FBI背景調查的內容National Name Check Program
FBI為聯邦機構，議會，聯邦法律部門，外國警察機構，國家及當地犯罪調查機構提供信息。
這些個人的背景信息協助調查關於申請綠卡或歸化入籍，參加白宮工作，法律考試報名，訪問美國簽證申請。
背調過程：各國的使館官員審核簽證種類從而決定其背調過程，有以下兩種類別的簽證
1. Visa Condor （禿鷹簽證）確定相關個人是否來自特定國家並滿足需要進行額外審查的條件
2. Visa Mantis （螳螂簽證）確定相關個人在他們訪問美國行程中會否接觸到美國的特別技術
國外使館官員通過光纜遞交背調請求給聯邦調查局和國務院總部。之後背調的名字自動在FBI Universal Indices (UNI)裏麵被搜索。
這個過程包括調查所有與名字，生日相關的信息是否出現在FBI的主文件名（即被調查人是FBI別的調查中的主謀），或者FBI的參考文件中（即被調查人出現在FBI別的調查之中，例如目擊人，共犯等）。這個過程也包括調查與背調名字拚法相近似的名字，特別是翻譯自外文的名字。
如果背調名字出現在FBI的數據庫紀錄中，就是“找到了”，此時必須由人工繼續審閱文件。
如果背調名字及其生日都出在FBI數據庫中找到吻合的紀錄，就是“中了”，此時通常容易解決。
辨識率
通常85%的背調在72小時之內會自動返回“無紀錄”（即FBI數據庫中沒有和背調人吻合的紀錄）。在和國務院的協定中， “無紀錄”既表明不反對簽發簽證。FBI的深度調查分支即包括反恐怖部門，反間諜部門，罪案調查部門，網絡部門在無吻合紀錄的情況下，不會繼續審查被調查個人。重複的調查申請（即在過去120天內完全相同拚寫的名字和相同的出生日期的個人）不會被再次調查並將重複的挑查結果返回給國務院。 因為名字和出生日期並不足以將文件和個人互相關聯，所以需要額外的調查。輔助的手工名字檢測會確定另外10%的背調申請個案為無紀錄個案，即大概為95%的無紀錄比率。 這通常在背調提出後的1周內完成。剩下的5背調個案被認為是潛在FBI記錄的相關人。此時FBI地記錄必須被重新審查。 如果調查部門決定對於一個簽證申請不反對，這個簽證申請會通過FBI的背調公布部門返回國務院。如果FBI對於一個簽證申請反對，調查部門會撰寫一篇安全意見並轉發給國務院。在審查簽證申請過程中，FBI會決定哪些是有嚴重問題並嚐試進入美國的個人。
背調時間
FBI的目標是120天完成背調。螳螂簽證由於亞洲人名字的相同性以及大多數來自中國的簽證申請的原因，變得十分難解決
86-92%的Visa Condor （禿鷹簽證）簽證申請在30天內完成，98-99%的Visa Mantis （螳螂簽證）簽證申請在120天內完成。那些超過30天的背調是因為需要審核和追查更多記錄信息。深度調查部門會有可能延誤。世界各地的情報部門的報告會用來協助分析背調，從而決定這個簽證申請人是否對美國國土有威脅或是目的在非法取得其科學技術。
National Name Check Program
The National Name Check Program (NNCP) has the mission of disseminating information from the FBI's Central Records System in response to requests submitted by federal agencies, congressional committees, the federal judiciary, friendly foreign police and intelligence agencies, and state and local criminal justice agencies. For all except law enforcement requests, the program is to be operated on a fee-for-service basis, with the beneficiary of the name check paying for it, not the American taxpayers. The Central Records System contains the FBI's administrative, personnel and investigative files. The NNCP has its genesis in Executive Order 10450, issued during the Eisenhower Administration. This executive order addresses personnel security issues, and mandates National Agency Checks (NAC) as part of the pre-employment vetting and background investigation process. The FBI is a primary NAC conducted on all U. S. Government employees. From this modest beginning, the NNCP has grown exponentially, with more and more customers seeking background information from FBI files on individuals before bestowing a privilege - - Whether that privilege is government employment or an appointment; a security clearance; attendance at a White House function; a Green card or naturalization; admission to the bar; or a visa for the privilege of visiting our homeland; more than 70 federal and state agencies regularly request an FBI name check. Two specific visa request categories, Visa Condor and Visa Mantis, are relevant to the hearing today. In addition to serving our regular governmental customers, the FBI conducts numerous name searches in direct support of the counterintelligence, counterterrorism and homeland security efforts of the FBI.
