA profiles of suspected offenders.
Community Policing. During the 1970s, most police executives pursued a strategy of insulating their agencies from politics and the community to create independent, autonomous policing organizations that merely "enforced the law" impartially. However, problems with drugs, guns, gangs, public disorder, and other crime-related conditions continued unabated or increased. As a result, beginning in the 1980s more and more agencies shifted to a community policing model. With community policing, law enforcement officers work closely with local community groups, government agencies, and nongovernmental organizations, e.g., youth groups, to identify and solve problems collaboratively. Today, community policing has been adopted by most of the nation's larger law enforcement agencies and its core concepts are increasingly being applied to other areas of the criminal justice system, including prosecution, courts and corrections. This "community justice" movement is diminishing the distance between the police, prosecutors and other justice officials, and the communities they serve; helping restore and strengthen communal bonds; and bringing a wider range of resources to bear on solving specific community problems.
Combating Gun Violence. In the 1990s, the Federal Government, as well as many states, adopted a more aggressive approach to gun control. The Brady Handgun Violence Prevention Act required background checks during a five-day waiting period before the purchase of a handgun and the FBI established a National Instant Criminal Background Check System. By the end of 1999, more than half a million applicants with criminal records or other disqualifying conditions, had been denied the purchase of a firearm by the FBI or state and local agencies. (5) Since 1993, the use of firearms in the commission of crimes has declined, falling to levels last experienced in the 1980s. (6)
Involving Victims. A movement to focus on the needs of crime victims began to gather strength in the late 1970s. In 1984, the federal Victims of Crime Act established an Office for Victims of Crime in the Department. Over the ensuing years, jurisdictions throughout the country, many with federal support, have set up more and more victim-witness assistance programs to advocate for victims in the criminal justice system. A number of new national organizations and thousands of community-based groups have formed to assist special victim groups, including parents of murdered children, elderly victims, victims of drunk drivers, rapists, and batterers. Many states - - often through constitutional amendments - - have provided for additional victim services, including victim notification of the status of court proceedings, victim impact statements during sentencing hearings, and victim compensation for medical costs and lost earnings. In addition, the Violence Against Women Act, enacted in 1994, improved the response of the nation's criminal and civil justice systems to victims of domestic violence, sexual assault and stalking.
Sentencing Reform. The law, theory, and practice of criminal sentencing began to shift in the early 1970s. Faced with demands to "get tough on crime" in some quarters and to eliminate what was thought to be unequal justice in others, legislatures began curtailing judicial discretion and prescribing mandatory prison sentences for particular classes of offenses, e.g., drug sales and gun violations, and for particular types of offenders, e.g., repeat offenders. At the federal level, the Sentencing Reform Act of 1984 established federal sentencing guidelines requiring mandatory prison terms for certain offenses. It also abolished federal parole. This sterner mood was also evident in the return of the death penalty in the mid 1970s. By the end of 1998, 38 states and the Federal Government had statutes authorizing imposition of the death penalty in certain capital cases. (7) In 1999, 98 persons were executed, the highest number since the early 1950s. (8)
Incarceration of Offenders. The changes in sentencing laws, and the more aggressive approach to drug law enforcement, have had a profound impact on the nation's prisons and jails. By 1999, about 1.8 million persons were incarcerated - - an all-time high. Incarceration rates have risen sharply - - from one in every 218 U.S. residents in 1990, to one in every 147 at midyear 1999. During this same time period, federal, state and local governments have had to accommodate an additional 83,743 inmates per year. (9) To meet the needs for prison and jail space, a number of new prisons and jails have been constructed. In addition, several private firms have begun to offer correctional services.
A Changing World
The Department's strategic direction for fiscal years 2000-2005 builds on these developments in the nation's justice system. It also recognizes that, despite recent successes, the challenges ahead are formidable. Many of the issues that have occupied our time and attention the past several decades will continue but their shape and prevalence will be influenced by a changing external environment. In addition, new issues, some impossible to fully discern at present, will emerge. Two trends that will significantly affect the crime and justice challenges we face in the coming five years are largely visible now: globalization and technology.
Globalization. The world is a smaller place. People, goods, and capital increasingly flow with ease across territorial borders. These developments provide many benefits, including increased trade. At the same time, they present new opportunities for criminal acts and new threats to safety and security. These opportunities and threats include, for example, smuggling illegal drugs, weapons and people; trafficking in endangered species; using illegal offshore tax havens; and engaging in money laundering schemes. Of special concern is the growing potential for terrorist attacks and the proliferation of weapons of mass destruction.
For the Department, the trend toward globalization has already had profound effects. We have emphasized international partnerships in dealing with issues ranging from immigration and drug control to antitrust enforcement and the environment. We have pursued a variety of approaches to strengthening international cooperation. These include participating in the International Police Organization (INTERPOL); entering into mutual legal assistance treaties and other international agreements; providing training and technical assistance to foreign counterparts; and supporting bilateral and multilateral initiatives. In the years ahead, we anticipate that the Department's work will take on even more of an international dimension.
Advances in Science and Technology. Rapid developments in technology are radically changing almost every facet of life. They are altering the way we do business and conduct government, speeding communications, expanding opportunities for cultural and political expression, and greatly increasing access to a wealth of information and services. More and more, almost anyone can connect to a worldwide communications network at anytime and from anyplace.
But the benefits of an increasingly technology-dependent and interconnected world are accompanied by new challenges, including issues of privacy, security, and accessibility. Technology is also providing new opportunities for crime, including crimes such as fraud, theft of intellectual property, price fixing, and child pornography. At the same time, our reliance on interconnected information technology infrastructures is making us vulnerable to possible terrorist attacks on these infrastructures.
For the Department, staying abreast with, and taking advantage of, the technology revolution is especially critical. It affects every area of our work - - from our attorneys who will deal with the complex legal issues technology raises and our law enforcement personnel who increasingly depend on technological tools and resources to detect and investigate crimes, to our immigration officers who rely on technology to provide timely information and services. Advances in DNA and other forensic technologies, for example, have already significantly impacted law enforcement and prosecutorial activities.
The success the Department has in accomplishing its mission over the next five years depends greatly upon its ability to anticipate and utilize the scientific and technological advances sweeping the globe. In addition to continuing breakthroughs in information technology, these are likely to include developments in biotechnology and bioengineering (such as the decoding of the human genome), and nanotechnology (the ability to manipulate matter at the atomic and molecular level).
Perhaps most daunting is simply the pace with which technology is advancing. The Department must prepare for these future developments. At the same time, it must ensure that it has an advanced, robust and reliable information infrastructure able to support its mission and provide the level of service citizens have a right to expect.
Key Crime and Justice Challenges Over the Next Five Years
Globalization and scientific and technological advances are overarching trends that will affect virtually every aspect of the Department's work in the years ahead - - whether in the criminal justice arena, in administering the immigration laws, or in ensuring competitive practices in the new global economy. Some of the specific issues we expect to focus on include:
Terrorism. Although terrorist incidents within the United States have been rare, the bombings of the World Trade Center in New York City and the Murrah Federal Building in Oklahoma City demonstrate the nation's vulnerability to such crimes. In the coming years, the terrorist threat is likely to increase. Improved transportation and telecommunications technologies and rapid advances in the miniaturization of electrical and mechanical devices make it easier for both amateurs and sophisticated organizations to plan and carry out attacks on people and property. At the same time, possible attacks on information infrastructures and the emerging threats of chemical, biological, radiological, and nuclear weapons, make the potential consequences of terrorism more dire.
Worldwide Drug Trafficking. The supply and trafficking of illegal drugs into the United States continue to be fueled by a number of international and transnational drug trafficking organizations, many of which have amassed vast financial resources, are well-organized, extremely sophisticated, and use deadly violence to further their criminal aims. Despite successes against the Cali and Medellin cartels, a diverse group of smaller, more specialized and entrepreneurial Colombian drug rings and Mexican and Caribbean transportation organizations has emerged to fill the void left by their collapse.
Violence. Violence is still far too prevalent in American communities. Young people are especially at risk, both as potential victims and perpetrators of violent acts. American Indians are twice as likely as other U.S. residents to be victims of violent crime. (10) Firearms are used in about one-fourth of all violent crimes - - and 65 percent of all homicides. (11) About 30 percent of all female murder victims are killed by their intimate partners. (12)
White Collar/Economic Crimes. With the information technology revolution, opportunities for white collar crime increase. White collar crime inflicts both financial and social costs. Health care fraud, for example, not only siphons off billions of dollars paid out for fraudulent claims but also may disguise inadequate and improper treatment of patients, which poses a threat to the health and safety of Americans, including those most vulnerable members of our society. Antitrust violations harm American consumers, and environmental crimes threaten our natural world, including the air we breathe and the water we drink.
Substance Abuse and Crime. Research suggests that there is a clear nexus between substance abuse and crime. In 1997, three-quarters of state and federal prison inmates reported being involved with alcohol or drug abuse in the time leading up to their arrest. (13) More than 36 percent of all convicted adult offenders under the jurisdiction of probation authorities, prisons, jails, or parole agencies in 1996 had been drinking at the time of their offense. (14) Of special concern for the future is the continuing and regular use of drugs by a minority of "hard core" users who are criminally involved. (15) For the many offenders likely to be returning to their communities in the coming years, breaking the cycle between substance abuse and crime is critical to increasing their chances of successful reintegration.
Immigration. The increasing ease of worldwide transportation and communications and the globalization of the economy, are adding to immigration pressures. Whether to work, study, seek refuge from persecution, or simply visit, we can expect more and more people will enter this country lawfully. Providing high quality customer service to these many lawful immigrants will be a significant challenge. At the same time, we can expect that many persons will enter the United States illegally. Controlling our borders, thwarting organized alien smuggling rings, and identifying and deporting those here illegally, especially those who commit crimes, will be priorities.
Civil Rights/Hate Crimes. The increasing racial, cultural, and ethnic diversity of our society makes it all the more critical that the civil rights of all Americans are protected. This includes combating those crimes that are motivated by hatred against a particular group; promoting mutual tolerance; and ensuring that the institutions of justice are themselves fair, impartial, and free of bias.
The American people rightfully look to the Federal Government, and specifically the Department of Justice, to provide leadership in meeting these and other challenges. The strategic goals, objectives, and strategies described in Chapter II of this plan provide our roadmap for doing so.
4This chapter is based in part on an unpublished paper prepared by Abt Associates for the National Institute of Justice.
5 Gifford, Lea S., Devon B. Adams, and Gene Lauver, Background Checks for Firearm Transfers, 1999, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, June 2000.
6Federal Bureau of Investigation, Crime in the United States, Washington, D.C.: U.S. Department of Justice, Federal Bureau of Investigation, annually.
7Snell, Tracy L., Capital Punishment 1998, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, December 1999.
8Bureau of Justice Statistics, Capital Punishment Facts at a Glance, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics. Online. Available: http://www.ojp.usdoj.gov/bjs/glance/exe.htm, January 20, 2000.
9Beck, Allen J., Prison and Jail Inmates at Midyear 1999, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, April 2000.
10 Greenfeld, Lawrence A. and Steven K. Smith, American Indians and Crime, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, February 1999.
11Federal Bureau of Investigation, Crime in the United States, 1998, Washington, D.C.: U.S. Department of Justice, Federal Bureau of Investigation, October 1999.
12Rennison, Callie Marie and Sarah Welchans, Intimate Partner Violence, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, May 2000.
13Mumola, Christopher J., Substance Abuse and Treatment, State and Federal Prisoners, 1997, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, January 1999.
14Greenfeld, Lawrence A., Alcohol and Crime, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, April 1998.
15National Institute of Justice, 1998 Annual Report on Drug Use Among Adults and Juvenile Arrestees, Washington, D.C.: U.S. Department of Justice, National Institute of Justice, April 1999.
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
CHAPTER II
DEPARTMENT OF JUSTICE GOALS AND
OBJECTIVES: FISCAL YEARS 2000-2005
The strategic goals and objectives of the Department of Justice for fiscal years 2000-2005 are based on the Department's mission, a mission that is embedded in public law. Our goals and objectives are broad and long-term. Most involve the activities of more than one component organization of the Department. Many are undertaken in collaboration with, or the support of, other federal, state and local agencies.
Our goals and objectives reflect several major themes. These include:
Partnership. We are committed to continuing and strengthening collaborative efforts with other federal agencies, states and localities, tribal governments, community groups, foreign countries, and others. Since critical crime and justice issues almost always transcend traditional jurisdictional and functional boundaries, effective partnerships are a key ingredient to achieving results. In addition, recent advances in communications and transportation, the growth of the global economy, and the breakup of formerly totalitarian states, have underscored the transnational dimensions of the Department's work.
Leadership. We are committed to fulfilling our leadership responsibilities in forging a coordinated national and international response to crime and justice and assisting states, localities and tribal governments. We are also committed to targeting federal investigative and prosecutorial resources on those areas where they can have most strategic effect, for example, attacking multijurisdictional criminal enterprises, or where the Federal Government has lead responsibility, for example, preventing and investigating terrorist threats.
Preparedness. We are committed to maintaining a high-level capability to deter and respond quickly to newly emerging crime threats, including those threats posed by the new technology. Preparedness involves attention to core infrastructure needs to ensure that adequate skills, tools, and processes are in place for meeting the new challenges of the 21st century.
Institutional Integrity. We are committed to preserving and enhancing the integrity and trustworthiness of not only the Department, but the nation's justice system as a whole.
To provide the reader a quick overview, our strategic goals and objectives are listed on the following pages.
Goal 1: KEEP AMERICA SAFE BY ENFORCING FEDERAL CRIMINAL LAWS
Objective 1.1 VIOLENT CRIME
Reduce the threat, incidence, and prevalence of violent crime, especially as it stems from organized criminal enterprises and drug and gang-related violence.
Objective 1.2 DRUGS
Reduce the threat and trafficking of illegal drugs by identifying, disrupting, and dismantling drug trafficking organizations which are international, multijurisdictional, or have an identified local impact.
Objective 1.3 ESPIONAGE
Deter and detect espionage against the United States by strengthening counterintelligence capabilities.
Objective 1.4 TERRORISM
Deter and detect terrorist incidents by developing maximum intelligence and investigative capability.
Objective 1.5 WHITE COLLAR CRIME
Reduce white collar crime, including public corruption, in order to minimize its negative social and economic impacts.
Goal 2: PREVENT AND REDUCE CRIME AND VIOLENCE BY ASSISTING STATE,TRIBAL, LOCAL AND COMMUNITY-BASED PROGRAMS
Objective 2.1 LAW ENFORCEMENT
Improve the crime fighting and criminal justice system capabilities of state, tribal, and local governments.
Objective 2.2 JUVENILE JUSTICE
Reduce youth crime and victimization through targeted programs that emphasize both prevention and enforcement.
Objective 2.3 SUBSTANCE ABUSE
Break the cycle of substance abuse and crime through testing, treatment and sanctions.
Objective 2.4 VICTIMS OF CRIME
Uphold the rights of, and improve services to, America's crime victims.
Objective 2.5 COMMUNITY SERVICES
Support innovative, community-based programs aimed at reducing crime and violence in our communities.
Goal 3: PROTECT THE RIGHTS AND INTEREST OF THE AMERICAN PEOPLE BY LEGAL REPRESENTATION, ENFORCEMENT OF FEDERAL LAWS AND DEFENSE OF U.S. INTERESTS
Objective 3.1 CIVIL RIGHTS
Uphold the civil rights of all Americans through enforcement of, and education about, federal civil rights laws and protections.
Objective 3.2 ENVIRONMENT
Enforce and defend federal environmental laws and programs across our land, including Indian Country, by investigating and litigating environmental and natural resources violations and issues.
Objective 3.3 ANTITRUST LAWS
Promote competition in the United States economy through enforcement of, improvements to, and education about, antitrust laws and principles.
Objective 3.4 TAX LAWS
Promote the fair, correct and uniform enforcement of the federal tax laws and the collection of the tax debts to protect the federal fisc from unjustified claims.
Objective 3.5 CIVIL LAWS
Effectively represent the United States in all civil matters for which the Department of Justice has jurisdiction.
Goal 4: FAIRLY AND EFFECTIVELY ADMINISTER THE IMMIGRATION AND NATURALIZATION LAWS OF THE UNITED STATES
Objective 4.1 IMMIGRATION INFORMATION SERVICES
Provide accurate, easy-to-use, readily accessible, and up-to-date information which meets the needs of internal and external customers.
Objective 4.2 IMMIGRATION BENEFITS SERVICES
Deliver services to the public in a professional and courteous manner and ensure that correct immigration benefit decisions are made in a timely and consistent fashion.
Objective 4.3 BORDER ENFORCEMENT
Secure the ports-of-entry, land border and coast of the United States against unlawful entry.
Objective 4.4 BORDER FACILITATION
Facilitate lawful travel and commerce across the borders of the United States.
Objective 4.5 INTERIOR ENFORCEMENT
Preserve the integrity of the legal immigration system and promote public safety and national security by deterring illegal immigration, combating immigration-related crimes and removing individuals, especially criminals, who are unlawfully present in the United States.
Objective 4.6 IMMIGRATION INFRASTRUCTURE
Ensure the effective and efficient operational capability of the INS workforce.
Objective 4.7 ADJUDICATION
Adjudicate all immigration cases in a timely manner while ensuring due process and fair treatment for all parties.
Goal 5: PROTECT AMERICAN SOCIETY BY PROVIDING FOR THE SAFE, HUMANE AND SECURE CONFINEMENT OF PERSONS IN FEDERAL CUSTODY
Objective 5.1 DETENTION
Provide for the safe, secure and humane confinement of persons who are detained while awaiting trial or sentencing, a hearing on their immigration status, or deportation.
Objective 5.2 PRISON CAPACITY
Ensure that sufficient prison capacity exists so that violent and other serious criminal offenders are imprisoned to the fullest extent of the law.
Objective 5.3 PRISON OPERATION
Maintain and operate the Federal Prison System in a safe, secure, humane and efficient manner.
Objective 5.4 INMATE SERVICES
Provide services and programs to meet critical inmate needs and facilitate their successful reintegration into society, consistent with community expectations and standards.
Goal 6: PROTECT THE FEDERAL JUDICIARY AND PROVIDE CRITICAL SUPPORT TO THE FEDERAL JUSTICE SYSTEM TO ENSURE IT OPERATES EFFECTIVELY
Objective 6.1 PROTECTING THE JUDICIARY
Protect judges, witnesses and other participants in federal judicial proceedings and ensure the safe and secure operation of the federal court system.
Objective 6.2 FUGITIVES
Apprehend fugitives from justice.
Objective 6.3 VICTIMS AND WITNESSES
Meet the needs of, and uphold the rights of, victims and witnesses of federal crimes.
Objective 6.4 BANKRUPTCY
Protect the integrity and ensure the effective operation of the nation's bankruptcy system.
Goal 7: ENSURE EXCELLENCE, ACCOUNTABILITY AND INTEGRITY IN THE MANAGEMENT AND CONDUCT OF DEPARTMENT OF JUSTICE PROGRAMS
Objective 7.1 INTEGRITY
Foster integrity, strengthen management accountability, and promote efficiency and effectiveness to ensure public trust and confidence in Department of Justice programs.
Objective 7.2 FINANCIAL MANAGEMENT
Improve the effectiveness of Department of Justice operations by strengthening and enforcing controls over assets, improving the usefulness and reliability of financial data for planning and reporting, and maximizing the use of available resources in accomplishing programmatic missions.
Objective 7.3 INFORMATION TECHNOLOGY
Make effective use of information technology (IT).
Objective 7.4 HUMAN RESOURCES
Strengthen human resource recruitment and retention efforts and provide for a workforce that is skilled, diverse, and committed to excellence.
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
GOAL 1: KEEP AMERICA SAFE BY ENFORCING FEDERAL CRIMINAL LAWS
Keeping America safe by deterring, investigating, and prosecuting violations of federal criminal laws is at the heart of our Strategic Plan. It is a key mission element. The Department focuses on combating those crimes that most threaten the fabric and security of American society and for which the Department has particular jurisdiction and unique competencies. Goal One outlines the Department's strategic objectives in reducing violent crime; identifying, disrupting and dismantling major drug trafficking organizations; preventing and defeating espionage against the United States; preventing and defeating terrorist threats; and reducing white collar crime, including public corruption. The Justice components that share primary responsibility for this strategic goal include: the U.S. Attorneys (USAs), the Federal Bureau of Investigation (FBI), the Drug Enforcement Administration (DEA), and the Criminal, Antitrust, Environment and Tax Divisions.
Strategic Objective 1.1 VIOLENT CRIME - - Reduce the threat, incidence, and prevalence of violent crime, especially as it stems from organized criminal enterprises and drug and gang-related violence.
Organized criminal enterprises consist of both traditional and non-traditional crime groups. While the traditional groups operate with an hierarchical organization, the non-traditional groups operate more like street gangs. Traditional criminal enterprises of the various La Cosa Nostra (LCN) families focus on making money through illegal activities, including the various racketeering crimes (narcotics trafficking, fraud, money laundering, extortion, gambling, arson, counterfeiting, and prostitution) and maintaining and enforcing the LCN's power through murder and intimidation. Non-traditional organized crime groups from Russia, Eastern Europe, Asia, Central and South America, Africa and many other parts of the world have begun to operate effectively and very dangerously in the United States. These groups have flourished in the drug underworld and have employed violent means to establish themselves. They include terrorist groups that are involved in terrorist and related fund-raising activities.
The threat posed by the LCN to American society is two-fold. First, is the sheer amount of criminal activity it generates, ranging from drug trafficking to theft, loan-sharking, white collar schemes and racketeering. According to law enforcement estimates, annual losses attributable to the LCN are estimated to be more than $100 billion, much of which is passed on to consumers as higher prices for goods and services. Second, is the LCN's ability to corrupt public officials. It is this ability that is one of the defining factors separating "organized crime" from violent street gangs and other criminal activity. Corruption provides protection for the organization, shields its leadership from prosecutions, and creates a circle of self-perpetuating criminal activity.
Members of violent street gangs frequently engage in drug trafficking activities and often use firearms in the commission of their crimes. These violent street gangs are taking over parts of cities, flooding streets with drugs, and terrorizing and killing innocent people. An emerging problem is with gangs comprised of older, more experienced and hardened criminals that have formed networks with counterparts across the nation. These gangs are more violent than their predecessors and their criminal activities are far more sophisticated.
In a recent survey on gang activities conducted by the National Drug Intelligence Center, 85 percent of the law enforcement agencies responding reported that gangs were active within their jurisdiction. These reporting agencies identified more than 13,700 gangs and 750,000 gang members. While gang membership is difficult to estimate, experts agree that the numbers are much higher than they were a decade ago. Among the disturbing trends noted in the survey is the increase in the possession of guns by gang members. Despite the fact that the incidence of gun violence has declined and federal prosecutions for firearms offenses have increased, gun violence remains a serious concern. Although the Brady Act has been effective in denying the sale of guns to more than 500,000 felons, fugitives, and other persons prohibited from possessing firearms, all too often guns are in the wrong hands. Every day in the United States, 93 people die of gunshot wounds either accidentally or intentionally inflicted.
Strategies to Achieve the Objective
Target specific organized criminal enterprises to eliminate their power and influence in America.
The Department will continue to identify, penetrate and dismantle major criminal enterprises by establishing a proactive investigative effort so that real progress is made toward reducing the influence of all organized criminal enterprises (OCE's). For the traditional well-entrenched organizations, LCN and International Organized Crime (IOC), our strategy is to identify the two most significant IOC organizations operating in the United States; identify their structure, hierarchy, and operations; initiate joint investigations designed to curtail the emergence of IOC; and ensure that IOC does not replace the LCN as the most significant organized crime threat. Addressing the threat posed by the Eurasian Criminal Enterprises (ECEs) requires a dual strategy. It involves neutralizing those identified ECEs that have the potential to engage in complex criminal conspiracies with the potential to inflict substantial harm to American economic interests, and assisting vulnerable foreign governments to build their own investigative capacity to prevent these criminal organizations from establishing a foothold or reducing the places within which ECE can freely operate. Regarding Asian Criminal Enterprises (ACEs), our strategy is to concentrate on identifying the most significant groups, their leadership, and their scope and territory of criminal activity.
Target, investigate, and prosecute the most violent gangs in our cities and communities.
The Department has categorized the universe of these violent gangs into seven specific target groups including the outlaw motorcycle gangs, other domestic violent gangs, prison gangs, the People Nation, the Folk Nation, the Crips, and the Bloods. The gangs identified have many resources at their disposal with a distinct capacity to cross multijurisdictional boundaries. The Department's strategy is to provide the necessary leadership and to coordinate the investigative and prosecutorial activities with the appropriate law enforcement authorities across federal, state and local and international levels of government. Often local law enforcement lacks the resources and capabilities to deal with this level of criminal activity. Gang members migrate between cities and communities around the country to avoid apprehension and prosecution, escape retribution of rival gang members, establish new criminal markets and move their families for protection.
Implement gun violence reduction strategies in each of the 94 federal judicial districts.
The U.S. Attorneys' offices (USAOs), in conjunction with the Treasury Department's Bureau of Alcohol, Tobacco and Firearms (ATF), other Justice components, and state and local law enforcement, have developed and are carrying out comprehensive, locally-driven gun violence reduction initiatives in each of the 94 federal judicial districts across the United States. Each district has assessed the nature and scope of its gun violence problem and developed a gun violence reduction strategy tailored to its particular needs and resources, incorporating both enforcement and prevention programs.
Strengthen our nationwide capability to quickly and effectively respond to incidents of crimes against children.
The Department will continue to provide leadership and technical program support to ensure that our nationwide capacity to quickly and effectively respond to all incidents of crimes against children is strengthened. The Department has initiated several major programs to combat crimes against children, undertaking efforts in close cooperation with local, state, and federal law enforcement agencies. For example, the FBI's National Crime Information Center (NCIC) system now allows state and local law enforcement agencies to "flag" entries to its computerized system when a child is missing under suspicious circumstances or may be in danger. NCIC promptly relays this information to the National Center for Missing and Exploited Children (NCMEC), a non-federal agency that has done landmark work to help endangered children. The Department also continues to support the National Sex Offender Registry (NSOR). Additionally, the Department's Criminal Division serves as the legal advisor to the Internet Crime against Children Task Forces being funded by a grant program from the Office of Juvenile Justice and Delinquency Prevention (OJJDP).
Provide operational enforcement assistance and training to tribal governments.
The Department will continue to provide both training and direct investigative and prosecutorial assistance to tribal governments. For example, the USAs have designated Assistant U.S. Attorneys as tribal liaisons to work cooperatively with tribal police, prosecutors, and judges. The FBI has placed agents in Indian Country and created an Office of Indian Country Investigations to help with investigations of violent crime and to facilitate training for investigators working to combat crime problems in Indian Country.
Promote increased cooperation with foreign law enforcement authorities.
The Department will continue to improve international cooperation against violent and organized crime through enhanced liaison and international training and technical assistance activities. It will also strongly support and expand efforts to use Mutual Legal Assistance Treaties as means to acquire evidence and other assistance from foreign countries.
Key Crosscutting Programs
Asset Forfeiture Program. The Department's Asset Forfeiture Program (AFP) is a nationwide law enforcement program that continues to be an effective and powerful weapon in the Department's fight against crime. The primary mission of the AFP is to maximize the effectiveness of forfeiture as a deterrent to crime. Illegal organizations - - large and small - - are enhanced by the profits and proceeds obtained through such illicit activity. The AFP is committed to destroying criminal organizations by means of depriving drug traffickers, racketeers, and other criminal syndicates of their ill-gotten proceeds and the instrumentalities of their trade. The AFP includes training to educate federal, state and local forfeiture prosecutors and investigators in ways to enhance the expertise needed to integrate forfeiture into every investigation and prosecution appropriately. The Department encourages federal, state, and local law enforcement cooperation by sharing the proceeds of a forfeiture with the state or local law enforcement agency that participates in an investigation which results in a forfeiture.
Strategic Objective 1.2 DRUGS - - Reduce the threat and trafficking of illegal drugs by identifying, disrupting and dismantling drug trafficking organizations which are international, multijurisdictional, or have an identified local impact.
Drug abuse and drug trafficking remain among the most serious challenges facing the nation. Foreign-based, sophisticated and well-financed criminal organizations are responsible for bringing most illegal drugs to the streets of the United States, and the trafficking of these drugs is a significant factor in the crime that occurs in our communities. As a result of extensive and effective law enforcement operations in both the United States and Colombia, many of the notorious drug trafficking cartels, such as those formerly operating out of Medellin and Cali, have been dismantled and all but cease to exist as transnational criminal organizations. Unfortunately, while the cartels of the 1980s and early 1990s have disappeared, they have been replaced by smaller entrepreneurial criminal organizations whose collective trafficking activities equal or exceed those of the cartels. Whereas in prior years the cartels would smuggle illicit drugs directly into the United States and conduct wholesale distribution activities and repatriation of proceeds within the United States, today the Colombia-based trafficking organizations have diversified their activities. Colombian organizations continue to distribute heroin east of the Mississippi, often with the assistance of dealers from the Dominican Republic. However, Mexico-based traffickers, who control much of the heroin trade west of the Mississippi, are now viewed by the Colombians as competitors.
