Homeland Security
Further Actions Needed to Coordinate Federal Agencies' Facility Protection Efforts and Promote Key Practices Gao ID: GAO-05-49 November 30, 2004The war on terrorism has made physical security for federal facilities a governmentwide concern. The Interagency Security Committee (ISC), which is chaired by the Department of Homeland Security (DHS), is tasked with coordinating federal agencies' facility protection efforts, developing protection standards, and overseeing implementation. GAO's objectives were to (1) assess ISC's progress in fulfilling its responsibilities and (2) identify key practices in protecting federal facilities and any related implementation obstacles.
ISC has made progress in coordinating the government's facility protection efforts. In recent years, ISC has taken several actions to develop policies and guidance for facility protection and to share related information. Although its actions to ensure compliance with security standards and oversee implementation have been limited, in July 2004, ISC became responsible for reviewing federal agencies' physical security plans for the administration. ISC, however, lacks an action plan that could be used to provide DHS and other stakeholders with information on, and a rationale for, its resource needs; garner and maintain the support of ISC member agencies, DHS management, Office of Management and Budget, and Congress; identify implementation goals and measures for gauging progress; and propose strategies for addressing various challenges it faces, such as resource constraints. Without an action plan, ISC's strategy and time line for implementing its responsibilities remain unclear. s ISC and agencies have paid greater attention to facility protection in recent years, several key practices have emerged that, collectively, could provide a framework for guiding agencies' efforts. These include allocating resources using risk management; leveraging security technology; coordinating protection efforts and sharing information; measuring program performance and testing security initiatives; realigning real property assets to mission, thereby reducing vulnerabilities; and, implementing strategic human capital management, to ensure that agencies are well equipped to recruit and retain high-performing security professionals. GAO also noted several obstacles to implementation, such as developing quality data for risk management and performance measurement, and ensuring that technology will perform as expected.
RecommendationsOur recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.
Director: Team: Phone:GAO-05-49, Homeland Security: Further Actions Needed to Coordinate Federal Agencies' Facility Protection Efforts and Promote Key Practices
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Report to the Chairman, Committee on Government Reform, House of
Representatives:
November 2004:
HOMELAND SECURITY:
Further Actions Needed to Coordinate Federal Agencies' Facility
Protection Efforts and Promote Key Practices:
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-05-49]:
GAO Highlights:
Highlights of GAO-05-49, a report to the Chairman, Committee on
Government Reform, House of Representatives
Why GAO Did This Study:
The war on terrorism has made physical security for federal facilities
a governmentwide concern. The Interagency Security Committee (ISC),
which is chaired by the Department of Homeland Security (DHS), is
tasked with coordinating federal agencies‘ facility protection efforts,
developing protection standards, and overseeing implementation. GAO‘s
objectives were to (1) assess ISC‘s progress in fulfilling its
responsibilities and (2) identify key practices in protecting federal
facilities and any related implementation obstacles.
What GAO Found:
ISC has made progress in coordinating the government‘s facility
protection efforts. In recent years, ISC has taken several actions to
develop policies and guidance for facility protection and to share
related information. Although its actions to ensure compliance with
security standards and oversee implementation have been limited, in
July 2004, ISC became responsible for reviewing federal agencies‘
physical security plans for the administration. ISC, however, lacks an
action plan that could be used to provide DHS and other stakeholders
with information on, and a rationale for, its resource needs; garner
and maintain the support of ISC member agencies, DHS management, Office
of Management and Budget, and Congress; identify implementation goals
and measures for gauging progress; and propose strategies for
addressing various challenges it faces, such as resource constraints.
Without an action plan, ISC‘s strategy and time line for implementing
its responsibilities remain unclear.
As ISC and agencies have paid greater attention to facility protection
in recent years, several key practices have emerged that, collectively,
could provide a framework for guiding agencies‘ efforts. These include
allocating resources using risk management; leveraging security
technology; coordinating protection efforts and sharing information;
measuring program performance and testing security initiatives;
realigning real property assets to mission, thereby reducing
vulnerabilities; and, implementing strategic human capital management,
to ensure that agencies are well equipped to recruit and retain high-
performing security professionals. GAO also noted several obstacles to
implementation, such as developing quality data for risk management and
performance measurement, and ensuring that technology will perform as
expected.
Key Practices in Facility Protection:
[See PDF for image]
[End of figure]
What GAO Recommends:
GAO is recommending that DHS direct ISC to develop an action plan that
identifies resource needs, goals, and time frames for meeting its
responsibilities; and proposes strategies for addressing the challenges
it faces. Furthermore, GAO recommends that the Chair of ISC, with input
from ISC member agencies and considering GAO‘s work as a starting
point, establish a set of key practices that could guide agencies‘
efforts in the facility protection area. This initiative could be used
to evaluate agency actions, identify lessons learned, and develop
strategies for overcoming challenges. DHS concurred with the
recommendations.
www.gao.gov/cgi-bin/getrpt?GAO-05-49.
To view the full product, including the scope and methodology, click on
the link above. For more information, contact Mark L. Goldstein at
(202) 512-2834 or goldsteinm@gao.gov.
[End of section]
Contents:
Letter:
Results in Brief:
Background:
ISC Has Made Progress but Faces Challenges in Fulfilling Some of Its
Major Responsibilities:
Key Practices in Federal Facility Protection:
Conclusions:
Recommendations for Executive Action:
Agency Comments and Our Evaluation:
Appendixes:
Appendix I: Objectives, Scope, and Methodology:
Appendix II: National Academy of Sciences Symposium Agenda:
Appendix III: ISC Actions Related to Its Major Responsibilities under
Executive Order 12977, as of September 2004:
Appendix IV: Risk Management Framework for Homeland Security and
Terrorism:
Appendix V: Comments from the Department of Homeland Security:
Appendix VI: Comments from the Department of State:
Appendix VII: Comments from the General Services Administration:
Appendix VIII: Comments from the Department of the Interior:
Appendix IX: Comments from the Department of Energy:
Bibliography:
Related GAO Products:
Table:
Table 1: Examples of Information Sharing and Coordination Identified by
Agencies:
Figures:
Figure 1: Bollards Installed at the Jacob Javits Federal Building:
Figure 2: Key Practices in Facility Protection:
Figure 3: Examples of Technologies Used in Facility Protection:
Figure 4: Smart Card Access Portals at the Jacob Javits Federal
Building Entrance:
Figure 5: Framework for Embassy Rightsizing:
Figure 6: FPS Officers Engaged in Biological and Chemical Weapons
Response Training:
Abbreviations:
CARES: Capital Asset Realignment for Enhanced Services:
CCTV: closed circuit television:
CIA: Central Intelligence Agency:
DBT: design basis threat:
DOD: Department of Defense:
DOE: Department of Energy:
DHS: Department of Homeland Security:
DS: Diplomatic Security:
DTRA: Defense Threat Reduction Agency:
FPS: Federal Protective Service:
FSRM: Federal Security Risk Management:
GPRA: Government Performance and Results Act of 1993:
GSA: General Services Administration:
HEPA: high-efficiency particulate air:
HSPD-12: Homeland Security Presidential Directive Number 12:
HSPD-7: Homeland Security Presidential Directive Number 7:
IG: Inspector General:
Interior: Department of the Interior:
ISC: Interagency Security Committee:
LROBP: Long-Range Overseas Buildings Plan:
NAS: National Academy of Sciences:
NPS: National Park Service:
OBO: Overseas Buildings Operations:
OLES: Office of Law Enforcement and Security:
OMB: Office of Management and Budget:
OPAP: Overseas Presence Advisory Panel:
PDD: Presidential Decision Directive:
PIN: personal identification number:
PSP: Physical Security Professionals:
State: Department of State:
USPS: U.S. Postal Service:
VA: Department of Veterans Affairs:
WMD: weapons of mass destruction:
Letter November 30, 2004:
The Honorable Tom Davis:
Chairman, Committee on Government Reform:
House of Representatives:
Dear Mr. Chairman:
The war on terrorism has made physical security for federal facilities
a governmentwide concern. The federal government owns or leases
hundreds of thousands of facilities, with the vast majority
concentrated in the Departments of Defense (DOD), Veterans Affairs
(VA), State (State), Energy (DOE), and the Interior (Interior); the
General Services Administration (GSA); and the U.S. Postal Service
(USPS). The makeup of these facilities reflects the diversity of
agencies' missions and includes office buildings, military
installations, hospitals, embassies, border stations, laboratories,
and park visitor centers.
After the September 11, 2001, attacks, Congress passed the Homeland
Security Act of 2002, which created the Department of Homeland Security
(DHS). In creating DHS, the government's efforts to prevent, protect
against, and respond to potential terrorism--including terrorism
directed at federal facilities--were centralized. As a result of the
act, DHS assumed responsibility for chairing the Interagency Security
Committee (ISC). ISC, which has representation from all the major
property-holding agencies and was established after the bombing of the
Oklahoma City federal building, has a range of governmentwide
responsibilities related to protecting nonmilitary facilities. These
generally involve developing policies and standards, ensuring
compliance and overseeing implementation, and sharing and maintaining
information.[Footnote 1] Although ISC was established to bring a
central focus to the government's efforts and provide a forum for
sharing key practices and lessons learned in protecting facilities, we
reported in September 2002 that ISC was having limited success in
fulfilling its responsibilities, because of the lack of consistent and
aggressive leadership by GSA, inadequate staff support and funding for
ISC, and ISC's difficulty in making decisions.[Footnote 2]
Our objectives were to (1) assess ISC's progress in fulfilling its
responsibilities and (2) identify key practices in protecting federal
facilities and any related implementation obstacles. To assess ISC's
progress in fulfilling its responsibilities, we interviewed the
Executive Director of ISC; analyzed ISC publications and other
documents; considered prior GAO work; and reviewed various laws and
policies, including the Homeland Security Act of 2002. We also reviewed
the executive order that established ISC, a subsequent executive order
that amended it in connection with the transfer of ISC's function to
DHS, and relevant homeland security policy directives. To identify key
practices, we systematically analyzed 170 GAO and Inspector General
(IG) reports issued since 1995 that addressed homeland security and
terrorism issues and pertained to facility protection. We also
contracted with the National Academy of Sciences (NAS) to convene a
symposium of experts on key practices in facility protection. Appendix
II contains the symposium agenda and identifies the panelists. We also
interviewed officials and analyzed documents from DHS and the major
property-holding agencies, including DOD, VA, State, DOE, Interior,
GSA, and USPS. For the purpose of this review, we defined key practices
as those activities that, on the basis of our analysis, were
recommended by GAO and others, acknowledged by agencies, and validated
by experts in the area. More information on our scope and methodology
appears in appendix I. We did our work from November 2003 through
October 2004 in accordance with generally accepted government auditing
standards.
Results in Brief:
ISC has made progress in coordinating the government's facility
protection efforts but faces certain challenges to fulfilling some of
its major responsibilities. In recent years, ISC has taken several
actions that relate to developing policies and guidance for facility
protection. For example, ISC has updated its security design criteria
for federal construction and developed guidance on security for
federally leased space. ISC has also made progress related to sharing
and maintaining information by, for example, developing a Web site and
establishing standard operating procedures for ISC and its member
agencies to follow for sharing information. Although its actions to
ensure compliance and provide oversight, which were specified in the
1995 executive order, have been limited, in July 2004, the
administration made ISC responsible for reviewing agencies' physical
security plans that are required under a December 2003 presidential
homeland security policy directive. Filling this role would represent a
major step toward meeting its compliance and oversight
responsibilities. Despite the overall progress ISC has made, and its
prominent new role in the administration's oversight activities, it
faces a number of challenges. For example, the sheer magnitude of
integrating the government's facility protection initiatives, which
involves many different agencies and varying perspectives on security,
is an ongoing, formidable task. Complicating this situation,
significant resource constraints hinder ISC's ability to fulfill this
and other related responsibilities. ISC has one full-time staff person
and is dependent on participation from member agencies to fulfill its
mission. In addition to these challenges, ISC lacks an action plan,
which we are recommending, that could be used to (1) provide DHS and
other stakeholders with detailed information on, and a rationale for,
its resource needs; (2) garner and maintain the support of ISC member
agencies, DHS management, Office of Management and Budget (OMB), and
Congress; (3) identify implementation goals and measures for gauging
progress in fulfilling all of its responsibilities; and (4) propose
strategies for addressing the challenges ISC faces. Without an action
plan, ISC's strategy and time line for implementing its
responsibilities remain unclear. DHS concurred with this
recommendation.
As ISC and agencies have paid greater attention to facility protection
in recent years, several key practices have emerged that collectively
could provide a framework for guiding agencies' efforts. These include
allocating resources using risk management; leveraging security
technology; sharing information and coordinating protection efforts
with other stakeholders; measuring program performance and testing
security initiatives; realigning real property assets to mission,
thereby reducing vulnerabilities; and, implementing strategic human
capital management, to ensure that agencies are well equipped to
recruit and retain high-performing security professionals. More
specifically, these key practices encompass the following:
* Allocating resources using risk management--A risk management
approach to facility protection, which, for example, DOD has employed
for several years to protect its critical facilities, involves
identifying potential threats, assessing vulnerabilities, identifying
the assets that are most critical to protect in terms of mission and
significance, and evaluating mitigation alternatives for their likely
effect on risk and their cost. Using information on these elements, a
strategy for allocating security-related resources is developed,
implemented, and reevaluated over time as conditions change.
* Leveraging technology--To address threats and vulnerabilities,
leveraging technology--through supplementing other measures with
technology in a cost-effective manner--enhances facility protection.
For example, advanced methods for screening access to facilities, such
as smart cards that GSA is piloting in New York City, have been used to
strengthen security. Smart cards use integrated circuit chips, which
store information on individuals; and biometrics, which analyze human
physical and behavioral characteristics. Sophisticated surveillance
systems can also help secure building perimeters and monitor activity
in the building.
* Information sharing and coordination--Establishing a means of
coordinating and sharing information with other government entities and
the private sector is crucial to prevent, protect against, and respond
to potential terrorism. Facility managers are highly dependent on
guidance and input from outside stakeholders to address threats
directed at federal facilities. For example, DOE has memoranda of
agreement in place with federal, state, and local law enforcement
agencies and works with DOD to secure facilities that house the
nation's nuclear stockpile.