Exponential Growth
Prior to September 11, 2001, the FBI processed approximately 2.5 million name check requests per year. In FY 2002, that number increased to 3.2 million. For FY 2003, the number of requests to date already exceeds 5.6 million and is expected to reach 9.8 million requests. That represents an increase in excess of 300. Attachment A illustrates this explosive increase. This year, the FBI will process approximately 200,000 visa name check requests, including approximately 75,000 Visa Condor requests and 25,000 Visa Mantis requests.
Over Burdened System
I can tell you, Mr. Chairman, that with the advent of new visa screening requirements in late 2001, specifically the Visa Condor program, the FBI was overwhelmed by the increase in names to be checked. We did experience a backlog, and visas requested in the spring and summer of 2002 were delayed beyond the time period travelers had anticipated. We have all but eliminated the backlog, and have worked together with the State Department to ensure that any old visa requests have been accounted for and processed. The days of what some people would characterize as an unreasonable delay have now passed us by. I would now like to explain the process the FBI uses to conduct name checks on these visa requests.
FBI Name Check Process
It may be helpful to the Committee to follow along with Attachment B, a flow chart of the FBI visa name check work process. Consular officers worldwide determine whether a visa request falls into one of the special visa categories requiring additional scrutiny. Two of these categories are Visa Condor, relevant to certain individuals who are from designated countries and who satisfy additional criteria which may make them worthy of additional scrutiny, and Visa Mantis, relevant to certain individuals who will have access during their visit to American special technologies. The consular officer will submit their name check requests by cable, simultaneously to both the FBI and State Department headquarters.
In the next step of the process, the FBI communications center forwards the batches of names to be checked electronically to the name check program. The name is electronically checked against the FBI Universal Indices (UNI). The searches seek all instances of the individual's name and close date of birth, whether a main file name or reference. By way of explanation, a main file name is that of an individual who is, himself, the subject of an FBI investigation, whereas a reference is someone whose name appears in an FBI investigation. References may be associates, witnesses, conspirators, or a myriad of other reasons may exist to explain why an FBI Agent believed it important to index a particular name in an investigation for later recovery. The names are searched in a multitude of combinations, switching the order of first, last, middle names, as well as combinations with just the first and last, first and middle, and so on. It also searches different phonetic spelling variations of the names, especially important considering that many names in our indices have been transliterated from a language other than English.
If there is a match with a name in a FBI record, it is designated as a "Hit", meaning that the system has stopped on a possible match with the name being checked, but now a human being must review the file or indices entry to further refine the names "Hit" on. If the search comes up with a name and birth date match, it is designated an "Ident." An "Ident" is usually easier to resolve.
Resolution Rate
Approximately 85 of name checks are electronically returned as having "No Record" within 72 hours. A "No Record" indicates that the FBI's Central Records System contains no identifiable information regarding to this individual. By agreement with State, partially due to our concern about the time factors in approving most visa requests, a No Record equates to a No Objection to the issuance of a visa. The substantive investigative divisions in the FBI, (i.e., Counterterrorism Division (CTD), Counterintelligence Division (CD), Criminal Investigative Division (CID) and the Cyber Division (CyD)) do not review visa requests where there is no record of the individual. Duplicate submissions (i.e., identically spelled names with identical dates of birth submitted within the last 120 days) are not checked and the duplicate findings are returned to State.
Because a name and birth date are not sufficient to positively correlate the file with an individual, additional review is required. A secondary manual name search usually identifies an additional 10 of the requests as having a "No Record", for a 95 overall "No Record" response rate. This is usually accomplished within a week of the request. The remaining 5 are identified as possibly being the subject of an FBI record. The FBI record must now be retrieved and reviewed. If the records were electronically uploaded into the FBI Automated Case Support (ACS) electronic recordkeeping system, it can be viewed quickly. If not, the relevant information must be retrieved from the existing paper record. Review of this information will determine whether the information is identified with the subject of the request. If not, the request is closed as a "No Record."