Law enforcement strategies to target the organizations that traffic in illicit drugs must address a variety of smuggling and production efforts.
- - Cocaine and heroin are produced entirely outside the United States and smuggled into this country, largely over our southern border. Approximately three-quarters of the world supply of cocaine is produced in Colombia. While the majority of worldwide heroin production is located in countries that are virtually immune to United States influence - - particularly Burma (Myanmar) and Afghanistan - - the primary source of heroin sold in the United States is Colombia and Mexico.
- - Although methamphetamine is smuggled into the United States, much is also manufactured in thousands of clandestine laboratories primarily located in California and the Midwest. Not long ago, clandestine laboratory operators treated their recipes for methamphetamine as valuable secrets; now, recipes for making methamphetamine are available on the Internet. In addition, Mexican trafficking groups are now manufacturing large amounts of methamphetamine in "super" labs located in California and Mexico.
- - Most marijuana available in the United States is produced in Mexico and South America and smuggled across the southwest border. However, marijuana continues to be cultivated in the United States, often indoors. Over the past two decades, while the average tetrahydrocannabinol (THC) content of commercial-grade marijuana increased from 2 to 5 percent, the increase in THC potency of marijuana cultivated indoor was staggering, rising from 3.2 percent in 1977 to an average 12.8 percent in 1997.
The Department focuses its law enforcement efforts on disrupting and dismantling the drug trafficking organizations and their members that supply and distribute the wholesale quantities of illicit drugs, as well as the individual drug traffickers who sell drugs on the streets of America. Over many years, the Department has developed and will continue an integrated approach to attacking the international organizations that use sophisticated mechanisms to distribute drugs, as well as the local trafficking organizations that prey on communities.
Strategies to Achieve the Objective
Coordinate domestic and foreign strategic intelligence information from all sources, including the law enforcement agencies, intelligence community, and financial databases.
The Department has long recognized the need to focus its limited federal drug enforcement resources in order to achieve any lasting success against the large, well-financed, and sophisticated criminal organizations that were responsible for bringing most illegal drugs into the United States and distributing them once they got here. Such strategic targeting and coordination of national-level drug investigations and prosecutions is accomplished by the Special Operations Division (SOD).
The SOD is a multiagency national law enforcement coordinating entity comprised of agents, analysts, and prosecutors from DEA, the FBI, the USCS, and the Department's Criminal Division. The mission of SOD is to coordinate and support regional and national-level criminal investigations and prosecutions against the major drug trafficking organizations threatening the United States, particularly the major transnational criminal drug trafficking organizations operating along either side of the U.S.-Mexico land border, as well as major Colombian drug trafficking organizations.
To fulfill its mission, the SOD works closely with the Organized Crime Drug Enforcement Task Force (OCDETF) program, the High Intensity Drug Trafficking Area (HIDTA) program, and USAOs across the country. The SOD routinely performs its mission seamlessly across both investigative agency and district jurisdictional boundaries.
The timely exchange of investigative information and intelligence is critical to the success of the SOD mission. SOD has achieved dramatic successes in coordinating and supporting law enforcement operations to dismantle and destroy national and international drug trafficking organizations. We expect continued expansion in the accomplishments from SOD with the recent inclusion of the Internal Revenue Service's (IRS) Criminal Investigative Division and the establishment of a financial investigative section at SOD.
Strategically target drug traffickers and their organizations through OCDETF or equally complex investigations, using asset forfeiture as well as other tools when appropriate, and investigate and prosecute the movement of drug proceeds into, within, and out of the United States.
The Department's counternarcotics strategy is built around the recognition that the best way to attack sophisticated narcotics trafficking and money laundering organizations and their attendant criminal activity (e.g., corruption, violent crime, organized crime and tax evasion), is through the use of a coordinated, interagency, task force approach. The Department implements this strategy in several ways. The Department's long-standing OCDETF program, with its nine federal law enforcement agencies, is one example. The OCDETF program uses its wide range of agency expertise, experience, and capabilities to disrupt and dismantle the highest level drug trafficking organizations. More recently, the Departments of Justice and Treasury created the above-mentioned Special Operations Division (SOD), a multiagency national law enforcement entity composed of agents, analysts, and prosecutors from both departments which coordinates in the neighborhood of 20 major national and international investigations each year.
Both the Departments of Justice and the Treasury are committed to identifying and attacking money laundering through a coordinated national approach targeting specified sectors of the financial system. In 1999, the two agencies, along with federal regulators and the Postal Inspection Service, announced a joint National Money Laundering Strategy. Through this approach, a particular financial sector is targeted to reduce its money laundering potential. Coordinating the use of asset forfeiture in our efforts to combat drug trafficking is also critical. Through the appropriate use of asset forfeiture, the Department attacks the economic infrastructure of criminal organizations to take the profit out of drug trafficking and deprive the criminals of the ill-gotten gains which are needed to operate and expand their enterprises.
Develop and implement under the guidance of each U.S. Attorney, a district drug enforcement strategy.
The harm caused to our cities and towns by local drug trafficking organizations must be addressed at the community level, (16) and the Department, through the U.S. Attorney in each district, leads these efforts. By bringing together the federal, state, and local law enforcement representatives in their districts, the USAs can draw upon the talents and experiences of each of the participating agencies. Whereas state and local law enforcement are likely to have the necessary strategic information and experience on local gangs, federal agents can utilize state-of-the-art investigative technology, witness security programs, and sophisticated laboratory analysis of evidence.
Reduce the domestic production of illegal drugs and the illegal diversion of precursor and essential chemicals.
Precursor and/or essential chemicals are crucial for manufacturing most illicit drugs sold on the streets of the United States. For example, the processes used to refine raw coca into powder cocaine and to produce methamphetamine require a variety of chemicals. The Department has two initiatives that target chemical distributors who are involved in diverting precursor and essential chemicals to the illicit marketplace. Operation Backtrack targets "rogue" chemical distribution companies who sell precursor chemicals. Operation Velocity supports investigations of domestic methamphetamine distribution groups and clandestine laboratory operators. The Department, through DEA's Domestic Cannabis Eradication and Suppression Program (DCE/SP), uses coordinated planning and operations to enhance the ability of federal, state, and local agencies to suppress cultivation of marijuana and increase crop destruction. Although domestic cultivation of cannabis requires the attention of all levels of government, the nature of domestic marijuana production places it primarily within the jurisdiction and capabilities of state and local authorities.
Support international cooperative efforts to investigate and prosecute major drug trafficking organizations and bilateral and multilateral initiatives to mobilize international efforts against illegal drug activities.
The growth of the global economy has unfortunately made it easier for drug traffickers to move across borders and ship their illegal goods. The Department seeks every opportunity to gain cooperation from other nations in its fight against major drug traffickers, through a variety of agreements and treaties, as well as on a face-to-face basis with its foreign law enforcement counterparts. One example is the DEA's successful operation of country attache offices in 57 foreign countries. Another example is the Department's Bilateral Case Initiative, which began as a mechanism through which the Department and Colombian law enforcement conducted an unprecedented effort to investigate and prosecute the most significant traffickers in Colombia and has now been expanded to other countries in the region.
Key Crosscutting Programs
OCDETF. The Department is responsible for the administration of the OCDETF program, which includes agencies both within the Department and other federal law enforcement agencies (DEA, FBI, USMS, USAO, INS, ATF, IRS, USCG, USCS). The purpose is to coordinate investigations against drug trafficking organizations which are international, multijurisdictional, or which have an identified local impact as well as organized criminal enterprises. It investigates cases along with state and local law enforcement agencies. The OCDETF Executive Office and the National High Intensity Drug Trafficking Area (HIDTA) Director's Office work collaboratively to ensure that HIDTA task forces are generating OCDETF-quality investigations targeting drug trafficking organizations which are international, multijurisdictional, or which have an identified local impact.
HIDTAs. The Anti-Drug Abuse Act of 1988 authorized the Director of the Office of National Drug Control Policy, in consultation with the Attorney General and the Secretary of the Treasury, to designate areas of the United States which exhibit serious drug trafficking problems and harmfully impact other areas of the country, as HIDTAs. The HIDTA program helps improve the efficiency and effectiveness of drug control efforts by facilitating cooperation between federal, state and local law enforcement and demand reduction agencies. Since 1990, 31 areas within the United States have been designated as HIDTAs.
High Intensity Financial Crimes Areas (HIFCAs). The Departments of Justice and the Treasury have designated the first four HIFCAs where high concentrations of money laundering and other related financial crimes exist and will coordinate federal, state and local law enforcement resources to identify and target money laundering within the HIFCA, either geographically or as a financial sector.
Maritime Drug Smuggling Investigations Program. The Departments of Justice and Transportation/U.S. Coast Guard (USCG) have worked together to set in place improved procedures that will enhance the prosecution of the maritime drug smuggling cases where United States forces participated in the apprehension of the perpetrators.
National Drug Threat Assessment. The National Drug Intelligence Center (NDIC) will prepare a "National Drug Threat Assessment" in the Fall of 2000, which will include information on the subjects of drugs, gang drug activity and drug related violence in the United States and the threat they pose to our society. This Assessment will synthesize intelligence from federal, state, regional, and local law enforcement agencies and from the Intelligence Community. The Threat Assessment will help policymakers and counterdrug executives make preemptive, rather than reactive, decisions by providing them with the most timely, comprehensive assessment possible, based on information collected from the most authoritative sources in the nation. In addition, NDIC will prepare nine Regional Drug Threat Assessments that correspond to the regions of the OCDETF Program.
The El Paso Intelligence Center (EPIC). EPIC is a multiagency intelligence program designed specifically to act as a clearinghouse for tactical drug-related intelligence. The coordination services provided by EPIC are information-based and draw on the expertise of staff from multiple federal agencies.
Strategic Objective 1.3 ESPIONAGE - - Deter and detect espionage against the United States by strengthening counterintelligence capabilities.
Foreign intelligence threats are planned, authorized and financed by foreign powers beyond our boundaries. Given the origin, nature, and constantly changing focus of these threats, they can never be completely eliminated. However, the success of foreign intelligence operations and the harm that they can potentially cause to the United States can be mitigated with effective counterintelligence and other appropriate action.
Over the past five years, the scope and nature of the foreign intelligence threat to the United States has expanded dramatically. Traditional country threats are targeted toward obtaining sensitive information on traditional U.S. targets, (i.e., national defense, military operations and policy, U.S. intelligence, and science and technology information). In addition, numerous non-traditional threats have emerged targeting similar information. Moreover, many of these intelligence threats have expanded their targeting to include other sectors affecting U.S. security, most notably sensitive economic information and proprietary technology information. Concurrently, they now have elaborate and sophisticated networks consisting of governmental and nongovernmental entities that are engaged in long-term efforts to obtain information. Further, rapid changes in technology have provided foreign intelligence threats with new, inexpensive and efficient means to target, collect and disseminate sensitive information. Intelligence operations against the United States are now far more fluid and complex than at any time in the past, making detection and prevention far more difficult.
Strategy to Achieve the Objective
Strengthen the Department's intelligence base and analytical capability to assess and respond to intelligence threats.
Knowledge about the intentions, methods, and capabilities of foreign intelligence threats must be expanded and the precise application of existing policies and guidelines to these threats must be reviewed, particularly with regard to those foreign powers conducting activities in previously atypical targeting areas. Quality human source information as well as timely FISA (Foreign Intelligence Surveillance Act) derived information and analysis are the bases of the foreign counterintelligence (FCI) program. Gaining such information will require strengthening cross-program sharing of information and expertise, improving surveillance capabilities and developing new technologies, including improved information management systems, to keep pace with the rapidly changing foreign intelligence threats. The Department also must improve its capacity to evaluate and anticipate threats posed by the intelligence activities of foreign powers. An increased emphasis on predictive analysis should produce operational intelligence products of broader scope and improved timeliness, as well as long-range, strategic FCI studies addressing the intelligence collection plans, methods, intentions, capabilities and personnel of foreign powers.
Key Crosscutting Programs
National Security List (NSL). The Department, in coordination with other elements of the Intelligence Community, engages in long-range analysis to identify and counter emerging threats. Foreign intelligence threats are investigated under NSL, which includes two categories of threats: Country threats and Issue threats. The concept of Country and Issue threats was established to focus our investigative efforts on those activities which are detrimental to U.S. interests and to provide sufficient resources to maximize our efforts against those that are the most significant.
Strategic Objective 1.4 TERRORISM - - Deter and detect terrorist incidents by developing maximum intelligence and investigative capability.
Dramatic changes in the international and domestic environments have produced credible and serious terrorist threats that were not present a few years ago. Each of these threats, which include efforts of international terrorists, the growing threat of the criminal use of weapons of mass destruction (WMD), and criminal acts perpetrated by domestic terrorists, presents the Department with a clear but difficult challenge. As a result of these emerging threats, the number of "players" capable of carrying out a devastating terrorist attack against the United States has increased.
One of the most alarming trends in terrorism today is the rise in the number of groups for which political or religious beliefs constitute sufficient motivation for terrorist attacks. To the individuals associated with and/or following the teachings of these groups, violence is often viewed as the most effective means to achieve their goals. These individuals feel it is their sacred duty to target broad groups perceived to be enemies, such as immigrants, Jews, blacks, U.S. citizens, and government workers. For many international terrorists, there is no incentive to moderate their violence. Rather, they believe that indiscriminate violence and mass casualties serve their ends by intimidating large population groups and fomenting societal instability.
In addition to these challenges, the rapid technological advancements of the information age have rendered crime-fighting efforts increasingly complex and opened new avenues for global criminal activities. All critical infrastructures now rely on computers, advanced telecommunications, and, to an ever increasing degree, the Internet, for system control and management, interaction with other infrastructures, and communications with suppliers and customers. The increasing interconnectedness of our critical infrastructures through cyberspace and information systems has created new vulnerabilities as criminals, terrorists, and foreign intelligence services are learning to exploit the power of cyber-tools and weapons. Our vulnerability is exacerbated by several factors. Most of our infrastructures rely on commercially available, off-the-shelf technology which means that a vulnerability in hardware or software is not limited to one organization, but is likely to be widespread. Infrastructures are increasingly interdependent and interconnected, making it difficult to predict the cascading effects that the disruption of one infrastructure would have on others.
Within the broad range of threats facing the Department, the following are the most significant:
Usama Bin Ladin (UBL) UBL, a Saudi-born multimillionaire, and his organization, Al-Qaida, constitute a threat to U.S. persons and interests around the world. On February 23, 1998, Bin Ladin issued a "fatwa" claiming that it is the duty of all Muslims to kill American "civilians and military" whenever possible. UBL and his associates are currently under indictment in the Southern District of New York for various charges relating to the killing of U.S. nationals employed by the U.S. military who were serving in Somalia and on the Arabian Peninsula, as well as the killings of U.S. nationals employed at the U.S. Embassies in Nairobi, Kenya, and Dar Es Salaam, Tanzania. The FBI is aggressively pursuing an investigation of UBL and his associates and considers investigation of Al-Qaida a top priority of the Counter-terrorism Program.
Chemical and Biological Weapons Internationally, there is credible intelligence indicating that terrorist organizations are attempting to obtain a WMD capability. Domestically, a growing number of "lone offender" and extremist splinter elements of right-wing groups are acquiring or developing chemical, biological, or radiological materials for illicit use. The fear generated by WMD threat or attack makes it an effective disruption tool available to both terrorists and criminals. As the public's awareness of WMD has increased, so has the number of threats, to include a dramatic increase in non-credible threats to use anthrax.
Anti-Government Groups Violent anti-government groups and white supremacists remain a serious threat. We must aggressively investigate those groups whose actual or potential criminal activities rise to the threshold of criminal investigations.
Information Infrastructure Terrorists, transnational criminals, and intelligence services are quickly becoming more aware of and utilizing the power of information exploitation tools and weapons. Because of the widespread availability and low acquisition costs of tools and techniques to conduct cyber attacks, some international terrorist groups may have already developed the capability to conduct such attacks. As greater amounts of money are transferred through computer systems, as more fee-based computer services are introduced, as more sensitive proprietary economic and commercial information is exchanged electronically, and as the nation's defense and intelligence communities increasingly rely on commercially available information technology, there is a greater likelihood that information attacks will threaten vital national interests.
Strategies to Achieve the Objective
As a means of addressing the national and international problem of terrorism, the Attorney General developed a Five-Year Interagency Counter-Terrorism and Technology Crime Plan in 1998. The Attorney General was charged by the Congress with creating a plan that would be representative of all participating agencies involved in the government's counter-terrorism effort. The resulting document is comprehensive in scope and serves as a blueprint for the coordination of national policy and operational capabilities to combat terrorism in the United States and against American interests overseas. The three strategies outlined below capture the essence and intent of the Five-Year Interagency Counter-Terrorism and Technology Crime Plan.
Identify, investigate, and prosecute suspected terrorists around the world.
In responding to terrorist threats, the Department has placed a high priority on developing a comprehensive understanding of the intentions of terrorist organizations and has initiated action designed to counter those efforts. These efforts require an effective ongoing mechanism to receive information on a timely basis and to develop program-specific intelligence products that will provide improved evaluation, exploitation, and dissemination of needed information. A closely coordinated effort must occur between FBI Headquarters, FBI field offices, the U.S. Intelligence Community, state and local partners, and the Department's Office of Intelligence Policy and Review (OIPR) in the collection, analysis, and dissemination of information related to specific threats. A comprehensive training program is integral to an effective terrorism response and program management must focus on improving the capability to provide foreign language translators to important investigative operations. Once threats are identified, all appropriate investigative actions must be taken, with the goal being the successful thwarting of terrorist acts and prosecution of those involved.
Ensure domestic preparedness through training, assistance and operational support.
Because of the catastrophic consequences posed by a terrorist attack involving weapons of mass destruction, we must increase the preparedness of the nation by strengthening capabilities at the local, state, and federal levels to safely and effectively respond to terrorist events. The Department works with communities throughout the country to ensure that they have the resources and training to respond to incidents of terrorism and to assist U.S. citizens who are the victims of such violence. A comprehensive training program is integral to an effective terrorism response.
In addition to partnerships with federal counterparts, the FBI and the National Domestic Preparedness Office (NDPO) will continue to foster the promulgation and dissemination of cooperative domestic preparedness initiatives in support of state and local emergency responders. Consistent with the leadership and guidance of the Criminal Division, the USAs have been charged with the responsibility of developing district crisis response plans. The plans will provide a crosswalk to FBI crisis response plans as well as similarly focused state, local and regional emergency response plans. (17)
Prevent and deter debilitating damage to the U.S. information infrastructure.
A key area of focus is preventing and deterring terrorists from infiltrating our complex network of U.S. infrastructures. We must initially identify and strengthen all necessary assets and capabilities (equipment, personnel, training, points of contact, intelligence base) to support and initiate complex operations designed to disrupt or defeat threats to the critical infrastructures. The FBI's National Infrastructure Protection Center (NIPC) will strengthen its intelligence base by developing information resources and working relationships with infrastructure owners and operators and a mechanism for information sharing between the public and private sectors. NIPC will develop all necessary assets and capabilities to support operations aimed at disrupting and defeating threats to critical infrastructures. The National Infrastructure Protection and Computer Intrusion Program (NIPCIP) is working with the National Foreign Intelligence Program on state-sponsored infrastructure threats and with the Criminal Investigative Division on criminal threats to the infrastructure.
Key Crosscutting Programs
Critical Incident Response Group (CIRG). TCIRG was created in 1994 to facilitate the FBI's rapid response to, and management of, crisis incidents and to integrate tactical and investigative resource expertise to address terrorist incidents, hostage taking, barricaded subjects, child abductions, serial murderers, and other high risk violent crimes requiring an immediate law enforcement response. CIRG's many components interact with most federal, state, and local law enforcement agencies on a daily basis, including the Departments of Defense, Energy, and Treasury and all state and local law enforcement agencies.
FBI Joint Terrorism Task Force (JTTF) System. The FBI JTTF System is the principal component for our coordination effort. In addition, a new and ongoing initiative by the FBI's Counter-Terrorism Program includes increasing the number of Regional Terrorism Task Forces (RTTF). JTTFs and RTTFs maximize counter-terrorism resources in a geographic region by combining the capabilities of federal, state, and local agencies into one operational element.
Infraguard. The FBI, in conjunction with the private sector, has developed an initiative called "Infraguard" to expand direct contacts with private and public sector infrastructure stakeholders to share information about cyber intrusions, exploited vulnerabilities, and physical infrastructure threats.
Strategic Objective 1.5 WHITE COLLAR CRIME -- Reduce white collar crime, including public corruption, in order to minimize its negative social and economic impacts.
The Department recognizes that a strong deterrent capability is necessary to prevent criminals from defrauding and, therefore, weakening the nation's industries and institutions and eroding the trust of the American public. White Collar Crime (WCC) encompasses illegal acts characterized by deceit, concealment, or violations of trust. These acts are generally not dependent on the application or threat of physical force or violence. They are committed by individuals and organizations in order to obtain money, property, and services, or to secure personal or business advantage.
WCC has been conservatively estimated to cost the U.S. billions of dollars annually. Precise financial losses resulting from WCC for consumers, government, and business are unknown since no annual or systematic data collection exists. Only periodic case studies of some aspect of white collar crime, such as personal fraud or health care fraud, have been undertaken. For example, a 1995 National Institute of Justice (NIJ) study entitled "Victimization of Persons by Fraud," estimated an annual loss from personal fraud exceeding $40 billion. The NIJ study also found that 31 percent of survey respondents reported being a victim of personal fraud in 1995. A more recent national study using somewhat different surveys protocols found that 38 percent of survey respondents said they were victims of fraud in the past 12 months. Financial institution fraud accounts for nearly 40 percent of the Department's white collar program caseload.
The true cost of WCC is not always measurable in dollars. The corruption of public officials undermines trust in government, while ecological crimes, such as the illegal dumping of toxic wastes, can result in irreparable harm to the environment and endanger public safety. Some Internet fraud schemes, such as market manipulation of certain stocks, can cause massive losses for unwary investors. Other schemes - - such as fraudulent online sales of dangerous drugs or bogus medical devices - - can create a risk of serious physical harm or death. Unchecked, WCC can have a devastating impact on the nation's public welfare and economic well-being.
WCC encompasses a wide assortment of criminal economic schemes which vary in scope and complexity. Because the Department realizes the significance of WCC and its national impact, it devotes considerable resources to countering numerous kinds of crime as summarized in Table 1. Two factors contributing to the pervasiveness of WCC are technological advances and globalization. Global computer networks mean that someone in a distant physical location can easily commit crimes that harm persons in the United States. Enhanced anonymity and ability to conceal sources of illegal schemes and transactions are among the greatest problems associated with globalization.
TABLE 1. Summary of White Collar Crime Categories and Issues
|
Category |
Issues |
| Health Care Fraud |
Fraudulent billing schemes in health care services
rendered, as related to Medicare, Medicaid, government
insurers and providers, private insurance companies,
home health agencies, etc.,
Defrauding or misleading patients on quality of care issues. Needless prescriptions for durable medical care equipment in exchange for "kickbacks." |
| Financial Institutions, Telemarketing and Other Fraud |
Mortgage and commercial loan fraud.
Check and negotiable instrument fraud. Bankruptcy fraud. Securities fraud and abuse in pension plans. Consumer (telemarketing) fraud. Fraudulent schemes against the elderly. Money laundering. Identity theft, (e.g., illegal credit card use). |
| Public Corruption |
Corruption of government policies and programs.
Loss of government funds due to fraud, kickbacks, bribery, etc. Campaign finance violations in federal elections. |
| Computer Crime and Theft of Intellectual Property |
Computer thefts and intrusions.
Economic espionage. Intellectual property crime,(e.g., illegal copying, counterfeit goods or services). Internet/Online crime and other fraudulent schemes. |
| Antitrust Violations |
Price fixing cartels that are: |
| Environmental Crimes |
Endangerment of the environment and public health,
(e.g., hazardous waste disposal, protection of habitats,
water rights disputes, illegal trade in banned products).
Fraud in environmental remediation industry. Smuggling of endangered species. Over exploitation and abuse of marine resources through illegal commercial fishing. Environmental impact of other criminal activity, (e.g., clandestine drug laboratories). |
| Tax Fraud |
Evasion of taxes through understatement of legal
sources of income.
Utilizing domestic trusts and other abusive tax shelters to evade federal tax liabilities. Illegal tax protest. Secreting assets in foreign countries to evade federal tax liabilities. |
Strategies to Achieve the Objective
Bolster the effectiveness of white collar crime investigations and prosecutions by strengthening coordination among domestic and international law enforcement agencies.
Developing partnerships and fostering coordination among domestic and international law enforcement and regulatory agencies is a key Department strategy for addressing WCC. The growth of electronic evidence and records, electronic commerce, and globalization magnify impediments that must be overcome. Because the Department's prosecutorial efforts are reliant upon excellent detection and investigation, Justice agencies have increased their participation on multiagency task forces and in collaborative initiatives to maximize opportunities to coordinate detection, investigation, and prosecution efforts.
Increase investigation and prosecution of public corruption as a means to maximize deterrence.
The Department intends to increase its efforts against corruption in three ways. First, the Department will increase departmentwide awareness of the significant harm caused by public corruption and the Department's interest in combating corruption at all levels of government. Second, the Department will make the handling of public corruption investigations and prosecutions a top priority throughout the Department. One way to reduce future corruption is to prosecute current corruption and to seek substantial prison terms for persons convicted of these crimes. Aggressive and effective prosecutions, followed by long sentences, send a clear message that these crimes will not be tolerated and those engaging in them do so at their peril. Third, the Department will increase the number and scope of training events for federal prosecutors and investigators that focus on the handling of corruption investigations and prosecutions.
Investigate and prosecute high-technology crimes.
The United States is facing an increasing threat from high-technology crime. Therefore, the Department must increase its efforts to investigate and prosecute such crime and will work with other government agencies to ensure a coordinated response. The Department will develop and support the development of tools, legal approaches and operational strategies to assist law enforcement in investigating criminal activity that increasingly uses or abuses the power of global networks and computers. With the increasing globalization of crime, we will work with our international partners to develop the global infrastructure - - legal, technical, and operational - - necessary to combat criminal activity involving computers, networks, and intellectual property. The Department also continues to provide training and assistance to federal, state, and local law enforcement, including building virtual and personal networks among law enforcement personnel, to ensure cooperation in the investigation of complex cases. Recognizing that the private sector develops the technologies that affect public safety, the Department will work with the computer and telecommunications industry to ensure that law enforcement understands new technologies that may present benefits or threats to public safety and to ensure that industry understands the public safety implications of the technology.
Investigate, challenge and prosecute international price fixing cartels.
The Department decreases and deters anticompetitive behavior affecting U.S. businesses and consumers by investigating and prosecuting violations of our nation's antitrust laws. While we remain vigilant in the face of all criminal antitrust activity, we have placed a priority on the successful prosecution of international price fixing cartels. These cartels pose a number of challenges. They are highly sophisticated; increasingly international; significant for the large volumes of commerce involved; and extremely broad in terms of the number of businesses and consumers affected. The Department is committed to meeting these challenges in order to ensure the arrest of unlawful conduct, wherever it occurs, that causes injury in the United States. Successful enforcement of these laws - - which both decreases and deters anticompetitive behavior - - saves U.S. consumers millions of dollars, allows them to receive goods and services of the highest quality at the lowest price, and enables U.S. businesses to compete on a level playing field nationally and internationally.
Investigate and prosecute environmental crimes.
Prosecution remains an important cornerstone of the Department's integrated approach to ensure broad-based environmental compliance. Notably, it is the goal of investigators and prosecutors to discover and prosecute criminals before there has been substantial damage done to the environment, serious health effects, or economic damage to consumers or honest competitors. Deterrence of violations due to criminal enforcement is difficult to measure, but available research indicates that a strong criminal enforcement program deters violations and thereby protects human health, natural resources, endangered species, and the competitive position of legitimate companies. The Department will enhance its capability to convict and deter environmental crimes through training, outreach, and domestic and international cooperation and coordination.
Identify, investigate and prosecute tax fraud.