* Performance measurement and testing--Performance measurement can be
used to ensure accountability for achieving broad program goals and
improved security at the individual building level. For broader program
goals, measures could focus on implementation time lines and adherence
to budgets. At the individual building level, active testing using, for
example, on-site security assessments can provide data on the
effectiveness of efforts to reduce vulnerabilities. Training exercises
and drills are also useful in assessing preparedness.
* Aligning assets to mission can reduce vulnerabilities--The
government's long-standing problem with excess and underutilized
property has implications for facility protection. To the extent that
agencies are expending resources to maintain and protect facilities
that are not needed, realigning assets to mission and relocating staff
can reduce vulnerabilities by reducing the number of assets that need
to be protected. Furthermore, expending resources to protect unneeded
facilities may reduce funds available to protect other more vulnerable
facilities and staff. An example where this is occurring is State's
attempt to "rightsize" its overseas presence, which gives heavy
consideration to reducing security vulnerabilities as part of an asset
realignment effort.
* Strategic human capital management--In facility protection, as with
other areas pertaining to homeland security, it is especially critical
for agencies to be well equipped to recruit and retain high-performing
security and law enforcement professionals. We have reported in recent
years that overall, the government should take a strategic and results-
oriented approach to managing and maintaining the human capital needed
to maximize government performance and assure its accountability.
Although agencies have begun using these key practices to varying
degrees, a number of implementation obstacles are apparent. These
include developing quality data that form the basis for risk
management, ensuring that technology will perform as expected, and
determining how to measure the true impact that various approaches have
on improving protection. Agencies also face significant, long-standing
obstacles to realigning their facility portfolios and implementing
human capital reforms in general. To help devise strategies for
overcoming these obstacles and evaluate their efforts, agencies would
benefit from having a set of key practices--such as those we have
identified--that could be used to guide their efforts to protect
facilities. We have advocated using guiding principles in other areas,
including human capital management, information technology, and capital
investment.[Footnote 3] ISC, in serving as the central coordinator for
agencies' efforts, is well positioned to promote key practices for
facility protection and could consider using our work as a starting
point. As such, we are recommending that the Chair of ISC pursue such
an initiative and DHS concurred with this recommendation. Also, ISC
member agencies including State, Interior, GSA, and DOE provided
additional information and comments on a draft of this report, which we
incorporated where appropriate.
Background:
Terrorists have targeted federal facilities several times over the past
10 years. After the 1995 bombing of the Alfred P. Murrah Federal
Building in Oklahoma City, the Department of Justice created minimum-
security standards for federal facilities. In October 1995, the
President signed Executive Order 12977, which established ISC. ISC was
expected to enhance the quality and effectiveness of security in, and
protection of, facilities in the United States occupied by federal
employees for nonmilitary activities and to provide a permanent body to
address continuing governmentwide security issues for federal
facilities. ISC is expected to have representation from all the major
federal departments and agencies, as well as a number of key
offices.[Footnote 4] ISC's specific responsibilities under the
executive order generally relate to three areas: developing policies
and standards, ensuring compliance and overseeing implementation, and
sharing and maintaining information. Related to policies and standards,
the executive order specifically states that ISC is to:
* establish policies for security in and protection of federal
facilities;
* develop and evaluate security standards for federal facilities;
* assess technology and information systems as a means of providing
cost-effective improvements to security in federal facilities;
* develop long-term construction standards for those locations with
threat levels or missions that require blast-resistant structures or
other specialized security requirements; and:
* evaluate standards for the location of, and special security related
to, day care centers in federal facilities.
In the area of compliance and oversight, ISC is to develop a strategy
for ensuring compliance with facility security standards and oversee
the implementation of appropriate security measures in federal
facilities. And, related to sharing and maintaining information, ISC is
to encourage agencies with security responsibilities to share security
related intelligence in a timely and cooperative manner and assist with
developing and maintaining a centralized security database of all
federal facilities.
Since September 11, the focus on protecting the nation's critical
infrastructure has been heightened considerably. The Homeland Security
Act of 2002 and other administration policies assigned DHS specific
duties associated with coordinating the nation's efforts to protect
critical infrastructure, and Homeland Security Presidential Directive
Number 7 (HSPD-7) stated that DHS's Secretary was responsible for
coordinating the overall national effort to identify, prioritize, and
protect critical infrastructure and key resources.[Footnote 5] Under
the Homeland Security Act of 2002, the Federal Protective Service (FPS)
was transferred from GSA to DHS and, as a result of this transfer, DHS
assumed responsibility for ISC in March 2003.
In September 2002, we reported that ISC was having limited success in
fulfilling its responsibilities.[Footnote 6] Specifically, ISC had made
little or no progress in areas including developing and establishing
policies for security in and protection of federal facilities and
developing a strategy for ensuring compliance with security standards.
In January 2003, we designated federal property as a high-risk area, in
part due to the threat of terrorism against federal
facilities.[Footnote 7] As the government's security efforts continue
to intensify, and real property-holding agencies employ such measures
as searching vehicles that enter federal facilities, restricting
parking, and installing concrete bollards, important questions continue
to be raised regarding the level of security needed to adequately
protect federal facilities and how the security community should
proceed. Figure 1 shows bollards installed at the Jacob Javits Federal
Building in New York, New York. Additionally, questions concerning the
cost-effectiveness and impact of various practices have emerged as the
nation faces a protracted war on terrorism.
Figure 1: Bollards Installed at the Jacob Javits Federal Building:
[See PDF for image]
[End of figure]
ISC Has Made Progress but Faces Challenges in Fulfilling Some of Its
Major Responsibilities:
ISC has made progress in coordinating the government's facility
protection efforts and has been given a prominent role in reviewing
agencies' physical security plans for the administration since we last
reported on this issue. In September 2002, we reported that ISC, at
that time, had made little or no progress in key elements of its
responsibilities, such as developing policies and standards for
security at federal facilities; ensuring compliance with security
standards and overseeing the implementation of appropriate security in
federal facilities; and related to information, developing a
centralized security database of all federal facilities.[Footnote 8]
Agency representatives identified several factors that they believe
contributed to ISC's limited progress. These factors included (1) the
lack of consistent and aggressive leadership by GSA, (2) inadequate
staff support and funding for ISC, and (3) ISC's difficulty in making
decisions. Nonetheless, there were areas where we observed some
progress over its then 7-year existence. For example, ISC had developed
and issued security design criteria and minimum standards for building
access procedures; disseminated information to member agencies on entry
security technology for buildings needing the highest security levels;
and, through its meetings and working groups, provided a forum for
federal agencies to discuss security-related issues and share
information and ideas.[Footnote 9]
In commenting on the September 2002 report, GSA, which at the time had
responsibility for chairing ISC, agreed to take action to address the
shortcomings we identified. In March 2003, in accordance with the
Homeland Security Act of 2002, FPS was transferred from GSA to DHS. As
a result, DHS assumed responsibility for chairing ISC, and the
executive order establishing ISC was amended to reflect the transfer of
this function from GSA to DHS.[Footnote 10] Transferring responsibility
for ISC to DHS reflected the shift to having homeland security
activities centralized under one cabinet-level department. Within DHS,
the role of chairing ISC was subsequently delegated to the Director of
FPS in January 2004.
Since our 2002 report, ISC has made clear progress in developing
policies and standards and maintaining and sharing information. Related
to policies and standards, ISC issued security standards for leased
space in July 2003, and OMB has approved them. These standards address
security requirements for leased facilities and, according to an ISC
official, are currently being used by ISC member agencies as a
management tool. In June 2003, ISC issued guidance on escape hoods for
federal agencies and, in October 2003, ISC issued an update to its May
2001 Security Design Criteria for New Federal Office Buildings and
Major Modernization Projects. According to an FPS official, GSA is
incorporating ISC's Security Design Criteria in the construction of new
facilities. More recently, ISC became involved with Homeland Security
Presidential Directive Number 12 (HSPD-12), issued in August 2004,
which seeks to standardize identification:
for federal employees and contractors.[Footnote 11] According to the
directive, wide variations in the quality and security of forms of
identification used to gain access to federal facilities, where there
is a potential for terrorist attacks, need to be eliminated. ISC's
Executive Director informed us that he was asked to be a member of the
White House Homeland Security Council Coordination Committee for HSPD-
12. This ISC official would provide the leadership role for this
committee and ensure that physical security requirements for the
federal government, as they relate to the directive, are included and
coordinated with ISC members.
Related to its role in maintaining and sharing information, ISC has
developed a Web site for posting policies and guidance and is
developing a secure Web portal for member agencies to exchange security
guidance and other information. Also, according to the Executive
Director of ISC, standard operating procedures were approved by ISC
members in June 2004 and were finalized in September 2004. These
operating procedures are intended to improve the quality of information
sharing among member agencies at its meetings by establishing standards
for attendance and participation at ISC meetings. For example, each ISC
agency representative is required to attend all meetings or delegate a
person to attend to ensure full participation. Finally, DHS is
developing a governmentwide facilities database that the ISC Executive
Director believes will meet ISC's responsibility to assist with
developing and maintaining a centralized security database of all
federal facilities. This database will list functions and services that
are mission critical, map federal assets and their critical
infrastructure, and identify key resources for both cyber and physical
security protection. According to ISC's Executive Director, ISC members
are an integral part of this process and will ensure that the required
support from within their departments and agencies is provided.
New Role Could Provide Vehicle for Addressing Responsibilities Related
to Ensuring Compliance and Overseeing Implementation:
Despite progress in its other areas of responsibility, ISC has not
developed, as specified in its 1995 executive order, a strategy for
ensuring compliance with security standards among agencies and
overseeing the implementation of appropriate security measures in
federal facilities. However, in July 2004, the administration made ISC
responsible for annually reviewing and approving physical security
plans that agencies are required to develop under a presidential
homeland security policy directive. HSPD-7, issued in December 2003,
establishes a national policy for federal departments and agencies to
identify and prioritize critical infrastructure and key resources in
the United States so that they can be protected from terrorist attacks.
The directive makes DHS responsible for overseeing the implementation
of the directive and outlines the roles and responsibilities of
individual agencies. Among the roles and responsibilities delineated,
HSPD-7 establishes an annual reporting cycle for agencies to evaluate
their critical infrastructure and key resources protection plans for
both cyber and physical security. ISC's Executive Director informed us
that in July 2004, the administration designated ISC as the oversight
body for agencies' physical security plans. According to ISC's
Executive Director, ISC's role will be to review, approve, or
disapprove each department or agency's physical security plan.
If ISC were to successfully fulfill its new responsibilities under
HSPD-7, which would be done under the broader umbrella of the
administration's central planning and coordination efforts for homeland
security, it would represent a major step toward meeting its
responsibilities that relate to oversight and compliance monitoring, as
specified in the 1995 executive order under which it was established.
That is, the 1995 executive order that established ISC specified that
ISC should develop a strategy for ensuring agencies' compliance with
governmentwide facility protection standards and oversee the
implementation of appropriate security measures in federal facilities.
By having a role in reviewing agencies' physical security plans in
relation to HSPD-7, ISC would have a vehicle for carrying out its
existing responsibility related to compliance and oversight. Appendix
III identifies each of ISC's major responsibilities under the executive
order and actions it has taken to date to fulfill them.
ISC Faces Challenges to Fulfilling Its Responsibilities:
ISC's Executive Director identified several challenges that relate to
ISC's many roles and responsibilities in coordinating the government's
facility protection efforts. These included the following:
* reaching a consensus with agencies on a risk management process for
the government that is reasonable and obtaining funding for this
activity;
* addressing the issue of leased government space and the impact that
new physical security standards for leased space will have on the real
estate market;
* developing a compliance process for agencies that can also be used as
a self-assessment tool to measure the effectiveness of ISC;
* educating senior level staff from across the government and gaining
their support for ISC activities; and overall,
* integrating all physical security initiatives for the entire federal
government and implementing change.
We agree that ISC faces these challenges and, furthermore, that they
will have to be addressed in order for ISC to be successful. More
specifically, the sheer magnitude of integrating the government's
facility protection initiatives, which ISC and FPS officials
identified, is formidable because it involves many different agencies
and varying perspectives on security. Furthermore, in discussing the
challenges associated with leased property, ISC's Executive Director
touched on one of several long-standing problems in the federal real
property area that have implications for facility protection policy. As
reported in GAO's 2003 high-risk report on federal real property, the
government's historical reliance on costly leased space--which achieves
short-term budget savings but is more costly over the longer term--is
problematic. To the extent that private sector lessors are required to
enhance the security of their property for federal tenants, the
associated costs will likely be passed on to the government in the form
of higher rent.
Another long-standing problem that could affect ISC as it attempts to
meet its responsibilities is the historically unreliable nature of
agency real property data. Poor data could make it difficult for agency
management to implement and oversee comprehensive risk-based approaches
to protecting their facilities. As discussed later, risk management, as
it pertains to facility protection, relies heavily on accurate and
timely data. At the governmentwide level, inventory data maintained by
GSA for the entire government, and financial data on property reported
in the government's financial statements, have also been historically
unreliable.[Footnote 12]
Another challenge identified by ISC's Executive Director--obtaining
adequate resources for its activities--is a particular concern.
According to the Executive Director of ISC, as the ISC's only full-time
staff person, his ability to ensure that all of ISC's responsibilities
are fulfilled is limited. Also, according to this official, ISC is
dependent entirely on participation and input from member agencies.
ISC's Executive Director said that, in the past, getting buy-in and
support from senior officials in member agencies had been a challenge.
It seems, however, that given ISC's new role in the administration's
homeland security efforts, it could make a persuasive case for a
sustained level of support from agencies. Also, it is important to note
that DHS has certain responsibilities under the executive order that
established ISC to ensure it has adequate resources. Specifically, the
executive order states that "to the extent permitted by law and subject
to the availability of appropriations, the Secretary of Homeland
Security should provide ISC with such administrative services, funds,
facilities, staff, and other support services as may be necessary for
the performance of its functions."[Footnote 13] According to ISC's
Executive Director, current ISC resources are not sufficient for ISC to
meet all of its evolving responsibilities. This official told us that
additional funding for ISC will not be available until fiscal year
2006. However, given the prominent role ISC will be playing in the
administration's homeland security efforts, it will be critical for DHS
to help ISC undertake activities that will allow it to fulfill its
responsibilities, address other challenges it faces, and ultimately be
successful.