The information in the file is reviewed for possible derogatory information. Less than 1 of the requests are identified with an individual with possible derogatory information. These requests are forwarded to the appropriate FBI investigative division for further analysis. If the investigative division determines there is no objection to the visa request, the request is returned to the name check dissemination desk for forwarding to the State Department. If there is an FBI objection to the visa request, the investigative division will prepare a written Security Advisory Opinion (SAO) and forward it to the State Department. In reviewing these visa requests, the FBI has identified individuals attempting to enter the United States who are of serious concern to the FBI.
Processing Times
As in the name checks processes for 70 other agencies, the name check system accurately monitors the status of visa requests in the name check process. The system's metrics are a dynamic tool, allowing the FBI to identify when to add additional personnel to process visas. The metrics also provide an accurate tool to determine whether the name check process is causing delays for visa requests.
The FBI's goal is to have all requests completed within 120 days. Attachment C illustrates the current status of Visa Condor names checks, and Attachment D illustrates the same for Visa Mantis name checks. This status was taken on July 3, 2003. For example, for Visas Condor, the FBI received 7384 requests during the month of June 2003. The FBI resolved all but 649 of these requests, for a 92 resolution rate. In the month of May 2003, the FBI received 5,059 Visa Condor requests and has resolved all but 105 of these requests for a 98resolution rate (See Attachment C). For Visas Mantis, the FBI received 2589 requests in the month of June 2003 and resolved 2226, or 86 of them (See Attachment D). Visas Mantis are particularly difficult to resolve due to the predominance of requests from China and the commonality of Asian names.
A common question we receive is, How long does it take to complete a visa request name check? As shown on these graphs, 86 to 92 are completed in 30 days. For both types of visa requests, 98-99 of the requests are resolved in 120 days.
Most name check requests that are over 30 days old are the result of the time required to retrieve and review field office record information. Some delay occurs at substantive analysts' desks, but this is to be expected. These analysts are assigned to the investigative divisions and are primarily assigned to the analysis of intelligence reports from around the world in order to support on-going investigations, or to support the flow of intelligence to policy makers. These are the best professionals, however, to review information in our records and to then make an informed decision on whether a requester of a visa represents a threat to our homeland, or is interested in illegally acquiring our targeted technology. Nevertheless, as I stated earlier, the FBI's resolves 99 of all types of visa requests within 120 days.
These numbers provide you accurate information to assess whether, both in time and in numbers, the FBI name check process for visa requests unduly disrupts the legitimate commerce of this nation.
Process Improvement
As I have said, during the spring and summer of 2002 the FBI was unable to adequately account for visa request processing times. This is no longer the case. This was accomplished through clarification of the FBI name check database, software modifications that allowed development of detailed metrics, and the development of an internal FBI tracking system for SAO opinions. With these metrics, the FBI can allocate resources as necessary to meet requirements. And, as I have also already said, the FBI worked closely with State on visa name check procedures. These past six months have seen considerable improvement in the coordination of visa name check processing.
Improperly formatted cables are an obvious weak point in the visa submission process. The State Department submits their names by cable, whereas other agencies submit their requests by disc or tape and formatting errors are returned on disc to the requesting agency. This allows the requesting agency to identify and correct the errors in an electronic format. The State Department is working hard to resolve this problem by developing a system whereby visa requests will be submitted on disc through State as opposed to the current system of separate cables directly to the FBI. The FBI fully supports this effort. Currently, in anticipation of submission of visa requests by disc, the FBI and State Department's Visa Processing Center are developing common procedures and formats. Recognizing the need for interim measures until the time that State can submit all visa requests on disc or tape, the State Department is batching unresolved cables held within their database and submitting them to the FBI. In order to avoid the duplicate name problem, the FBI has developed special codes and manipulates the name check application for each submission. This is a time consuming, but necessary process to support State's efforts. This week alone the FBI is running thousands of names submitted by State from State's database.