The voluntary income tax system loses billions of dollars annually in uncollected tax revenues, i.e., the "tax gap." To close this gap and increase revenues, the Department and the IRS began an effort in 1995 to reinvigorate the government's tax enforcement. The imperative to close the gap is self-evident, as the IRS estimates unacceptable levels of noncompliance. In response, the Department launched a series of initiatives, including the Tax Gap Initiative, Abusive Trust Initiative, Illegal Tax Protest Initiative, and International Compliance Initiative. Our Tax Gap Initiative addresses tax crime involving income from a legal source - - such as the consultant who reports only part of his income, the restaurant owner who skims from the cash register, or the doctor who keeps two sets of bookkeeping records. IRS studies estimate that the annual legal income source tax gap exceeds $100 billion. In order to combat the use of trusts to evade federal tax liabilities, we initiated the Abusive Trust Initiative. While trusts have many legitimate uses, they rarely lead to a legitimate reduction in taxes. The Illegal Tax Protester Initiative addresses tax evasion schemes involving claims that the income tax is unconstitutional, the taking of sham "vows of poverty," and the harassment of IRS employees. We have also initiated the International Compliance Initiative to investigate taxpayers who use tax haven countries as well as other offshore countries to evade United States taxes. These cases require international coordination, the obtaining of witnesses and evidence, and the extradition of defendants.
Key Crosscutting Programs
Attorney General's Council on White Collar Crime. The Council was established by Order of the Attorney General in July 1995 to serve as an advisory body to coordinate the focus of federal law enforcement efforts to combat white collar crime. The Council periodically brings together senior-level representatives of all federal law enforcement and regulatory agencies that investigate or prosecute economic crime to ensure appropriate participation and cooperation by agencies in ongoing enforcement and prevention programs and to develop new enforcement and prevention efforts. The Council consists of representatives from the Department, including the Assistant Attorneys General from the Antitrust, Civil, Criminal, Environment and Natural Resources and Tax Divisions and the FBI; the Treasury Department, including the IRS, USCS and U.S. Secret Service; the Environmental Protection Agency (EPA); the Securities and Exchange Commission (SEC); the U.S. Postal Inspection Service (USPIS); the Inspectors General (IGs); the Federal Trade Commission (FTC); and the National Association of Attorneys General. The Council has endorsed and added its support to various law enforcement initiatives to fight white collar crime that involve multiple federal agencies, including: Internet Fraud Initiative; Intellectual Property Initiative; Counterfeit Aircraft Parts Initiative; Counterfeit Software Initiative; and Identity Theft Initiative.
National Health Care Fraud and Abuse Task Force. Consisting of senior officials of the Departments of Justice and Health and Human Services (HHS) as well as state attorneys general and local district attorneys, the task force discusses policy issues and develops directives to member agencies for implementing initiatives to fight common problems affecting federal and state health care programs.
President's Council on Integrity and Efficiency and Executive Council on Integrity and Efficiency (PCIE/ECIE). The PCIE/ECIE is a body composed of the IGs of the various agencies of the executive branch of the Federal Government. A 1996 Executive Order established an Integrity Committee for the PCIE/ECIE to handle criminal allegations against IGs and their senior staff and appointed the Department's Public Integrity Section to serve as the Integrity Committee's legal advisor. Investigative procedures for the Integrity Committee were drafted in 1997 with the assistance of the Department. The procedures provide for coordination with the Department in this sensitive area, initial review of these allegations by the Department for potential criminal prosecution, and a framework for the investigation of noncriminal matters by the Integrity Committee.
MANAGEMENT CHALLENGES
The Department does not face any mission-critical management problems or challenges which would significantly hinder the Department from achieving this strategic goal.
16The Department's law enforcement effort to counter drug-related violent crime is more fully addressed by Strategic Objective 1.1.
17The Department's efforts to improve domestic preparedness are also addressed in Strategic Objective 2.1.
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
GOAL 2: PREVENT AND REDUCE CRIME AND VIOLENCE BY ASSISTING STATE, TRIBAL, LOCAL AND COMMUNITY-BASED PROGRAMS
Despite the significant increase in the federal crime-fighting role in recent years, most of the responsibility for crime control rests at the state and local levels of government. State and local governments do most of the criminal justice work and spend most of the criminal justice resources. Additionally, tribal law enforcement agencies and courts play an increasing role in crime control, as do a host of other public and private organizations. A key role of the Department is to provide leadership and support to these efforts in order to further develop the nation's capacity to prevent and control crime and administer justice fairly and effectively. The Department works toward this goal principally through an extensive and varied portfolio of criminal and juvenile justice grant-in-aid programs, training, and technical assistance. It also builds knowledge and understanding about crime and justice by conducting research, collecting statistics, and testing and evaluating new programs and technologies. Most of these efforts are carried out by three components: the Office of Justice Programs (OJP), the Office of Community Oriented Policing Services (COPS), and the Community Relations Service (CRS). In addition, other Justice components (including the U.S. Attorneys, the FBI and the DEA) provide training, share information and offer specialized support services.
Strategic Objective 2.1 LAW ENFORCEMENT - - Improve the crime fighting and criminal justice system capabilities of state, tribal and local governments.
As noted above, the Department believes that crime is primarily a local problem and that the best way to address this problem is by building partnerships with, and providing resources and leadership to, state, tribal and local governments in improving the functioning of the nation's criminal justice system.
Strategies to Achieve the Objective
Provide funding to support state and local criminal justice system initiatives.
The Department administers a number of grant programs to support state and local law enforcement. These include block and formula grants that preserve state and local discretion in allocating monies among broad purpose areas.
Focus resources to reduce crime and improve criminal justice services and operations in Indian Country.
American Indians are the victims of violent crime at more than twice the rate of all U.S. residents. Moreover, Indian Country has been plagued by substandard law enforcement services. To correct this situation, the Department is focusing its resources on Indian Country. Part of this effort involves direct federal action (see strategic objective 1.1), but part also involves providing grants, training, and technical assistance to support and strengthen tribal law enforcement and criminal justice systems.
Improve the capacity of the nation's "first responder" community to respond to terrorist incidents, including those involving weapons of mass destruction, by providing consultation, training, equipment and other assistance.
While the Federal Government plays a major role in preventing and responding to terrorist incidents, the state and local public safety community are the "first responders." Yet most state and local governments lack the specialized equipment and skills needed to respond effectively, especially to attacks involving chemical, biological, or nuclear weapons. In coordination with the FBI's National Domestic Preparedness Office, OJP sponsors training for "first responders" and provides grants to help states and localities obtain needed equipment.
Improve the capacity of state and local law enforcement to respond to emerging or specialized crime issues, such as white collar crime and computer-related crime, by providing targeted training, technical assistance, or other technology innovations.
The Department assists state and local governments in responding to new and emerging crime threats and opportunities in a variety of ways, including research, information sharing, and training. In recent years, the Department has focused on helping state and local governments deal with the challenges of computer-related and white collar crimes that often require sophisticated investigative and prosecutorial skills. For example, the FBI and OJP are working together to distribute the Automated Case Examination System (ACES) to state and local law enforcement officials to aid them in processing digital evidence in computer-related crime, including health care fraud.
Provide direct technical support to state, tribal and local law enforcement, when appropriate.
The Department provides direct support and technical assistance to assist state, tribal and local law enforcement agencies in a number of ways. These include conducting fingerprint checks under the FBI's Integrated Automated Fingerprint Identification System (IAFIS), criminal history checks through the FBI's National Crime Information Center (NCIC), and background checks on prospective firearm purchasers using the National Instant Background Check System (NICS); matching DNA profiles through the Combined DNA Index System (CODIS), including the Mitochondrial DNA database being created within CODIS; and developing state systems which support and interface with these national programs.
Develop and support programs and services that target the reduction of the incidence and consequences of family violence, including domestic violence and child victimization.
Under the Violence Against Women Act, the Department plays a major role in the national effort to prevent and respond to domestic violence, sexual assault, stalking, and related types of violence. One of our most important aims is to transform how the criminal justice system responds to these crimes. As a result, the Department provides grants to establish programs that create an integrated, coordinated and strengthened response that actively involves all components of the criminal justice system, victim advocates and service providers, and the community as a whole.
Build knowledge about crime and justice by conducting research and evaluation, developing and testing new technologies, gathering statistics, and disseminating results.
The Department's National Institute of Justice (NIJ) is the principal federal agency for research on crime. Its role is to build knowledge and develop the tools and technologies that will help the criminal justice community as a whole (federal, state, tribal, local, and international) prevent and control crime and administer justice. Similarly, the Department's Bureau of Justice Statistics (BJS) is the principal federal agency for collecting and reporting statistics on crime and the operation of our justice systems. It also assists state and local governments in the development of justice information systems and the collection, analysis, and dissemination of justice statistics.
Key Crosscutting Programs
Indian Country. All Department of Justice Indian Country initiatives are coordinated with the Interior Department's Bureau of Indian Affairs.
Counter-terrorism. The Federal Government's domestic preparedness activities are coordinated by the National Domestic Preparedness Office within the FBI. In carrying out its state and local assistance activities, the Department works with the Department of Defense, the Federal Emergency Management Agency, the Department of Energy, the Environmental Protection Agency (EPA), and the Department of Health and Human Services (HHS).
Domestic Violence. The Department works with the HHS to examine the causes of and provide prevention and intervention services for violence against women and violence within the family.
Developing and Testing New Technologies. Dual-use technologies are being deployed to support both national defense and law enforcement needs through an ongoing partnership between the Justice Department and the Department of Defense.
Strategic Objective 2.2 JUVENILE JUSTICE - - Reduce youth crime and victimization through targeted programs that emphasize both prevention and enforcement.
Young people are both the perpetrators and victims of violent crime. For example, arrest rates for violent crimes among those aged 15-17 climbed sharply beginning in the late 1980s. (18) Although they have fallen off since the mid 1990s, youth crime rates remain high and school shootings and other high profile incidents have heightened public concern. At the same time, children and youth are vulnerable to being victimized. From 1986 to 1993, the number of juveniles abused and neglected doubled. (19) In 1993, the number of juveniles murdered peaked at 2,900. By 1997, it had dropped to 2,100 but remained still substantially above the levels of the mid 1980s when about 1,600 juveniles were murdered annually. Murder is the second leading cause of death for youth 15-24 years of age. (20)
Within the Department, lead responsibility for responding to the problems of youth crime and victimization rests with OJP's Office of Juvenile Justice and Delinquency Prevention (OJJDP). OJJDP provides leadership, conducts research, and provides financial and other assistance to state, tribal and local governments to improve their juvenile justice systems and implement effective prevention and enforcement programs.
Strategies to Achieve the Objective
Provide financial assistance (formula and block grants) to eligible states to support improvements in their juvenile justice systems.
OJJDP provides formula grants to states that comply with certain statutory requirements related to the handling of juveniles, including requirements to confine juveniles separately from adults. In addition, OJJDP provides incentive block grants to states that have taken steps to strengthen the accountability of juvenile offenders for their acts.
Support targeted early intervention and prevention programs that reduce the impact of negative (risk) factors and enhance the influence of positive (protective) factors in the lives of youth at greatest risk of delinquency.
Research has shown that early intervention and positive adult support make a difference. Among the intervention and prevention activities supported by OJJDP are mentoring programs that link at-risk youth with responsible adults to provide guidance, promote personal and social responsibility, discourage gang involvement, and encourage participation in community service and activities. Also included are programs to reduce the illegal use of tobacco, alcohol and drugs, decrease truancy, and increase healthy child development (Safe Schools/Healthy Students).
Support targeted and comprehensive programs to counter youth violence.
This strategy includes programs to reduce gun-related violence, decrease gang membership, and increase school safety. It also includes efforts to encourage communities to develop comprehensive strategies for dealing with serious, violent, and chronic offenders that emphasize a continuum of programs and services.
Focus resources to reduce youth crime and improve juvenile justice operations and services in Indian Country.
To address the significant juvenile justice issues in Indian Country, financial and technical assistance and training will be provided to tribal governments to support prevention initiatives and make juvenile justice system improvements.
Build knowledge about crime and delinquency.
The Department's OJJDP is the principal federal agency for research on juvenile crime and delinquency. Its mission is to provide national leadership, coordination, and support to prevent juvenile victimization and respond appropriately to juvenile delinquency. Through its research, testing, and evaluation programs, OJJDP develops the tools and knowledge necessary to support communities in preventing and controlling crime and delinquency and administering justice.
Key Crosscutting Programs
Safe Schools/Healthy Students Program. This is a collaborative interagency initiative where the Departments of Justice, Health and Human Services, and Education have pooled resources and created one, unified application process to enable school districts to apply for an array of funding to implement comprehensive strategies to address school violence.
Drug-Free Communities Support Program. In conjunction with the Office of National Drug Control Policy (ONDCP), the Department provides grants to support community coalitions of youth, parents, media, law enforcement, school officials, religious organizations, and other community representatives. These coalitions work to prevent and reduce young people's illegal use of drugs, alcohol, and tobacco.
SafeCities Network. This Network seeks to form performance partnerships between the Federal Government and community-based groups to reduce gun violence. It is a joint undertaking the Department, the Bureau of Alcohol, Tobacco and Firearms (ATF) of the Treasury Department, other federal agencies, and the private sector.
Strategic Objective 2.3 SUBSTANCE ABUSE - - Break the cycle of substance abuse and crime through testing, treatment, and sanctions.
The link between substance abuse (both drugs and alcohol) and crime has been well established by research. For example, surveys find that 30-40 percent of jail inmates, prisoners, and probationers report being under the influence of alcohol immediately prior to or during the commission of their offenses. Among arrestees, those charged with violent crimes (as opposed to property, drug, or other offenses) are more likely to have reported recent use of alcohol than to test positive for use of an illegal substance. (21)
Drug use and crime are also closely linked, although there is considerable uncertainty about the degree to which drug use causes crime or, conversely, criminal involvement causes drug use. Illustrative of the nexus between crime and drugs is the fact that BJS surveys reveal that in 1996, about 82 percent of all jail inmates said that they had ever used drugs. (22) In 1997, 73 percent of federal prisoners and 83 percent of state prisoners reported prior drug use. This is compared to 36 percent of the general population who reported having ever used an illicit drug during their lifetimes. (23) Similarly, in 1998 prisoners sentenced for drug offenses (mainly drug trafficking) constituted the largest group of federal inmates (58 percent), up from 53 percent in 1990. (24) The percentage of state prisoners held for drug offenses was nearly 21 percent in 1998. (25)
Strategies to Achieve the Objective
Monitor and conduct research on substance use by criminal offenders (Arrestee Drug Abuse Monitoring System - - ADAM).
ADAM is a research program that provides program planning and policy information on drug use by arrestees. Through interviews and drug testing, communities are able to continue to assess the dimensions of their particular substance abuse problems, evaluate interventions with offender populations, and plan appropriate policy or program responses.
Support programs providing drug testing, treatment and graduated sanctions for persons under the supervision of the criminal system.
The Department's strategy on how to effectively combat the relationship between substance abuse and crime is largely rooted in research and program experience which indicate that combining criminal justice sanctions with substance abuse treatment is effective in decreasing drug and alcohol use and related crime -- leveraging the coercive power of the system to impose sanctions and provide treatment. Illustrations of this strategy are the Drug Courts program and the Residential Substance Abuse Treatment (RSAT) program. Drug Courts use the coercive power of the court to force abstinence and alter behavior. This approach integrates the power of the court with substance abuse treatment, collateral services, judicial supervision, escalating sanctions, mandatory drug testing, and strong aftercare programs to teach responsibility and help offenders reenter the community. Key to their effectiveness in "breaking the cycle" is the collaboration established between the criminal justice and substance abuse treatment systems. RSAT provides individual and group treatment activities for offenders in state and local prisons and jails.
Prevent juvenile use and abuse of drugs and alcohol.
Young Americans are especially vulnerable to drug abuse. Moreover, studies have shown that underage use of alcohol correlates with later adult drug use. The Department works to prevent juvenile use and abuse of drugs and alcohol through a variety of educational and public outreach programs.
Key Crosscutting Programs
The Department coordinates its substance abuse treatment programs with the HHS' Center for Substance Abuse Treatment and ONDCP.
Strategic Objective 2.4 VICTIMS OF CRIME - - Uphold the rights of, and improve services to, America's crime victims.
One of the major changes in America's response to crime in the last three decades is the recognition of rights and needs of crime victims. In 1984, Congress enacted the Victims of Crime Act (VOCA) which authorized the establishment of a Crime Victims Fund in the U.S. Treasury and authorized direct services programs and national-scope training and technical assistance efforts on behalf of crime victims. The Fund is comprised of fines, penalties, and bond forfeitures collected from convicted federal offenders. With the passage of VOCA, the Department provides leadership and advocates for the rights and needs of crime victims through policy development, funding promising practices, monitoring compliance with federal victims' rights statutes, and public awareness and education activities intended to promote justice for crime victims.
Strategies to Achieve the Objective
Provide financial and technical assistance (including training) to meet the needs of crime victims.
Formula grants are provided to the states to support victim compensation and assistance programs. Crime victim compensation programs assist victims in paying medical and mental health, funeral, and other expenses, as well as providing lost wages and loss of support. Victim assistance funds are awarded to domestic violence shelters, child abuse treatment programs, rape crisis centers, and criminal justice-based victim assistance programs which provide crisis counseling, advocacy and intervention, shelter, and other emergency services for crime victims. In addition, training and technical assistance, through discretionary grants and contracts to private, nonprofit organizations, is provided for a wide variety of professionals who interface with crime victims at the national, international, state, military, tribal, and local levels.
Support programs to meet the particular needs of child victims, including those who are missing, abused or neglected.
Every day about 2,200 children are reported missing to law enforcement. Most of these are runaways. Some are abducted by a noncustodial parent. Some are lost and still others are victims of predators. The Department's Missing Children's Program coordinates the federal response to this problem. It supports research and demonstration programs, provides training and technical assistance, and maintains a national resource center and clearinghouse. Funds are provided under the Crime Victims Fund program to assist states and tribal governments in the handling of child abuse cases. In addition, the Office for Victims of Crime (in Indian Country) and the OJJDP support the Court Appointed Special Advocate (CASA) program for abused and neglected children.
Develop knowledge about the needs of child victims, including those who are missing, abused, or neglected.
The Department will conduct research and evaluation to generate new knowledge about the needs of child victims. It will also develop and test new strategies, gather statistics, and disseminate information to the research and practitioner communities.
Key Crosscutting Programs
Activities focused on providing services and assistance to victims of federal crimes are coordinated with the Department components (the DEA, FBI, USAs, INS and Civil Rights Division) and other federal agencies. These activities are described further under Strategic Objective 6.3.
Strategic Objective 2.5 COMMUNITY SERVICES - - Support innovative, community-based programs aimed at reducing crime and violence in our communities.
Although crime is a national problem, it is more directly and immediately a community problem. Community-based programs work to empower communities, build safer and healthier neighborhoods, and strengthen social and familial ties. Research has shown that one of the most effective ways to reduce crime is through community-based programs. Key to these programs is the establishment of collaborative partnerships among criminal justice agencies, other private and public organizations (e.g., schools, religious center, tribal colleges), and the residents and groups within a given community. These partnerships enable the resources of all these diverse parties to be directed toward solving specific crime problems and help ensure that local residents and organizations who best understand their own needs and resource requirements are given the tools to accomplish their goals.
Strategies to Achieve the Objective
Encourage community-based approaches to crime and justice at the state and local level by comprehensive and collaborative programs such as Weed and Seed.
Community-based initiatives provide for community involvement in the choice, design, and implementation of programs, flexible use of federal funding, and the creative mixing of local and federal resources. The Weed and Seed program is the Department's flagship effort in community-based efforts to prevent and control violent crime and provide a safe environment in which community residents can live, work, and raise their families. The approach couples intensified geographically-targeted law enforcement efforts with community-focused human services programs and neighborhood improvement initiatives. "Weeding" includes law enforcement efforts to remove violent offenders, drug traffickers, and other criminals from the target areas. "Seeding" includes human services and neighborhood revitalization efforts.
Support community policing initiatives.
Community policing is a strategy that builds on fundamental policing practices but shifts from a reactive to a proactive mode. In community policing, the emphasis is on prevention and problem-solving. It is also on forging strong collaborative partnerships between the police and the community. Community policing opens lines of communication between police and community residents and engages them in mutually supportive efforts to identify and resolve problems. The Department has supported community policing over the years through research and demonstration programs and, more recently, through funding to hire and deploy police officers.
Support community justice initiatives.
"Community justice" refers to a variety of non-traditional approaches to criminal justice activities, including prosecution and corrections. Largely an extension of the ideas underlying community policing, community justice programs are characterized by a commitment to partnership with the community and a focus on problem-solving.
Assist communities in responding to and resolving racial and ethnic tension.
Through CRS, the Department will continue to provide conflict resolution, conflict prevention and resolution training, and technical assistance to communities.
Key Crosscutting Programs
In implementing its community-based programs the Department works closely with other federal agencies, including the Departments of Labor, HHS, and Education.
MANAGEMENT CHALLENGES
The Department does not face any mission-critical management problems or challenges which would significantly hinder the Department from achieving this strategic goal.
18Federal Bureau of Investigation, Crime in the United States, Washington, D.C.: U.S. Department of Justice, Federal Bureau of Investigation, annually.
19Snyder, Howard N. and Melissa Sickmund, Juvenile Offenders and Victims: 1999 National Report, Washington, D.C.: U.S. Department of Justice, Office of Juvenile Justice and Delinquency Prevention, September 1999.
20OJJDP Statistical Briefing Book. Online. Available: http://www.ojjdp.gov/ojstatbb/index.html.
21Greenfeld, Lawrence A., Alcohol and Crime, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, April 1998.
22Harlow, Christine Wolf, Profile of Jail Inmates, 1996, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, April 1998. [as presented in BJS, Drugs and Crime Facts. Online. Available: http://www.ojp.usdoj.gov/bjs/dcf/correct.htm]
23Mumola, Christopher J., Substance Abuse and Treatment, State and Federal Prisoners, 1997, Washington, D.C.: U.S. Department of Justice, Bureau of Justice Statistics, January 1999. [as presented in BJS, Drugs and Crime Facts. Online. Available: http://www.ojp.usdoj.gov/bjs/dcf/correct.htm]
24Bureau of Justice Statistics, Compendium of Federal Justice Statistics, 1998, Washington, D.C.: U. S. Department of Justice, Bureau of Justice Statistics, May 2000. [as presented in BJS, Drugs and Crime Facts. Online. Available: http://www.ojp.usdoj.gov/bjs/dcf/correct.htm]
25Beck, Alan J., and Christopher J. Mumola, Prisoners in 1998, Washington, D.C.: U. S. Department of Justice, Bureau of Justice Statistics, August 1999. [as presented in BJS, Drugs and Crime Facts. Online. Available: http://www.ojp.usdoj.gov/bjs/dcf/correct.htm]
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
Goal 3: PROTECT THE RIGHTS AND INTEREST OF THE AMERICAN PEOPLE BY LEGAL REPRESENTATION, ENFORCEMENT OF FEDERAL LAWS AND DEFENSE OF U.S. INTERESTS
The Department of Justice is the nation's chief litigator. We represent the United States Government in court. We enforce federal civil and criminal statutes, including those protecting our civil rights, safeguarding our environment, preserving a competitive market structure, and defending the public fisc against unwarranted claims. Carrying out these responsibilities is the primary task of the U.S. Attorneys (USAs), the Department's litigating divisions, and the Office of the Solicitor General. The USAs serve as the Attorney General's chief law enforcement officer in each of the 94 federal judicial districts, representing the United States in both civil and criminal matters. The litigating divisions are centralized staffs with expert attorney skill and specialized expertise in particular areas of federal law, including civil rights, environmental law, antitrust, tax, civil justice and criminal law. The Office of the Solicitor General represents the interests of the United States before the U.S. Supreme Court and authorizes and monitors the government's activities in the nation's appellate courts. Together, these Justice components ensure that the Federal Government speaks with one voice with respect to the law.
Strategic Objective 3.1 CIVIL RIGHTS - - Uphold the civil rights of all Americans through enforcement of, and education about, federal civil rights laws and protections.
The Department of Justice promotes compliance with basic federal civil rights protections through a multifaceted program of criminal enforcement, civil enforcement, public education and outreach. The nation's civil rights laws influence a broad spectrum of conduct by both individuals and public and private institutions. They prohibit discriminatory conduct in such areas as the administration of justice, housing, employment, education, voting, lending, public accommodations, access to services and facilities, activities that receive federal financial assistance, and the treatment of juvenile and adult detainees and residents of public institutions. They also provide safeguards against criminal actions such as hate crimes, involuntary servitude and slavery and official misconduct.
Recent years have seen growth in the criminal civil rights enforcement area. In 1998, the Department concluded criminal civil rights prosecutions against 2,153 suspects, up 12 percent from 1,916 suspects in 1994. At the same time, the role of the Department has expanded during this period to issues that capture national attention, such as church arsons, clinic bombings, and hate crimes. The Department continues to investigate and prosecute cases involving the violent interference with liberties and rights defined in the Constitution or federal law.
The Department enforces several civil justice statutes designed to protect civil rights, including the Voting Rights Act of 1965 and the National Voter Registration Act. With the new population data available from the 2000 Census, states, counties, cities and school districts across the country will be adjusting their jurisdictional boundaries, i.e., redistricting. In our review of the redistricting plans of specially covered jurisdictions, we ensure that minorities will have a fair opportunity to elect candidates of their choice.
The Department works closely and effectively with the Equal Employment Opportunity Commission (EEOC) to enforce Title VII of the Civil Rights Act of 1964 and the Americans with Disabilities Act (ADA), as amended. While the EEOC's enforcement efforts are generally focused on addressing discriminatory conduct by private actors, the Department is responsible for litigating charges of employment discrimination lodged against state and local governments where the EEOC, following an investigation, has determined that reasonable cause exists to believe that the charge has merit.
The Fair Housing Act of 1968, the Equal Credit Opportunity Act, and the Civil Rights Act (Title II) prohibit discrimination in housing, consumer credit and public accommodations (restaurants, hotels and motels, places of entertainment, etc.) regardless of race, sex, religion and national origin. Both the Department of Housing and Urban Development (HUD) and the Department of Justice have enforcement responsibilities under the Fair Housing Act. The Department focuses on a variety of pattern and practice situations to stop and/or deter the continuance of any discriminatory conduct or practice.
The ADA extends to people with disabilities the promise of equal access to everyday life. The Department enforces the ADA to make this promise a reality. Enforcement responsibilities cover a broad spectrum of potential actions to encourage individuals and entities to comply with ADA requirements, including removal of physical barriers, provision of auxiliary aids, and elimination of discriminatory policies. The Department also focuses on pattern or practice cases that involve issues of general public importance involving public accommodations and commercial facilities.
The Department enforces in federal court a number of statutes administered by the Department of Education prohibiting discrimination by recipients of federal funds. Additionally, the Department coordinates with the Department of Education with regard to enforcement in federal court of referrals under Title II of the ADA which prohibits discrimination against persons with disabilities by public school officials.
On the civil side, the Department is meeting a growing demand for pattern or practice investigations of major police departments for the presence of police misconduct in the discharge of operational responsibilities. The Department carries out these investigations pursuant to the pattern or practice authority of the Violent Crime Control and Law Enforcement Act of 1994.
Strategies to Achieve the Objective
Investigate and prosecute civil rights crimes.
The Department's most effective strategy to combat violations of individual civil rights is through aggressive investigation and timely criminal prosecutions remedying proven discrimination and punishing guilty actors. The publicity generated by the media resulting from successful prosecutions demonstrates the Department's commitment and ability to prosecute civil rights crimes, thus creating a deterrent for those who might otherwise commit these crimes.
Target key areas or forms of discrimination through pattern or practice litigation to uproot and remedy discriminatory public and private institutional conduct.
Pattern or practice litigation is used to address a wide variety of discrimination problems. For example, in the area of employment and workplace discrimination, such litigation often results in systematic changes to defendants' employment practices and serves as a signal to other employers to review voluntarily their practices to determine compliance. In the "official misconduct" area, pattern or practice investigations have been the catalyst for numerous state and local law enforcement agencies to conduct training and reviews of their own practices and procedures to curtail or prevent police misconduct.
Investigate and prosecute individuals for civil violations of federal laws.
The enforcement of civil violations against individuals is another critical aspect of the Department's civil rights enforcement strategy. The importance and significance of such prosecutions are to remedy discriminatory conduct and make whole persons who have been victimized.
Educate the American business community and state and local governments regarding federal civil rights laws and requirements.
Non-adversarial interaction to achieve voluntary change through education, outreach, and mediation has been an important strategy toward reducing and deterring civil rights violations. For example, the Civil Rights Division's Technical Assistance Program, mandated under Section 506 of the ADA, provides answers to questions and free publications to businesses, state and local governments, people with disabilities, and the general public.
Key Crosscutting Programs
Generally, the Department's civil rights enforcement and outreach are coordinated with all federal agencies which provide financial assistance, including grant funding to state, local and nonprofit agencies, and with the other federal agencies with civil rights enforcement responsibilities (e.g., the Departments of HUD, Education, Labor, Health and Human Services, and Transportation.) Our coordination includes both longstanding working relationships, such as jointly developing policy guidelines and jointly handling enforcement cases, and more short-term task forces created to address specific problems. Current task forces and agreements include:
Interagency Fair Lending Task Force. The bank regulatory agencies (Federal Reserve Board, Office of Thrift Supervision, Office of Comptroller of the Currency and Federal Deposit Insurance Corporation), HUD, and the Department are members of an interagency fair lending task force which meets regularly to consult on fair lending policy and periodically issues joint policy statements.