Given the challenges ISC faces, its new responsibility related to HSPD-
7 for reviewing agencies' physical security plans, and the need to
sustain progress it has made in fulfilling its responsibilities, ISC
would benefit from having a clearly defined action plan for achieving
results. Although ISC has taken steps to address challenges, such as
seeking additional resources for fiscal year 2006, it lacks an action
plan that could be used to (1) provide DHS and other stakeholders with
detailed information on, and a rationale for, its resource needs; (2)
garner and maintain the support of ISC member agencies, DHS management,
OMB, and Congress; (3) identify implementation goals and measures for
gauging progress in fulfilling all of its responsibilities; and (4)
propose strategies for addressing the challenges ISC faces. Such a plan
could incorporate the strategy for ensuring compliance with facility
protection standards that is required under ISC's executive order, but
has not yet been developed. Without an overall action plan for meeting
this and other responsibilities, ISC's strategy and time line for these
efforts remain unclear.
Having an effective ISC is critically important to the government's
overall homeland security efforts as new threats emerge and agencies
continue to focus on improving facility protection. Prior to 1995,
there were no governmentwide standards for security at federal
facilities and agencies' efforts to coordinate and share information
needed improvement. Without standards and mechanisms for coordination,
there were concerns about the vulnerability of federal facilities to
acts of terrorism. As recently as August 2004, information from DHS
showed that threats against high-profile facilities in the New York
area and Washington, D.C., are still a major concern.
Key Practices in Federal Facility Protection:
As ISC and agencies have paid greater attention to facility protection
in recent years, several key practices have emerged that collectively
could provide a framework for guiding agencies' efforts. As discussed
in more detail later, ISC could play a vital role in promoting key
practices in relation to its information sharing responsibilities. Key
facility protection practices that we identified include allocating
security resources using risk management, leveraging the use of
security technology, coordinating protection efforts and sharing
information with other stakeholders, and measuring program performance
and testing security initiatives. In addition, we determined that two
other practices GAO has highlighted as governmentwide issues also have
implications for the facility protection area. These include realigning
real property assets to agencies' missions, thereby reducing
vulnerabilities, and strategic human capital management, to ensure that
agencies are well equipped to recruit and retain high-performing
security professionals. Our analysis--based on our work and Inspector
General (IG) reports, the views of the NAS symposium experts in
facility protection, and interviews with federal agencies--showed that
attention to these key practices could provide a framework for guiding
agencies' efforts and achieving success in the facility protection
area. Figure 2 identifies each of these key practices.
Figure 2: Key Practices in Facility Protection:
[See PDF for image]
[End of figure]
Using Risk Management Prioritizes Limited Security Resources:
Allocating resources using risk management is a systematic and
analytical process to consider the likelihood that a threat will
endanger an asset (structure, individual, or function) and identify,
evaluate, select, and implement actions that reduce the risk or
mitigate the consequences of an event. Although applying risk
management principles to facility protection can take on various forms,
our past work showed that most risk management approaches generally
involve identifying potential threats, assessing vulnerabilities,
identifying the assets that are most critical to protect in terms of
mission and significance, and evaluating mitigation alternatives for
their likely effect on risk and their cost. These and other elements of
a risk management approach are described in more detail in appendix IV.
Our work showed that there was consensus in the security community--
including GAO, IGs, agencies, national experts, and the private sector-
-that utilizing risk management practices provides the foundation for
an effective facility protection program. For example, GAO has
previously reported that for homeland security and information systems
security, risk management can provide a sound foundation for effective
security whether the assets are information, operations, people, or
federal facilities.[Footnote 14] In fact, dozens of GAO and IG reports
since September 11--which addressed efforts to protect facilities at
several agencies including DOD, State, Interior, and GSA--discussed how
risk management should be used to guide programs and better prepare
for, and respond to, terrorism and other threats.[Footnote 15] We have
also recognized the benefits of risk management in determining how best
to maximize the impact of limited resources.[Footnote 16] At our March
2004 NAS symposium, there was general consensus among panelists that
risk management is useful in guiding security decisions and that this
approach should be pursued by federal agencies. Some of the NAS
panelists commented:
"I am a supporter of risk-based methodologies. I see a lot of benefits
from this approach. First, [agencies] can weigh the amount of risk
reduction versus the cost of that reduction. Secondly, if [agencies]
have a proven model, [they] can actually provide sound security. We
have found time and time again, after a terrorist event, [there is a]
knee-jerk reaction where people—don't necessarily add security but
[instead] give the appearance of taking some action." - Navy official:
"One of the key corollaries to [a] risk-assessment process is the
determination of cost-effectiveness. That is a balancing act between
the cost of the mitigation measures that we implement and the
reductions in future losses, which we refer to as benefits." - Federal
Emergency Management Agency official:
"Threat assessments that we carry out are comparative, rather than
absolute. By ranking the likelihood of a range of threats, in
combination with a broad assessment of their potential consequences, we
aim to show clients where their greatest risks lie by outlining
proposals for mitigating these risks in the threat and risk assessment.
The client can then prioritize how best to direct available resources."
- Security consultant from the United Kingdom:
Our discussions with the major property-holding agencies and analysis
of documents we obtained showed that each agency used some form of risk
management to protect its facilities. Some examples of how agencies
applied risk management are as follows:
* According to officials with FPS, which protects federally owned or
occupied facilities held by GSA and DHS, security needs and related
countermeasures are prioritized based on the level of risk to a
particular facility. Risk is determined by evaluating the impact of
loss and vulnerability that each specific threat would have on a
facility. According to these officials, FPS inspectors are trained to
make educated decisions on applicable countermeasures to the identified
threats and vulnerabilities on a recurring basis.
* We have reported that, for many years, DOE has employed risk-based
security practices.[Footnote 17] To manage potential risks, DOE uses a
classified document referred to as a "design basis threat" (DBT). The
DBT identifies the potential size and capabilities of terrorist forces
and is based on information DOE gathers from the intelligence
community. DOE requires contractors operating its sites to provide
sufficient protective forces and equipment to defend against the threat
contained in the DBT. DOE updated its 1999 DBT in May 2003 to better
reflect current and projected terrorist threats in the aftermath of
September 11.
* VA conducts physical security assessments and prioritizes its
protection efforts for critical infrastructure, according to VA
officials. The phases of the assessment include defining the
criticality of VA facilities, identifying and analyzing vulnerabilities
of VA's critical facilities, and identifying appropriate
countermeasures. According to VA documents, VA determines vulnerability
by factors such as facility population, number of floors in the
facility, and the presence or absence of armed officers. This
assessment also includes a procedure for scoring and prioritizing
identified vulnerabilities at each assessed site.
* We have reported that DOD requires its installations to assess,
identify, and evaluate potential threats to the installation; identify
weaknesses and countermeasures to address the installation's
vulnerabilities; and evaluate and rank criticality of the
installation's assets to achieving mission goals.[Footnote 18] These
three assessments serve as the foundation of each DOD installation's
antiterrorism plan. The results of the assessments are used to balance
threats and vulnerabilities and to define and prioritize related
resource and operational requirements.
* Interior's Office of Law Enforcement and Security (OLES) has
identified 16 Interior assets as needing special consideration because
they are critical to the nation's infrastructure or are national icons
that could be targets for symbolic reasons.[Footnote 19] Having a
rationale such as this, for focusing on certain assets, represents
Interior's approach to risk management at the departmentwide level.
* According to USPS officials, USPS's physical security program
incorporates a risk assessment methodology and a layered approach to
facility security. This effort involves annual security surveys of
facilities conducted by facility security control officers and periodic
comprehensive reviews at larger core postal facilities by the Postal
Inspection Service, which is the investigative branch of USPS.
* In commenting on this report, State noted that another example of an
agency's use of risk management is State's Long-Range Overseas
Buildings Plan (LROBP). LROBP is a 6-year plan, updated yearly, that
identifies embassy and consulate facilities most in need of replacement
due to unacceptable security, safety, and/or operational conditions.
State also said that the plan identifies State's facilities' program
objectives and prioritizes competing facility requirements with input
from the Bureaus of Overseas Buildings Operations (OBO) and Diplomatic
Security (DS), State's Regional Bureaus, and other overseas agencies.
State indicated that the LROBP provides a road map for addressing long-
term facility needs under the Capital Security Construction Program,
Regular Capital Construction Program, as well as major rehabilitation,
compound security, and other programs. According to State's comments,
to prepare the plan, each year OBO and DS meet with the regional
bureaus to discuss which posts should move into the "top 80" list,
which contains the 80 primary posts requiring replacement for security
reasons, and for which, by law, the department can spend security
capital construction appropriations. Furthermore, with respect to the
original full list of facilities that need replacement, the department,
working with intelligence agencies, prioritizes these facilities.
At the NAS symposium, a private sector security expert discussed a risk
management methodology in use by FPS at GSA and Internal Revenue
Service facilities. We did not review the usefulness or effectiveness
of this methodology. Nonetheless, the methodology is an example of one
risk management process that is in use. The process, called Federal
Security Risk Management, or FSRM, is a risk matrix that compares
credible threats with assets and assesses the impact of loss and
vulnerability. According to the panelist, agencies use the risk matrix
to apply security upgrades to the risks deemed unacceptable and
reevaluate the countermeasures until a desired level of risk reduction
is achieved. The agencies then develop design or retrofit
specifications and criteria. This risk assessment cycle generally spans
a 2-to-4 year time period. According to the panelist, once unacceptable
risks are addressed through countermeasures, agencies need to
reevaluate risks and vulnerabilities on an ongoing basis.
Leveraging Security Technologies Can Enhance Facility Protection:
By efficiently using technology to supplement and reinforce other
security measures, vulnerabilities that are identified by the risk
management process can be more effectively addressed with appropriate
countermeasures. Our work showed broad concurrence among GAO, IGs,
facility security experts, and agency experts that making efficient use
of security technology to protect federal facilities is a key practice,
but that the type of technology to use should be carefully analyzed.
For example, in reporting on border security and information security
issues in 2003, we found that prior to significant investment in a
project, a detailed analysis should be conducted to determine that
benefits of a technology outweigh costs, as well as to determine the
effects of the technology on areas such as privacy and
convenience.[Footnote 20] In the facility access control area, we also
reported that agencies should decide how technology will be used and
whether to use technology at all to address vulnerabilities before
implementation.[Footnote 21] According to our 2003 testimony on using
technologies to secure federal facilities, technology implementation
costs can be high, particularly if significant infrastructure
modifications are necessary.[Footnote 22] Another consideration is that
lesser technological solutions sometimes may be more effective and less
costly than more advanced technologies. For example, as we reported in
2002, trained dogs are an effective and time-proven tool for detecting
concealed explosives. By using the risk management process and
balancing costs, benefits, and other concerns, agencies can efficiently
leverage technologies to enhance facility protection.
Among the advanced technologies that were identified during our review
were smart cards--which use integrated circuit chips to store
information on individuals--and biometrics--which analyze human
physical and behavioral characteristics--to verify the identity of
employees. Furthermore, sophisticated detection and surveillance
systems such as closed circuit television (CCTV) have also aided in
securing facility perimeters and monitoring activity in the building.
Such technologies expand surveillance capabilities and can free up
security staff for other duties. Several GAO and IG reports indicated
that agencies currently have a wide array of security technologies
available for protecting facilities, including smart cards, biometrics,
X-ray scanners, and CCTV.[Footnote 23] As we reported in 2002,
technologies identified as countermeasures through the risk management
process support the following three integral concepts for security:
* Protection--Provides countermeasures such as policies, procedures,
and technical controls to defend assets against attacks.
* Detection--Monitors for potential breakdowns in protective mechanisms
that could result in security breaches.
* Reaction--Responds to detected breaches to thwart attacks before
damage can be done.
In GAO's April 2002 testimony on security technologies, we categorized
the security technologies by which security concept they
supported.[Footnote 24] Figure 3 lists the technologies and provides
descriptions of each.
Figure 3: Examples of Technologies Used in Facility Protection:
[See PDF for image]
[End of figure]
Several of the major property-holding agencies we contacted use various
security technologies to protect their facilities. For example, to
control access to its embassies, State employs alarm systems, arrest
barriers to stop vehicles, audio/video monitoring equipment, explosive
detection devices and metal detectors, and X-ray machines. Officials at
USPS indicated that various detection technologies are used to secure
its facilities against biological and radiological agents. For example,
as we reported in 2002, USPS installed high-efficiency particulate air
(HEPA) filtration systems at some facilities to protect them from
biohazards.[Footnote 25] HEPA filtering technology is designed to
remove particulate biohazards and other particles.
Currently, GSA is conducting a smart card pilot program for two federal
buildings in New York City. Although the first cards went into use in
October 2003, planning for the pilot program began before the September
11 terrorist attacks. One of the federal buildings participating in the
program is the Jacob Javits Federal Building, which houses
approximately 35 agencies and more than 7,000 federal employees. All of
the employees participating in the program use smart cards to enter the
building. In addition to a person's name, title, and picture, the smart
card contains multiple layers of data substantiating the card's
authenticity and personal biometric data of the cardholder. Employees
use the smart cards at access portals near the building's entrances
(see fig. 4). After the portal has read the smart card and validated
the user, glass doors swing apart to allow entry. If the threat level
is raised under the homeland security advisory system, the building
access technology requires additional security procedures (e.g.,
entering a personal identification number (PIN), matching a stored
biometric record).[Footnote 26] Although agencies' use of smart cards
in the building has been optional, all of the agencies in the Javits
building are currently participating in the pilot program, including
the Federal Bureau of Investigation, the Small Business Administration,
and the Department of Housing and Urban Development.