FBI為聯邦機構，議會，聯邦法律部門，外國警察機構，國家及當地犯罪調查機構提供信息。
這些個人的背景信息協助調查關於申請綠卡或歸化入籍，參加白宮工作，法律考試報名，訪問美國簽證申請。
背調過程：各國的使館官員審核簽證種類從而決定其背調過程，有以下兩種類別的簽證
1. Visa Condor （禿鷹簽證）確定相關個人是否來自特定國家並滿足需要進行額外審查的條件
2. Visa Mantis （螳螂簽證）確定相關個人在他們訪問美國行程中會否接觸到美國的特別技術
國外使館官員通過光纜遞交背調請求給聯邦調查局和國務院總部。之後背調的名字自動在FBI Universal Indices (UNI)裏麵被搜索。
這個過程包括調查所有與名字，生日相關的信息是否出現在FBI的主文件名（即被調查人是FBI別的調查中的主謀），或者FBI的參考文件中（即被調查人出現在FBI別的調查之中，例如目擊人，共犯等）。這個過程也包括調查與背調名字拚法相近似的名字，特別是翻譯自外文的名字。
如果背調名字出現在FBI的數據庫紀錄中，就是“找到了”，此時必須由人工繼續審閱文件。
如果背調名字及其生日都出在FBI數據庫中找到吻合的紀錄，就是“中了”，此時通常容易解決。
辨識率
通常85%的背調在72小時之內會自動返回“無紀錄”（即FBI數據庫中沒有和背調人吻合的紀錄）。在和國務院的協定中， “無紀錄”既表明不反對簽發簽證。FBI的深度調查分支即包括反恐怖部門，反間諜部門，罪案調查部門，網絡部門在無吻合紀錄的情況下，不會繼續審查被調查個人。重複的調查申請（即在過去120天內完全相同拚寫的名字和相同的出生日期的個人）不會被再次調查並將重複的挑查結果返回給國務院。 因為名字和出生日期並不足以將文件和個人互相關聯，所以需要額外的調查。輔助的手工名字檢測會確定另外10%的背調申請個案為無紀錄個案，即大概為95%的無紀錄比率。 這通常在背調提出後的1周內完成。剩下的5背調個案被認為是潛在FBI記錄的相關人。此時FBI地記錄必須被重新審查。 如果調查部門決定對於一個簽證申請不反對，這個簽證申請會通過FBI的背調公布部門返回國務院。如果FBI對於一個簽證申請反對，調查部門會撰寫一篇安全意見並轉發給國務院。在審查簽證申請過程中，FBI會決定哪些是有嚴重問題並嚐試進入美國的個人。
背調時間
FBI的目標是120天完成背調。螳螂簽證由於亞洲人名字的相同性以及大多數來自中國的簽證申請的原因，變得十分難解決
86-92%的Visa Condor （禿鷹簽證）簽證申請在30天內完成，98-99%的Visa Mantis （螳螂簽證）簽證申請在120天內完成。那些超過30天的背調是因為需要審核和追查更多記錄信息。深度調查部門會有可能延誤。世界各地的情報部門的報告會用來協助分析背調，從而決定這個簽證申請人是否對美國國土有威脅或是目的在非法取得其科學技術。
National Name Check Program
The National Name Check Program (NNCP) has the mission of disseminating information from the FBI's Central Records System in response to requests submitted by federal agencies, congressional committees, the federal judiciary, friendly foreign police and intelligence agencies, and state and local criminal justice agencies. For all except law enforcement requests, the program is to be operated on a fee-for-service basis, with the beneficiary of the name check paying for it, not the American taxpayers. The Central Records System contains the FBI's administrative, personnel and investigative files. The NNCP has its genesis in Executive Order 10450, issued during the Eisenhower Administration. This executive order addresses personnel security issues, and mandates National Agency Checks (NAC) as part of the pre-employment vetting and background investigation process. The FBI is a primary NAC conducted on all U. S. Government employees. From this modest beginning, the NNCP has grown exponentially, with more and more customers seeking background information from FBI files on individuals before bestowing a privilege - - Whether that privilege is government employment or an appointment; a security clearance; attendance at a White House function; a Green card or naturalization; admission to the bar; or a visa for the privilege of visiting our homeland; more than 70 federal and state agencies regularly request an FBI name check. Two specific visa request categories, Visa Condor and Visa Mantis, are relevant to the hearing today. In addition to serving our regular governmental customers, the FBI conducts numerous name searches in direct support of the counterintelligence, counterterrorism and homeland security efforts of the FBI.