Worker Exploitation Task Force (WETF). The WETF brings together the Departments of Labor, State, and Agriculture; the EEOC; and several Justice components to address involuntary servitude and slavery and other violations involving undocumented workers. This comprehensive approach on both civil and criminal bases has enhanced the viability of prosecutions by prompt identification of potential violations as well as by ensuring that the victims are available and prepared as witnesses despite their frequent status as undocumented workers.
National Task Force on Violence Against Health Care Providers. The National Task Force on Violence Against Health Care Providers coordinates the investigation and prosecution of violations of the FACE Act (Freedom of Access to Clinic Entrances Act). The Treasury Department's Bureau of Alcohol, Tobacco and Firearms (ATF) and the FBI provide investigators and the Treasury Department helps to oversee this prosecutorial effort, which is staffed primarily by prosecutors from the Department's Civil Rights Division.
Memorandum of Understanding on Housing Rights. The Department's Civil Rights Division and HUD have a Memorandum of Understanding to ensure that criminal interference with housing rights is addressed through the most effective means. HUD refers all forcible interference reports to the Civil Rights Division which reviews and either pursues or defers back to HUD for further action. This allows those instances of provable criminal violations to be addressed through prosecution and then processed for civil remedies through HUD.
Strategic Objective 3.2 ENVIRONMENT - - Enforce and defend federal environmental laws and programs across our land, including Indian Country, by investigating and litigating environmental and natural resources violations and issues.
The Department enforces government pollution abatement laws and programs; defends against suits challenging environmental statutes, regulatory and permit actions, and decisions by federal agencies; preserves natural resources; and litigates on behalf of Indian tribes and individual Indians. We strive to obtain compliance with environmental statutes, obtain redress of past violations that harm the environment, establish credible deterrents against violations of those statutes, obtain monetary civil penalties for past violations, recoup federal funds spent to abate environmental contamination, and obtain money to restore or replace natural resources damaged through oil spills or the release of hazardous substances into the environment. (26)
Thirty-five years ago, Americans began to realize that we were losing an important part of the United States' heritage - - its natural beauty and resources. Smog blanketed our cities, rivers caught fire, and toxic wastes were being found everywhere, even in playgrounds. Since that time, we have made substantial progress in cleaning up and protecting our environment, but there is much left to do. High concentrations of toxic air pollutants linked with cancer, birth defects and other health problems such as asthma still affect millions in urban areas. Approximately 40 percent of the nation's waters are still not fit for swimming or fishing, and groundwater contamination is threatening our supply of drinking water. Suburban sprawl is gobbling up wetlands and other habitat for wildlife, including endangered species, and exacerbating air quality problems and water shortages. And, there continue to be hundreds of hazardous wastes sites around the country that need to be cleaned up.
A different aspect of the ongoing challenge to protect our environment involves the defense of rules that regulate polluters and place appropriate restrictions on the use of natural resources, such as our forests and other public lands, and ensuring that decisions that will have significant environmental effects receive appropriate review. Such rules and decisions are often attacked in ways that - - were the attacks successful - - would undermine important environmental protections, and, hence, require vigorous defense. Environmentally sensitive lands sometimes also require protection through purchase or condemnation of those lands.
The Department faces a growing caseload in such natural resource areas as: defending U.S. interests in "general stream adjudication" involving thousands of parties and tens of thousands of claims in the Western states; restoring and maintaining federally-managed lands, waters, and renewable resources; bringing suits to reclaim abandoned mine sites; managing endangered species on federal lands (wolves, bison); coordinating land exchanges between the government and private developers to protect environmentally sensitive lands, including habitats for endangered species; ensuring that the government receives appropriate royalties and income due from leasing and mining activities on federally-managed lands and waters; battling the environmental consequences of sprawl around urban areas, particularly habitat degradation; and defending ecosystem management programs.
A related concern is the trust relationship that the United States has with Indians and Indian tribes through numerous treaties, statutes, and Executive Orders. Under these authorities, the government is obligated to perform a number of functions on behalf of these tribes, including litigation by the Department to establish and defend their rights. Among other things, this means developing, investigating and litigating environmental issues that arise on Indian reservations and securing tribal resources, including water rights, land, and treaty-based hunting and fishing rights.
Strategies to Achieve the Objective
Pursue cases against those who violate laws that protect public health, the environment and natural resources.
The Department will work closely with client agencies to develop enforcement strategies specifically targeted to achieve widespread deterrence and encourage effective compliance across whole industry sectors. This approach was particularly effective this past year when the Department achieved a landmark settlement with heavy-duty diesel manufacturers who violated the Clean Air Act by installing software that allowed engines to meet EPA standards during testing but disabled emission control standards during normal highway driving. In the coming years, the Department will focus enforcement on industrial and economic sectors that are major sources of pollution.
The Department will pursue affirmative civil litigation concerning enforcement of EPA statutes and rules which regulate discharges into our Nation's air and water and the storage and disposal of hazardous wastes. We will litigate natural resource damage actions on behalf of federal trustees, including the Departments of Commerce, the Interior and Agriculture, and claims for contribution against private parties for contamination of public lands and recoupment of monies spent to clean up oil spills on behalf of the Coast Guard.
The Department faces a growing workload in a wide variety of natural resource areas including water and watersheds, federally-managed lands and renewable resources, endangered species and sensitive habitats, land acquisition and exchanges, mineral activities, and urban sprawl and habitat degradation. Top departmental priorities include implementing the President's Forest Plan for the Pacific Northwest, restoring salmon runs in the Snake and Columbia River systems, and protecting and restoring the Everglades "river of grass." In addition, the Department will continue to focus on illegal occupancy of federal lands.
We will continue to emphasize the use of Alternative Dispute Resolution (ADR) and other litigation streamlining techniques to achieve faster and more comprehensive resolution of these complex cases in a cost-effective manner.
Defend U.S. interests against suits challenging statutes and agency actions that protect public health, the environment and natural resources.
The Department will focus on defending the largest and most complex Comprehensive Environmental Response, Compensation and Liabilities Act (CERCLA) matters involving hundreds of millions of dollars of claims against the public fisc; defending the Army's $15 billion Chemical Demilitarization Program for destroying the nation's stockpile of chemical weapons in eight domestic sites as mandated by Congress and an International Chemical Weapons Convention; protecting multibillion dollar Army and Department of Energy programs designed to store, transport and destroy hazardous materials, both chemical and nuclear, from complicated legal challenges in multiple emergency proceedings; defending standards for ozone (smog) and particulate matter (soot) which will provide hundreds of millions of Americans (including children and the elderly) with urgently needed health protection; and defending a wide range of programs, including those related to ecosystem management, national monument designations, and protection of roadless areas in national forests.
Develop constructive partnerships with other federal agencies (including especially EPA), state and local governments, community representatives, and international enforcement agencies to maximize environmental compliance.
The Department will work in close coordination with communities and other federal agencies such as HUD to enforce the Residential Lead-Based Paint Hazard Reduction Act, a new law designed to protect children from the hazards of lead paint, which causes IQ deficiencies, reading and learning disabilities, impaired hearing, hyperactivity and behavior problems. The Department will participate in interagency task forces and high visibility international agreements to ensure that trade and investment rules promote environmental protection and do not undermine our domestic regulatory authority. The Department will promote multiagency enforcement of Clean Water Action Plans, including regulating against polluted runoff from livestock and poultry feeding operations which foul rivers and coasts, harm marine life, and pollute the air. The Department will monitor cases for environmental justice concerns and work to ensure that affected communities are consulted as appropriate during settlement negotiations.
Act in accordance with U.S. trust responsibilities to individual Indians and Indian tribes in litigation involving Indian interests.
The United States has established trust relationships with Indians and Indian tribes through numerous treaties, statutes, and Executive Orders. Under these authorities, the government is obligated to perform a number of functions on behalf of these tribes, including litigation by the Department to establish and defend their rights. The work includes development, investigation and litigation of environmental issues that arise on Indian reservations (e.g., recognizing tribal government authority to set standards for air and water quality on Indian reservations much as states currently do under the Clean Air and Clean Water Acts) and pursuing land and water claims on behalf of tribes to resolve centuries old disputes. This approach is critical since many reservations lie in arid portions of the country where competition for water is fierce, and tribal rights to water must be established before reservation lands can be developed. More than 50 million acres of reservation lands and the rights to major water systems in dry western states are at stake. The Department is also charged with protecting tribal regulatory, adjudicatory, and tax jurisdiction, including tribal sovereignty to exercise jurisdiction in domestic relations cases involving tribal members and enforcement of gaming laws and state compacts and establishing and protecting treaty-based hunting and fishing rights, including rights of Indians to hunt and fish free of state regulation on off-reservation lands. In defending litigation against Indian tribes, the Department gives careful consideration to negotiation and the use of dispute resolution techniques to resolve the controversy.
Key Crosscutting Programs
Coordination and Enforcement on Environmental Health Hazards. The Department enforces the federal lead-based paint disclosure rule with HUD and EPA, provides assistance to local and state governments in enforcement of their own hazard control regulations, and supports the President's Task Force on Environmental Health Risks and Safety Risks to Children.
Mississippi River Environmental Quality Coordination and Enforcement. The Department works with other agencies in efforts to improve the environmental quality of the Mississippi River. Multiagency planning sessions and enforcement actions aim at keeping illegal pollution ranging from raw sewage to industrial waste out of the Mississippi River and restoring the river and its surrounding communities.
Enforcing National Ambient Air Quality Standards. The Department partners with the EPA, the Army Corps of Engineers, and the Departments of the Interior and Transportation to defend EPA's National Ambient Air Quality Standards and the CERCLA statute.
Policy Coordination on Ecosystem Management. The Department works closely with client agencies such as EPA and the Departments of the Interior and Agriculture on ecosystem management in an effort to enhance protection of wetlands, forests, public lands, and waterways by considering ecological systems on a broad scale.
Strategic Objective 3.3 ANTITRUST - - Promote competition in the United States economy through enforcement of, improvements to, and education about antitrust laws and principles.
The Department maintains and promotes competitive markets largely by enforcing federal civil and criminal antitrust laws. These laws affect virtually all industries and apply to every phase of business, including manufacturing, transportation, distribution, and marketing. They prohibit a variety of practices that restrain trade, such as mergers likely to reduce the competitive vigor of particular markets, predatory acts designed to maintain or achieve monopoly power, and per se illegal bid rigging. Successful enforcement of these laws - - which both decreases and deters anticompetitive behavior - - saves U.S. consumers billions of dollars, allows them to receive goods and services of the highest quality at the lowest price, and enables U.S. businesses to compete on a level playing field nationally and internationally.
Several key trends are impacting the Department's antitrust efforts. The first of these is the globalization of trade. The second of these is rapid technological change. The third is deregulation. All three trends have ramifications for the Department's antitrust work and workload.
The value of mergers occurring globally is on the increase, and large, cross-border mergers are no longer an anomaly. In addition, as markets become increasingly global, so do cartels. More of the Department's criminal investigations involve foreign companies than ever before. Whether taking more time to coordinate with foreign antitrust counterparts or more money to translate foreign documents, the Department's increasingly common investigations with international dimensions are significantly more complex than in previous years.
A number of our most important industries have been characterized recently by unprecedented levels of technological change. The accelerated flow of information means the collection and review of evidence has become more laborious. The greater technological sophistication of the marketplace means the methods to constrain competition have become more sophisticated, as well. New industries are created virtually overnight. The Department must stay on top of all these developments to effectively enforce the antitrust laws.
In recent decades, legislative and regulatory changes in the United States have reversed a generation of pervasive government regulation and deregulated such basic industries as telecommunications, energy, financial services, and transportation. Competition, with appropriate reliance upon antitrust laws, has again become the norm. This transition has meant an increased role for antitrust - - both working with various agencies to find ways to replace regulatory constraints with competitive incentives and effectively following up with necessary enforcement of the broader antitrust laws as it may become necessary. Again, the Department is faced with more work that is more complex.
The Department has focused on three strategies to achieve our objective in the antitrust arena. These three strategies are complementary and provide the flexibility (among them all and within each of them) needed to respond to the key trends described above, effectively meet the challenges of today and tomorrow, and safeguard the competition that is the cornerstone of this country's economic foundation.
Strategies to Achieve the Objective
Investigate and litigate business arrangements and practices that encourage anticompetitive behavior and lessen competition.
The Department employs three distinct strategies to decrease and deter anticompetitive business behavior and practices. First, is our merger enforcement strategy. This strategy focuses on the investigation and litigation of instances in which monopoly power is sought, attained, or maintained through anticompetitive conduct and by seeking injunctive relief against mergers and acquisitions that may tend substantially to lessen competition.
Second, is our criminal enforcement strategy. (27) When businesses are found to be actively engaged in price fixing, bid rigging, and other market allocation schemes, the Department conducts criminal investigations and prosecutions. If the Department detects market collusion and successfully prosecutes, the Department may obtain criminal fines and/or injunctive relief.
Finally, our civil non-merger enforcement strategy investigates and prosecutes civil matters to suspend or deter anticompetitive behavior. It picks up, to some degree, where our criminal enforcement strategy leaves off, pursuing matters under Section 1 of the Sherman Act in instances in which the allegedly illegal behavior falls outside bid rigging, price fixing, and market allocation schemes. Other behavior, such as group boycotts or exclusive dealing arrangements, that constitutes "...contract, combination in the form of trust or otherwise, or conspiracy, in restraint of trade or commerce..." is also illegal under Section 1 of the Sherman Act. The civil non-merger enforcement strategy relies on a civil compulsory process to investigate alleged violations, obtaining civil damages or injunctive relief, as appropriate.
Advance procompetitive national and international laws, regulations and policies.
With a number of activities distinct in form and audience, the Department endeavors to promote competition through further improvement of the competitive landscape at all levels: inter- or intra-governmentally; nationally; and internationally. Departmental resources are devoted to participation in interagency regulatory processes, for example, to ensure that business practices conform with regulatory rules. In addition, Department officials routinely participate in interagency task forces related to competition issues. At the international level, Department membership in bodies such as the World Trade Organization (WTO) provides an opportunity for the promotion of "competition-friendly" policies and practices. In all cases, our goal remains the deterrence of anticompetitive behavior.
Educate businesses, consumers and counterpart agencies about antitrust law to increase their awareness and understanding.
Whether through direct contact and targeted communication with specific audiences, or via the development, publication and distribution of policy guidance, the Department seeks to increase the breadth and depth of awareness of antitrust law. One example of Departmental activity in this area is our Business Review Program, which provides timely information on antitrust law and how it applies under different situations, along with the likely reaction of the Department to a proposed business action or arrangement. Another example is tailored training provided to state antitrust attorneys and investigators. In all instances, by reaching as many individuals, companies, agencies, and other groups as possible, and by providing them with detailed and specific guidance on the law, the Department seeks to promote competitive behavior and deter anticompetitive behavior.
Key Crosscutting Programs
Antitrust Division and FTC Merger Clearance Process. Section 7 of the Clayton Act, as amended, requires certain enterprises that plan to merge or to enter into acquisition transactions to notify the Department's Antitrust Division and the FTC of their intention, and to submit certain information to those authorities. Once pre-merger notification has been made, the Department and the FTC employ a clearance process, based largely on complementary areas of expertise, in order to quickly determine which body will review and/or investigate a particular merger transaction. Following clearance, the transaction is reviewed to determine whether there are any competitive issues at stake. Throughout the clearance process the agencies maintain close communication in order to ensure that competitive concerns are addressed efficiently and effectively and that the process is undertaken without unduly burdening legitimate business interests.
Strategic Objective 3.4 TAX LAWS - - Promote the fair, correct and uniform enforcement of the federal tax laws and the collection of tax debts to protect the federal fisc from unjustified claims.
The Department strives to enforce the federal tax laws consistently and impartially and ensures that taxpayers are treated fairly. Enforcement plays an important role toward ensuring voluntary compliance and in realizing the maximum legal collection of tax revenues. The Internal Revenue Code is the major authorizing statute governing this area of activity. The Department assists the IRS with one of its key strategic objectives, "Increasing Voluntary Compliance." Referred from the IRS, the Department's work of enforcing federal tax laws includes: litigating all federal civil tax cases appealed to the United States courts of appeal and state appellate courts; investigating and prosecuting individuals and corporations for tax evasion; and litigating all civil tax lawsuits filed in federal district courts, bankruptcy courts, the Court of Federal Claims, and state courts. (28)
The Department assists with resolving a wide variety of federal tax issues and civil violations of the Internal Revenue Code through litigation and expert counsel. The federal tax laws and regulations are complicated and, as a nation, we depend upon individuals and corporations to voluntarily comply with the tax code. Given the complexity of the tax code, many disputes arise on the application of the Internal Revenue Code to a specific individual or business. When the disputes are not resolved through IRS administrative processes, they often become lawsuits in federal and state courts. The taxpayer may appeal an unfavorable lower court decision to a higher federal court of appeals or state appellate court. Department trial attorneys litigate these cases both in the lower courts and the appellate courts.
A significant portion of these suits are tax refund claims challenging the IRS's determination of a taxpayer's federal income, employment, excise, and/or estate tax liabilities. Defending federal tax claims and/or the feasibility of reorganization plans in bankruptcy proceedings represents another major portion of civil litigation. The Department's tax litigation docket also includes: enforcement of IRS administrative summonses that seek information essential to determine and collect taxpayers' liabilities; suits to collect taxes and other monies often hidden by fraudulent conveyances, sham entities, and alter egos; suits against IRS and other government officials for torts and constitutional violations allegedly committed in connection with tax collection activities; suits against the IRS brought pursuant to the Freedom of Information and Privacy Acts; and state and local intergovernmental tax immunity suits. The Department also defends the constitutionality of tax statutes and the validity of Treasury Department regulations. Civil enforcement of the tax laws can also arise from the Department's criminal enforcement initiatives. For example, the Department will be required to enforce an increasing number of administrative summonses as the IRS goes forward with its efforts to curb the problem of abusive trusts.
Strategies to Achieve the Objective
Litigate, both defensively and affirmatively, federal civil tax cases filed by and against taxpayers in federal courts.
Defensive litigation by the Department's civil trial attorneys often involves thousands of tax cases pending administratively at the IRS and generates significant revenue for the federal treasury. Defensive litigation also includes Department trial attorneys representing IRS officers against complaints made by taxpayers who allege misconduct by government officials for activities related to tax collection. These lawsuits can cripple morale if employees who have done nothing improper believe that they can be held personally liable for simply doing their jobs. The IRS workforce relies upon the Department for a vigorous defense against spurious lawsuits.
Approximately 10 percent of the Department's civil tax litigation docket involves responses to frivolous tax protest arguments. These resource-intensive cases are essential to keep illegal tax protest activities from further increasing. Honest taxpayers who perceive that individuals engaging in illegal tax protest activities have "gotten away with it" will themselves be discouraged from voluntarily paying their taxes. This litigation saves the Treasury millions of dollars annually.
Also important to the Department's strategy is its affirmative civil litigation program. Litigation activities include seeking judgments to enforce IRS assessments against taxpayers in cases involving fraudulent transfers made by delinquent taxpayers attempting to place their assets out of the reach of the IRS and the enforcement and foreclosure of federal tax liens. The Department is beginning to initiate more affirmative litigation against persons who employ increasingly sophisticated means to unlawfully shield their assets from collection. Affirmative litigation recovers or generates substantial revenues for the Treasury.
As part of their representation of the IRS in the courts, Department civil trial attorneys conduct, in each case, an independent review of the Service's administrative determinations. This review process often results in the Tax Division declining to bring certain affirmative litigation, and in defensive cases may result in some complete concessions, where Department attorneys determine that the IRS's administrative position cannot be legally and/or factually supported. This vital review function promotes the integrity of the federal tax system by ensuring that taxpayers and others involved in trial-level litigation are treated fairly and consistently nationwide. Additionally, Department trial attorneys monitor and review cases that are handled by the IRS and the U.S. Attorneys offices to ensure that the interests of the United States are appropriately represented and that the federal tax laws are enforced uniformly and correctly.
Provide expert counsel and litigation support to defend U.S. interests in federal civil tax cases appealed to federal appeals and state appellate courts.
Department trial attorneys provide expert counsel and litigation support on all federal civil tax cases that are appealed to the United States courts of appeal and state appellate courts. Defending the IRS against a wide variety of taxpayer appeals is critical for ensuring taxpayers are treated fairly as well as ensuring that the federal tax code is applied in a fair and impartial manner. The Department's work also ensures that the federal fisc is protected against unjustified claims. Many of the tax cases appealed involve millions, and in some cases, billions of dollars of potential tax revenue.
Key Crosscutting Programs
Joint Trust Task Force Working Group. Coordinated efforts between the IRS and the Department are necessary to combat abusive trusts, which pose a significant problem for our tax system. In that regard, the Tax Division and the IRS have established a Joint Trust Task Force Working Group to identify in advance, and to propose solutions for, issues which affect criminal and civil actions in this area.
Strategic Objective 3.5 CIVIL LAWS - - Effectively represent the United States in all civil matters for which the Department of Justice has jurisdiction.
The Department, through its Civil Division and the U.S. Attorneys, each year represents some 200 federal agencies in litigation arising from federal contracts or alleged government misconduct. We also defend challenges to the laws, policies, and programs of the United States.
Civil lawsuits involving large monetary claims are a fact of life. Plaintiffs advancing contract claims, allegations of negligence, claims of patent infringement, and the like seek to assign liability to the government in lawsuits where huge sums of money are at risk. The majority of civil suits handled by the Department are defensive. Over the last decade the number of cases involving multibillion dollar stakes has virtually doubled. Moreover, changes in the law have radically expanded the exposure of the United States as an employer and as an insurer of extra-governmental entities to potential liability. That expansion is reflected in case numbers, complexity and dollar amounts. It is the Department's job to ensure that only those claims with merit under the law are paid.
New laws, typically enacted only after a painstaking legislative process, are often attacked in court. Recent litigation challenging the laws and policies of the United States involves some of the most probing issues of our time. Examples include: gun control, pornography on cable television and the Internet, welfare reform, gays in the military, and tobacco regulation. Unlike the majority of civil suits handled by the Department which involve monetary claims, these lawsuits seek remedies that potentially affect vital aspects of our society - - how we respond to violence, poverty, and the emergence of the Information Age.
Other lawsuits take aim at various provisions of our entitlement programs and can profoundly affect federal expenditures. Reforms embodied in the Welfare Reform Act of 1996 and subsequent legislation will continue to generate broad class actions seeking millions of dollars in increased federal aid. It is likely that housing and health care reform legislation in the next few years will also be fertile areas for litigation. It is a near certainty that as the multiyear effort to reform the Social Security Administration's $58 billion disability benefits program reaches the implementation stage during the next few years, numerous and substantial broad-based challenges will be launched.
In a number of situations, through the implementation of specialized tort compensation systems, the Department has improved access to justice for the nation's citizens, leading to more efficient and effective resolution of disputes in the areas of occupational disease and vaccine injury. The National Vaccine Injury Compensation Program (NVICP) created an alternative to traditional product liability and medical malpractice litigation for persons alleging injury from vaccinations. Under the NVICP, individuals meeting the statutory criteria are compensated fairly and quickly, and non-meritorious cases are successfully defended, thereby preserving Program funds for those who are truly entitled to them. Under the Radiation Exposure Compensation Act (RECA), individuals who contracted certain diseases as a result of their exposure to radiation released during nuclear weapons tests or in underground uranium mines have received over $244 million in compensation since the Department's RECA Program began receiving claims in 1992. Through the RECA Program, individuals whose health was put at risk to serve the national security interests of the United States are provided an effective, efficient, non-adversarial forum in which to seek redress.
The Department must respond to a variety of immigration-related suits, mostly dealing with challenges targeting orders of exclusion, detention, and expulsion. Over the course of the past decade, this workload has tripled, coinciding with intensified enforcement efforts and the emergence of new laws. The lion's share of immigration litigation involves individual challenges and class action suits directed against the actions and determinations of INS, immigration judges, and the Board of Immigration Appeals.
While only a minority of immigration cases and matters involves suspected alien terrorists, antiterrorism efforts comprise a growing emphasis of the Department. The Antiterrorism and Effective Death Penalty Act and the Immigration Reform and Immigrant Responsibility Act have significantly expanded the Department's role in the fight against international terrorism. The Civil Division figures prominently in interagency efforts to designate foreign terrorist organizations for purposes of criminal and civil terrorism fund-raising laws, the defense of such designations, and the defense of the fund-raising provisions themselves against constitutional and other attacks. The Civil Division also heads the Alien Terrorist Removal Court litigation unit.
Hundreds of millions of dollars are lost to the U.S. Treasury each year as a result of procurement fraud, health care fraud, loan defaults, and bankruptcies. These losses reduce resources vital to a host of federally-funded programs, including Medicare. Efforts to recoup money owed to the United States have yielded huge collections in the past decade - - over $11 billion. Further, criminal prosecutions have resulted in court-ordered criminal restitution and fines collection of which is the responsibility of the Department of Justice. Today's docket includes a number of matters that are massive with respect to potential recoveries, the size of evidentiary collections, and the complexity of issues that underscore the government's case. As our adversaries enlist the help of top law firms and consultants, substantial government resources are required to achieve favorable settlements and judgments on behalf of the United States and victims of crime.
Finally, violations of the Food, Drug and Cosmetic Act, the Consumer Product Safety Act, and the Federal Trade Commission Act pose threats to the health and safety of millions of Americans. When such violations involve major patterns of fraud, illegal conduct, unfair credit and marketing practices, the Department pursues civil and criminal actions to stop and deter such activity. The emergence of the Internet has provided a new and extraordinarily powerful medium for marketing products and services. Contributors to the Internet have enjoyed a virtually free rein on marketing approaches. While this "open" approach has provided the public with an explosion of information, it has also created the means for large-scale fraud, deception, and criminal practices.
Strategies to Achieve the Objective
Assert the interests of the U.S. Treasury, prevailing against unwarranted monetary claims while resolving fairly those claims with merit.
Hundreds of millions of dollars are saved annually as a result of the Department's successes in defending national interests in major defensive lawsuits against unwarranted monetary claims on the public fisc. Such defensive litigation requires the diligence of Department staff who fight for and guard the financial interests of the United States at trial, at the settlement table, and at the highest levels of judicial review, asserting the government's interest in major disputes as they proceed through appellate stages.
Defend the laws, programs, and policies of the United States when challenged in court, including those which affect how sizeable portions of the federal budget are spent.
Defending the national interests of the many and varied laws, programs and policies of the United States is a critical role of the Department for maintaining civil law and order. Many of these civil lawsuits threaten or affect our national security, public safety or social and moral codes.
Implement civil justice reform initiatives to resolve classes of claims for which traditional litigation has proven ineffective.
The Department must defend against thousands of plaintiff claims alleging government neglect or wrongful conduct. Such suits usually involve massive discovery requirements, protracted trial schedules, arcane subject matter and substantial damages at stake. When such traditional litigation has proven ineffective, Congress has created specialized programs, (e.g., National Childhood Vaccine Injury Act and the Radiation Exposure Compensation Act). When appropriate, the Department must continue to evaluate cases to determine whether they will benefit from use of ADR and, if necessary, engage in such processes to expedite case resolution and/or reduce costs.
Ensure the intent of Congress and the collective efforts of the immigration agencies by defending immigration laws and policies, as well as class action suits or immigration judgments involving individuals.
The Department's heightened emphasis on immigration enforcement portends a rise in related immigration caseload. This litigation is handled from individual challenges to federal enforcement actions and class action suits directed against federal immigration agencies, e.g., denial of visas and passports, political asylum, administrative judgements on alien removal.
Recover monies owed to the United States and victims as a result of fraud, loan default, and bankruptcy.
The Department protects the public fisc through a variety of affirmative litigation to fight fraud, loan default and bankruptcy, focusing on matters involving widespread fraud and the potential for substantial recoveries. We investigate allegations brought forth by "whistle-blowers" and, where appropriate, pursue recoveries and civil penalties available under the False Claims Act, as amended. The Department emphasizes health care fraud enforcement, through collaborative efforts with other federal and state agencies to recover the billions of dollars lost from Medicare and other federally-funded programs. The Department actively pursues collection of federal and non-federal restitution and criminal fines.
Enforce consumer protection laws by seeking civil and criminal penalties available under existing statutes.
The existence of the Internet has placed new demands on law enforcement regarding the identification, investigation, and pursuit of consumer fraud. In particular, the relatively new phenomenon of Internet pharmacies - - which often dispense powerful prescription drugs without a valid prescription from a doctor - - pose a significant danger to consumers. To fight such trends, the Department will concentrate its activity on matters involving consumer law violations which pose the greatest potential threat to the public.