Figure 4: Smart Card Access Portals at the Jacob Javits Federal
Building Entrance:
[See PDF for image]
[End of figure]
Overall, it was evident during our review that agencies are already
using or experimenting with a range of technologies in their facility
protection efforts. In terms of key practices, it is important to note
that focusing on obtaining and implementing the latest technology is
not necessarily a key practice by itself. Instead, having an approach
that allows for cost-effectively leveraging technology to supplement
and reinforce other measures would represent an advanced security
approach in this area. Also, linking the chosen technology to
countermeasures identified as part of the risk management process
provides assurance that factors such as purpose, cost, and expected
performance were addressed.
Information Sharing and Coordination among Federal Agencies and the
Private Sector Can Help Agencies Better Protect Their Assets:
Information sharing and coordination among organizations is crucial to
producing comprehensive and practical approaches and solutions to
address terrorist threats directed at federal facilities. Our work
showed a broad consensus--on the basis of prior GAO and IG work and
information from agencies and the private sector--that by having a
process in place to obtain and share information on potential threats
to federal facilities, agencies can better understand the risk they
face and more effectively determine what preventive measures should be
implemented. In considering the implications that information sharing
and coordination have for facility protection efforts, it is useful to
look at how this practice is being approached governmentwide, at the
agency level, and at the individual facility level.
At the governmentwide level, DHS is expected to play a critical role in
information sharing and coordination in most homeland security areas,
including facility protection. In September 2003, we reported that
information sharing was critical for DHS to meet its mission of
preventing terrorist attacks in the United States, reducing
vulnerability to terrorist attacks, and minimizing damage and assisting
with recovery if attacks do occur.[Footnote 27] In 2003, we also
reported that to accomplish its mission, DHS needed to access, receive,
and analyze law enforcement information, intelligence information, and
other threat, incident, and vulnerability information from federal and
nonfederal sources and analyze this information to identify and assess
the nature and scope of terrorist threats. Furthermore, we reported
that DHS should share information both internally and externally with
agencies, law enforcement, and first responders.[Footnote 28] As we
testified in September 2003, we have made numerous recommendations to
DHS to improve information sharing and coordination to accomplish its
homeland security responsibilities. These recommendations involved,
for example,
* incorporating existing information-sharing guidance contained in
various national strategies and the information-sharing procedures
required by the Homeland Security Act of 2002;
* establishing a clearinghouse to coordinate the various information-
sharing initiatives to eliminate possible confusion and duplication of
effort;
* fully integrating states and cities into a national policy-making
process for information sharing and taking steps to provide greater
assurance that actions at all levels of government are mutually
reinforcing;
* identifying and addressing perceived barriers to federal information-
sharing; and:
* using survey methods or related data collection approaches to
determine, over time, the needs of private and public organizations for
information related to homeland security and to measure progress in
improving information sharing at all levels of government.[Footnote 29]
In addition to those recommendations, we identified a need for a
comprehensive plan to facilitate information sharing and coordination
to protect critical infrastructure in our August 2004 testimony on
strengthening information sharing for homeland security.[Footnote 30]
We reported that such a plan could encourage improved information
sharing by clearly delineating roles and responsibilities of federal
and nonfederal entities, defining interim objectives and milestones,
setting time frames for achieving objectives, and establishing
performance measures. DHS has concurred with the above recommendations
to improve information sharing and coordination and is in various
stages of implementing them. These recommendations clearly have
implications for the facility protection area, by, for example,
increasing coordination among facility stakeholders that would reduce
duplicative efforts and reinforce protection strategies.
The emphasis on information sharing and coordination is also evident in
the National Strategy for Homeland Security and its related strategies
to protect critical infrastructure, including federal facilities.
According to the national strategy, successfully protecting facilities
will rely on effective information sharing and coordination among
multiple entities as part of the nation's broader homeland security
efforts. In the related National Strategy for the Physical Protection
of Critical Infrastructure and Key Assets, information sharing is a
common theme. This strategy calls for the federal government to work
with various stakeholders to, among other things, develop processes for
visitor screening, assess vulnerabilities, develop construction
standards, and implement security technology. With regard to national
icon protection, the strategy recommends that Interior work with other
agencies, the public, and the private sector to define criticality
criteria, assess vulnerabilities, conduct security awareness programs,
and collaborate to protect national icons outside the purview of the
federal government. Related to dams, the strategy recommends that DHS
work with other agencies, dam owners, and local and state officials to
assess risks and institute a national dam security program.
At the agency level, the agencies we contacted provided several
examples of their activities related to information sharing and
coordination. These activities are described in table 1.
Table 1: Examples of Information Sharing and Coordination Identified by
Agencies:
Agency: Department of Defense;
Examples of coordinating agencies and organizations: Agencies: DHS and
DOE, other federal entities; Other organizations: state and local
entities;
Examples of coordinating agencies and organizations:
* DOD requires commanders to form threat working groups with external
law enforcement officials;
* DOD's Defense Threat Reduction Agency (DTRA) shares responsibility
for maintaining the U.S. nuclear weapon stockpile;
* DTRA assists civilian agencies in antiterrorist programs such as
first-responder training and addressing weapons of mass destruction
threats.
Agency: Department of Energy;
Examples of coordinating agencies and organizations: Agencies: DOD,
DHS, federal law enforcement agencies; Other organizations: state and
local officials, law enforcement, and private sector;
Examples of coordinating agencies and organizations:
* Assigns personnel to serve as a central point of coordination and
liaison with outside groups;
* Some DOE facilities have entered into formal Memoranda of Agreements
with other law enforcement agencies;
* Directs sites to have formal or informal relationships with other
federal, state, local, and private sector officials to address facility
protection;
* Works with DOD to secure U.S. nuclear weapons stockpile.
Agency: Department of State;
Examples of coordinating agencies and organizations: Agencies: DHS,
Environmental Protection Agency, GSA, Central Intelligence Agency, FBI,
and various federal law enforcement agencies; Other organizations:
National Capital Planning Commission, the D.C. government;
Examples of information sharing activities:
* Shares information through meetings, working groups, and joint
projects;
* GSA installs and maintains security systems for State's domestic
facilities outside of the national capital region.
Agency: Department of Homeland Security;
Examples of coordinating agencies and organizations: Agencies: FBI,
State, GSA tenant agencies, other federal law enforcement agencies;
Other organizations: private sector organizations with an interest in
critical infrastructure protection;
Examples of information sharing activities:
* As central coordinator of federal homeland security efforts, assists
agencies with gathering facility threat information and incorporates it
into risk assessments;
* DHS, through FPS, provides tenant agencies with facility security
assessments, containing threat and countermeasure information, and
associated costs.
Agency: Department of the Interior;
Examples of coordinating agencies and organizations: Agencies: DHS,
DOD, FBI; Other organizations: state and local government
organizations, private sector;
Examples of information sharing activities:
* Office of Law Enforcement and Security (OLES) serves as principal
point of contact with external law enforcement and security
organizations;
* OLES is responsible for coordinating security policies and
information sharing among Interior's bureaus, which collectively hold
approximately 8,000 facilities.
Agency: Department of Veterans Affairs;
Examples of coordinating agencies and organizations: Agencies: FEMA,
DHS; Other organizations: local law enforcement, public and private
technical organizations;
Examples of information sharing activities:
* VA facilities have entered into information sharing agreements and
memoranda of understanding with local law enforcement;
* Some VA officials participate in local law enforcement and public
security councils to develop effective coordination and information
sharing relationships.
Agency: General Services Administration;
Examples of coordinating agencies and organizations: Agencies: DHS,
tenants include most federal agencies; Other organizations: local
officials and law enforcement;
Examples of information sharing activities:
* Participates in local and national public safety conferences to
learn latest security information in the public and private sectors,
and present information to others. These include conferences organized
by, for example, the International Association of Chiefs of Police.
Agency: United States Postal Service;
Examples of coordinating agencies and organizations: Agencies: DHS,
GSA; Other organizations: Legislative Task Force on Mail Safety;
Examples of information sharing activities:
* Informs other agencies of mail and facility security issues.
[End of table]
Source: GAO.
In addition to agencywide efforts, coordination and information sharing
is important at the individual facility level. As we have previously
reported, protecting federal facilities requires facility security
managers to involve multiple organizations to effectively coordinate
and share information to prevent, detect, and respond to terrorist
attacks.[Footnote 31] Security managers typically are not aware of
potential threats to their facilities and depend on intelligence from
other organizations to prevent and/or deter attacks. For example,
according to officials from VA, due to limited resources and its lack
of an intelligence gathering capability, VA must rely on other agencies
to gain threat information. Additionally, security managers have to
coordinate and share information with state and local governments to
respond to terrorist attacks and do not have direct access to the range
of emergency resources required to respond to terrorist attacks. They
rely on state and local governments to provide first-responder services
such as firefighting, medical personnel, and other emergency services.
They also rely on local police and the judicial process to enforce and
prosecute violators of the laws and regulations governing the
protection of federal facilities. As such, at the individual facility
level, security managers are less equipped to make informed decisions
about security without effective information sharing and coordination.
One way managers at the individual facility level may become better
informed is if they take advantage of emerging efforts by the
government to disseminate targeted threat information. For example, one
recent DHS effort to increase information sharing and coordination
among security stakeholders is its Homeland Security Information
Network. According to DHS's Web site, this unclassified network
consists of Internet, phone, fax, and pager communications systems that
provides DHS with constant access to real-time threat information from
public and private industries and agencies. DHS can also use the
network to send targeted alert notifications and other threat
information to states, cities, and others, which can then collect and
disseminate this information among those other entities involved in
combating terrorism. A base of locally knowledgeable experts governs
and administers the network with the support of DHS regional
coordinators.
Overall, IG reports and experts from the NAS symposium we held
underscored the value of information sharing and coordination for
facility protection. Regarding Interior's protection of national icons,
Interior's IG has reported that coordination and communication are two
key characteristics of any well-functioning organization.[Footnote 32]
State's IG has recommended that some embassies coordinate with local
police to establish coordinated response procedures to potential
vehicle bomb attacks.[Footnote 33] State concurred with these
recommendations. In a 2002 report, the GSA IG reported on the value of
having security officials share any gained expertise to address
emerging threats to federal facilities.[Footnote 34] At the NAS
symposium, there was a general consensus among panelists that
coordination and information sharing--whether through formal or
informal means--is critical to effectively protect federal facilities.
Some examples of panelist comments included:
"We should be sharing what we know. There are a limited number of
people in this field—One thing we do need, to help us share this
information, is more engineering forums, more opportunities for other
federal agencies and the private sector to share— this information."--
Defense official:
"Whatever information sharing structure gets superimposed on agencies,
it should not impede existing groups that share security information.
Informal networks rather than rigid hierarchies are the things you
really need to secure properties. In general, frequent interaction
helps build trust, helping people to work together and respond quickly
to threats."--Private sector security consultant:
Performance Measurement Can Ensure Accountability for Achieving Broad
Program Goals and Improved Security:
Performance measurement can help achieve broad program goals and
improve security at the individual facility level. Our analysis showed
a consensus among various stakeholders that performance measurement is
a key practice that agencies should follow. Although using performance
measurement for facility protection is a practice that--based on our
analysis--is in the early stages of development, several initiatives at
three levels--governmentwide policy, agency, and facility-specific--
demonstrate how performance measurement is being approached in the
facility protection area.
At the governmentwide policy level, the National Strategy for Homeland
Security addresses the threat of terrorism in the United States by
organizing the domestic efforts of federal, state, local and private
organizations.[Footnote 35] It aligns and focuses homeland security
functions into six mission critical areas, set forth as (1)
intelligence and warning, (2) border and transportation security, (3)
domestic counterterrorism, (4) protecting critical infrastructures and
key assets, (5) defending against catastrophic terrorism, and (6)
emergency preparedness and response. As mentioned before in relation to
information sharing and coordination, the National Strategy for the
Physical Protection of Critical Infrastructures and Key Assets[Footnote
36] incorporates facility protection efforts and identifies a set of
national goals and objectives. The strategy outlines the guiding
principles that will underpin the government's efforts to secure the
infrastructures and assets vital to national security, governance,
public health and safety, the economy, and public confidence. It also
provides a unifying organizational structure and identifies specific
initiatives to drive the government's near-term national protection
priorities and inform the resource allocation process. According to the
strategy, the strategic objectives that underpin our national critical
infrastructure and key asset protection effort include the following:
* identifying and assuring the protection of those infrastructures and
assets that are deemed most critical in terms of national-level public
health and safety, governance, economic and national security, and
public confidence consequences;
* providing timely warning and assuring the protection of those
infrastructures and assets that face a specific, imminent threat; and:
* assuring the protection of other infrastructures and assets that may
become terrorist targets over time by pursuing specific initiatives and
enabling a collaborative environment in which federal, state, and local
governments and the private sector can better protect the
infrastructures and assets they control.
These strategies are national in scope, cutting across all levels of
government, and involve a large number of organizations and entities
including federal, state, local, and private sectors. We have testified
that these national strategies are the starting point for federal
agencies and that the ultimate measure of this and other strategies'
value will be the extent they are useful as guidance for policy and
decision makers in allocating resources.[Footnote 37] Related to
facility protection, the strategic objectives are useful in providing a
context and a broader framework for agencies, as they develop
agencywide and facility-specific goals and measures to determine if
their specific facility protection efforts are achieving desired
results.
Security Goals Can Be Tied to Broader Agency Mission Goals:
At the agency level, we have reported that tying security goals to
broader agency mission goals can help federal agencies measure the
effectiveness and ensure accountability of their security
programs.[Footnote 38] One tool that agencies can use is the Government
Performance and Results Act of 1993 (GPRA). Under GPRA, agencies are to
prepare 5-year strategic plans that set the general direction for their
efforts. These plans are to include comprehensive mission statements,
general and outcome-related goals, descriptions of how those goals will
be achieved, identification of external factors that could affect
progress, and a description of how performance will be evaluated.
Agencies are to then prepare annual performance plans that establish
connections between the long-term goals in the strategic plans with the
day-to-day activities of program managers and staff. These plans are to
include measurable goals and objectives to be achieved by a program
activity, descriptions of the resources needed to meet these goals, and
a description of the methods used to verify and validate measured
values. Finally, GPRA requires that the agency report annually on the
extent to which it is meeting its goals and the actions needed to
achieve or modify those goals that were not met.