Exponential Growth
Prior to September 11, 2001, the FBI processed approximately 2.5 million name check requests per year. In FY 2002, that number increased to 3.2 million. For FY 2003, the number of requests to date already exceeds 5.6 million and is expected to reach 9.8 million requests. That represents an increase in excess of 300. Attachment A illustrates this explosive increase. This year, the FBI will process approximately 200,000 visa name check requests, including approximately 75,000 Visa Condor requests and 25,000 Visa Mantis requests.
Over Burdened System
I can tell you, Mr. Chairman, that with the advent of new visa screening requirements in late 2001, specifically the Visa Condor program, the FBI was overwhelmed by the increase in names to be checked. We did experience a backlog, and visas requested in the spring and summer of 2002 were delayed beyond the time period travelers had anticipated. We have all but eliminated the backlog, and have worked together with the State Department to ensure that any old visa requests have been accounted for and processed. The days of what some people would characterize as an unreasonable delay have now passed us by. I would now like to explain the process the FBI uses to conduct name checks on these visa requests.
FBI Name Check Process
It may be helpful to the Committee to follow along with Attachment B, a flow chart of the FBI visa name check work process. Consular officers worldwide determine whether a visa request falls into one of the special visa categories requiring additional scrutiny. Two of these categories are Visa Condor, relevant to certain individuals who are from designated countries and who satisfy additional criteria which may make them worthy of additional scrutiny, and Visa Mantis, relevant to certain individuals who will have access during their visit to American special technologies. The consular officer will submit their name check requests by cable, simultaneously to both the FBI and State Department headquarters.
In the next step of the process, the FBI communications center forwards the batches of names to be checked electronically to the name check program. The name is electronically checked against the FBI Universal Indices (UNI). The searches seek all instances of the individual's name and close date of birth, whether a main file name or reference. By way of explanation, a main file name is that of an individual who is, himself, the subject of an FBI investigation, whereas a reference is someone whose name appears in an FBI investigation. References may be associates, witnesses, conspirators, or a myriad of other reasons may exist to explain why an FBI Agent believed it important to index a particular name in an investigation for later recovery. The names are searched in a multitude of combinations, switching the order of first, last, middle names, as well as combinations with just the first and last, first and middle, and so on. It also searches different phonetic spelling variations of the names, especially important considering that many names in our indices have been transliterated from a language other than English.
If there is a match with a name in a FBI record, it is designated as a "Hit", meaning that the system has stopped on a possible match with the name being checked, but now a human being must review the file or indices entry to further refine the names "Hit" on. If the search comes up with a name and birth date match, it is designated an "Ident." An "Ident" is usually easier to resolve.
Resolution Rate
Approximately 85 of name checks are electronically returned as having "No Record" within 72 hours. A "No Record" indicates that the FBI's Central Records System contains no identifiable information regarding to this individual. By agreement with State, partially due to our concern about the time factors in approving most visa requests, a No Record equates to a No Objection to the issuance of a visa. The substantive investigative divisions in the FBI, (i.e., Counterterrorism Division (CTD), Counterintelligence Division (CD), Criminal Investigative Division (CID) and the Cyber Division (CyD)) do not review visa requests where there is no record of the individual. Duplicate submissions (i.e., identically spelled names with identical dates of birth submitted within the last 120 days) are not checked and the duplicate findings are returned to State.
Because a name and birth date are not sufficient to positively correlate the file with an individual, additional review is required. A secondary manual name search usually identifies an additional 10 of the requests as having a "No Record", for a 95 overall "No Record" response rate. This is usually accomplished within a week of the request. The remaining 5 are identified as possibly being the subject of an FBI record. The FBI record must now be retrieved and reviewed. If the records were electronically uploaded into the FBI Automated Case Support (ACS) electronic recordkeeping system, it can be viewed quickly. If not, the relevant information must be retrieved from the existing paper record. Review of this information will determine whether the information is identified with the subject of the request. If not, the request is closed as a "No Record."