Key Crosscutting Programs
Civil Cases Involving National Childhood Vaccine Injury Act. The Civil Division will continue to work closely with HHS and the U.S. Court of Federal Claims in handling cases filed under the National Childhood Vaccine Injury Act. Managers at the respective agencies coordinate matters of policy, budget, case processing, and strategy. At the trial level, medical staff at HHS assist the Department in developing medical evidence and providing expert witness support. In conjunction with the Office of Special Masters at the U.S. Court of Federal Claims, HHS and the Department have strived to ensure just decisions in the thousands of cases filed since the inception of the program in 1988.
Coordination with the Department of State in Removing Aliens Posing National Security Risks. In resolving sensitive litigation involving aliens who pose a risk to national security (e.g., terrorists), the Department works closely with the State Department in efforts to remove such aliens to countries other than the alien's country of origin when that country is likely to torture or persecute the alien. Several Department components and the State Department have engaged in ongoing discussions regarding the application of the U.N. Convention on Torture, a treaty which can be expected to surface in many alien terrorist and criminal alien removal cases. The Department also reviews and assists in the production of sensitive documents in coordination with the Central Intelligence Agency, the State Department, and other members of the Intelligence Community.
MANAGEMENT CHALLENGES
The Department does not face any mission-critical management problems or challenges which would significantly hinder the Department from achieving this strategic goal.
26 See Strategic Objective 1.5 for information on the Department's enforcement of criminal violations of federal environmental laws.
27See Strategic Objective 1.5 for information on the Department's enforcement of criminal violations of federal antitrust laws.
28See Strategic Objective 1.5 for information on the Department's enforcement of criminal violations of federal tax laws.
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
Goal 4: FAIRLY AND EFFECTIVELY ADMINISTER THE IMMIGRATION AND NATURALIZATION LAWS OF THE UNITED STATES
Responsibility for administering the nation's immigration laws primarily rests with the Department's Immigration and Naturalization Service (INS). INS deters, apprehends, and removes persons who violate our immigration laws. It works with the U.S. Attorneys to investigate and prosecute violators of immigration statutes, including purveyors of fraudulent documents. At the same time, INS provides an array of services and benefits to those who legally enter and reside in the United States. These services range from providing employment authorization to processing applications for citizenship ("naturalization"). The Civil Division defends immigration laws and policies, as well as class action law suits or immigration judgments involving individuals. A separate component organization within the Department, the Executive Office for Immigration Review, provides for the independent administrative adjudication of immigration cases.
Strategic Objective 4.1 IMMIGRATION INFORMATION SERVICES - - Provide accurate, easy-to-use, readily accessible, and up-to-date information which meets the needs of internal and external customers.
The Immigration and Nationality Act charges the Commissioner of INS with collecting and disseminating immigration information to Congress and the public. During the course of this planning cycle, the INS culled the input of more than 3,000 of its stakeholders. Accurate, easy-to-use, readily accessible, and up-to-date information was reported as a priority by a significant number of these stakeholders, including benefits applicants, other government agencies, and businesses. The demand for good information is also reflected in the large volume of visitors at INS information counters, the increasing demand placed on the INS telephone center, and growing use of the INS web site. But maintaining and providing good information does more than improve customer service; it also facilitates INS business processes. Well-informed customers make case processing easier, quicker, and often cheaper. In addition, data serves as the raw material that allows INS to make informed policy decisions, identify opportunities for improvement, and demonstrate success.
Strategies to Achieve the Objective
Determine the informational needs of customers and ensure these needs are addressed through design, development and deployment of programs and systems.
Before developing data collection systems, INS needs to inventory and assess the data it needs to ensure it collects what is both necessary and sufficient to manage operations and to meet the needs of internal and external customers. This type of review will be conducted periodically to ensure that the data INS collects are still relevant. When new ways of doing business are instituted, data collection will also be reassessed. National case management and tracking systems will be designed to automatically collect and easily report key performance indicators. Existing case management systems will be reviewed and improved as necessary to ensure they meet this standard. To supplement these systems, data warehousing and intranet solutions will be developed which pull key data from various sources and provide them through a single, accessible, real-time system.
Define data quality standards and build quality mechanisms directly into data collection and reporting processes to ensure reliability of data reported.
INS must ensure it collects and uses quality data. To guarantee data quality, it must first ensure that the right data for collection have been identified. It must also clearly define quality standards. Lastly, it must build quality control mechanisms directly into its collection, review, and reporting processes.
Create informational materials that are written or voiced in plain and understandable language, are easy to use and meet the needs of customers.
INS stakeholders indicate that giving useful information to its customers is one of the most important services INS can provide. Customers indicate that this information should be accurate, consistent, and helpful and provided in a variety of languages.
Continue to enhance and expand use of communication and information technology to make this information easily and readily accessible to customers.
INS customers indicate that there are a variety of methods by which they would like to receive information from the INS, but that they particularly value easy and quick access to this information. The majority of INS customers have used or indicate they would be willing to use tools by which they can access information from INS remotely as long as they can be assured of the quality and accuracy of this information. To this end, INS will continue to enhance the features of its Internet site and its telephone services to increase the amount of information available via these sources and to increase the speed at which this information is provided.
Coordinate and develop partnerships with other agencies and organizations on data requirements, effective collection, and reporting, and expand the electronic exchange of data with mission partners, including federal, state, and local agencies as well as private sector organizations.
INS partners with many government agencies and private sector organizations to share data important to their missions. Concurrent to developing systems and programs to collect and analyze data, INS will work with other agencies to coordinate data collection efforts and reporting and to develop mechanisms by which data that are essential to more than one agency or organization are collected and exchanged electronically.
Provide employers and benefit providers with the information, assistance, and tools needed to allow them to comply with the laws while safeguarding the civil and privacy rights of citizens and aliens alike.
INS is the sole repository of status information on aliens and is called upon to provide status verification for aliens seeking benefits or employment. INS will continue to pursue means of verification which are user-friendly, secure, accurate, and timely. These enhancements will be made through improved integrity of data on aliens and their status in the United States and increased use of electronic verification methods for secondary verification. INS will continue to test and evaluate these enhancements as it continues to implement congressionally-mandated employment verification pilot projects.
Create a culture in which everyone values performance and demographic information and effectively uses data to make decisions, identify opportunities for improvement, and recognize successes.
INS will create a culture in which all employees understand how important performance and demographic information are and in which all managers effectively use performance data to make decisions, identify opportunities for improvement and celebrate successes. From a cultural perspective, information will be viewed as an organizational asset.
Key Crosscutting Programs
IDENT/IAFIS Integration. INS is working with the FBI on the integration of the INS' automated biometric identification system (IDENT) and the FBI's Integrated Automated Fingerprint Identification System (IAFIS). The goal of this collaboration is to improve the timeliness and accuracy of criminal identification. This initiative will ensure that thousands of persons entering the U.S., both legally and illegally, can be promptly checked for the existence of criminal records maintained by the FBI.
Strategic Objective 4.2 IMMIGRATION BENEFITS - - Deliver services to the public in a professional and courteous manner and ensure that correct immigration benefit decisions are made in a timely and consistent fashion.
INS has experienced substantial increases in applications for benefits since the early 1990s. To succeed at this work, INS must ensure that correct decisions are made - - that people who are eligible for benefits receive them and those who are ineligible are denied. To ensure that the right decisions are made, INS must ensure that the right processes are in place and documented and that INS employees adhere to these processes. In addition, before, during and after the adjudication process, INS must ensure that excellent customer service is provided. Timely, consistent, professional, and courteous treatment are service priorities that are important to all of INS customers, including benefit applicants, the community-based organizations who represent them, and businesses.
Strategies to Achieve the Objective
Establish quality assurance, timeliness and customer service standards for all immigration benefits applications processing, and ensure that mechanisms are in place to meet these standards.
INS stakeholders indicate that the integrity of benefits processes, including naturalization, is particularly important, especially with regard to the outcome of these processes. Nearly all INS stakeholders also report that the speed with which INS processes cases is a high priority as well as the courtesy and respect they are given as they navigate benefits processes. This includes cultural sensitivity on the part of INS employees. To meet the needs of its stakeholders and customers, INS will create standards and mechanisms by which to meet those standards in the areas of quality of processing, timeliness, and customer service.
Maintain fair and timely refugee and asylum case processing that denies meritless claims quickly without discouraging legitimate seekers of refuge.
INS will continue to build on the successful reform of the asylum system implemented in 1995. Due to the urgency of many refugee and asylum cases, it is imperative that INS maintain a system by which cases can be processed quickly and fairly. However, the process must also preserve the integrity of the refugee and asylum programs by ensuring that only those who are eligible for such protection receive it.
Complete reengineering of the naturalization process, redesign processes for immigrant and non-immigrant applications processing, and institute documented standard operating procedures nationwide.
In 1997, INS undertook a reengineering of the naturalization process to improve the way in which services are delivered to the customer and enhance the integrity of the process. INS will document and monitor compliance with this new process. It will also apply lessons learned from the naturalization reengineering to the redesign of other benefits processes in order to improve service delivery and customer satisfaction. To ensure consistent application of these redesigned procedures on nationwide basis, INS will document the new processes and monitor compliance.
Introduce electronic filing for applications processes.
Consistent with stakeholders' expressed interest in timely and user-friendly processing, the INS will develop an electronic filing capability. This will enable processing to be conducted more quickly, at a lower cost and with fewer errors.
Create a culture of customer service as an integral, permanent component of INS benefits application processing.
Customer service is one of the highest priorities of INS customers and stakeholders. INS will continue to move toward creating an organizational culture that supports customer service by providing employees with guidelines, training, and adequate tools and resources to provide high quality service to customers.
Key Crosscutting Programs
Alien Status Verification. In providing alien status verification services to employers under the new pilot programs authorized by Congress, INS is working closely with the Social Security Administration (SSA) on two of the three prototype approaches being piloted. Additionally, INS provides information on alien status to SSA under a longstanding agreement to assist SSA in processing benefit applications under their legislation.
Strategic Objective 4.3 BORDER ENFORCEMENT - - Secure the ports-of-entry, land border and coast of the United States against unlawful entry.
Sovereignty presumes the right of all nation-states to defend their borders and regulate the people and commerce that cross them. Increasing sophistication of alien smuggling and the threat of international terrorism require a comprehensive, coordinated approach that begins beyond U.S. borders and follows through to the interior of the United States. It also requires the flexibility to tailor an enforcement response to the unique situations of each border area. To be truly effective, aggressive border enforcement calls for a careful balance between control and compassion and an ongoing commitment to personal and community safety.
Strategies to Achieve the Objective
Prevent and deter illegal entry by phased implementation of a comprehensive border enforcement strategy that concentrates resources to control corridors of illegal entry.
This strategy extends the multiyear effort initiated in 1994 to strengthen enforcement of the nation's immigration laws and to disrupt the traditional illegal immigration corridors along the nation's southwest border. Under the strategy, new personnel, backed with equipment and infrastructure improvements, are deployed in targeted areas, starting with the most vulnerable areas. INS will continue to tailor enforcement approaches to the unique situations of each border area, including the northern border.
Pursue border safety initiatives that create a safe border environment.
Seeking to avoid detection, smugglers often lead migrants to dangerous terrain, where they may become lost or are abandoned. In cooperation with the Government of Mexico and state and local officials in border communities, INS will continue border safety initiatives aimed at educating migrants about the dangers associated with illegal crossings and assisting those who do not heed these warnings.
Strengthen the capabilities of host and transit countries to combat illegal migration and prevent and deter illegal immigration at the source.
In keeping with the international crime control strategy of the U.S. Government announced in May 1998, INS will build its first line of defense beyond U.S. borders. It will work with other governments to prevent illegal entry by identifying and intercepting mala fide travelers and migrants before they enter the United States. This includes assisting with offshore prosecutions and providing assistance to foreign governments in prosecuting cases within their own judicial systems.
Enhance and maintain an effective intelligence capability through coordination with other agencies and integration of INS worldwide intelligence resources.
Recognizing that the first line of defense is beyond U.S. borders, intelligence on activities planned abroad before they occur is critical to accomplishment of this objective. INS can build upon the intelligence efforts of other U.S. Government agencies as well as international agencies and organizations in order to obtain intelligence information. Intelligence will allow INS to make more informed decisions on where and when to concentrate resources. To this end, INS will pursue partnerships with these agencies and organizations.
Key Crosscutting Programs
Operational Alliances. In accomplishing its border management mission, the INS has relationships with other federal, state, local and international law enforcement agencies where operational initiatives are crosscutting among various entities. Such initiatives include a memorandum of understanding (MOU) with DEA, particularly with respect to a delegation of legal authority to enforce drug laws under Title 21. A similar MOU is in place with the United States Customs Service (USCS) where cross-designated authority is provided to both INS and Customs officers to enforce their respective laws.
The INS also is involved with a number of federal, state and local joint-agency task forces with missions such as antiterrorism, drug interdiction, alien smuggling, fraud, and other illegal activities. On the international front, the INS coordinates its border enforcement efforts with its land neighbors to both the north and south through such special programs as Operation Alliance with Mexico and Project Northstar with Canada.
Information Sharing. INS agents in offices worldwide work closely with the Department of State, the USCS, the U.S. Coast Guard (USCG), the DEA, and the FBI, as well as with foreign governments, in order to exchange information with their foreign immigration counterparts, and to better identify and disrupt organized alien smuggling activities.
Maritime Smuggling. INS personnel support the maritime interdiction activities of the USCG by providing investigatory assistance and conducting asylum interviews. Maritime interdictions reduce the chances that illegal immigrants will successfully entering the United States. Moreover, interdiction and a quick repatriation by the USCG saves in detention and processing costs and helps to deter future attempts.
Strategic Objective 4.4 BORDER FACILITATION - - Facilitate lawful travel and commerce across the borders of the United States.
In an era of growing interdependence of economies and ideas, border integrity involves a proper balance between controlling movement and facilitating exchange. Because the vast majority of individuals who enter the country do so legally, it is incumbent upon INS continuously to seek improvements in its facilitation function. In addition, our expanding global trade obligations require innovative ways to facilitate the movement of international personnel across the nation's borders without compromising border security.
Strategies to Achieve the Objective
Promote the expeditious movement of travelers by conducting critical enforcement functions prior to the primary inspection process.
INS will expand the use of prescreening approaches for passenger and vehicle traffic at both land and airport venues through the early review of passenger information, using techniques such as pre-enrollment programs or pre-arrival information review. This is critical to the improvement of traveler service at land borders and international airports and the enhancement of our ability to identify and prevent criminal and other illegal aliens from entering the United States.
Maximize the use of techniques and technologies that promote and expedite lawful entry and exit, including cooperative strategies with local authorities, the travel industry and foreign governments.
INS will continue to develop and test automation and other technologies that facilitate lawful traffic and commerce as well as enhance our ability to identify and prevent criminal and other inadmissible aliens from entering the United States.
Continue to develop, improve and integrate alternative inspection processes.
INS has successfully implemented alternatives to traditional inspection processes and will continue to improve these processes and integrate them at ports-of-entry (POEs). These automated processes will contribute to increased efficiency and decreased wait times at the borders and ports-of-entry.
Work cooperatively with other federal agencies at POEs to create a secure and seamless federal inspection process.
INS shares responsibility for inspecting foreign travelers at the borders with other federal agencies including the Department of State, the USCS, and the Department of Agriculture. INS will continue to develop partnerships with these agencies to improve traveler service and enhance enforcement. This will include data sharing approaches, such as the DataShare Initiative with the Department of State which improves the identification of fraudulent visas and enhances the visa issuance process.
Establish traveler service standards and ensure mechanisms are in place to meet these standards.
First-class customer service requires that travelers are processed within acceptable time frames and in a courteous and professional manner. To this end, INS will develop standards for timely service and treatment of travelers at the borders and ports-of-entry, as well as mechanisms to ensure that those standards are met. INS will work with its partners in the travel industry to identify strategies to ensure that appropriate resources are available to support their common interest in meeting these standards.
Key Crosscutting Programs
Data Sharing. At land POEs, INS collects data on processing times and shares the information with the USCS. At air POEs, USCS and INS receive passenger data from the Advance Passenger Information System (APIS), which allows the agencies to perform enforcement checks and identify high-risk passengers before they arrive in the United States.
Secure Electronic Network for Travelers Rapid Inspection (SENTRI). INS coordinates with the USCS and the General Services Administration on port modifications and construction necessary for the SENTRI system. INS also coordinates with the Government of Mexico on construction of access roads for SENTRI. INS works with local airport authorities to open enrollment centers and kiosks for the INS Passenger Accelerated Service System (INSPASS).
Strategic Objective 4.5 INTERIOR ENFORCEMENT - - Preserve the integrity of the legal immigration system and promote public safety and national security by deterring illegal immigration, combating immigration-related crimes and removing individuals, especially criminals, who are unlawfully present in the United States.
Interior enforcement complements the global and border components of the INS enforcement strategy. INS' interior enforcement strategy concentrates resources on investigations of cases having the broadest impact on the criminal networks and the infrastructure supporting alien smuggling, fraud and illegal employment. This strategy also emphasizes internal coordination among the various INS enforcement functions and forging closer ties with other federal agencies and state and local law enforcement.
Strategies to Achieve the Objective
Identify and expeditiously remove criminal aliens and develop approaches to minimize recidivism.
Illegal immigrants who commit a crime during their stay inside the country pose the most significant risk to U.S. communities. By identifying and removing these aliens, INS can significantly lower the number of incarcerated criminal aliens and their associated costs to local communities. INS will continue to identify and remove criminal aliens who are in the criminal justice system and will concentrate resources on high-volume areas in order to achieve the greatest impact. INS will also continue to use the Institutional Removal Program (IRP) which identifies and processes deportable inmates prior to their release from federal, state, and local institutions. Criminal aliens who are removed from the United States are more likely both to return to the United States and to commit more crimes. In recent years, prosecutions of re-entry after deportation cases have increased. INS will work with the U.S. Attorneys to prosecute these cases and will expand use of the IDENT fingerprint system and the INS Law Enforcement Support Center (LESC) to identify repeat migrants and repeat offenders.
Disrupt and dismantle alien smuggling and trafficking organizations.
The INS will concentrate on disrupting and dismantling the criminal infrastructure that encourages and benefits from illegal migration in order to achieve a greater long-term impact on the consequences and effects of illegal migration. INS will focus on smugglers, counterfeit document producers, transporters, and employers who exploit and benefit from illegal migration. INS will also introduce innovative tactics such as wiretaps, made possible by new law enforcement authority.
Support global and border enforcement efforts to intercept illegal immigration-related activities before they occur.
In keeping with the international crime control strategy of the U.S. Government announced in May 1998, INS will coordinate its enforcement activities, beginning overseas in source and transit countries and continuing inside the United States, to create a seamless web of immigration law enforcement. This includes such initiatives as building partnerships with other U.S. Government agencies as well as international agencies and organizations to coordinate intelligence information and investigations; assisting with offshore prosecutions; and working with other governments to reduce recidivism by monitoring and controlling foreign travel of deported aliens.
Respond to community reports and complaints about the negative consequences of illegal immigration and build partnerships to help address these concerns.
INS will continue to respond to stakeholder concerns in the communities it serves. This includes building partnerships with other federal, state, and local law enforcement organizations to prevent crimes involving illegal aliens. In addition, INS will continue to maintain a law enforcement presence in every state, utilize Quick Response Teams (QRT) to respond to the impact of criminal alien and smuggling activity on local law enforcement, and contribute to joint investigations and task force projects with other agencies. INS will also use input from the offices of the U.S. Attorneys, local government and law enforcement officials, community leaders, and advocacy groups to develop local threat assessments and action plans to address local problems and their impact on the community. Finally, INS will maintain a continuous dialogue with communities to evaluate the effects of its enforcement actions.
Minimize immigration benefit fraud and other document abuse.
In order to maintain the integrity of the legal immigration system, INS will employ an aggressive investigation and prosecution strategy against benefit fraud and document abuse. Priority will be given to investigating and prosecuting complex fraud schemes and other cases having the broadest impact on criminal networks and the infrastructure supporting benefit fraud and document abuse. In addition, INS will take advantage of new technology and methodologies, such as data mining and biometric identification, to identify criminal fraud schemes.
Block and remove employers' access to undocumented workers and help reduce worker exploitation.
INS will pursue a comprehensive approach to deterring unauthorized employment that will include building relationships with employers, openly conducting audits and surveys, inviting employer cooperation and continuing to work with employers after unauthorized workers are removed to ensure continued compliance with immigration laws. Based on institutional experience and current data, INS will also identify and target notorious and egregious violators. In addition, INS will concentrate on removing aliens with criminal convictions, many of whom hold jobs that could be held by citizens or legal residents.
Key Crosscutting Programs
Removals. To facilitate removals and repatriations, INS works in conjunction with BOP, USMS, state and local law enforcement, and foreign governments. INS also works to develop additional agreements with foreign governments to facilitate repatriation.
Investigations. INS conducts international investigations to prevent, identify, disrupt, and dismantle criminal organizations that facilitate illegal migration. INS' anti-smuggling strategies are coordinated with the FBI. In addition, INS works with the U.S. Attorneys to prepare cases and receives information on work-site enforcement activities from the Department of Labor.
Strategic Objective 4.6 IMMIGRATION INFRASTRUCTURE - - Ensure the effective and efficient operational capability of the INS workforce.
The INS experienced unprecedented growth and change during fiscal years 1994-2000. These changes include major reforms of the immigration laws, dramatic increases in workload, a doubling of the agency's budget, and a 50 percent increase in the size of the INS workforce. As a result, INS is facing unique and pressing infrastructure needs. For example, the growth in the size of the workforce and the budget has been targeted at very specific areas, and over time these changes have resulted in backlogs, shortfalls, imbalances and inconsistencies in the infrastructure that supports the INS workforce. In addition, these changes have created a need to redefine the corporate culture to ensure that all employees share a common vision of the INS mission, values and goals. This Immigration Infrastructure Strategic Objective provides a focal point during this strategic planning period to address these critical needs.
Strategies to Achieve the Objective
Develop and maintain a high-quality workforce.
The rapid growth of the INS workforce and the competitive employment market pose a challenge for INS in attracting and retaining capable employees and in providing the initial and ongoing training that is essential for employees to meet their responsibilities. INS will continue to pursue innovative approaches to streamline the hiring pipeline and to attract and retain a highly qualified workforce. In addition, INS will increase its training capacity both through conventional training facilities and through the use of alternative delivery methods.
Balance the workforce for effective utilization of mission-essential operational personnel.
The growth of INS has largely emphasized the front-line mission workforce with the result that the mix of mission and support personnel no longer represents an efficient or effective balance. Mission operations are hampered because of inadequate support staff. This includes administrative, technical, legal, compliance and performance review support as well as a strong supervisory structure needed to oversee INS operations. To improve the effectiveness of the workforce, INS will provide sufficient administrative staff and technical support so that mission-essential operational personnel may perform their mission-related duties instead of being diverted to handle administrative tasks or waiting for them to be done. In addition, INS will provide training and other management support to supervisory personnel to ensure the agency has a highly qualified, cohesive and accountable leadership team.
Provide adequate physical and technological environment, support and equipment.
Rapid growth has also created imbalances in the physical and technological environment. INS has significant backlogs in facilities, equipment, and information technology architecture needed to safely and effectively to support the workforce and people INS serves. In the area of facilities and equipment, overcrowding and inadequacies pose a problem both for mission accomplishment and for retention of qualified employees. With respect to information technology (IT), system development and operation have not kept pace with needs. This includes not only mission-based systems but also other management information systems, such as a sound financial management system. To address these imbalances, INS will acquire, modify and maintain facilities that support a safe, quality workplace and a productive workforce and will provide vehicles and other equipment that are acquired, maintained, repaired and replaced in a safe and cost-effective manner. INS will also continue to develop an adequate, cost effective and architected IT environment comprised of standards, equipment, telecommunications links, and security to ensure reliable and secure access to INS' electronic information.
Establish and reinforce INS core values.
To understand how their role, performance and conduct contribute to the INS mission, employees must understand the INS objectives, strategies, policies, procedures and practices that bear on their work and, more importantly, share a common vision of the underlying corporate values. To that end, the INS will prepare and widely disseminate a statement of its professional and ethical values. Through a variety of communication vehicles, including a central electronic repository available to all employees, it will improve information at all levels of the organization. It will improve its effectiveness through internal and external performance and compliance oversight, and ensure individual accountability at all levels.
Key Crosscutting Programs
None.
Strategic Objective 4.7 ADJUDICATION - - Adjudicate all immigration cases in a timely manner while ensuring due process and fair treatment for all parties.
The Executive Office for Immigration Review (EOIR) provides for the review and adjudication of immigration cases. EOIR's mission is to provide a uniform and timely interpretation and application of immigration law. Although EOIR is an independent agency, its workload is largely determined by the activities and initiatives undertaken by the INS. Similarly, EOIR's ability to process cases in a timely fashion directly affects INS goals to remove criminal or inadmissible aliens expeditiously and to efficiently use limited detention space.
Strategy to Achieve the Objective
Adjudicate priority cases within specified time frames.
EOIR has identified three adjudication priorities and set specific processing time frames for each. The first priority is the adjudication of alien inmates incarcerated in federal, state and local institutions as a result of convictions for criminal offenses. The aim is to adjudicate these cases prior to the inmate's release so that those found by EOIR to be removable may be removed from the United States by the INS. The second priority is the adjudication of expedited asylum cases within 180 days. The third priority is the adjudication of cases involving detained aliens within 30 days. EOIR continues to look for ways to streamline the adjudications process and make more effective use of its resources.
Key Crosscutting Programs
None.
MANAGEMENT CHALLENGES
Despite significant progress, the Department continues to face major challenges in the management of its immigration programs. Many of the objectives and strategies described above are aimed at meeting these challenges by focusing on a strong customer-orientation, the provision of reliable and timely data, reengineered business processes, and infrastructure improvements.
INS is heavily dependent on information technology and significant resources have been devoted to the development and deployment of new systems. INS has had difficulty, however, in managing its automation programs effectively. To help remedy this situation, INS has established an Information Technology Investment Review Board to oversee the selection, control and evaluation of information technology investments and instituted related improvements. Nevertheless, information technology management within INS remains a management challenge carefully monitored by the Department.
Improving INS financial management systems is another significant challenge. Despite progress in this area, INS continues to experience problems in meeting federal accounting standards. To correct these problems, INS is in the process of implementing new accounting systems and procedures. This issue, too, is being carefully monitored by the Department.
Another management challenge is in the area of identifying and removing persons who are in the United States illegally, including the monitoring of alien overstays. INS is adopting new policies and procedures to improve the effectiveness of the Institutional Removal Program, a program designed to identify and remove criminal aliens by means of administrative or hearing processes before their release from custody. In addition, INS has developed a new system to aid in collecting arrival and departure information necessary for tracking possible overstays. When fully deployed, this system will provide information on individuals who arrive and depart through air ports-of-entry. Additional improvements in coordinating with the State Department's visa issuance process are still needed to fully address the alien overstay problem.
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
Goal 5: PROTECT AMERICAN SOCIETY BY PROVIDING FOR THE SAFE, HUMANE AND SECURE CONFINEMENT OF PERSONS IN FEDERAL CUSTODY
This strategic goal is directly related to the Department's law enforcement mission of controlling crime and seeking just punishment of those guilty of unlawful behavior. It encompasses two separate but related functional areas of responsibility: detention and incarceration. Detention is the temporary holding of individuals accused of federal crimes or pending deportation. Incarceration is the long-term confinement of individuals convicted and sentenced for federal crimes. Detention is a responsibility shared by the U.S. Marshals Service (USMS), the Immigration and Naturalization Service (INS) and the Bureau of Prisons (BOP). Incarceration is the responsibility of the Bureau of Prisons.
Detention and incarceration functions comprise approximately one-fourth of the Department's budget. More aggressive enforcement, sterner sentencing guidelines, and the growing reach of federal criminal law, have dramatically increased the demands on the Department's detention and prison systems in recent years. Our physical capacity to detain or imprison offenders simply has not kept pace with these and other changes. Thus, much of the challenge facing the Department over the next five years is effectively meeting this rising demand for detention and prison space in a way that is cost effective and does not jeopardize safety and security.
Strategic Objective 5.1 DETENTION - - Provide for the safe, secure and humane confinement of persons who are detained while awaiting trial or sentencing, a hearing on their immigration status, or deportation.
The Department of Justice is responsible for detaining persons charged with violating federal criminal statutes or immigrations laws who are not otherwise released on bond or personal recognizance pending disposition of their case. The USMS safely houses and maintains pre-sentenced detainees in secure confinement facilities, from the time they are initially brought into federal custody and throughout the entire trial process, ending only when the prisoners are acquitted, arrive at a designated BOP facility to serve a sentence, or are otherwise ordered released from custody. INS detains aliens who enter the United States illegally or otherwise violate immigration laws. BOP assists the USMS and INS by housing some pre-sentenced federal detainees and alien detainees in specified BOP facilities.