GPRA provides a framework under which agencies can identify
implementation time lines for facility protection initiatives and
adherence to related budgets. We did not assess the extent to which
agencies were using GPRA to develop agencywide facility protection or
security-related goals. However, we noted one agency that ties its
strategic security goals to GPRA is the Defense Threat Reduction Agency
(DTRA) at DOD. DTRA's 2003 strategic plan contains most of the elements
in a strategic plan developed using GPRA standards.[Footnote 39] DTRA
plays a key role in addressing the threats posed by weapons of mass
destruction[Footnote 40] (WMD), and its specialized capabilities and
services are used to support civilian agencies' efforts to address WMD
threats, particularly the efforts of DOE and DHS. DTRA also provides
training for emergency personnel responding to WMD incidents and
assesses the vulnerability of personnel and facilities to WMD threats.
DTRA's strategic plan lays out the agency's five goals, which serve as
the basis of its individual units' annual performance plans: (1) deter
the use and reduce the impact of WMD, (2) reduce the present threat,
(3) prepare for future threats, (4) conduct the right programs in the
best manner, and (5) develop people and enable them to succeed. These
long-term goals are further broken down into four or five objectives,
each with a number of measurable tasks under each objective. These
tasks have projected completion dates and identify the DTRA unit
responsible for the specific task. For example, under the goal "deter
the use and reduce the impact of WMD" is the objective "support the
nuclear force." A measurable task under this objective is to work with
DOE to develop support plans for potential resumption of underground
nuclear weapons effects testing. The technology development unit in
DTRA was expected to complete this task by the fourth quarter of fiscal
year 2004.
At the Individual Facility Level, Active Testing and Drills Can Help
Gauge the Adequacy of Facility Protection:
Our work showed examples where federal agencies were testing security
measures by conducting inspections and assessments to ensure that
adequate levels of protection are employed. For example, officials at
Interior said that after September 11, one of its bureaus began
conducting full-risk assessments at all of its facilities, in order of
importance. As part of one of its regularly scheduled assessments at
one location, Interior received assistance from DTRA, which performed
an assessment of vulnerabilities. According to Interior officials, DTRA
officials looked at whether the resulting effect from various types of
attack would affect the mission capabilities of the location. After the
assessment, DTRA made recommendations to Interior officials for
strengthening security. Consequently, Interior officials took actions
to improve security and scheduled plans for follow-up.
In another example, the Interior IG reported in August 2003 on its
security assessment of National Park Service (NPS) parks. During the
review, Interior IG officials identified some serious deficiencies with
the overall security program and made recommendations to remedy these
problems.[Footnote 41] For example, the IG's assessment revealed that
necessary security enhancements were delayed or wholly disregarded,
that management officials lacked situational awareness, and that other
officials lacked the expertise and resources to effectively assess,
determine, and prioritize necessary security actions. This type of
active testing is useful in exposing vulnerabilities and developing
countermeasures.
According to DOE officials, DOE's Performance Assurance Program
requires that performance testing determine the effectiveness of
facility protection systems and programs. DOE conducts inspections to
ensure that proper levels of protection are consistent with standards
it has established. Assessments are made of the sites' ability to
prevent unacceptable, adverse impact on national security or on the
health and safety of DOE and contract employees, the public, or the
environment. The adequacy of safeguards and security measures are then
validated through various means such as surveys, periodic facility
self-assessments, program reviews and inspections, and assessments.
In addition to testing facility access control through inspections and
site surveys, we found examples of security programs that tested the
effectiveness of physical security measures such as structural
enhancements, physical barriers, and blast-resistant windows. Blast-
resistance in buildings is generally provided by passive features such
as additional reinforcement and connections in the structural frame for
increased malleability, composite fiber wraps to prevent shattering of
columns and slabs, and high-performance glazing materials that resist
blast pressures. In both field tests and experience (for example, the
attack on the Pentagon), these measures have been quite effective in
reducing the devastating effects of deliberate explosions and,
consequently, reducing casualties as well.
In March 2004, a panelist from DOD at the NAS symposium indicated that
blast testing is also important in the prevention of injuries resulting
from progressive collapse of buildings and flying debris. He reported
that 87 percent of the deaths occurred in the collapsed portion of the
Alfred P. Murrah Federal Building in Oklahoma City, and only 5 percent
of the deaths occurred in the uncollapsed portion of the building.
Furthermore, another panelist noted that 70 of the over 2,000 publicly
reported terrorist incidents worldwide, since 1970, were directed at
buildings. Most of these have involved large vehicle bombs, incendiary
bombs, or rocket-propelled grenades.
Training exercises and drills are also useful in assessing
preparedness. We have reported that effective security also entails
having a well-trained staff that follows and enforces policies and
procedures.[Footnote 42] In these reports, we found breaches in
security resulting from human error are more likely to occur if
personnel do not understand the technologies, risks, and the policies
that are put in place to mitigate them. Furthermore, good training and
practice are essential to successfully implementing policies by
ensuring that personnel exercise good judgment in following security
procedures. Presidential Decision Directive (PDD) 39[Footnote 43]
requires key federal agencies to maintain well-exercised capabilities
for combating terrorism. Exercises test and validate policies and
procedures, test the effectiveness of response capabilities, increase
the confidence and skill levels of personnel, and identify strengths
and weaknesses in responses before they arise in actual incidents.
Counterterrorism exercises also include activities where agency
officials discuss scenarios around a table or other similar setting,
and field exercises, where agency leadership and operational units
actually deploy to practice their skills and coordination in a
realistic field setting.[Footnote 44] Overall, training, as it relates
to facility protection, provides decision makers with data on
performance in various scenarios. Training is also discussed later in
this report in relation to strategic human capital management.
Aligning Assets to Mission Can Reduce Security Vulnerabilities:
Excess and underutilized real property at federal agencies is a long-
standing and pervasive problem that has implications for the facility
protection area. Along with the need to secure facilities against the
threat of terrorism, excess property and the need to realign the
federal real property inventory were among the reasons GAO designated
federal real property as a high-risk area in January 2003.[Footnote 45]
To the extent that agencies are expending resources to maintain and
protect facilities that are not needed, funds available to protect
critical assets may be lessened. Our past work showed examples where
funds spent to maintain and protect excess property were significant.
For example, we reported in January 2003 that DOD estimates it is
spending $3 billion to $4 billion each year maintaining facilities that
are not needed. In another example, costs associated with excess DOE
facilities, primarily for security and maintenance, were estimated by
the DOE IG in April 2002 to exceed $70 million annually.[Footnote 46]
One building that illustrates this problem is the former Chicago main
post office. In October 2003, we testified that this building, a
massive 2.5 million square foot structure located near the Sears Tower,
is vacant and costing USPS $2 million annually in holding
costs.[Footnote 47] It is likely that other agencies that continue to
hold excess or underutilized property are also incurring significant
holding costs for services including security and maintenance.
Given the need to realign the federal real property inventory so that
it better reflects agencies' missions, agencies that can overcome this
problem may reap benefits in the facility protection area. That is,
funds no longer spent securing and maintaining excess property could be
put to other uses, such as enhancing protection at critical assets that
are tied to agencies' missions. VA's Capital Asset Realignment for
Enhanced Services (CARES) initiative, which VA started in October 2000,
is an example where a realignment effort is under way. In the mid-
1990s, VA began shifting its role from being a traditional hospital-
based provider of medical services to an integrated delivery system
that emphasizes a full continuum of care with a significant shift from
inpatient to outpatient services. Subsequently, VA began the CARES
initiative so that it could reduce its large inventory of buildings,
many of which are underutilized or vacant.
"Rightsizing" the Overseas Presence:
The administration's effort to "rightsize" the nation's overseas
presence demonstrates how giving consideration to security, people, and
facilities could be approached as part of an asset realignment
framework. During 2000, an interagency effort led by the Department of
State began to assess staffing of U.S. embassies and consulates to
determine whether there were opportunities to improve mission
effectiveness and reduce security vulnerabilities and costs by
relocating staff. This process, referred to as rightsizing, was
initiated in response to the November 1999 recommendations of the
Overseas Presence Advisory Panel (OPAP).[Footnote 48] In the aftermath
of the August 1998 bombings of U.S. embassies in Africa, OPAP
determined that overseas staffing levels had not been adjusted to
reflect the changing missions and requirements; thus, some embassies
and consulates were overstaffed, and some were understaffed. The
framework provides a systematic approach for assessing workforce size
and identifying options for rightsizing, both at the embassy level and
for making related decisions worldwide. It links staffing levels to
three critical elements of overseas diplomatic operations: (1)
physical/technical security of facilities and employees, (2) mission
priorities and requirements, and (3) cost of operations.
The first element includes analyzing the security of embassy buildings,
the use of existing secure space, and the vulnerabilities of staff to
terrorist attack. The second element focuses on assessing embassy
priorities and the staff's workload requirements. The third element
involves developing and consolidating cost information from all
agencies at a particular embassy to permit cost-based decision making.
Unlike an analysis that considers the elements in isolation, the
rightsizing framework encourages consideration of a full range of
options, along with the security, mission, and cost trade-offs. With
this information, decision makers would then be in a position to, for
example, determine whether rightsizing actions are needed either to add
staff, reduce staff, or change the staff mix at an embassy. Options for
reducing staff could include outsourcing functions or relocating
functions to the United States or to regional centers. In May 2002, we
testified that the use of this approach for the U.S. embassy in Paris
was successful in identifying security concerns and finding alternative
locations for staff, such as in the United States or other cities in
Europe.[Footnote 49] In April 2003, we reported that the rightsizing
framework could be applied at U.S. embassies in developing
countries.[Footnote 50] We later testified in April 2003 that OMB
should expand the use of the rightsizing framework and that State adopt
additional measures to ensure that U.S. agencies take a systematic
approach to assessing workforce size that considers security, mission,
and cost factors. GAO also recommended that State develop guidance on a
systematic approach for developing and vetting staffing projections for
new diplomatic compounds.[Footnote 51] State and OMB agreed with our
recommendations. Figure 5 illustrates the rightsizing process, which
integrates security, people, and mission considerations in determining
how facilities are used.
Figure 5: Framework for Embassy Rightsizing:
[See PDF for image]
[End of figure]
Strategic Management of Human Capital Can Enhance Agency Facility
Protection Efforts:
The strategic management of human capital is a key practice that can
maximize the government's performance and ensure the accountability of
its efforts related to homeland security. People define an
organization's culture, drive its performance, and embody its knowledge
base. They are the source of all knowledge, process improvement, and
technological advancements. As the government's homeland security
efforts evolve, federal agencies involved with the intelligence
community and other homeland security organizations will need the most
effective human capital systems to reach projected security
goals.[Footnote 52] For facility protection, as with other areas
related to homeland security, it is especially critical for agencies to
recognize the "people" element and implement strategies to help
individuals maximize their full potential. Also, it is important for
agencies to be well equipped to recruit and retain high-performing
security and law enforcement professionals. Training is also essential
to successfully implementing policies by ensuring that personnel are
well exercised and exhibit good judgment in following security
procedures.
As we have reported, high-performing organizations align human capital
approaches with missions and goals, and human capital strategies are
designed, implemented, and assessed based on their ability to achieve
results and contribute to an organization's mission.[Footnote 53] This
includes aligning their strategic planning and key institutional
performance with unit and individual performance management, as well as
implementing reward systems. We reported in March 2003 that federal
agencies can develop effective performance management systems by
implementing a selected, generally consistent, set of key
practices.[Footnote 54] These key practices helped public sector
organizations both in the United States and abroad create a clear
linkage or "line of sight" between individual performance and
organizational success and, thus, transform their cultures to be more
results-oriented, customer-focused, and collaborative in nature. These
key practices, which have applicability to agencies' management of
facility protection employers and contractors, include the following:
* Align individual performance expectations with organizational goals.
An explicit alignment helps individuals see the connection between
their daily activities and organizational goals.
* Connect performance expectations to crosscutting goals. Placing an
emphasis on collaboration, interaction, and teamwork across
organizational boundaries helps strengthen accountability for results.
* Provide and routinely use performance information to track
organizational priorities. Individuals use performance information to
manage during the year, identify performance gaps, and pinpoint
improvement opportunities.
* Require follow-up actions to address organizational priorities. By
requiring and tracking follow-up actions on performance gaps,
organizations underscore the importance of holding individuals
accountable for making progress on their priorities.
* Use competencies to provide a fuller assessment of performance.
Competencies define the skills and supporting behaviors that
individuals need to effectively contribute to organizational results.
* Link pay to individual and organizational performance. Pay,
incentive, and reward systems that link employee knowledge, skills, and
contributions to organizational results are based on valid, reliable,
and transparent performance management systems with adequate
safeguards.
* Make meaningful distinctions in performance. Effective performance
management systems strive to provide candid and constructive feedback
and the necessary objective information and documentation to reward top
performers and deal with poor performers.
* Involve employees and stakeholders to gain ownership of performance
management systems. Early and direct involvement helps increase
employees' and stakeholders' understanding and ownership of the system
and belief in its fairness.
* Maintain continuity during transitions. Because cultural
transformations take time, performance management systems reinforce
accountability for change management and other organizational goals.
Our analysis showed that several GAO and IG reports discuss the
importance of strategic management of human capital in relation to
homeland security functions, including facility protection. For
example, in June 2004 we recommended that DHS develop a transformation
strategy for FPS to resolve challenges related to, among other things,
the change in organizational culture and responsibilities FPS faces
since it was transferred from GSA to DHS.[Footnote 55] DHS concurred
with our recommendations. Furthermore, we testified on the importance
of making changes to human capital management related to improving
intelligence gathering at the CIA for security purposes.[Footnote 56]
Also, the DOE IG recommended that DOE standardize annual, refresher
training requirements for security forces and conduct reviews of
safeguards and security training programs departmentwide to ensure
compliance with the agency training plan.[Footnote 57] The Director,
Office of Safeguards and Security at DOE, agreed with the
recommendation.