The information in the file is reviewed for possible derogatory information. Less than 1 of the requests are identified with an individual with possible derogatory information. These requests are forwarded to the appropriate FBI investigative division for further analysis. If the investigative division determines there is no objection to the visa request, the request is returned to the name check dissemination desk for forwarding to the State Department. If there is an FBI objection to the visa request, the investigative division will prepare a written Security Advisory Opinion (SAO) and forward it to the State Department. In reviewing these visa requests, the FBI has identified individuals attempting to enter the United States who are of serious concern to the FBI.
Processing Times
As in the name checks processes for 70 other agencies, the name check system accurately monitors the status of visa requests in the name check process. The system's metrics are a dynamic tool, allowing the FBI to identify when to add additional personnel to process visas. The metrics also provide an accurate tool to determine whether the name check process is causing delays for visa requests.
The FBI's goal is to have all requests completed within 120 days. Attachment C illustrates the current status of Visa Condor names checks, and Attachment D illustrates the same for Visa Mantis name checks. This status was taken on July 3, 2003. For example, for Visas Condor, the FBI received 7384 requests during the month of June 2003. The FBI resolved all but 649 of these requests, for a 92 resolution rate. In the month of May 2003, the FBI received 5,059 Visa Condor requests and has resolved all but 105 of these requests for a 98resolution rate (See Attachment C). For Visas Mantis, the FBI received 2589 requests in the month of June 2003 and resolved 2226, or 86 of them (See Attachment D). Visas Mantis are particularly difficult to resolve due to the predominance of requests from China and the commonality of Asian names.
A common question we receive is, How long does it take to complete a visa request name check? As shown on these graphs, 86 to 92 are completed in 30 days. For both types of visa requests, 98-99 of the requests are resolved in 120 days.
Most name check requests that are over 30 days old are the result of the time required to retrieve and review field office record information. Some delay occurs at substantive analysts' desks, but this is to be expected. These analysts are assigned to the investigative divisions and are primarily assigned to the analysis of intelligence reports from around the world in order to support on-going investigations, or to support the flow of intelligence to policy makers. These are the best professionals, however, to review information in our records and to then make an informed decision on whether a requester of a visa represents a threat to our homeland, or is interested in illegally acquiring our targeted technology. Nevertheless, as I stated earlier, the FBI's resolves 99 of all types of visa requests within 120 days.
These numbers provide you accurate information to assess whether, both in time and in numbers, the FBI name check process for visa requests unduly disrupts the legitimate commerce of this nation.
Process Improvement
As I have said, during the spring and summer of 2002 the FBI was unable to adequately account for visa request processing times. This is no longer the case. This was accomplished through clarification of the FBI name check database, software modifications that allowed development of detailed metrics, and the development of an internal FBI tracking system for SAO opinions. With these metrics, the FBI can allocate resources as necessary to meet requirements. And, as I have also already said, the FBI worked closely with State on visa name check procedures. These past six months have seen considerable improvement in the coordination of visa name check processing.
Improperly formatted cables are an obvious weak point in the visa submission process. The State Department submits their names by cable, whereas other agencies submit their requests by disc or tape and formatting errors are returned on disc to the requesting agency. This allows the requesting agency to identify and correct the errors in an electronic format. The State Department is working hard to resolve this problem by developing a system whereby visa requests will be submitted on disc through State as opposed to the current system of separate cables directly to the FBI. The FBI fully supports this effort. Currently, in anticipation of submission of visa requests by disc, the FBI and State Department's Visa Processing Center are developing common procedures and formats. Recognizing the need for interim measures until the time that State can submit all visa requests on disc or tape, the State Department is batching unresolved cables held within their database and submitting them to the FBI. In order to avoid the duplicate name problem, the FBI has developed special codes and manipulates the name check application for each submission. This is a time consuming, but necessary process to support State's efforts. This week alone the FBI is running thousands of names submitted by State from State's database.