The Department has limited control over the number of detainees in its custody at any given time, as this number is, for the most part, dictated by prosecutorial and law enforcement initiatives, as well as judicial decisions in place at the time regarding detention. As the number of detainees increases, so do detention and incarceration costs. Without proper and advanced planning and coordination within the Department, detention costs will spiral out of control, and will exceed the Department's ability to effectively manage its resources. As a result, the Department has formed a Detention Planning Committee headed by the Deputy Attorney General and comprised of representatives from the key components.
Strategies to Achieve the Objective
Acquire needed bedspace capacity through a multipronged approach of state and local agreements, contracts with private vendors, construction and operation of federal detention facilities, and, where appropriate, the use of alternatives.
The Department acquires detention beds through agreements with state and local governments reimbursing them for the use of their jail space, contracts with private vendors, and the construction and operation of federal detention facilities. It also encourages state and local governments to provide bedspace for federal use by awarding funds under the Cooperative Agreement Program (CAP) for jail modifications and renovations. Although the USMS, INS and BOP all use state and local jails to an extent, the USMS traditionally has been the primary user of state and local detention space. In recent years the ability of the Department to rely on the use of state and local facilities to meet its detention needs has been diminished, as these facilities are increasingly being used to meet state and local requirements. Because the Department needs access to space in every court city and other key locations (e.g., the southwest border), it is more cost effective to use existing facilities, rather than construct new federal detention centers in every city where detention space is needed. However, detention space in desired locations (close to court cities) is becoming more scarce. Continued access to needed space is a major management challenge.
As a result of the shortage in state and local bedspace, the USMS and INS increasingly have turned to the private sector. For example, in fiscal year 1994, the USMS housed one percent of its population in private facilities; in fiscal year 1999, it housed 13 percent of its detainees in privately owned or operated facilities. Use of private detention facilities, however, raises its own set of issues and challenges. The Department will examine the role of private sector contractors in the housing and supervision of federal criminal detainees. While there are a number of advantages to the use of private contracts (i.e., reduced start up/construction time, increased facility locations, etc.), there are also many disadvantages, such as possible increased housing costs, liability issues, and security concerns. There is also concern about the long-term commercial viability of these privately owned and operated facilities. At the same time, the INS will seek to create alternatives to detention for non-criminal aliens both to create a more humane detention program and to increase the available bedspace for other aliens.
Improve management of detention resources through more accurate forecasting of detention needs, better coordination, strengthened oversight and other means.
The USMS, INS, and ultimately BOP, all rely on accurate population forecasting to project and plan for future resource and bedspace needs. Both the USMS and INS currently rely on a combination of historical data and information obtained from the field to forecast their populations. They have contracted with a private vendor to develop statistical models that incorporate various workload indicators in an effort to develop more statistically sound population projections, as has the Executive Office for the U.S. Attorneys. The Department needs to build on these efforts to develop a comprehensive model that can project total Department needs based on any given initiative or policy change. Such a model would provide output on the number of INS and USMS detention beds needed, the number of deputy U.S. marshals and INS detention and deportation officers needed to manage the projected population, and ultimately would provide projections for sentenced prisoners in BOP custody.
Operate the Justice Prisoner and Alien Transportation System (JPATS) efficiently and effectively.
JPATS was created in 1995 by the merging of the USMS and INS air transportation fleets. JPATS is responsible for moving by air all federal prisoners and detainees whether in the custody of the USMS, BOP, or INS. In fiscal year 1999, JPATS began operating as a revolving fund activity with operating costs being reimbursed by customer agencies on a cost per seat charge. Additionally, JPATS provides repatriation movements overseas to return illegal aliens to their homelands; reimbursement of repatriation movements is provided by INS.
Key Crosscutting Programs
Through the Working Group of the Detention Planning Committee, the Department maintains close contact with Pretrial Services Division of the Administrative Office of the U.S. Courts (AOUSC). The Working Group meetings provide a forum for the Justice detention components to address issues involving the U.S. Courts with a representative from Pretrial Services, who serves on the Working Group. As an example, at one of the workgroup meetings the USMS raised an issue concerning the timeliness of prisoner designations and their impact on the Federal Prisoner Detention appropriation. As a result, AOUSC published an article in its biweekly newsletter, News and Views, to get word out to district courts around the country about the importance of timely processing of presentence reports in an effort to help speed up the designation process. Additionally, the USMS and AOUSC have a reimbursable agreement in place in which the USMS provides reimbursement to the judiciary in selected districts for the use of alternatives to confinement.
Strategic Objective 5.2 PRISON CAPACITY - - Ensure that sufficient prison capacity exists so that violent and other serious criminal offenders are imprisoned to the fullest extent of the law.
BOP has experienced unprecedented growth during the past ten years. As of June 30, 2000, there were 143,078 inmates in BOP custody, an increase of 9,389 since September 30, 1999. Most of these were confined in one of the 96 BOP operated facilities located around the country. Some were assigned to the privately managed Taft Correctional Institution in California, and others to a variety of community corrections centers, detention centers, other contract facilities or home confinement. At the end of fiscal year 1999, the overcrowding rate in the Federal Prison System was 31 percent. By June 30, 2000, it was 34 percent. The BOP projects that by 2005 the total inmate population will reach 194,687.
As noted earlier, this rapid growth is a result of changes taking place in other parts of the criminal justice system, including aggressive law enforcement policies and the imposition of lengthier sentences. BOP works to accommodate the increasing population in the most cost-effective manner possible. Its aim is to protect the community, keep institutional overcrowding at manageable proportions, and ensure that inmates serve their sentences in a safe and humane environment.
Strategy to Achieve the Objective
Acquire additional bedspace capacity through a multipronged approach of new construction, cooperative arrangements with other units of government, alternatives to traditional confinement where appropriate, and contracts with private providers of correctional services.
New construction is a key part of the Department's strategy for meeting its bedspace needs. BOP is currently activating four new facilities which will be fully operational in fiscal year 2001. This will add 3,901 beds in rated capacity. It is continuing construction of six new facilities which are expected to be completed and to begin activation in fiscal years 2001-2002. When completed and activated, these six facilities will add 6,046 beds in capacity. It is also awarding contracts to begin the proposed additional design and construction of seven new facilities which are expected to begin activation by fiscal years 2003 or 2004 and would add 7,744 beds. In addition, the BOP is continuing or beginning environmental review, design, or design-build activities for 17 new facilities which are expected to add 19,200 beds in fiscal year 2005 and beyond. It will also continue to pursue negotiations with other governmental units to consider property transfers, joint use contracts, and other cooperative arrangements.
The Bureau will continue the careful use and evaluation of secure alternatives to traditional incarceration for nonviolent offenders, including Comprehensive Sanctions Centers and home confinement strategies where appropriate, and seek appropriate contract (privatized) low security bedspace. It recently awarded contracts to Corrections Corporation of America for performance in California City, California (2,048 beds), and Cibola, New Mexico (1,012 beds). The Bureau is also increasing the use of Intergovernmental Agreements (IGAs) with 3,638 beds identified. Expansions are approved at Big Spring, Texas (544 beds) and Reeves, Texas (1,000 beds). In addition, its has negotiated IGA's with the Giles Dalby Correctional Facility in Garza County, Texas (1,094 beds) and Greensville, Virginia (1,000 beds).
Key Crosscutting Programs
None.
Strategic Objective 5.3 PRISON OPERATIONS - - Maintain and operate the Federal Prison System in a safe, secure, humane, and efficient manner.
Because the BOP incarcerates some of the most dangerous felons in the country, it is especially critical that its facilities be operated with attention to issues of safety and security. In addition, because detention and incarceration together now account for more than one-fourth of the Department's budget, it is critical that every effort be made to manage and operate the system in as cost effective and efficient manner as possible.
Strategies to Achieve the Objective
Manage BOP operations efficiently.
BOP will continue to take steps to improve its effective use of resources and efficient delivery of services. A major focus will be on controlling rising health care costs.
Ensure that BOP facilities comply with the standards of the American Correctional Association and all applicable environmental, health and safety codes and regulations.
BOP will continue to prepare all activated facilities for accreditation with the American Correctional Association (ACA). The BOP utilizes ACA to obtain an external assessment of its ability to meet the basics of corrections. ACA is an independent accrediting authority for correctional agencies who wish to validate that sound and effective correctional management is practiced. This program offers the opportunity to evaluate, remedy deficiencies, and upgrade the quality of programs and services. Once accredited, all facilities submit annual statements of continued compliance. At ACA's discretion, a monitoring visit may be conducted during the initial three year accreditation period to ensure continued compliance with standards.
The BOP also maintains a modernization and repair program to ensure that its facilities, many of which are over 50 years old, are safe and secure. Included in this program are "life safety" projects to meet National Fire Code standards. These projects are given the highest priority.
Ensure safety and security.
A safe and secure institutional environment for inmates and staff is of fundamental importance. BOP assigns inmates to institutions according to their security and custody needs, ensures that correctional staff are properly trained and equipped, and works to reduce violence and the introduction of drugs in prison facilities. In addition, the BOP conducts routine mock emergency exercises with the FBI. It works closely with both the FBI and the USMS when an escape or emergency situation exists.
Key Crosscutting Programs
BOP utilizes the laboratory testing contracts, telemedicine, and outpatient services of the Department of Veterans Affairs (VA).
Strategic Objective 5.4 INMATE SERVICES - - Provide services and programs to meet critical inmate needs and facilitate their successful reintegration into society, consistent with community expectations and standards.
BOP provides inmates both basic services (such as clothing, food and access to health care) and an array of educational, vocational, leisure time, religious and other programs. Most inmates lack education and job skills. Many have a history of drug dependency. However, since a majority of inmates will return to the community at some point, it is important to increase their chances for successfully re-entering society as law-abiding and productive citizens. Research has shown that inmates who complete at least one educational course or a residential drug treatment program and those who maintain employment while incarcerated are less likely to recidivate than those who do not. As a result, providing residential drug treatment and work and education programs is a high priority. A recent evaluation by the National Institute of Drug Abuse (NIDA) of BOP's residential drug treatment program confirmed that inmates who completed this program had lower recidivism rates and lower rates of returning to drug usage. In addition, an internal BOP study, the Post Release Employment Project (PREP), confirmed that inmates who are enrolled in education and work programs are less likely to recidivate. As of fiscal year 1999, Federal Prison Industries (tradename UNICOR) provided job skills training and employment for approximately 20,000 inmates serving sentences in the BOP.
Strategies to Meet the Objective
Provide work and education programs.
BOP requires inmates without a high school diploma or general education (GED) equivalent (about 40 percent of the total population) to enroll in basic literacy and high school equivalency courses. Recent legislative changes have increased the demand for these programs. BOP also requires all medically fit inmates to work. It makes available a variety of occupational education programs designed to enhance job skills and increase the employability of offenders upon release.
Make available residential drug treatment programs for eligible inmates with drug problems.
Under the Violent Crime Control and Law Enforcement Act of 1994, BOP is required to provide residential drug treatment to all eligible inmates. The residential drug abuse program is designed for extended drug abuse treatment. It provides unit-based living with extensive assessment, treatment planning, and individual and group counseling. In addition, BOP provides drug abuse education and non-residential drug abuse counseling services.
Provide quality inmate health care services while controlling costs.
Medical services are provided by a variety of professional and para-professional health care personnel. If an inmate has a health condition which is beyond the professional capability of an institution's medical staff, the inmate is referred to an outside physician, a hospital in the community, or one of BOP's medical referral centers. Increasing numbers of federal inmates are requiring medical care, in part because of the general aging of the inmate population. Over the past 10 years, the focus has shifted from acute and sub-acute needs to chronic and long-term needs.
Key Crosscutting Programs
BOP contracts with the U.S. Public Health Service for qualified health care personnel. Additionally, as noted above, the BOP partners with the Department of Veterans Affairs to utilize its laboratory testing contracts, telemedicine service, and outpatient services.
MANAGEMENT CHALLENGES
The shortage of detention space and prison crowding are both considered by the Department to be mission-critical management issues. The Department's approach to resolving these issues is set forth in Strategic Objectives 5.1 and 5.2, respectively.
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
Goal 6: PROTECT THE FEDERAL JUDICIARY AND PROVIDE CRITICAL SUPPORT TO THE FEDERAL JUSTICE SYSTEM TO ENSURE IT OPERATES EFFECTIVELY
The Department plays a key role in the administration of the federal justice system. We support the federal courts by protecting federal judges, witnesses and other participants in federal court proceedings; providing courtroom security; making sure that persons in custody are escorted to and from proceedings in a safe and secure manner; and apprehending federal fugitives from justice. An especially important responsibility of the Department is meeting the needs of federal crime victims and witnesses. We place a high priority on treating victims and witnesses fairly, compassionately and with respect. Finally, we also work to ensure the effective operation of the nation's bankruptcy system.
Strategic Objective 6.1 PROTECTING THE JUDICIARY - - Protect judges, witnesses and other participants in federal judicial proceedings and ensure the safe and secure operation of the federal court system.
The Department's aim is to ensure that no judge, witness or other court participant is the victim of an assault stemming from his or her involvement in a federal court proceeding. Federal judicial proceedings must be open, secure, and free from obstruction, intimidation or threat of violence. Security for federal judicial proceedings is provided by the Department through the United States Marshals Service (USMS).
Strategies to Achieve the Objective
Monitor, assess and investigate threats made against judges, court personnel, witnesses and victims to stop/deter any potential violence.
Investigating potential threats of violence planned against court officials - - judges, prosecutors, victims, witnesses, court support staff - - is a critical aspect of providing security. Because of such threats, security must sometimes be provided both inside and outside of the courtroom. In 1998, there were 708 inappropriate communications, which included threats and verbal assaults against judges and other court personnel. A similar level of potential violence occurred in 1999 with a total of 736 inappropriate communications. The USMS, with the help of other federal, state and local law enforcement agencies, must carefully assess each potential threat based on the best intelligence available and respond in a timely and appropriate way.
In addition, the USMS manages a federal witness protection program that provides for the long-term protection of selected witnesses and their family members.
Meet court security standards.
In 1999, the USMS conducted a security requirements survey of prisoner movement space in federal courthouse facilities in the United States, Guam, Puerto Rico and the Virgin Islands. The survey evaluated each facility against USMS security specifications and requirements. Survey results indicated that 94 percent of the federal courthouse facilities did not meet the minimum security standards. As a key means to improve security of these facilities, USMS continues to renovate U.S. courthouses and court-occupied space to bring them up to security standards.
At the same time, the USMS works to ensure that court proceedings are adequately staffed. The desired standard for courtroom security is to assign one more deputy U.S. marshal than the number of defendants in the courtroom. Based on a 1998 survey, approximately 40 percent of federal court proceedings were staffed with a sufficient number of deputy marshals to meet this standard, 28 percent met security standards using a combination of deputy marshals and private contract guards, while the remaining 32 percent were conducted without a level of security that met the USMS standard.
Key Crosscutting Programs
Memorandum of Understanding (MOU) on Court Security. A MOU established in December 1997 between the USMS and the Administrative Office of the United States Courts (AOUSC) provides guidelines and procedures to implement the recommendations of the Attorney General's Task Force on Court Security. The MOU defines the USMS court security programs and expresses the terms and conditions under which funds appropriated to the judiciary will be transferred to the USMS from AOUSC for use in providing security to the federal courts.
MOU on Courthouse Security. Providing security in federal courtrooms requires coordination among several key federal agencies, each with different jurisdictional responsibilities. The General Services Administration (GSA) Federal Protective Service (FPS) is responsible for perimeter security and preventing unwarranted entry into a U.S. courthouse facility. The USMS Judicial Security Systems staff is responsible for security of the interior spaces within a U.S. courthouse facility for which the Judiciary or AOUSC pays rent. The USMS Central Courthouse Management Group is responsible for security of all spaces for which the USMS pays rent, including all prisoner movement and detention areas. The physical unification of the specified security systems and devices usually occurs in the USMS command and control centers located in the USMS office within the U.S. courthouse. These agencies are mutually supportive of the mission to provide the proper level of security for a U.S. courthouse as defined in the MOU among the GSA, USMS and AOUSC.
Strategic Objective 6.2 FUGITIVES - - Apprehend fugitives from justice.
The Department is responsible for enforcing warrants and apprehending fugitives from justice, including prison escapees, bail jumpers, and parole and probation violators. The apprehension of fugitives from justice serves two very important purposes. First, fugitives must be captured to ensure they do not commit additional crimes and are prosecuted to the fullest extent of the law. Second, the success of the fugitive program serves as a deterrence for present and future defendants who may attempt to flee.
Currently, there are thousands of fugitives from justice which are grouped in different classes of fugitive warrants. Class I fugitive warrants involve federal fugitive cases where the USMS has primary arrest authority such as federal escapees, bond default and/or failure to appear in court, and parole and probation violators. These are warrants generated by agencies without arrest powers, bench warrants issued by federal judges and warrants referred by DEA. Such warrants can fall within three categories: fugitives with violent criminal convictions; fugitives who are wanted on drug-related charges; and all other felony fugitives. Class II fugitive warrants are those warrants where other agencies have primary responsibility for capturing the fugitive.
Often federal fugitives flee to foreign countries as a potential safe haven. The USMS is the primary agency for apprehending fugitives wanted in the United States from foreign countries. They also apprehend fugitives who are wanted abroad. In these cases, the USMS has various methods to reach beyond the boundaries of the United States to arrest fugitive felons, including obtaining the assistance of the International Criminal Police Organization (INTERPOL).
Strategy to Achieve the Objective
Focus on apprehending the 15 Most Wanted and Major Case fugitives.
Locating and apprehending the top 15 Most Wanted, Major Case, and Offender Category 1 fugitives are the USMS main priorities. These fugitives comprise the worst narcotics traffickers and most violent felons wanted by federal authorities. They often have lengthy criminal histories and are likely to commit additional offenses if not captured in a timely manner.
Key Crosscutting Programs
During the past decade, the USMS has entered into MOUs with a number of federal agencies giving the USMS administrative and investigative responsibility over their fugitive warrants. These agencies include the U.S. Customs Service, the Internal Revenue Service, the Naval Criminal Investigative Service, and the Air Force Office of Special Investigations, among others.
The USMS also participates in about 60 multiagency fugitive apprehension task forces comprised of federal, state and local law enforcement officers. Over the past for years, these task forces have arrested 48,000 fugitives.
Strategic Objective 6.3 VICTIMS AND WITNESSES - - Meet the needs of, and uphold the rights of, victims and witnesses of federal crimes.
Victims and witnesses play a central role in the federal criminal justice system. Their participation often makes the difference between a conviction and an acquittal. Yet being a victim or witness can be an overwhelming, even traumatic experience. Prior to recent federal and state legislation making improvements in how victims and witnesses are treated, some felt revictimized by a criminal justice system insensitive to their needs.
The Attorney General Guidelines for Victim and Witness Assistance set forth Department of Justice requirements and policies regarding the treatment of victims and witnesses. They recognize that federal criminal justice system personnel - - including investigators, prosecutors and correctional officers - - have a special responsibility to treat victims and witnesses of federal crimes fairly by enforcing their rights, properly including them in criminal justice system processes, and referring them to appropriate services.
The Department of Justice, through the U.S. Attorneys, employs a victim-witness coordinator in each of the 94 federal judicial districts. Victim-witness coordinators play a crucial role in increasing the participation and cooperation of victims and witnesses. They help implement the Attorney General Guidelines, ensure that those involved in working with victims and witnesses are properly trained, and help victims and witnesses from a wide range of socioeconomic backgrounds, cultures and ethnic groups understand their rights and their role as key participants in the federal criminal justice process. The FBI and the DEA have victim-witness specialists, as do several other federal law enforcement agencies.
Strategies to Achieve the Objective
Ensure that all federal law enforcement officers and prosecutors are trained in victim/witness responsibilities.
Law enforcement officers are the first contact most victims and witnesses have with the federal judicial system. Having law enforcement officers who are aware of victims' rights and the services that should be provided reinforces the Department's concern for victims and witnesses. The Department trains federal law enforcement officers and prosecutors in victim/witness responsibilities, as required by the Attorney General Guidelines for Victim and Witness Assistance.
Facilitate the participation of victims and witnesses in the judicial process by providing timely notification, emergency assistance and other means.
Proper notification allows the victim or witness the opportunity to prepare to participate in the judicial process. The prosecutor's case is enhanced by having a witness available and prepared to testify. Notification also gives victims and witnesses the opportunity to make preparations for absences from their jobs, family, and other responsibilities. The Department is developing a National Victims Notification System that will include a call center where victims can use a telephone to dial a toll-free number and receive an automated response regarding the current status of their case. This system will play an important role in bridging any gap in information provided to victims and witnesses during the different stages of the judicial process.
Some victims require direct services that are not otherwise available, such as transportation costs to and from court, emergency child care or shelter, or crisis counseling. The Department provides essential direct services, where necessary, through the U.S. Attorneys' offices, using monies from the Crime Victims Fund.
Key Crosscutting Programs
The Office for Victims of Crime in the Office of Justice Programs provides leadership and assistance in victim and witness matters to both Justice and non-Justice federal agencies (including the Departments of Treasury, State, Defense and Interior).
Strategic Objective 6.4 BANKRUPTCY - - Protect the integrity and ensure the effective operation of the nation's bankruptcy system.
The Department, through the U.S. Trustee Program (USTP), oversees and administers the bankruptcy caseload and combats bankruptcy fraud. The USTP works to ensure that cases are administered promptly, effectively and fairly. Timely administration of bankruptcy cases is critical to the integrity of the bankruptcy system and the maximum distribution of funds to creditors.
In the United States, federal bankruptcy law allows individuals, businesses, corporations, farmers, and municipalities to file bankruptcy. Filing bankruptcy is a means of relief from debts owed to creditors through the liquidation of assets, reorganization, or through the development of a scheduled repayment plan, where the debts originated due to uncontrollable events, failed business investments, or other risks taken, placing them in an untenable position with creditors. Since 1996, bankruptcy filings in America have been increasing at a significant rate. In 1996, total bankruptcy filings were just under 1 million (934,689). By 1999, total filings had increased to 1,360,461. This represents a 45 percent increase in the last three years with the greatest growth attributed to individual liquidation filings.
Strategies to Achieve the Objective
Provide administrative support to move cases efficiently and effectively through the bankruptcy process.
The USTP must provide effective administrative support to the private trustees to ensure that cases are processed in a timely and efficient manner. Such oversight must identify problems sufficiently early in cases and provide intervention as necessary to prevent cases from being held up, since the longer the case is in the system the less money is available for creditors.
Ensure that parties adhere to standards of the law and police for embezzlement, fraud and other abuses.
The USTP is increasingly being urged by judges, private trustees and national creditor organizations to do more to identify fraud and abuse in the bankruptcy system and ensure that perpetrators are sanctioned. While the USTP has identified many forms of bankruptcy fraud and abuse, there is little empirical evidence as to the extent of fraud within the system. The USTP will vigorously pursue an effort to improve its criminal referral database to track information on referrals to better assess the question on the extent of fraud in the system.
Maximize the return of estate assets to creditors.
In order to ensure that the return of estate assets to creditors is maximized, the USTP will continue to review methods of reducing professional fees in bankruptcy cases and ensuring that the expenses of administering the cases are actual and necessary, as specified by statute. Additionally, the USTP will track the cost of trustee operations as a percent of funds distributed to creditors.
Improve the accuracy of data and information on bankruptcy case administration and operation of the bankruptcy system to assess performance.
Currently, information about the United States Trustees bankruptcy administration is gathered through periodic data calls, random surveys, and regular consultations with United States Trustees. The process to gather information is cumbersome, and time to analyze the information makes tracking of performance difficult. Automating the collection of data will improve the quality and timeliness of the information received, reduce the burden on staff of collecting and analyzing the data, and allow performance review to occur regularly rather than episodically. Better information about performance, will lead to earlier detection of problems, and the implementation of corrective measures to assure that the objective is met. Improvements include the enhancement of the United States Trustee Case Management System, creation of a database to track civil enforcement actions and violations of restriction on non-professional bankruptcy petition preparers.
Key Crosscutting Programs
MOU between the Executive Office of the U.S. Trustees (EOUST) and AOUSC. The EOUST is responsible for the USTP, which conducts the administrative work of processing all bankruptcies in the United States. Prior to 1978, such work was conducted under the U.S. Court System (AOUSC). As a means to further define the work of the USTP and the AOUSC to prevent any duplication of effort in bankruptcy case administration, the EOUST established a MOU with the AOUSC. The MOU defines all of the specific activities the USTP shall conduct regarding case administration and those that the U.S. bankruptcy court will complete.
MANAGEMENT CHALLENGES
The Department does not face any mission-critical management problems or challenges which would significantly hinder the Department from achieving this strategic goal.
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
Goal 7: ENSURE EXCELLENCE, ACCOUNTABILITY AND INTEGRITY IN THE MANAGEMENT AND CONDUCT OF DEPARTMENT OF JUSTICE PROGRAMS
Achieving our strategic goals and objectives depends greatly on how well we manage and implement our programs. Because of the priority we attach to good management, we have established a separate goal within our Strategic Plan to highlight corporate-level objectives and strategies that cut across component boundaries and that are key to mission accomplishment. Our aim is to create a Department of Justice that is looked to by the public and by our stakeholders as an exemplar of integrity, efficient stewardship, and managerial excellence.
Strategic Objective 7.1 INTEGRITY - - Foster integrity, strengthen management accountability, and promote efficiency and effectiveness to ensure public trust and confidence in Department of Justice programs.
In order to be effective and to engender public trust in the Department's programs and activities, Department employees must be held accountable for their actions. This objective is crucial to ensure that the Department is managed, and that Department personnel, contractors, and grantees conduct themselves, in accordance with the highest standards of integrity, accountability, and efficiency.
The Department's Office of the Inspector General (OIG) and Office of Professional Responsibility (OPR) were established to detect and prevent misconduct and mismanagement on the part of Department personnel and programs. Specifically, OPR has the jurisdiction to investigate allegations of misconduct by Department attorneys that relate to the exercise of their authority to investigate, litigate, or provide legal advice; and to investigate allegations of misconduct by law enforcement personnel when they are related to allegations of misconduct by attorneys within the jurisdiction of OPR. The OIG investigates alleged violations of criminal and civil laws, regulations, and ethical standards arising from the conduct of the Department's employees in their numerous and diverse activities. The OIG provides leadership and assists management in promoting integrity, economy, efficiency, and effectiveness within the Department and in its financial, contractual, and grant relationships with others using the coordinated efforts of the OIG's investigative, audit, and inspection resources.
Strategies to Achieve the Objective
Public trust and confidence are critical as we look to the challenges facing the federal government in the 21st century. The OIG is in a unique position - - given its independence, experience, and integrity - - to provide a high level of public accountability needed in an oversight body. The OPR is also in a position to provide accountability to the Attorney General and Deputy Attorney General through its responsibilities for receiving, reviewing, investigating, and reporting on allegations of prosecutorial misconduct of Department attorneys and in some cases, criminal investigators or other law enforcement personnel. Both offices will attempt to achieve the strategic objective through the following strategies that were developed to foster integrity, strengthen management accountability, and promote efficiency and effectiveness:
Focus audit, inspections, and other evaluative efforts on Department programs and expenditures in order to strengthen accountability and performance.
Among the OIG's major functions are to conduct, report, and follow up on financial and performance audits and inspections of Department organizations, programs, contracts, grants, and other agreements. These audits, inspections, and reviews are designed to provide timely notification to Department management of issues needing attention. The OIG works closely with Department management to develop recommendations for corrective actions that will resolve identified weaknesses and as such remains responsive to its customers and promotes more efficient and effective Department operations.
Use investigative resources to pursue allegations of fraud, waste, and abuse against Department personnel, contractors, and grantees.
The OIG employs criminal investigators to investigate allegations of bribery, fraud, abuse, civil rights violations, and violations of other laws and procedures that govern Department employees, contractors, and grantees. The OPR uses attorneys to receive, review, investigate, and report on allegations of prosecutorial misconduct by Department attorneys and, in some cases, criminal investigators and other law enforcement personnel.
Key Crosscutting Programs
President's Council on Integrity and Efficiency (PCIE). The Department's OIG is a member of the PCIE. The PCIE comprises all Presidentially-appointed Inspectors General and is charged with conducting interagency and intra-entity audit, inspections, and investigations projects to effectively and efficiently deal with government-wide issues of waste, fraud, and abuse. The PCIE accomplishes these projects through committee activity. The Department's OIG is a participant on several committees and is currently engaged in PCIE-sponsored audits, inspections, and other reviews.
The PCIE has issued interim quality standards for the management, operation, and conduct of federal OIGs. While they are advisory and not intended to impose requirements, these standards are a guide to the conduct of official duties in a professional manner. The PCIE has also issued quality standards applicable to investigative efforts conducted by criminal investigators working for the OIGs, and standards to guide the conduct of inspection work. Audit work is conducted in accordance with the Comptroller General's Government Auditing Standards and related professional auditing standards.