Successfully training employees on using emerging security technologies
is also an important element in facility protection (see fig. 6).
Installing the latest security technology alone cannot guarantee
effective facility protection if security personnel have not been
adequately trained to use the technologies properly. Training is
particularly essential if the technology requires personnel to master
certain knowledge and skills to operate it, such as detecting concealed
objects in generated X-ray images. Without adequate training in
understanding how technology works, the security system will likely be
less effective. This is especially important in assessing risks and
vulnerabilities in facility protection. According to DHS officials, FPS
inspectors are trained to conduct risk assessments and to evaluate the
effectiveness of previously installed facility countermeasures.
Trained FPS inspectors articulate their findings to a building security
committee for approval and funding, after which FPS implements the
necessary countermeasures. At the NAS symposium, a security consultant
from the private sector said that the effectiveness of a risk
management approach depends on the involvement of experienced and
professional security personnel and that there is an increased chance
that personnel could omit major steps in the risk management process if
they are not well trained in applying risk management.
Figure 6: FPS Officers Engaged in Biological and Chemical Weapons
Response Training:
[See PDF for image]
[End of figure]
As the emphasis on protecting people, property, and information has
increased, it has made the demand for professional security
practitioners become even more important. It is widely recognized that
there is a need for competent professionals who can effectively manage
complex security programs that are designed to reduce threats to people
and the assets of corporations, governments, and public and private
institutions. To meet these needs, we noted an effort by one
organization to provide standard certifications for security
professionals. ASIS[Footnote 58] International is an international
organization for professionals responsible for security, including
managers and directors of security. According to the ASIS International
Web site, the organization is dedicated to increasing the effectiveness
and productivity of security practices by developing educational
programs and materials that address broad security concerns. ASIS
International has put together a training curriculum where security
professionals, upon completing requirements, can receive
certifications to become Certified Protection Professionals,
Professional Certified Investigators, or Physical Security
Professionals (PSP). The PSP designation is the certification for those
whose primary responsibility is to conduct threat surveys; design
integrated security systems that include equipment, procedures and
people; or install, operate and maintain those systems. We did not
assess the training and certifications offered by ASIS International.
Nonetheless, seeking certifications for security staff may allow
agencies to better ensure that they are adequately trained and allows
for comparisons with other organizations and the security industry.
Agencies Face Obstacles in Implementing Key Practices in Facility
Protection:
During our review, we noted that agencies face obstacles in
implementing the six key practices that we have identified. For
example, determining which assets to protect by establishing and
sustaining a comprehensive risk management approach is a significant
undertaking for federal agencies. The quality of information needed for
the risk management process is often difficult to obtain and analyze.
Another obstacle is keeping risk assessments up-to-date as threat
levels change, and resources for this activity are stretched. As we
pointed out earlier in relation to ISC's challenges, in our January
2003 high-risk report on federal real property, we highlighted that
some major real property-holding agencies face obstacles in developing
quality management data on their real property assets. Also, in April
2002, we reported that GSA's worldwide inventory of property contained
data that were unreliable and of limited usefulness. This inventory is
the only central source of descriptive data on the makeup of the
federal real property inventory.[Footnote 59]
In addition to data reliability problems, we have reported that some
agencies face obstacles in implementing and leveraging security
investments. As we testified in 2002, the capabilities of technology
can be overestimated.[Footnote 60]We found that by overestimating
technology's capabilities, security officials risk falling into a false
sense of security and relaxing their vigilance. Furthermore, technology
cannot compensate for human failure. Instead, technology and people
need to work together as part of an overall security process where
security personnel are properly trained to use the technology.
The federal government also faces systemic obstacles regarding
information sharing and coordination. We testified in August 2004 that
there is a need for a comprehensive plan to facilitate information
sharing and coordination in the protection of critical
infrastructure.[Footnote 61] However, DHS has not yet developed a plan
that describes how it will carry out its overall information sharing
responsibilities and relationships. In commenting on this report, DHS
indicated in its technical comments that such an information plan is
being developed. Another obstacle is developing productive information
sharing relationships among federal, state, and local governments and
the private sector. Improving the federal government's capabilities to
analyze incident, threat, and vulnerability information from numerous
sources could assist in more effectively disseminating information to
federal, state, local, and private entities. Not sharing information on
threats and on actual incidents experienced by others can hinder the
ability of agencies' to identify new trends, better understand risks,
and determine what preventive measures to implement. As we reported in
August 2003, information sharing initiatives implemented by states and
cities were neither effectively coordinated with those of federal
agencies, nor were they coordinated within and between federal
entities.[Footnote 62]
At the agencywide level, we have reported that agencies face obstacles
in developing meaningful, outcome-oriented performance goals and
collecting performance data that can be used to assess the true impact
of facility security. Performance measurement under GPRA typically
focuses on regularly collected data on the level and type of program
activities, the direct products and services delivered by the program,
and the results of those activities. For programs that have readily
observable results or outcomes, performance measurement may provide
sufficient information to demonstrate program results. In some
programs, such as facility security, however, outcomes are not quickly
achieved or readily observed, or their relationship to the program is
often not clearly defined. In such cases, more in-depth program
evaluations may be needed, in addition to performance measurement, to
examine the extent to which a program is achieving its objectives. This
approach is more challenging and represents a more advanced level of
performance measurement.
Significant long-standing obstacles also hinder agencies' ability to
realign their asset portfolios. As we have reported, the complex legal
and budgetary environment in which real property managers operate has a
significant impact on real property decisionmaking and often does not
lead to businesslike outcomes.[Footnote 63] Resource limitations--
including those related to facility protection--in general, often
prevent agencies from addressing real property needs from a strategic
portfolio perspective. When available funds for capital investment are
limited, Congress must weigh the need for new, modern facilities with
the need for renovation, maintenance, and disposal of existing
facilities, the latter of which often gets deferred. Facility
protection often falls within this latter category. Until these
competing factors are mitigated, agencies face budgetary and legal
disincentives when trying to realign their assets. State's experience
to date with rightsizing its overseas presence demonstrated some of the
challenges in realigning real property assets. We reported in November
2003 that State's efforts to replace facilities at risk of terrorist or
other attacks have experienced project delays due to changes in project
design and security requirements, difficulties hiring appropriate
American and local labor with the necessary clearances and skills,
differing site conditions, and unforeseen events such as civil
unrest.[Footnote 64]
Finally, we have reported that agencies continue to face obstacles in
implementing and maintaining a strategic approach to human
capital.[Footnote 65] Specifically, agencies continue to face
challenges in promoting (1) leadership; (2) strategic human capital
planning; (3) acquiring, developing, and retaining talent; and (4)
results-oriented organizational cultures in an effort to strategically
manage human capital. Although some progress has been made since we
designated human capital management as high-risk in 2001, today's
federal human capital strategies are not appropriately constituted to
meet current and emerging challenges, especially in light of the new
security challenges facing the government. Human capital challenges are
relevant to the facility protection area because security is a people-
intensive activity involving active management and response, and there
is a high dependency on law enforcement and security officers, as well
as contract guards.
Given these obstacles, and the need to overcome them, agencies would
benefit from having a set of key practices to guide their facility
protection efforts. GAO has advocated the use of guiding principles in
other areas, including human capital management, information
technology, and capital investment.[Footnote 66] ISC, in serving as the
central coordinator for agencies' efforts, is uniquely positioned to
promote key practices in facility protection and could use our work as
a starting point. In fact, ISC views one of its primary roles as being
the nucleus of communication on key practices and lessons learned for
the facility protection community in the federal government and has
embraced this responsibility.
Conclusions:
After having limited success prior to the September 11 terrorist
attacks, ISC has made progress in recent years related to its
responsibilities to develop policies and standards, as well as those
related to information sharing. Although this progress is encouraging,
more work remains to fulfill ISC's major responsibilities related to
ensuring agency compliance and overseeing the implementation of various
policies and standards. Fulfilling its new role in reviewing and
approving agencies' physical security plans for the administration
represents a major step toward meeting its compliance and oversight
responsibilities. Furthermore, because DHS now has responsibility for
ISC, the department also has a responsibility, in keeping with the
executive order under which ISC was established, to ensure that ISC has
adequate resources to accomplish its mission. Given the challenges ISC
faces, its new responsibility related to HSPD-7 for reviewing agencies'
physical security plans, and the need to sustain progress it has made
in fulfilling its responsibilities, ISC would benefit from having a
clearly defined action plan for achieving results. Such a plan, which
ISC lacks, could be used to (1) provide DHS and other stakeholders with
detailed information on, and a rationale for, its resource needs; (2)
garner and maintain the support of ISC member agencies, DHS management,
OMB, and Congress; (3) identify implementation goals and measures for
gauging progress in fulfilling all of its responsibilities; and (4)
propose strategies for addressing the challenges ISC faces. Such a plan
could incorporate the strategy for ensuring compliance with facility
protection standards that is required under ISC's executive order but
has not yet been developed. Without an overall action plan for meeting
this and other responsibilities, ISC's strategy and time line for these
efforts remain unclear.
Since September 11, the focus on protecting the nation's critical
infrastructure has been heightened considerably. At the individual
building level, agencies have improved perimeter security by, for
example, installing concrete bollards and are routinely screening
vehicles and people entering federal property. In looking at facility
protection issues more broadly, several key practices have emerged that
include allocating resources using risk management, leveraging security
technology, sharing information and coordinating protection efforts
with other stakeholders, and measuring program performance and testing
security initiatives. In addition, other key practices that have clear
implications for the facility protection area include realigning real
property assets and strategically managing human capital. Because
agencies face various obstacles and would benefit from evaluating their
actions, it would be useful for them to have a framework of key
practices in the facility protection area that could guide their
efforts, and ISC is well positioned to lead this initiative as the
government's central forum for exchanging information and guidance on
facility protection.
Recommendations for Executive Action:
We are making two recommendations--one to the Secretary of Homeland
Security and one to the Chair of ISC. Specifically, we recommend that
the Secretary of Homeland Security direct the Chair of ISC to develop
an action plan that identifies resource needs, implementation goals,
and time frames for meeting ISC's ongoing and yet-unfulfilled
responsibilities. The action plan should also be used to propose
strategies for addressing the range of challenges ISC faces. Such an
action plan would provide a road map for DHS to use in developing
resource priorities and for ISC to use in communicating its planned
actions to agencies and other stakeholders, including Congress.
Furthermore, we recommend that the Chair of ISC, with input from ISC
member agencies, consider using our work as a starting point for
establishing a framework of key practices that could guide agencies'
efforts in the facility protection area. This initiative could
subsequently be used by agencies to evaluate their actions, identify
lessons learned, and develop strategies for overcoming obstacles.
Agency Comments and Our Evaluation:
We provided a draft of this report to DHS, State, GSA, DOE, Interior,
DOD, VA, and USPS for their official review and comment. DHS concurred
with the report's overall conclusions and said it would implement the
recommendations. In its comments, DHS provided information on ongoing
initiatives related to information sharing and coordination. DHS's
comments can be found in appendix V. DHS also provided separate
technical comments, which we incorporated where appropriate. State
provided additional information on its activities as they relate to the
key practices, which we incorporated into the final report where
appropriate. State's comments can be found in appendix VI. GSA, DOE,
and Interior concurred with the report's findings and recommendations.
Comments from GSA, Interior, and DOE can be found in appendixes VII,
VIII, and IX, respectively. DOD, VA, and USPS notified us that they had
no comments on this report.
As agreed with your office, unless you publicly announce the contents
of this report earlier, we plan no further distribution until 30 days
from the report date. At that time, we will send copies of this report
to other interested Congressional Committees and the Secretaries of
Defense, Energy, the Interior, Homeland Security, State, Veterans
Affairs; the Administrator of GSA; and the Postmaster General of the
U.S. Postal Service. We will also make copies available to others upon
request. In addition, the report will be available at no charge on the
GAO Web site at [Hyperlink, http://www.gao.gov].
If you have any questions regarding this report, please contact me on
(202) 512-2834 or at [Hyperlink, goldsteinm@gao.gov] or David
Sausville, Assistant Director, on (202) 512-5403 or at
[Hyperlink, sausvilled@gao.gov]. Other contributors to this report were
Matt Cail, Roshni Dave, Joyce Evans, Brandon Haller, Anne Izod, Susan
Michal-Smith, and Cynthia Taylor.
Sincerely yours,
Signed by:
Mark L. Goldstein:
Director, Physical Infrastructure Issues:
[End of section]
Appendixes:
Appendix I: Objectives, Scope, and Methodology:
Our objectives were to (1) assess the Interagency Security Committee's
(ISC) progress in fulfilling its responsibilities and (2) identify key
practices in protecting federal facilities and any related
implementation obstacles. To assess ISC's progress in fulfilling its
responsibilities, we interviewed the Executive Director of ISC;
analyzed ISC publications and other documents; considered prior GAO
work; and reviewed various laws and policies, including the Homeland
Security Act of 2002. We also reviewed the executive order that
established ISC, a subsequent executive order that amended it in
connection with the transfer of ISC's function to DHS, and relevant
homeland security policy directives. We also reviewed minutes from ISC
meetings. We also considered prior GAO work on ISC. As part of our
interviews with ISC's Executive Director, we focused on the challenges
ISC faces in meeting its major responsibilities.
To identify key practices for facility protection and any related
implementation obstacles, we conducted a comprehensive literature
review of GAO and Inspector General (IG) reports, interviewed officials
from the major property-holding agencies, and validated our results
using an expert symposium on facility protection. For the analysis of
GAO and IG reports, we systematically analyzed reports issued between
January 1, 1995, and March 1, 2004. We chose 1995 as a starting point
to coincide with the year of the terrorist attack on the Alfred P.
Murrah Federal Building in Oklahoma City, Oklahoma, and the publishing
of the Justice Department's minimum-security standards.
We identified reports by searching GAO and IG online databases and
consulting with GAO and IG contacts using several search terms such as
facility security, terrorism, and homeland security. From this initial
selection, we identified over 450 reports related to homeland security,
which we subsequently reduced to 170 reports that were related to
facility protection. Thirty-six of the reports were from IG offices at
the seven agencies that control over 85 percent of federal facilities
in terms of building square footage. These agencies included the
Departments of Defense (DOD), Energy (DOE), the Interior (Interior),
Veterans Affairs (VA) and State (State); the U.S. Postal Service
(USPS); and the General Services Administration (GSA). We
systematically reviewed these reports using a data collection
instrument we designed to identify and group key practices according to
theme or type of activity. In doing our work, we also gave
consideration to other GAO reports on governmentwide management issues
that, in our judgment, had implications for the facility protection
area. We also considered new GAO reports that were issued after the
selection time period that were relevant. For the purposes of this
review, we did not assess the extent to which agencies were using GPRA
to develop agencywide facility protection or security-related goals.
Also, for the purpose of this review, we did not assess the training
and certifications offered by ASIS International.
We also interviewed officials at the major property-holding agencies,
including DOD, DOE, Interior, VA, State, USPS, and GSA to obtain
updated information on their facility protection activities and their
use of key practices. We then contracted with the National Academy of
Sciences (NAS) to convene a symposium with 21 security experts from the
private sector, government, academia, and foreign countries to validate
the practices and gain further insights. Using their judgment, NAS
officials selected security experts based on their broad expertise and
backgrounds in building security programs. Appendix II contains the
symposium agenda and identifies the experts. As a result, for the
purpose of this review, we defined key practices as those activities
that, on the basis of our analysis, were recommended by GAO and others,
acknowledged by agencies, and validated by experts in the area.
It is important to note that the key practices identified in this
report may not be an exclusive list and may not necessarily represent
all key practices for the protection of federal facilities. In
addition, new reports and other information may have become available
since we completed the analysis. Also, ISC has identified GAO as an
associate member, which includes the ability to serve on ISC
subcommittees. While associate members of ISC have this ability, no GAO
staff member serves on any subcommittee. Furthermore, no GAO staff
member actively participates in ISC meetings or contributes to
decisions. Rather, GAO's role on ISC is only to observe proceedings and
obtain ISC information distributed to the other ISC members. Because of
GAO's observational role, our independence in making recommendations
involving ISC and in completing this engagement was maintained.
ISC, agency officials, and other experts provided much of the data and
other information used in this report. We noted cases where these
officials provided testimonial evidence, and we were not always able to
obtain documentation that would substantiate the testimonial evidence
they provided. In cases where officials provided their views and
opinions on various issues within the context of speaking for the
organization, we corroborated the information with other officials.
Overall, we found no discrepancies with these data and, therefore,
determined that they were sufficiently reliable for the purpose of this
report. We requested official comments on this report from DHS, State,
GSA, Interior, DOE, DOD, VA, and USPS. Appendixes V through IX contain
comments we received from DHS, State, GSA, Interior, and DOE,
respectively. We received State's comments on November 12, 2004. DOD,
VA, and USPS had no comments.
[End of section]
Appendix II: National Academy of Sciences Symposium Agenda:
Symposium on Security Efforts for Federal Real Property:
March 4-5, 2004:
National Academy of Sciences:
Washington, D.C.:
2101 C Street, NW, in Washington, D.C.:
Thursday, March 4, 2004:
Welcome and Introductory Remarks:
Richard Little, Director, Board on Infrastructure and the Constructed
Environment, National Research Council (NRC):
David Walker, Comptroller General, U.S. General Accounting Office:
Keynote Address: The Modern Philosophy of Security:
Roger Hagengruber, Director, Institute for Public Policy, University of
New Mexico:
Session 1:
Wade Belcher, U.S. General Services Administration:
Rick Jones, Naval Facilities Engineering Service Center:
Curt Betts, Protective Design Center, U.S. Army Corps of Engineers:
Wayne Ashbury, Bureau of Diplomatic Security:
Session 2:
Robert Smilowitz, Weidlinger and Associates:
Kevin Claber, United Kingdom Government:
Joe Smith, Applied Research Associates, Inc.:
David Hadden, Ove Arup (United Kingdom):
Session 3:
Doug Sunshine, Defense Threat Reduction Agency:
John Crawford, Karagozian and Case:
Randy Nason, C.H. Gurnsey:
Eve Hinman, Hinman Consulting Engineers:
Friday, March 5, 2004:
Session 4:
Elise Weaver, Worcester Polytechnic Institute:
Robert Chapman, Building and Fire Research Laboratory, National
Institute of Standards and Technology:
Stuart Knoop, Oudens and Knoop:
William Dowd, National Capital Planning Commission:
Session 5:
Johanna Hardy, Senate Government Affairs Committee:
Susan Brita, House Transportation and Infrastructure Committee:
Charles Herrick, Stratus Consulting:
Paul Kleindorfer, The Wharton School:
Michael O'Hanlon, The Brookings Institution:
[End of section]
Appendix III: ISC Actions Related to Its Major Responsibilities under
Executive Order 12977, as of September 2004:
Responsibilities Related to Developing Policies and Standards:
Establish policies for security in and protection of federal
facilities;
Develop and evaluate security standards for federal facilities;
Assess technology and information systems as a means of providing cost-
effective improvements to security in federal facilities;
Develop long-term construction standards for those locations with
threat levels or missions that require blast-resistant structures or
other specialized security requirements;
Evaluate standards for the location of, and special security related
to, day care centers in federal facilities.
* May 2001: Issued Security Design Criteria for New Federal Office
Buildings and Major Modernization Projects (Security Design Criteria);
* July 2001: Issued Minimum Standards for Federal Building Access
Procedures;
* June 2003: Issued ISC Information Document on Escape Hoods;
* October 2003: Issued update of ISC Security Design Criteria;
* Currently developing physical security requirements for HSPD-12 and
the federal credentialing program;
* In 1997, ISC disseminated guidance on entry security technology for
member agencies' buildings with high security designations;
* Provided input in smart card development process for federal
government;
* Integrated expert opinions from engineering and architectural
disciplines and included technology expert advice on blasting and
biochemical threats in the most recent update of ISC Security Design
Criteria for 2004;
* July 2003: Issued Security Standards for Leased Space;
* In its review of the latest ISC security design criteria update, the
ISC long-term construction team will look into security needs at child
care centers (no actions implemented to date).
Responsibilities Related to Ensuring Compliance and Overseeing
Implementation of Policies and Standards:
Develop a strategy for ensuring compliance with standards;
Oversee the implementation of appropriate security measures in federal
facilities.
* According to ISC's Executive Director, ISC does not have the
necessary resources to develop a compliance process--ISC has requested
additional funding and resources for the fiscal year 2006 budget (no
actions implemented to date);
* As reviewer of agency physical security plans under HSPD-7, ISC has
not been able to develop a scoring process to review the plans.
Furthermore, ISC will not meet the November 2004 deadline for
completing agency reviews and is working with OMB and DHS on this
issue.
Responsibilities Related to Encouraging Information Sharing:
Encourage agencies with security responsibilities to share security-
related intelligence in a timely and cooperative manner;
Assist in developing and maintaining a centralized security database of
all federal facilities.
* April 2003: Appointed a full-time Executive Director;
* Since September 11, 2001, ISC has expanded its membership and
outreach efforts by adding associate member agencies that can provide
input but are not listed in Executive Order 12977;
* September 2004: ISC issued Standard Operating Procedures;
* ISC members meet regularly to facilitate an exchange of issues,
concerns, and ideas between federal and private organizations;
* Currently developing a secure Web portal system for member agencies
to exchange information among authorized personnel;
* Currently posts all finalized ISC standards, policies, guidance, and
documents on GSA Office of Chief Architect's Web site for ISC members;
* ISC does not have funding to support an initiative to develop a
centralized security database and expects DHS to take the lead on this
effort (no actions implemented to date).
Sources: GAO and DHS.
[End of table]
[End of section]
Appendix IV: Risk Management Framework for Homeland Security and
Terrorism:
In recent years, GAO has consistently advocated the use of a risk
management approach as an iterative analytical tool to help implement
and assess responses to various national security and terrorism
issues.[Footnote 67] Although applying risk management principles to
facility protection can take on various forms, our past work showed
that most risk management approaches generally involve identifying
potential threats, assessing vulnerabilities, identifying the assets
that are most critical to protect in terms of mission and significance,
and evaluating mitigation alternatives for their likely effect on risk
and their cost. We have concluded that without a risk management
approach, there is little assurance that programs to combat terrorism
are prioritized and properly focused. Risk management principles
acknowledge that while risk cannot be eliminated, enhancing protection
from known or potential threats can help reduce it. Drawing on this
precedent, we compiled a risk management framework--outlined below--to
help assess the U.S. government's response to homeland security and
terrorism risk. This framework, which we have used to assess the
Department of Homeland Security's programs to target oceangoing cargo
containers for inspection, also has applicability to protecting federal
facilities. For purposes of the risk management framework, we used the
following definitions:
* Risk--an event that has a potentially negative impact, and the
possibility that such an event will occur and adversely affect an
entity's assets and activities and operations, as well as the
achievement of its mission and strategic objectives. As applied to the
homeland security context, risk is most prominently manifested as
"catastrophic" or "extreme" events related to terrorism, i.e., those
involving more that $1 billion in damage or loss and/or more than 500
casualties.
* Risk management--a continuous process of managing, through a series
of mitigating actions that permeate an entity's activities, the
likelihood of an adverse event happening and having a negative impact.
In general, risk is managed as a portfolio, addressing entity-wide risk
within the entire scope of activities. Risk management addresses
"inherent," or pre-action, risk (i.e., risk that would exist absent any
mitigating action) as well as "residual," or post-action, risk (i.e.,
the risk that remains even after mitigating actions have been taken).
The risk management framework--which is based on the proposition that a
threat to a vulnerable asset results in risk--consists of the following
components:
* Internal (or implementing) environment--the internal environment is
the institutional "driver" of risk management, serving as the
foundation of all elements of the risk management process. The internal
environment includes an entity's organizational and management
structure and processes that provide the framework to plan, execute,
and control and monitor an entity's activities, including risk
management. Within the organizational and management structure, an
operational unit that is independent of all other operational
(business) units is responsible for implementing the entity's risk
management function. This unit is supported by and directly accountable
to an entity's senior management. For its part, senior management (1)
defines the entity's risk tolerance (i.e., how much risk is an entity
willing to assume in order to accomplish its mission and related
objectives) and (2) establishes the entity's risk management philosophy
and culture (i.e., how an entity's values and attitudes view risk and
how its activities and practices are managed to deal with risk). The
operational unit (1) designs and implements the entity's risk
management process and (2) coordinates internal and external evaluation
of the process and helps implement any corrective action.
* Threat (event) assessment--threat is defined as a potential intent to
cause harm or damage to an asset (e.g., natural environment, people,
manmade infrastructures, and activities and operations). Threat
assessments consist of the identification of adverse events that can
affect an entity. Threats might be present at the global, national, or
local level, and their sources include terrorists and criminal
enterprises. Threat information emanates from "open" sources and
intelligence (both strategic and tactical). Intelligence information is
characterized as "reported" (or raw) and "finished" (fully fused and
analyzed).
* Criticality assessment--criticality is defined as an asset's relative
importance. Criticality assessments identify and evaluate an entity's
assets based on a variety of factors, including the importance of its
mission or function, the extent to which people are at risk, or the
significance of a structure or system in terms of, for example,
national security, economic activity, or public safety. Criticality
assessments are important because they provide, in combination with the
framework's other assessments, the basis for prioritizing which assets
require greater or special protection relative to finite resources.
* Vulnerability assessment--vulnerability is defined as the inherent
state (either physical, technical, or operational) of an asset that can
be exploited by an adversary to cause harm or damage. Vulnerability
assessments identify these inherent states and the extent of their
susceptibility to exploitation, relative to the existence of any
countermeasures.
* Risk assessment--risk assessment is a qualitative and/or quantitative
determination of the likelihood (probability) of occurrence of an
adverse event and the severity, or impact, of its consequences. Risk
assessments include scenarios under which two or more risks interact
creating greater or lesser impacts.
* Risk characterization--risk characterization involves designating
risk as, for example, low, medium, or high (other scales, such as
numeric, are also be used). Risk characterization is a function of the
probability of an adverse event occurring and the severity of its
consequences. Risk characterization is the crucial link between
assessments of risk and the implementation of mitigation actions, given
that not all risks can be addressed because resources are inherently
scarce; accordingly, risk characterization forms the basis for deciding
which actions are best suited to mitigate the assessed risk.
* Mitigation evaluation--Mitigation evaluation is the identification of
mitigation alternatives to assess the effectiveness of the
alternatives. The alternatives should be evaluated for their likely
effect on risk and their cost.
* Mitigation selection--Mitigation selection involves a management
decision on which mitigation alternatives should be implemented among
alternatives, taking into account risk, costs, and the effectiveness of
mitigation alternatives. Selection among mitigation alternatives
should be based upon preconsidered criteria. There are as of yet no
clearly preferred selection criteria, although potential factors might
include risk reduction, net benefits, equality of treatment, or other
stated values. Mitigation selection does not necessarily involve
prioritizing all resources to the highest-risk area, but in attempting
to balance overall risk and available resources.
* Risk mitigation--Risk mitigation is the implementation of mitigation
actions, in priority order and commensurate with assessed risk;
depending on its risk tolerance, an entity may choose not to take any
action to mitigate risk (this is characterized as risk acceptance). If
the entity does choose to take action, such action falls into three
categories: (1) risk avoidance (exiting activities that expose the
entity to risk), (2) risk reduction (implementing actions that reduce
likelihood or impact of risk), and (3) risk sharing (implementing
actions that reduce likelihood or impact by transferring or sharing
risk). In each category, the entity implements actions as part of an
integrated "systems" approach, with built-in redundancy to help address
residual risk (the risk that remains after actions have been
implemented). The systems approach consists of taking actions in
personnel (e.g., training, deployment), processes (e.g., operational
procedures), technology (e.g., software or hardware), infrastructure
(e.g., institutional or operational--such as port configurations), and
governance (e.g., management and internal control and assurance). In
selecting actions, the entity assesses their costs and benefits, where
the amount of risk reduction is weighed against the cost involved and
identifies potential financing options for the actions chosen.