In August 1993, the PCIE established the Inspector General Criminal Investigator Academy to provide a cadre of experienced professional IG investigators, to concentrate efforts to improve course content and instruction, and to develop and present additional advanced training specific to the needs of the IG special agent. This training is designed to help in the fight against fraud, waste, and abuse in government programs and to assist in promoting economy, efficiency, and effectiveness in the administration of those programs. The Inspectors General Auditor Training Institute, established by the PCIE in 1991, provides training that will enhance the skills, abilities, and knowledge of federal OIG auditors.
Professional Responsibility Advisory Office (PRAO). In April 1999, the Department established the PRAO, whose mission includes providing definitive advice and guidance to Department attorneys and assisting in training programs on professional responsibility and professional ethics issues. In addition to its advice-giving role, the PRAO assembles and maintains the codes of ethics, relevant court decisions and bar opinions of every state and territory; serves as a repository for briefs and pleadings as ethics cases arise; and coordinates with the litigating components to defend attorneys in any disciplinary proceeding where it is alleged they failed to meet their ethical obligations. An independent component reporting to the Deputy Attorney General, the PRAO is designed to provide consistent and useful guidance to all Department attorneys and client agencies so that they can conduct themselves in accordance with the highest standards of professional integrity.
Strategic Objective 7.2 FINANCIAL MANAGEMENT - - Improve the effectiveness of Department of Justice operations by strengthening and enforcing controls over assets, improving the usefulness and reliability of financial data for planning and reporting, and maximizing the use of available resources in accomplishing programmatic missions.
To meet the programmatic strategic goals and objectives set forth in this plan, the Department's financial systems must operate efficiently, effectively, and with integrity. By employing sound financial management practices, the Department can make maximum use of the resources it is provided through appropriations, fees, and forfeited assets, and other funding mechanisms. The Department receives appropriations each year that exceed $20 billion, and also collects billions of dollars in fee receipts from those to whom it provides direct benefits, particularly in providing immigration services. Properly accounting for these resources is of paramount concern.
Strategy to Achieve the Objective
Ensure sound and effective financial management policies and practices.
The Department received a qualified audit opinion in fiscal year 1999. It anticipates receiving an unqualified opinion for fiscal year 2000 and beyond. The audit opinion for the Department's consolidated statements is dependent upon the opinions of the auditors on the financial statements of the reporting entities of the Department, since the consolidated financial statements are based on those entities' statements. The following reporting entities of the Department issue audited financial statements: Justice Management Division (for the Offices, Boards and Divisions), the Assets Forfeiture Fund and Seized Asset Deposit Fund; the Working Capital Fund; (FBI, DEA, INS, OJP, USMS, BOP), and the Federal Prison Industries, Inc.
Key Crosscutting Programs
In implementing this strategy we will collaborate with our financial and budget partners through the Chief Financial Officers Council and the Budget Officers Advisory Council. Other crosscutting vehicles for implementing the Department's strategy are the departmentwide financial statements working group and the Department's Financial Managers Council. The financial statement working group, which includes representatives from each bureau component and Office of Inspector General, develops policy and resolves issues in regard to financial statements. The Department's Financial Managers Council, which includes financial managers from the bureaus, discusses and resolves financial management issues of the Department. The Department will continue to participate in the Financial Accounting Standards Advisory Board, the U.S. Government Standard General Ledger (SGL) Board, and the SGL Issues Resolution Committee meetings.
Strategic Objective 7.3 INFORMATION TECHNOLOGY - - Make effective use of information technology (IT).
Department components rely on a wide range of information technologies to support the Department's mission. Together, these technologies are used to enable communication among departmental components and with other federal, state and local law enforcement agencies, as well as with other countries; permit the exchange of information with our business partners and the public; and improve operational efficiencies. Positioning and integrating these rapidly evolving technologies to connect components having different missions, program needs, and funding resources will continue to pose serious challenges to the Department over the next five years.
The foundation for improving the integration of IT capabilities and program needs is a secure, interoperable network infrastructure including wireless and remote telecommunications. This communications capability enables components to exploit the use of new technologies to share, exchange, and disseminate program information without compromising the privacy of individuals or the confidentiality of the data. As these capabilities expand, we must act aggressively to find new ways to prevent cybercrime and prosecute cyber-criminals.
Strategies to Achieve the Objective
Develop and implement information systems that improve access to information across the Department of Justice and other federal, state, and local legal and law enforcement entities.
Given the wide range of activity that occurs across jurisdictions and the need to coordinate among the diverse agencies, sharing of information is an increasingly important aspect of law enforcement. IT can facilitate this communication, by speeding the delivery of information across jurisdictions and opening up new avenues of information. The Department has several initiatives underway to enhance the interagency communication abilities of law enforcement organizations. We already provide a number of resources to facilitate information flow across the criminal justice community through existing systems such as the National Crime Information Center (NCIC 2000) system, Law Enforcement On-line (LEO), and the Regional Information Sharing Systems (RISS) program. We are committed to using new technologies (such as the Internet) to expand the availability and types of information accessible by the law enforcement community. Key projects underway include the Justice Consolidated Network (JCN) which will provide the enabling infrastructure; the Joint Automated Booking System (JABS) which will provide improved booking capability and sharing of offender information within the Department; the Global Justice Information Network which will increase access to federal, state, and local law enforcement data; implementation of public key encryption to allow the Department to conduct electronic business with the public securely over the Internet; and integration of fingerprint databases maintained by the INS and the FBI.
Increase the ability to provide information to the public electronically.
The Department recognizes the mutual benefits to the U.S. Government and the public to collect and disseminate information electronically. Business conducted electronically can result in more efficient and accurate information collection and dissemination for both the public and the Federal Government. It also makes the Government information more widely available and should improve departmental responsiveness to public requests for specific information. Toward this end, the Department is committed to utilizing the Internet in general, and the Department's web site in particular, as an avenue to communicate with the public. The Department is exploring ways to improve its web site. In addition, Justice components such as the INS, the DEA, and the OJP have begun efforts to allow the public to transact specific business with Department over the Internet. OJP has implemented the Grants Management System which expedites the grant application and award process by replacing over 100 separate grant administration applications and enabling applicants to access the system from any personal computer connected to the Internet. The DEA Diversion Control program is developing an electronic means for pharmaceutical companies and distributors to file required reports electronically. The INS currently provides customers with the capability to obtain information and benefit forms on the INS web site. The INS is planning to create a "virtual office" that can provide services and conduct much of the essential business of the agency's core service missions including electronic filing and payment of fees, paperless A-files, and electronically-effected and controlled adjudications processes.
Enhance the security and reliability of information systems to ensure systems are available to support core mission functions.
As the Department becomes more dependent on IT, the need to enhance computer systems' security rises. Since the Department's computer systems now hold a majority of the sensitive information used in the course of business, our systems security planning must identify how we will protect this data from being destroyed, altered, or disclosed to unauthorized persons. In addition, the compromise of our data systems could render important tools useless, and greatly impede the Department's ability to conduct its core business functions. To address these important concerns, the Department is engaged in an active process of certifying and accrediting all computer-based information systems and networks. The certification and accreditation effort is the foundation for the Department's critical infrastructure planning. Through these activities, the Department will ensure that all systems have appropriate security controls in place and that contingency plans are drafted and implemented to allow for continuity of operations should a system failure occur.
Implement a systematic process for selecting, controlling, and evaluating IT investments to protect taxpayer dollars.
The Department spends $1.5 billion on IT each year. To ensure that these funds are used efficiently, the Department has been systematically implementing guidelines on how the money will be spent, identifying life cycle costs and processes to monitor the expenditures during system development and deployment, and mechanisms to assess how well our IT investments have met planned objectives. The Department continues to evaluate its investment management program to ensure that the best available technology is acquired and used in support of our law enforcement and litigation programs.
Key Crosscutting Programs
Because of the increased need to share data across organizations worldwide, the Department has begun emphasizing the need to integrate component computer-based information systems. The Department is developing an enterprise architecture that will provide a framework for data sharing and guide the development of the next generation of Justice computer-based information systems. To address departmentwide IT issues, we have created an IT Investment Board (ITIB). The ITIB is comprised of senior Justice executives and is indicative of the involvement of senior leadership in the management of IT.
In addition, the Department is developing systems and services to connect and integrate existing data systems. These efforts include basic infrastructure projects such as the JCN, departmentwide applications such as the Justice electronic mail and directory services and the JABS projects, and the integration of specific component systems such as the IDENT/IAFIS initiative.
Strategic Objective 7.4 HUMAN RESOURCES - - Strengthen human resource recruitment and retention efforts and provide for a workforce that is skilled, diverse, and committed to excellence.
Both the General Accounting Office (GAO) and the Office of Personnel Management have emphasized that there is a clear link between an agency's human capital and its ability to meet its strategic goals. The GAO's Comptroller General, for example, recently told a conference sponsored by the National Academy for Public Administration that "the key competitive difference in the 21st century will be people. It will not be process. It will not be technology. It will be people." This is especially true at the Department. Our success in achieving our mission is clearly dependent on our ability to hire and retain a talented cadre of people to serve in our legal, law enforcement and related occupational areas.
A survey conducted by the National Partnership for Reinventing Government in the Fall of 1999 found that about 70 percent of Justice employees (excluding the INS and FBI) are satisfied with their jobs (nearly 10 percentage points higher than that reported governmentwide or in private industry). In addition, about two-thirds of Justice employees agreed that differences among individuals are respected and valued within the Department, again substantially higher than the 58 percent agreeing governmentwide. At the same time, the survey highlighted needs to improve communication about training and worklife opportunities.
In 2000, the Department will complete its examination of law enforcement hiring, attrition, retention and diversity directed by the Attorney General. As part of this review, short and long- term hiring needs are being identified, along with recruitment tools for selected priority occupations. In addition, improvements are being made in disseminating information on training and worklife issues to existing staff.
Strategies to Achieve the Objective
Continue to meet the needs and expectations of Department employees by providing opportunities for training and career development, offering a range of worklife options, fostering diversity, and other means.
The Department will continue to meet the needs and expectations of its employees. It will emphasize being a "family friendly" workplace by providing a wide range of worklife options and dependent care services. It will also emphasize the importance of employee development by ensuring that high quality training is available for law enforcement and legal staff as well as for managers and support personnel. Communication about training and worklife opportunities will be enhanced by use of a redesigned and improved intranet web site.
Develop and implement a plan of action to ensure critical skill needs are met.
As part of the law enforcement assessment noted above, it has become clear that problems in obtaining a sufficient number of qualified applicants for key occupations, combined with a lengthy screening and hiring process, have made it difficult for the Department to meet these needs in certain critical job and skill areas. The Department is developing a specific action plan to meet these needs, including the development of specific recruitment tools to be used for targeted occupations departmentwide. The Department will continue to monitor and evaluate its workforce needs and to reassess its plans based on experience and changing requirements.
Key Crosscutting Programs
None.
MANAGEMENT CHALLENGES
Financial Management. Over the past several years, the Department has made significant progress in correcting weaknesses in its accounting and financial management systems. This progress has been reflected in the audit opinions received on its financial statements. However, further work is required. Every Justice component with responsibility for maintaining an official financial system is either implementing a new system, in the final phases of implementing a new system, or beginning the planning to identify and acquire a new system. Improvements in INS accounting systems are a high priority. By the end of fiscal year 2001, INS expects to complete corrective actions to have in place policies and procedures that ensure all accrual transactions are recorded in line with federal accounting standards. The Department will continue to aggressively monitor financial management activities departmentwide to ensure that all reportable conditions and weaknesses are corrected.
Information Technology Security. Security will continue to dominate management attention as cybercrime emerges on an international scale and demands new technological crime-fighting tools and methods. As the technology advances, so, too, do the threats posed by increasingly sophisticated cyber-criminals. Given our role in fighting cybercrime, the Department itself has become a target for attack. We must upgrade our systems constantly to maintain adequate security, as well as to keep pace with our business partners. Another key challenge is to transform the way organizations collect, store, and display information to deliver trusted, timely, and easily understood information to all users through web-based portals at the desktop and in remote locations.
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
EXTERNAL FACTORS THAT MAY AFFECT GOAL ACHIEVEMENT
A number of external factors could affect our ability to achieve our strategic goals and objectives. Many of these revolve around the sweeping developments in technology that are rapidly changing our everyday world. As mentioned earlier, these developments are providing both new opportunities and new risks for Justice agencies. Clearly, a major challenge for the Department is both taking advantage of, and ensuring the security of, the information technology infrastructures on which both the Department and the nation as a whole increasingly depend. A number of other external factors relate to the changed international arena in which economies are increasingly interdependent; people, goods and capital cross national borders with relative ease; and new security concerns emerge. Here, too, the Department faces the challenge of both anticipating and responding to a radically altered global context.
Social and demographic factors also may affect our success in meeting our goals. Much of what the Department of Justice does is impacted by societal attitudes and behaviors over which we have little direct influence, such as attitudes toward drugs and alcohol. Finally, the Department's ability to meet its goals could be significantly affected by unpredictable events or emergencies that demand our attention and skew our priorities, by shifts in public attitudes toward crime and justice, and by changing statutory responsibilities.
These and other external factors are summarized in the table that follows.
|
EXTERNAL FACTORS THAT MAY AFFECT GOAL ACHIEVEMENT | |||||||
|
External Factors |
Goal 1
|
Goal 2
|
Goal 3
|
Goal 4
|
Goal 5
|
Goal 6
|
Goal 7
|
| Technology | |||||||
| Advances in high-speed telecommunications, computers and other technologies are creating new opportunities for criminals, new classes of crimes, and new challenges for law enforcement. |
X |
X |
X |
X | |||
| Growing dependence on technology is creating an increasing vulnerability to illegal acts, especially white collar crimes and terrorism. |
X |
X |
X |
||||
| Economy | |||||||
| Strength of U.S. economy and need for workers are incentives for legal/illegal migration. |
X |
||||||
| Possible increases in consumer debt will affect bankruptcy filings. |
X |
X |
|||||
| Deregulation, economic growth, and globalization are changing the volume and nature of anti-competitive behavior. |
X |
X |
|||||
| The interconnected nature of the world's economy is increasing opportunities for criminal activity, including money laundering, white collar crime and alien smuggling. |
X |
X |
X |
X |
|||
| The interconnected nature of the world's economy is also increasing the complexity and scope of civil justice matters. |
X |
||||||
| The strong U.S. labor market may make it difficult for the Department to attract/retain workers with the requisite knowledge, skills and abilities. |
X | ||||||
| Government | |||||||
| Changes in the fiscal posture or policies of state and local governments could have dramatic effects on the capacity of state and local governments to remain effective law enforcement partners. |
X |
X |
X |
||||
| Relatedly, the ability and willingness of state and local governments to allow federal use of their jail space affects achievement of detention goals. |
X |
||||||
| Globalization | |||||||
| Issues of criminal and civil justice increasingly transcend national boundaries, require the cooperation of foreign governments, and involve treaty obligations, multinational environmental and trade agreements and other foreign policy concerns. |
X |
X |
X |
X |
X |
X |
|
| Political unrest or economic turmoil in other countries provide increased migration pressures. |
X |
||||||
| The collapse of the Soviet Union and the emergence of newly democratic states in central and eastern Europe has made these areas increasingly susceptible to drug and arms trafficking, organized criminal groups, and other illegal activities that impact on the U.S. |
X |
X |
X |
||||
| Foreign political movements, whether state-sponsored or the work of particular groups or individuals, may use terror to achieve their aims and target U.S. persons or interests at home or abroad. |
X |
||||||
| Social-Demographic Factors | |||||||
| The level of criminal activity is influenced by societal attitudes toward the use of illegal drugs and the abuse of alcohol. |
X |
X |
X |
||||
| The numbers of adolescents and young adults, now the most crime-prone segment of the population, are expected to grow rapidly over the next several years. |
X |
X |
|||||
| The United States is an increasingly multicultural and multiracial society. The extent to which societal attitudes and practices reflect a continuing commitment to tolerance, diversity, and equality affects the scope and nature of our work. |
X |
X |
X |
||||
| Demographic and cultural changes make ensuring a diverse and representative Department workforce a more challenging and essential task. |
X | ||||||
| Achieving our goals depends on strong institutions - - families, schools, churches, neighborhood groups, and others - - that inspire trust, build community, promote civic and individual responsibility and help secure voluntary compliance with the rule of law. |
X |
X |
X |
X |
X |
X |
|
| The Unpredictable | |||||||
| The Department is required to respond to emergency or special situations - - whether a sudden influx of persons seeking asylum, a computer attack, a high-profile court proceeding, a school shooting, or some other event that strains our time, attention and resources. |
X |
X |
X |
X |
X |
X |
X |
| Changes in federal laws may affect our responsibilities and workload. |
X |
X |
X |
X |
X |
X |
X |
| Much of the Department's litigation caseload is defensive. The Department has little control over the number, size and complexity of the civil lawsuits it must defend. |
X |
||||||
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
CHAPTER III
PROGRAM EVALUATION
Program evaluation is a key element of the Department's strategic planning and implementation cycle. It is also a vital complement to performance measurement. Performance measurement provides information on whether a program is achieving its targets. Program evaluation tells not only what is happening in a program but why. It typically addresses a broader range of questions, is more sensitive to contextual factors, provides a richer, more complete picture of program performance (including impact), and offers greater insight about ways to improve.
All major Justice components have internal inspection and review processes designed to foster improved operations and compliance with applicable rules and regulations. Grant-making organizations (OJP and COPS) also conduct extensive financial and programmatic monitoring of the grants they award. In addition, the Department's independent Office of the Inspector General performs audits and inspections and recommends program improvements. These studies as well as those conducted by the General Accounting Office are important and useful sources of information for improving program operations and organizational effectiveness.
Although extremely useful, these various review and monitoring activities do not substitute for the conduct of formal, methodologically rigorous program evaluations that examine fundamental questions of program design, implementation and impact. Most of the formal program evaluations undertaken by the Department are focused on state and local assistance programs and are undertaken under the auspices of the Office of Justice Programs. However, several other components have evaluation programs. The FBI, for example, has in place a five-year schedule for conducting assessments of its major programs. The DEA has recently established a program evaluation unit within its Office of Inspections. BOP also has a formal evaluation program. INS is carrying out a number of evaluation studies.
For purposes of this plan, the Department relied on several studies affecting core Justice programs that have either been recently completed or are in progress. These include the ongoing study of the effects of the BOP residential drug treatment programs and the national level evaluations of Weed and Seed and other community-based programs. In addition to providing feedback on whether or not our strategies and programs are achieving the outcomes desired, program evaluations have been used to help improve program implementation and identify meaningful and appropriate performance measures.
The following table provides the current schedule of major program evaluations, organized by strategic goal. The Department's Annual Performance Plan will include any adjustments to this schedule for the performance year covered by the plan.
|
TABLE 3
| |||
|
Title |
Focus/Issues to be |
Methodology |
Estimated |
| Organized Crime Drug Enforcement Task Force (OCDETF) |
Congressionally-requested review of the OCDETF program to assess the effectiveness and efficiency with which it uses its resources. |
Program Evaluation: |
September 2000 |
| FBI's Counter-Terrorism Program |
Comprehensive review by the Office of Program Evaluation and Audit in the FBI's Inspections Division of the FBI's international and domestic terrorism programs. |
Program Evaluation: In progress |
September 2000 |
|
GOAL 2: PREVENT AND REDUCE CRIME AND VIOLENCE BY ASSISTING STATE, TRIBAL, LOCAL AND COMMUNITY-BASED PROGRAMS | |||
|
Title |
Focus/Issues to be Addressed |
Methodology Type of Evaluation |
Estimated Completion Date |
| Local Law Enforcement Block Grant (LLEBG) Evaluation | Examination of the utilization of block grant funding including decision-making models, level of innovation and effectiveness of the electronic application process. | Process Evaluation:
In progress Impact Evaluation:
|
November 2000 |
| Violence Against Women Act - Evaluation of Services, Training, Officers and Prosecutors (STOP) | Examination of STOP purpose areas including prosecution, law enforcement, victim services, services to Native Americans, and data improvement. | Impact Evaluation:
In progress |
September 2000 |
| Violence Against Women Act - Evaluation of Grants to Combat Violent Crimes Against Women on Campuses | Analysis of program characteristics and effectiveness. | Process Evaluation:
In progress |
Fall 2003 |
| Violence Against Women Act - Evaluation of the Rural Domestic Violence and Child Victimization Enforcement Grant Program | Analysis of program characteristics and effectiveness. | Process Evaluation:
In progress |
November 2001 |
| Violence Against Women Act - Evaluation of Grants to Encourage Arrest Policies Grant Program | Two-phased study of implementation and impact of program. | Process and Impact Evaluations:
In progress |
September 2001 |
| Violence Against Women Act - Evaluation of the Domestic Violence Victims Civil Legal Assistance Program | Study will document local programs funded, examine grantee planning and implementation, evaluate the need for and adequacy of special conditions pertaining to victim confidentiality and determine the effectiveness of these programs. | Process and Impact Evaluations: | Fall 2003 |
| Byrne - Evaluation of Tribal Strategies Against Violence Initiative | Study will document the processes used by tribal communities to develop and implement strategies to reduce violence at seven sites and analyze and document differences and similarities related to the development and implementation of local strategies. | Process Evaluation:
In progress |
December 2000 |
| Byrne - Evaluation of the Impact of Multi- jurisdictional Task Forces | This evaluation will attempt to assess the effectiveness of this approach to crime reduction. | Process Evaluation:
In progress Impact Evaluation:
|
September 2000 |
| COPS - Reducing Non-emergency Calls to 911: An Assessment of Four Approaches to Handling Citizen Calls for Service Evaluation | Program participation and implementation is being studied to assess the extent to which there is a reduction in the volume of inappropriate emergency calls for service as a result of 311. | Process Evaluation:
In progress |
December 2000 |
| Violent Offender Incarceration and Truth-in-Sentencing (VOI/TIS) Grants Evaluation | This evaluation will examine legislative actions, sentencing patterns, correctional populations, systems costs and crime rates in all 50 states. | Process Evaluation:
In progress |
March 2001 |
| COPS - School Resource Officer (SRO) Program Assessment | This national assessment will provide a description of various models implemented under the SRO Program and measurement of the impact of various SRO programs on selected indicators of school safety. | Process Evaluation:
FY 2000 Impact Evaluation:
|
February 2002 |
| Evaluation of the Juvenile Mentoring Program (JUMP) | The national evaluation will collect, manage, and analyze both quantitative and qualitative data, provide evaluation technical assistance, and develop reports. An interim evaluation report will be in September of 2000, and a final report in September of 2001. | Process and Outcome Evaluations:
In progress |
September 2001 |
| Evaluation of the Combating Underage Drinking Program | The national evaluation will determine how states and communities are using the Combating Underage Drinking funds and evaluate the impact of the program in communities. | Process and Impact Evaluations:
In progress |
August 2001 |
| Evaluation of the Safe Start Initiative | This evaluation will document and evaluate communities' efforts to prevent and reduce the impact of family and community violence on young children. | Process and Impact Evaluations:
In progress |
May 2005 |
| Evaluation of the Intensive Community-Based Aftercare Demonstration and Technical Assistance Program | This evaluation will assess the fidelity with which the program model is implemented and measure outcomes including several different measures of recidivism. | Process and Impact Evaluations:
In progress |
June 2001 |
| Evaluation of the Tribal Youth Program | This evaluation will examine the relationship between federal, state, local and tribal systems. | Process and Outcome Evaluations:
In progress |
June 2003 |
| National Evaluation of Title V | This evaluation will examine the viability and effectiveness of the comprehensive, locally-defined risk and protective factor focused prevention models in preventing delinquency in 12 sites in six states. | Process and Outcome Evaluations:
In progress |
July 2003 |
| Evaluation of the OJJDP Comprehensive Strategy | This process evaluation will document the lessons learned and factors associated with successful Comprehensive Strategy planning and implementation processes. | Process Evaluation:
In progress |
March 2001 |
| Evaluation of Community Assessment Centers | This evaluation will determine the degree to which two program sites, Denver, CO, and Orlando, FL, implemented the OJJDP Community Assessment Centers concept and its effect on the local juvenile justice and delinquency prevention systems and on the juveniles. | Process and Impact Evaluations:
In progress |
September 2003 |
| Safe Kids/Safe Streets Evaluation | This evaluation will (1) document and explicate the process of community mobilization, planning, and collaboration that has taken place before and during the SKSS awards and (2) determine the effectiveness of the implemented programs in achieving the goals of the SKSS program. | Process and Impact Evaluations:
In Progress |
October 2002 |
| Juvenile Accountability Incentive Block Grant Evaluation | A national study is being conducted to determine how the program has been administered, how the grants have been used, the types of programs funded as well as program access and utilization. The study will assess local satisfaction with training and technical assistance and attitudes toward the program. | Process Evaluation:
In Progress |
December 2002 |
| Victims of Crime Act (VOCA) Program Evaluation | Evaluation of victims assistance and compensation programs. | Process Evaluation:
In progress |
February 2001 |
| Victims of Crime | Evaluation of victim needs and access to assistance. | Process Evaluation:
In progress |
March 2002 |
| Community- Oriented Policing Services Program - National Evaluation | Ongoing evaluation of implementation including allocation of resources, distribution of funds, organizational structure, local hiring of officers, acquisition of technology and adoption of the COPS model by local jurisdictions. | Process and Impact Evaluations:
In progress |
October 2000 |
| COPS-Methamphetamine Project | Assessment of initiative to support enforcement, intervention and prevention efforts using community policing strategies in jurisdictions with pressing methamphetamine problems. | Process and Outcome Assessment:
In progress |
March 2001 |
| School - Based Partnerships | Local and national level evaluation of program impact, including effectiveness of applying problem solving model to specific crime and disorder problems in schools. | Impact Evaluation:
In progress |
Local: May 2001
National: December 2001 |
| Regional Community Policing Institutes | Local and national level evaluation of implementation and effects of RCPI training on police officer trainees and police agencies. | Process and Impact Evaluations:
In progress |
June 2001 |
| Problem Solving Partnerships - Program Assessment | Local and national level evaluation of impact of applying problem solving model to specific crime and disorder problems. | Impact Evaluation:
In progress |
Local: Ongoing
National: June 2000 |
| Advancing Community Policing Demonstration Centers | Local evaluations to assess active community policing laboratories and tools needed to disseminate information and assistance to other law enforcement agencies. | Process Evaluation: In progress | January 2001 |
|
GOAL 4: FAIRLY AND EFFECTIVELY ADMINISTER THE IMMIGRATION AND NATURALIZATION LAWS OF THE UNITED STATES | |||
|
Title |
Focus/Issues to be Addressed |
Methodology |
Estimated |
| New Immigrant Survey | Interagency-sponsored longitudinal study to develop program and policy-relevant information for government and public use. Study will address impact of recent immigrants on future immigration flows and naturalization, emigration, and criminal justice as well as provide data over time on the income, health, employment, net worth, and social participation of recent immigrants. | Telephone and in-person survey Process and Impact Evaluation: |
December 2004 |
| Evaluation of the IIRIRA Sponsorship Provisions | Study to determine the impact of the new sponsorship provisions on immigrant flows and characteristics, the ability of U.S. residents to bring close relatives to this country, and of the ability of benefit agencies to enforce the sponsor's commitment of support. | Administrative data and record review
Impact Evaluation:
|
March 2001 with follow up |
| Welfare Reform, the Economic and Health Status of Immigrants | Interagency-sponsored study to evaluate the impacts of welfare reform on different types of aliens in Los Angeles and New York City, including coping mechanisms and continued use of benefit programs. Results will have program and policy-relevant information for INS and the public. | Telephone and in-person survey
Impact Evaluation:
|
October 2001 |
| Evaluation of the IIRIRA Basic Pilot | Congressionally-mandated evaluation to determine how well employers participating in the pilot verify the status of all newly hired workers and the impact of the program on workload, cost, discrimination, privacy, and other factors. | Mail and in-person survey
and administrative data and record review
Process and Impact Evaluations:
|
September 2001 |
| Evaluation of the IIRIRA Citizen Attestation Pilot | Congressionally-mandated evaluation to determine how well employers participating in the pilot verify the status of newly hired alien workers and the impact of the program on workload, cost, discrimination, privacy, and other factors. | Mail survey and
administrative data and record review
Process and Impact Evaluations:
|
September 2001 |
| Evaluation of the IIRIRA Machine Readable Document Pilot | Congressionally-mandated evaluation to determine how well employers participating in the pilot verify the status of all newly hired workers and the impact of the program on workload, cost, discrimination, privacy, and other factors. | Mail and in-person survey &
administrative data and record review
Process and Impact Evaluations:
|
September 2002 |
| Evaluation of the New Legally- Enforceable Affidavit of Support | Evaluation of how well sponsors follow the requirements of the new affidavit of support and the adequacy of government decisionmaking on these forms. | Administrative data and record review
Process Evaluation:
|
June 2001 |
| Evaluation of the Immigrant Investor Regional Center Pilot Program | Evaluation of how well regional centers approved under the pilot program to attract immigrant investors engaging in certain export activities are working and what changes should be made. | Mail and in-person survey
Process and Impact Evaluations:
|
September 2001 |
| Border Coordination Initiative (BCI) Program Evaluation | An evaluative study to determine whether or not the BCI core mission initiatives are meeting the predetermined goals and objectives described in the original program plans of September 1998. | Analysis of workload and performance
data from INS' and Customs' databases, questionnaires, surveys, case studies
Process and Impact Evaluations:
|
December 2000 |
| Southwest Border Strategy Evaluation | Evaluation of (1) Are the strategies we are pursuing achieving their intended effects? (2) Are there unanticipated effects? (3) Are our goals realistic? (4) Are we collecting the right performance data? and, (5) Are there alternative strategies that might prove more successful? | Independent, non-governmental
research augmented by analyses from ongoing INS evaluations
In progress |
December 2000 |
| Customer Surveys | Survey of U.S. residents asking about the speed and courtesy of the inspections process at airports and land border crossing points; part of a multiagency survey spearheaded by the National Partnership for Reinventing Government. | Telephone survey
Process Evaluation: |
October 2000 |
| Evaluation of Use of Expedited Removal in the Institutional Removal Program | Study to determine whether use of Expedited Removal (ER) procedures with selected alien detainees in federal prisons can speed their removal. If successful, this use of ER would enhance the Service's ability to remove criminal aliens from the interior of the United States. | Administrative data and record review
Process and Impact Evaluations:
|
March 2001 |
|
GOAL 5: PROTECT AMERICAN SOCIETY BY PROVIDING FOR THE SAFE, HUMANE AND SECURE CONFINEMENT OF PERSONS IN FEDERAL CUSTODY | |||
|
Title |
Focus/Issues to be Addressed |
Methodology and
Type of Evaluation
|
Estimated |
| BOP Taft Correctional Institution in California | Cost effectiveness and operational success of government-owned but privately managed facility. | Process/Cost Effectiveness Evaluation:
In progress |
March 2003 |
| BOP Residential Drug Treatment Program | Conducted with funding and assistance from the National Institute of Drug Abuse, this study focuses on the effectiveness of residential drug treatment programs by monitoring inmates for up to three years following their release. | Impact Evaluation: In progress |
September 2000
[Preliminary report issued February 1998] |
| Private Medical Services Provided at BOP Facilities in Beaumont, Texas | Cost effectiveness and operational success of private health care services. | Process/Cost Effectiveness Evaluation:
In progress |
March 2003 |
| Assumption of Outside Medical Care Responsibilities for USMS Prisoners | Assessment of financial and operational impact on BOP of assuming these responsibilities. | Analysis of Pilot Program Data:
In progress |
September 2000 |
FY 2000 -- 2005 Strategic Plan
U.S. Department of Justice
Appendix A
RESOURCES FOR IMPLEMENTING THE PLAN
Funding. Over the past several years, the Administration and the Congress have worked together to provide increased funding for Justice programs. Without adequate resources to meet the challenges before us, our ability to achieve our goals and objectives will be imperiled. The following table shows the projections of funding and staff that, based on current estimates, will be available over the time covered by the Strategic Plan. We will review our resource needs on an ongoing basis to insure that we have the people, technology and other resources required to achieve our strategic goals and objectives.
|
TABLE 4
| ||
|
|
FTE |
Dollars in Millions |
| 2000* |
127,950 |
21,528,985 |
| 2001** |
131,613 |
23,354,039 |
| 2002 |
131,613 |
23,933,502 |
| 2003 |
131,613 |
23,946,920 |
| 2004 |
131,613 |
23,892,173 |
| 2005 |
131,613 |
24,318,223 |
* Appropriation
** President's Budget
Skilled Personnel. The Department of Justice has a skilled, dedicated and diverse workforce. Maintaining such a high-quality workforce is critical to mission success, especially in this era of rapidly changing technologies.
The development of training and education strategies for an aging, diverse and dispersed workforce continues to present challenges that the Department is attempting to meet in several ways. Statistical data have shown that the Department's population, like that of the federal sector in general, is aging. The baby-boomers at all levels will be reaching full retirement age within the next 5 to 10 years. In a continuing effort to ensure that qualified, well-trained individuals are ready to step into the breach, several initiatives, short and long term, are currently underway.
The Personnel Staff of the Justice Management Division has developed and will be refining, training for supervisors, managers, and executives. With a view toward succession planning, the Staff has partnered with the Department of Labor on its Senior Executive Service (SES) seminars and developed and produced at least ten in-house seminars on issues ranging from budget to technology for executives. In the coming year, Personnel will look to expand those partnerships to at least two other federal agencies and offer a growing range of in-house seminars. As the curriculum is developed, training will be specifically tied to the Executive Core Qualifications for the Senior Executive Service.
In partnership with other components of the Justice Management Division, expansion of the Department's e-learning/intranet/Internet training capabilities will be explored and implemented, where feasible. Currently, the Department is seeking to expand intranet/Internet information with additional data on training, links to public and private sector opportunities, and increased awareness. Additionally, to date a series of introductory training sessions have been conducted utilizing the latest in e-learning technology. Further steps will be taken to determine the feasibility of departmentwide implementation. The goal is to streamline the learning process, provide just-in-time training at the desktop, and be able to better manage all training at remote locations, thus saving on travel time and dollars. This is particularly important in the law enforcement community.
Technology. The technology initiatives listed in Table 5 provide an overview of the types of forward-looking investment that will enable the Department of Justice to interact electronically with state and local governments, our federal partners, and the public. Improving and strengthening this capability depends on building and maintaining a secure infrastructure that protects the integrity and privacy of the information that we use and share every day. The Justice Consolidated Network and the Justice Wireless Network together with the development of a Public Key Infrastructure will help us to make e-government and e-commerce a reality across the Department.
Over the next five years, we will continue to exploit new ways of replacing paper-based systems with electronic transactions. We will identify ways to help span the "digital divide" to assure that no one, including people with disabilities, is left behind in the Information Age. We are currently developing our short and longer term strategies for increasing our Internet presence, restructuring our information dissemination in functional rather that organizational formats, and conducting departmental business on-line. These strategies will be integrated into the Department's Government Paperwork Elimination Act (GPEA) plan. Equally important, we are continuing to develop and implement electronic systems to better serve the public such as UNICOR's on-line sales to federal customers, the Grants Management System serving state and local program partners, and the INS's revamped web site providing on-line, public access to program information and forms.
With this strengthened information and technical infrastructure, we will have vastly improved capabilities for providing agents and staff information access at the desktop. Networks and systems such as Global, Firebird, and eFBI will assure adequate security and privacy protections using the latest technology regardless of where the data is stored around the world. We will meet cybercrime with cyber-capability. Increasingly, the Department's business will be conducted electronically using the web to access and disseminate information securely while continuing to build and support the major law enforcement systems that are needed to ensure public safety. Major law enforcement information systems such as the Integrated Automated Fingerprint Identification System, the National Crime Information Center, the National Instant Criminal Background Check System, the Combined DNA Index Systems, and eFBI, provide the processing power for maintaining critical day-to-day support to the local, state, federal, and international criminal justice communities 24 hours a day, seven days a week, 52 weeks a year, year-in and year-out.
TABLE 5
KEY INFORMATION TECHNOLOGY INITIATIVESComponents
Initiative
BOP UNICOR On-Line Sales
UNICOR is operated by the Federal Bureau of Prisons and offers on-line sales of furniture, office supplies, industrial equipment, linens and clothes to government customers through the Internet.DEA Firebird
Firebird will dramatically improve timely access to investigative information on a standard desktop, provide the capability to search and share investigative case information, and support document management including interfaces to legacy systems.Drug Diversion Control Secure Web Services
The Drug Diversion Control Secure Web Services IT pilot program is a joint undertaking with the Department of Veterans Affairs to test electronic transmission of prescription data between physicians and pharmacists using Public Key Infrastructure technology.
FBI CODIS
The Combined DNA Index System will enable the FBI to store and search many millions of DNA samples on behalf of federal, state, and local law enforcement agencies across the country. This capability significantly enhances the FBI's ability to support criminal justice needs at the federal, state, and local levels.eFBI
eFBI will provide advanced analytical processing of investigative and intelligence information and document management to the agent in the field along with a new enterprise wide database and infrastructure.Systems of Systems
The System of Systems integrates the operation and maintenance of three major, interconnected criminal justice systems (the Integrated Automated Fingerprint Identification System, the National Crime Information Center 2000, and the National Instant Criminal Background Check System) to best meet the many needs of diverse local, state, federal, and international law enforcement communities.INS WeB Access
The INS continues to improve customer service by providing on-line access to the most up-to-date information about immigration services and the agency. The new Forms, Fees and Fingerprints information center is just one example of how this web site assists individuals and families to apply or petition for benefits offered by the INS.JMD Global Justice Information Network
The Global Justice Information Network will provide a single interface to criminal justice information systems at the federal, state, local, and tribal levels that were not designed to share information.Joint Automated Booking System
The Joint Automated Booking System will improve the timeliness of federal offender identification at the time of booking and streamline offender processing through the criminal justice system by eliminating redundant data collection and facilitating information sharing among the participating agencies: DEA, FBI, INS, USMS, EOUSA, and JMD.JCN
The Justice Consolidated Network will provide increased bandwidth across the Department to support new technologies and, at the same time, decrease costs through consolidated and leveraged purchase of communications services.Public Key Infrastructure
Public Key Infrastructure is a departmental initiative to support e-government and e-commerce through the adoption of interoperable technology(ies) that will permit the authorized, verified, and secure exchange of private information along with the capability to provide electronic signatures.Wireless
The Justice Wireless Network will provide secure, accessible wireless services to law enforcement personnel across component organizations through centralized management and funding of land mobile radio systems and commercial services.OJP Grants Management System
The Grants Management System is a web-based information system serving state and local governments by supporting the administration of federal grant solicitation, application, and award to local and state grantees and the administration of all ongoing grants.USA Victim Notification System
The Victim Notification System will permit the Department to improve its capability to provide victims of crime with timely notification of case events, to promote their participation in the criminal justice process, and to increase data sharing between agencies reducing data entry effort and error.
Appendix B
LINKAGE BETWEEN THE STRATEGIC PLAN AND THE
ANNUAL PERFORMANCE PLAN
The Strategic Plan provides the overall direction and framework for the Department's Annual Performance Plan. The Annual Performance Plan, in turn, translates the broadly-stated goals and objectives of the Strategic Plan into specific annualized performance goals (or targets) linked to the Department's budget.
We expect that in many cases our annual performance goals will either closely parallel or be identical to the strategic objectives. In more difficult to measure areas, they may track more closely to the strategies themselves. For the most part, however, our annual performance goals will not be self-measuring, that is, the goal statements will not include a target value of performance. Instead, one or more performance indicators will be associated with each goal. These indicators will provide the specific values or characteristics that enable the goal to be measured. In most instances, performance indicators will focus on outputs or intermediate outcomes that reflect incremental progress toward a strategic objective.
Establishing a clear linkage between the annual performance goals set forth in the Annual Performance Plan and the strategic goals and objectives in the Strategic Plan, is of critical importance to maintaining the logic and integrity of the Department's strategic planning and implementation cycle. Ultimately, it is likely that progress toward meeting a particular strategic objective can best be gauged on a multiyear basis, using an array of both quantitative and qualitative performance goals and indicators. For example, in measuring progress in meeting our strategic objective of reducing white collar crime we would look to a range of performance indicators (such as cost savings) in the various categories of white collar crime for which the Department has jurisdiction.
The linkage between the Strategic Plan and the Annual Performance Plan can best be shown by the examples displayed in Table 6.
|
TABLE 6 | |
|
STRATEGIC OBJECTIVE |
POSSIBLE ANNUAL PERFORMANCE INDICATOR |
| 1.1 VIOLENT CRIME - Reduce the threat, incidence, and prevalence of violent crime, especially as it stems from organized criminal enterprises and drug and gang-related violence. | -Number of gangs
disrupted or dismantled in the seven target groups identified by the
FBI as most dangerous
-Percent of La Cosa Nostra members incarcerated |
| 1.2 DRUGS - Identify, disrupt and dismantle drug traffficking organizations which are international, multijurisdictional, or which have an identified local impact. | -Number and percent of identified Major Drug Trafficking Organizations disrupted or dismantled |
| 2.2 JUVENILE JUSTICE - Reduce youth crime and victimization through targeted programs that emphasize both prevention and enforcement. | -Number of children served by targeted prevention and enforcement programs, by program type |
| 2.3 SUBSTANCE ABUSE - Break the cycle of substance abuse and crime through testing, treatment and sanctions. | -Percent of persons enrolled in drug court programs who not rearrested during treatment |
| 4.4 BORDER FACILITATION - Facilitate lawful travel and commerce across the borders of the United States. | -Degree to which land
and air ports-of-entry meet established standards for traveler wait time -Degree to which travelers report they are treated in a professional and courteous manner |
| 5.4 INMATE SERVICES - Provide services and programs to meet critical inmate needs and facilitate their successful reintegration into society, consistent with community expectations and standards. | -Percent of eligible inmates
obtaining a GED/high school diploma within seven months prior to release -Number and percent of eligible inmates enrolled in residential drug treatment programs |
| 6.1 PROTECTING THE JUDICIARY - Protect judges, witnesses and other participants in federal judicial proceedings and ensure the safe and secure operation of the federal court system. | -Percent of federal criminal
court proceedings meeting USMS security standards -Number of threats and assaults against the judiciary and other court personnel |
The Department continues to struggle with the complex issues associated with measuring law enforcement performance. Although we have made progress in the past few years, we continue to work to develop more meaningful, outcome-oriented performance goals and indicators. For example, one of the specific challenges we face is how to measure the deterrent effects of developing and maintaining an effective enforcement presence.
We also continue to work to improve our data systems. In our annual performance plans and reports, the Department identifies the specific sources of the data used to measure performance, the steps taken to validate and verify the data, any limitations to the data, and actions underway or planned to correct data quality and availability problems. Most of our data systems historically have been geared to recording activities such as numbers of cases or arrests. While useful indicators of workload, these activity counts alone ("outputs") do not capture other possible dimensions of program performance, namely, service or case quality, customer satisfaction, and intermediate and end outcomes.
Appendix C
LIST OF MISSION-CRITICAL MANAGEMENT ISSUES
The strategic plan identifies seven mission-critical management issues. These are issues which the Department considers to be of major importance, requiring Department tracking and oversight and warranting inclusion in the Department's GPRA plans and reports. They are identified by the Department under its Federal Managers' Financial Integrity Act reporting process and take into consideration the findings of internal reviews, reports by the Department's Inspector General, and studies by the General Accounting Office. Corrective action plans are developed for each mission-critical management issue. The Department closely monitors progress in implementing these plans. Mission-critical management issues are also included in the Department's annual performance plans and reports. The following Table summarizes the mission-critical management issues included in the Strategic Plan.
|
TABLE 7 | |||
|
Mission-Critical
|
Related Strategic
|
IG List of Ten Most Serious Issues 12/99
|
GAO List of Major Challenges 1/99
|
| INS - identification and removal of criminal and illegal aliens | Objective 4.5 - Interior Enforcement | Yes | Yes |
| INS - management of information technology | Objective 4.6 - Immigration Infrastructure | Yes | Yes |
| INS - financial management | Objective 4.6 - Immigration Infrastructure | Yes | Yes |
| Detention space shortage | Objective 5.1 - Detention | Yes | No |
| Prison Crowding | Objective 5.2 - Prison Capacity | Yes | No |
| Financial management | Objective 7.2 Financial Management | Yes | Yes |
| Computer security | Objective 7.3 - Information Technology | Yes | No |
Appendix D
KEY FACTS ON CRIME AND JUSTICE
The homicide rate doubled from the mid 1960s to the late 1970s. In 1980, it peaked at 10.2 per 100,000 population and subsequently fell off to 7.9 per 100,000 in 1985. It rose again in the late 1980s and early 1990s to another peak in 1991 of 9.8 per 100,000. Since then, the rate has declined sharply, reaching 6.3 per 100,000 by 1998. Homicide rates recently declined to levels last seen in the late 1960s.
Figure 4
To view data, click on the chart.
Source: FBI Uniform Crime Reports, Crime in the United States, 1950-98
The rise in teen involvement in homicide as both victims and offenders beginning in the mid 1980s was dramatic. Since 1993, victimization and offending rates have declined but remain higher than the levels of the mid 1980s.
Figure 5
To view data, click on the chart.
Source: FBI, Supplementary Homicide Reports, 1976-98
NOTE: For more crime and justice facts contact http://www.ojp.usdoj.gov/bjs
Offending rates for teenagers and young adults increased dramatically in the late 1980s while rates for older age groups declined.
Figure 6
To view data, click on the chart.
Source: FBI, Supplementary Homicide Reports, 1976-98
Since 1993, the number of crimes committed with firearms has declined, falling to levels last experienced in the mid 1980s. Crimes include the FBI's Uniform Crime Report index offenses of murder, robbery, and aggravated assault.
Figure 7
To view data, click on the chart.
Source: FBI, The Uniform Crime Reports, Crime in the United States, 1973-98
Federal, state, and local agencies share responsibility for enforcing the nation's drug laws, although most arrests are made by state and local authorities. In 1998 the FBI UCR estimated that there were 1,559,100 state and local arrests for drug abuse violations in the United States.
Figure 8
To view data, click on the chart.
Source: FBI, The Uniform Crime Reports,
Crime in the United States,
1980-98
The proportion of those convicted in federal court who are sentenced to prison has been increasing.
Figure 9
To view data, click on the chart.
Source: Bureau of Justice Statistics,
Compendium of Federal Justice Statistics,
and
Federal
Criminal Case Processing, 1998 with Trends 1982-98
Of cases concluded in federal district court in every year since 1989, there have been more drug cases than other types of cases.
Figure 10
To view data, click on the chart.
Source: Bureau of Justice Statistics,
Compendium of Federal Justice Statistics,
and
Federal
Criminal Case Processing, 1998 with Trends 1982-98
Since 1988, the number of felons convicted in state court grew by an average of 5% annually. Almost 1 million adults were convicted of a felony in state courts in 1996.
Figure 11
To view data, click on the chart.
Source: Bureau of Justice Statistics, Felony Sentences in State Courts, 1996
Of the felons convicted in state court, over two thirds were sentenced to prison or jail in 1996.
Figure 12
To view data, click on the chart.
Source: Bureau of Justice Statistics, Felony Sentences in State Courts, 1996
Over 40% of the increase in the state prison population since 1980 is due to an increase in the prisoners convicted of violent offenses.
Figure 13
To view data, click on the chart.
Source: Bureau of Justice Statistics,
Correctional Populations in the United States, 1996
The incarceration rate has more than tripled since 1980.
Figure 14
To view data, click on the chart.
Source: Bureau of Justice Statistics,
Note: Number of sentenced inmates incarcerated under state
Correctional Populations in the United States, 1996
and
federal jurisdiction per 100,000, 1980-96.
In 1999, 98 inmates were executed, more than in any other year since the early 1950s.
Figure 15
To view data, click on the chart.
Source: Bureau of Justice Statistics, Capital Punishment,1998
Appendix E
GLOSSARY OF ABBREVIATIONS AND ACRONYMS
ACA American Correctional Association ACE Asian Criminal Enterprise ACES Automated Case Examination System ADA Americans with Disabilities Act ADAM Arrestee Drug Abuse Monitoring System ADR alternative dispute resolution AFP Asset Forfeiture Program AOUSC Administrative Office of the U.S. Courts APIS Advance Passenger Information Systems ATF Bureau of Alcohol, Tobacco and Firearms ATR Antitrust Division BCI Border Coordination Initiative BIA Bureau of Indian Affairs BJA Bureau of Justice Assistance BJS Bureau of Justice Statistics BOP Federal Bureau of Prisons CAP Cooperative Agreement Program CASA Court Appointed Special Advocates CDP Center for Domestic Preparedness CERCLA Comprehensive Environmental Response, Compensation and Liabilities Act CIO chief information officer CIRG Critical Incident Response Group CIV Civil Division CODIS Combined DNA Index System COPS Office of Community Oriented Policing Services CRM Criminal Division CRS Community Relations Service CRT Civil Rights Division DCE/SP Domestic Cannabis Eradication and Suppression Program DEA Drug Enforcement Administration DOI Department of the Interior ECE Eurasian Criminal Enterprise EEOC Equal Employment Opportunity Commission ENRD Environmental and Natural Resources Division EOIR Executive Office for Immigration Review EOUSA Executive Office for U.S. Attorneys EOUST Executive Office for U.S. Trustees EPA Environmental Protection Agency EPIC El Paso Intelligence Center ER Expedited Removal FACE Freedom of Access to Clinic Entrances FBI Federal Bureau of Investigation FCI Foreign Counterintelligence FTC Federal Trade Commission FY Fiscal Year GAO U.S. General Accounting Office GED general education degree GPEA Government Paperwork Elimination Act GPRA Government Performance and Results Act GSA General Services Administration HHS Department of Health and Human Services HIDTA High Intensity Drug Trafficking Area HIFCA High Intensity Financial Crime Area HUD Department of Housing and Urban Development IAFIS Integrated Automated Fingerprint Identification System IDENT INS' automated biometric identification system IGA intergovernmental agreement IGs inspector generals IIRIRA Illegal Immigration Reform and Immigrant Responsibility Act INS Immigration and Naturalization Service INSPASS INS Passenger Accelerated Service System INTERPOL U.S. National Central Bureau (International Criminal Police Organization) IOC International Organized Crime IRP Institutional Removal Program IRS Internal Revenue Service IT information technology ITIB Information Technology Investment Board JABS Joint Automated Booking System JCN Justice Consolidated Network JMD Justice Management Division JPATS Justice Prisoner and Alien Transportation System JTTF Joint Terrorism Task Force JUMP Juvenile Mentoring Program LCN La Cosa Nostra LEO Law Enforcement On-Line LESC Law Enforcement Support Center LLEBG Local Law Enforcement Block Grant MOU memorandum of understanding NCIC National Crime Information Center NCMEC National Center for Missing and Exploited Children NDIC National Drug Intelligence Center NDPO National Domestic Preparedness Office NICS National Instant Criminal Background Check System NIDA National Institute of Drug Abuse NIJ National Institute of Justice NIPC National Infrastructure Protection Center NIPCIP National Infrastructure Protection and Computer Intrusion Program NSL National Security List NSOR National Sex Offender Registry NVICP National Vaccine Injury Compensation Program OCDETF Organized Crime Drug Enforcement Task Force OIG Office of the Inspector General OIPR Office of Intelligence Policy and Review OJJDP Office of Juvenile Justice and Delinquency Prevention OJP Office of Justice Programs OPR Office of Professional Responsibility OSG Office of the Solicitor General PCIE/ECIE President's Council on Integrity and Efficiency/Executive Council on Integrity and Efficiency POE port-of-entry Responsibility PRAO Professional Responsibility Advisory Office PREP Post Release Employment Project RCPI Regional Community Policing Institute RECA Radiation Exposure Compensation Act RICO Racketeering Influence and Corrupt Organizations RISS Regional Information Sharing Systems RSAT Residential Substance Abuse Treatment program RTTF Regional Terrorism Task Force SEC Securities and Exchange Commission SENTRI Secure Electronic Network for Travelers' Rapid Inspection SGL Standard General Ledger SKSS Safe Kids/Safe Streets SOD Special Operations Division SRO School Resource Officer SSA Social Security Administration STOP Services, Training, Officers, Prosecutors TAX Tax Division THC tetrahydrocannabinol UBL Usama Bin Ladin UCR Uniform Crime Report USAs U.S. Attorneys USCG U.S. Coast Guard USCS U.S. Customs Service USIC U.S. Intelligence Community USMS U.S. Marshals Service USPIS U.S. Postal Inspection Service USTP U.S. Trustee Program VA Department of Veterans Affairs VAWA Violence Against Women Act VOCA Victims of Crime Act VOI/TIS Violent Offender Incarceration and Truth in Sentencing WCC white collar crime WETF Worker Exploitation Task Force WMD weapons of mass destruction
Appendix F
|
JUSTICE COMPONENT WEB SITES | |
|
| |
| American Indian and Alaska Native Affairs Desk (OJP) | http://www.ojp.usdoj.gov/aian/ |
| Antitrust Division | http://www.usdoj.gov/atr/index.html |
| Attorney General | http://www.usdoj.gov/ag/oag.html |
| Bureau of Justice Assistance (OJP) | http://www.ojp.usdoj.gov/BJA/ |
| Bureau of Justice Statistics (OJP) | http://www.ojp.usdoj.gov/bjs/ |
| Civil Division |
http://www.usdoj.gov/civil/home.html |
| Civil Rights Division |
http://www.usdoj.gov/crt/crt-home.html |
| Community Oriented Policing Services - COPS |
http://www.usdoj.gov/cops/ |
| Community Relations Service |
http://www.usdoj.gov/crs/crs.htm |
| Corrections Program Office (OJP) |
http://www.ojp.usdoj.gov/cpo/ |
| Criminal Division |
http://www.usdoj.gov/criminal/criminal-home.html |
| Drug Courts Program Office (OJP) |
http://www.ojp.usdoj.gov/dcpo/ |
| Drug Enforcement Administration |
http://www.usdoj.gov/dea/ |
| Environment and Natural Resources Division |
http://www.usdoj.gov/enrd/enrd-home.html |
| Executive Office for Immigration Review |
http://www.usdoj.gov/eoir/ |
| Executive Office for U.S. Attorneys |
http://www.usdoj.gov/usao/eousa/ |
| Executive Office for U.S. Trustees |
http://www.usdoj.gov/ust/ |
| Executive Office for Weed and Seed (OJP) |
http://www.ojp.usdoj.gov/eows/ |
| Federal Bureau of Investigation |
http://www.fbi.gov/ |
| Federal Bureau of Prisons |
http://www.bop.gov |
| Federal Prison Industries (UNICOR) |
http://www.UNICOR.gov |
| Foreign Claims Settlement Commission of the United States |
http://www.usdoj.gov/fcsc/ |
| Immigration and Naturalization Service |
http://www.ins.usdoj.gov/ |
| INTERPOL U.S. National Central Bureau |
http://www.usdoj.gov/usncb/ |
| Justice Management Division |
http://www.usdoj.gov/jmd/ |
| Justice Partnership for Innovation |
http://www.usdoj.gov/jpi/ |
| National Drug Intelligence Center |
http://www.usdoj.gov/ndic/ |
| National Institute of Corrections (FBOP) |
http://www.nicic.org/inst/ |
| National Institute of Justice (OJP) |
http://www.ojp.usdoj.gov/nij/ |
| Office of the Associate Attorney General |
http://www.usdoj.gov/aag/index.htm |
| Office of the Attorney General |
http://www.usdoj.gov/ag/index.html |
| Office of the Deputy Attorney General |
http://www.usdoj.gov/dag/dag.html |
| Office of Dispute Resolution |
http://www.usdoj.gov/odr/ |
| Office of Information and Privacy |
http://www.usdoj.gov/oip/oip.html |
| Office of the Inspector General |
http://www.usdoj.gov/oig/ighp01.htm |
| Office of Intelligence Policy and Review |
http://www.usdoj.gov/oipr/ |
| Office of Justice Programs |
http://www.ojp.usdoj.gov/ |
| Office of Juvenile Justice and Delinquency Prevention (OJP) |
http://ojjdp.ncjrs.org/ |
| Office of Legal Counsel |
http://www.usdoj.gov/olc/olc.htm |
| Office of Legislative Affairs |
http://www.usdoj.gov/ola/ |
| Office of the Pardon Attorney |
http://www.usdoj.gov/pardon/ |
| Office of the Police Corps and Law Enforcement Education (OJP) |
http://www.ojp.usdoj.gov/opclee/ |
| Office of Policy Development |
http://www.usdoj.gov/opd/ |
| Office of Professional Responsibility |
http://www.usdoj.gov/opr/index.html |
| Office of the Solicitor General |
http://www.usdoj.gov/osg/ |
| Office for State and Local Domestic Preparedness Support (OJP) |
http://www.ojp.usdoj.gov/osldps/ |
| Office of Tribal Justice |
http://www.usdoj.gov/otj/index.html |
| Office for Victims of Crime (OJP) |
http://www.ojp.usdoj.gov/ovc/ |
| Tax Division |
http://www.usdoj.gov/tax/ |
| U.S. Attorneys |
http://www.usdoj.gov/usao/offices/index.html |
| U.S. Marshals Service |
http://www.usmarshals.gov/ |
| U.S. Parole Commission |
http://www.usdoj.gov/uspc/parole.htm |
| U.S. Trustee Program |
http://www.usdoj.gov/ust/ |
| Violence Against Women Office (OJP) |
http://www.ojp.usdoj.gov/vawo/ |