* Monitoring and evaluation of risk mitigation--Monitoring and
evaluation of risk mitigation entails the assessment of the functioning
of actions against strategic objectives and performance measures to
make necessary changes. Monitoring and evaluation includes, where and
when appropriate, peer review and testing and validation; and an
evaluation of the impact of the actions on future options; and
identification of unintended consequences that, in turn, would need to
be mitigated. Monitoring and evaluation helps ensure that the entire
risk management process remains current and relevant, and reflects
changes in (1) the effectiveness of the actions and (2) the risk
environment in which the entity operates--risk is dynamic and threats
are adaptive. The risk management process should be repeated
periodically, restarting the "loop" of assessment, mitigation, and
monitoring and evaluation.
[End of section]
Appendix V: Comments from the Department of Homeland Security:
U.S. Department of Homeland Security:
Washington, DC 20528:
November 15, 2004:
Mr. Mark L. Goldstein:
Director, Physical Infrastructure Issues:
U.S. Government Accountability Office:
Washington, DC 20548:
Dear Mr. Goldstein:
RE: Draft Report GAO-05-49, Homeland Security: Further Actions Needed
To Coordinate Federal Agencies' Facility Protection Efforts and Promote
Key Practices (GAO Job Code 543094):
Thank you for the opportunity to review and comment on the subject
draft report. We appreciate the recognition of the significant progress
the Interagency Security Committee (ISC) has achieved since moving to
the Department of Homeland Security (DHS) in March 2003. The ISC, which
is now chaired by DHS, is tasked with coordinating federal agencies'
facility protection efforts, developing protection standards, and
overseeing implementation. We view the recommendations as an
opportunity to increase the effectiveness of ISC efforts in promoting a
safe and secure environment for federal facilities, programs, employees
and visitors.
We agree with the draft report's two recommendations and intend to
implement them. GAO recommends the development of an action plan that
identifies resource needs, implementation goals, and timeframes for
meeting the ISC responsibilities. These responsibilities are stated in
Executive Order 12977 as amended ("Interagency Security Committee") and
Executive Order 13286 ("Amendment of Executive Orders, and Other
Actions, in Connection With the Transfer of Certain Functions to the
Secretary of Homeland Security"). GAO also recommends that the Chair of
the ISC, with input from ISC member agencies, consider using GAO's work
as a starting point for establishing a framework of key practices that
could guide agencies' efforts in the facility protection area.
Implementing this second recommendation should be beneficial in light
of the new ISC responsibility under the Homeland Security Presidential
Directive Number 7, Critical Infrastructure Identification,
Prioritization and Protection to evaluate the effectiveness of all
department and agency physical security plans.
We believe it is important that GAO recognize the existence of an
ongoing program within the Department. In order to better assume the
information sharing and coordination roles legislated to the Department
of Homeland Security, Secretary Ridge charged the Under Secretary for
Information Analysis and Infrastructure Protection (IAIP) to "develop a
DHS-wide business plan for a comprehensive information sharing and
collaboration system." Shortly thereafter, IAIP established an
Information Sharing & Collaboration Program (ISCP) to discharge this
responsibility. The ISCP is charged with the coordination and
facilitation of information sharing efforts throughout the Department,
and with its customers and partners in the federal, international,
state, local, tribal and private sectors.
Numerous on-going information sharing initiatives within the homeland
security, intelligence, law enforcement, and public safety communities
must be leveraged by the ISCP to attain the program objectives. The
role of the ISCP is to investigate, advise, recommend, and facilitate;
other DHS components will be directly responsible for policy
generation, technology and process development, and systems acquisition
and implementation. These initiatives are crucial to producing
comprehensive and practical approaches and solutions to address
terrorist threats directed at federal facilities.
We have also provided you with technical comments under separate cover
which we trust you will incorporate in the final report.
We thank you again for the opportunity to provide comments on this
draft report and look forward to working with you on future homeland
security issues.
Sincerely,
Signed by:
Anna F. Dixon:
Director, Departmental GAO/OIG Liaison:
Office of the Chief Financial Officer:
[End of section]
Appendix VI: Comments from the Department of State:
United States Department of State:
Assistant Secretary and Chief Financial Officer:
Washington, D.C. 20520:
Ms. Jacquelyn Williams-Bridgers:
Managing Director:
International Affairs and Trade:
Government Accountability Office:
441 G Street, N.W.
Washington, D.C. 20548-0001:
Dear Ms. Williams-Bridgers:
We appreciate the opportunity to review your draft report, "HOMELAND
SECURITY: Further Actions Needed to Coordinate Federal Agencies'
Facility Protection Efforts and Promote Key Practices," GAO Job Code
543094.
The enclosed Department of State comments are provided for
incorporation with this letter as an appendix to the final report.
If you have any questions concerning this response, please contact Cy
Alba, Branch Chief, Bureau of Overseas Building Operations, at (703)
875-5748.
Sincerely,
Christopher B. Burnham:
cc: GAO - Dave Sausville:
OBO - Charles Williams:
DS - Francis Taylor:
State/OIG - Mark Duda:
Department of State Comments on GAO Draft Report "Homeland Security:
Further Actions Needed to Coordinate Federal Agencies' Facility
Protection Efforts and Promote Key Practices" (GAO-05-49, GAO Code
543094):
The Department of State (DOS) thanks the Government Accountability
Office (GAO) for the opportunity to respond to their review of Federal
Agencies Facility Protection Efforts. The draft report recommends that
the Interagency Security Committee (ISC) establish a set of key
practices to guide agencies' efforts in the facility protection area.
Three key practices and the review summary are listed, followed by
State's comments.
Key Practice - Allocating Resources on the Basis of Risk Prioritizes
Limited Security Resources (p. 17):
Homeland Security Presidential Directive Number-7 (HSPD-7)
specifically directs DHS's Secretary to identify, prioritize, and
protect critical infrastructure and key resources, so that these
facilities can be protected from terrorist attack (pp. 7, 12). HSPD-7
establishes an annual reporting cycle for agencies to evaluate their
critical infrastructure and key resources protection plans for both
cyber and physical security (p. 12). [emphasis added] The Department of
State suggests the following be added to GAO's list on pp. 19 and 20 of
agency's examples of risk management to protect its facilities and how
they were applied.
The Department of State's Long-Range Overseas Buildings Plan (LROBP) is
a 6-year plan, updated yearly, that identifies embassy and consulate
facilities most in need of replacement due to unacceptable security,
safety, and/or operational condition. The plan identifies State's
facilities program objectives and prioritizes competing facility
requirements with input from the Bureaus of Overseas Buildings
Operations (OBO) and Diplomatic Security (DS), State's Regional
Bureaus, and other overseas agencies. The LROBP provides a roadmap for
addressing long-term facility needs under the Capital Security
Construction Program, Regular Capital Construction Program, as well as
major rehabilitation, compound security, and other programs. To prepare
the plan, each year OBO and DS meet with the Regional Bureaus to
discuss which posts should move into the "top 80" list, which contains
the 80 primary posts requiring replacement for security reasons, and
for which, by law, the Department can spend security capital
construction appropriations. With respect to the original full list of
facilities that need replacement, the Department, working with
intelligence agencies, prioritizes these facilities.
Key Practice - Performance Measurement Can Ensure Accountability for
Achieving Broad Program Goals and Improved Security (p 32):
The Department realizes that in this study, GAO did not assess the
extent to which agencies were using GPRA to develop agency-wide
facility protection or security-related goals (p. 34). GAO also notes
(p. 32) that using performance measurement for facility protection is a
practice that based on its analysis-is in the early stages of
development, although several initiatives used by other agencies were
found.
State would like to note that in its annual Performance Assessment
Rating Tool (PART) submission, that OBO's Capital Security Construction
Program and DS's Worldwide Security Upgrades program are evaluated.
State's PART submission can be viewed at www.whitehouse.gov/omb/part.
The OBO Capital Security Construction Program has been evaluated under
PART over the past 3 years, and has recently received a 97% PART score.
As of this date, no program in the Federal Government has received a
PART score higher than 97%. Also, OBO's Regular/Asset Management
Capital Construction Program was recognized as receiving one of the
highest scores within the Department at its initial PART assessment
with a score of 86%--an "effective" rating. The OBO compound security
program has goals and performance measures also but has not been
evaluated under PART; it will be this coming spring.
Key Practice - "Rightsizing" The Overseas Presence (p. 39):
The Department appreciates the discussion of rightsizing on pp. 39 and
40 of the draft report.
Summary: Agencies Face Obstacles in Implementing Key Practices in
Facility Protection (p. 46):
State would like to note that the challenges listed on pp. 48 and 49,
such as difficulties hiring appropriate staff and differing site
conditions, are not a function of rightsizing its overseas presence in
and of itself, but rather a consequence of undertaking a large-scale
program to construct new embassies in a foreign working environment in
as short a time as possible. We would also like to note that the
November 2003 GAO report [NOTE 65] found that OBO began instituting
management reforms for embassy building in 2001. The report also stated
that while it is too early to assess the effectiveness of these reforms
in ensuring that embassies are built within the approved project budget
and on time, OBO now has a number of mechanisms in place to more
effectively manage the expanded construction program.
NOTE:
[65] GAO, Embassy Construction: State Department Has Implemented
Management Reform, but Challenges Remain, GAO-04-100 (Washington, D.C.:
Nov. 4, 2003).
[End of section]
Appendix VII: Comments from the General Services Administration:
U.S. General Services Administration:
GSA PUBLIC BULDINGS SERVICE:
Response to Government Accountability Office:
HOMELAND SECURITY: Further Actions Needed to Coordinate Federal
Agencies' Facility Protection Efforts and Promote Key Practices:
November 12, 2004:
GSA Public Buildings Service (PBS) Response:
The PBS agrees with the findings of the Government Accountability
Office (GAO) relating security issues facing the federal government.
PBS also supports the recommendations to the Secretary of Department of
Homeland Security and the Chair of Interagency Security Committee
(ISC). As a member agency, of the ISC, GSA will support the initiatives
and efforts proposed by the committee.
Summary of Audit Issues:
Reason GAO stated for conducting the subject audit:
1. Assess the Interagency Security Committee's (ISC) progress in
fulfilling its responsibilities 2. Identify key practices in protecting
federal facilities and any related implementation obstacles:
Audit Findings:
1. ISC made progress in government facility protection efforts:
2. Action taken by ISC:
- Develop policy and guidance:
- Sharing of information between agencies:
3. July 2004, ISC became responsible for reviewing federal agencies
physical security plans:
4. ISC lacks an action plan for identifying implementation goals,
strategy and timeline:
Summary:
1. Audit Recommendations to the Secretary of DHS:
- Direct ISC to develop an action plan that identifies resource needs,
goals, and timeframes for meeting its responsibilities, and proposes
strategies for addressing the challenges it faces.
2. Audit Recommendations to the Chair of ISC:
- With input from ISC member agencies, and considering our work as a
starting point, establish a set of key practices that could guide
agencies' efforts in the facility protection area. This effort could
evaluate agency action, identify lessons learned, and develop
strategies for overcoming challenges.
[End of section]
Appendix VIII: Comments from the Department of the Interior:
United States Department of the Interior:
OFFICE OF THE ASSISTANT SECRETARY POLICY, MANAGEMENT AND BUDGET:
Washington, D.C. 20240:
NOV 10 2004:
Mr. Mark L. Goldstein:
Director, Physical Infrastructure Issues:
U.S. Government Accountability Office:
441 G. Street, NW, Mail Stop 2T23:
Washington, D.C. 20548:
Dear Mr. Goldstein:
Thank you for providing the Department of the Interior the opportunity
to review and comment on the draft U.S. Government Accountability
Office report entitled "Homelanc Security-Further Actions Needed To
Coordinate Federal Agencies' Facility Protection Efforts and Promote
Key Practices," (GAO-05-49) dated November 2004.
We have reviewed the report and agree with the findings and
recommendations.
Sincerely,
Signed by:
P. Lynn Scarlett:
Assistant Secretary:
Policy, Management and Budget:
[End of section]
Appendix IX: Comments from the Department of Energy:
Department of Energy:
Washington, DC 20585:
November 10, 2004:
Mr. Mark L. Goldstein:
Director, Physical Infrastructure Issues:
United States Government Accountability Office:
441 G. Street, NW:
Washington, DC 20548:
Reference: Draft GAO Report 05-49, HOMELAND SECURITY - Further Actions
Needed to Coordinate Federal Agencies' Facility Protection Efforts and
Promote Key Practices:
Dear Mr. Goldstein:
The Department of Energy, Office of Security, concurs with the
discussion and recommendations contained in Draft GAO Report 05-49,
HOMELAND SECURITY - Further Actions Needed to Coordinate Federal
Agencies' Facility Protection Efforts and Promote Key Practices. We
agree with the report's conclusions that closer coordination between
agencies is an important element in improving the security and safety
of all Federal worksites in a cost effective manner. We also agree that
the Department of Homeland Security's Interagency Security Committee
(ISC) is the appropriate entity to lead these coordination efforts.
Furthermore, we believe that the actions recommended by the GAO will
help to define a clear path forward for enhancing the security of all
Government facilities, and we look forward to continuing to work with
the ISC on this important National priority.
Thank you for the opportunity to review the draft report. If you wish
to further discuss this matter, please do not hesitate to contact me at
(202) 586-3345.
Sincerely,
Signed by:
Marshall O. Combs:
Director, Office of Security:
Office of Security and Safety Performance Assurance:
[End of section]
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Report on the Department of Energy's Arms and Military-Type Equipment
(IG-0385). Washington, D.C.: February 1, 1996.
U.S. Department of Energy, Office of Inspector General. Audit of the
Department of Energy's Security Police Officer Training (CR-B-95-03).
Washington, D.C.: February 6, 1995.
Department of the Interior:
U.S. Department of the Interior, Office of Inspector General. Homeland
Security: Protection of Critical Infrastructure Systems - Assessment 2:
Critical Infrastructure Systems (2002-I-0053). Washington, D.C.:
September 2002.
U.S. Department of the Interior, Office of Inspector General. Homeland
Security: Protection of Critical Infrastructure Facilities and National
Icons - Assessment 1: Supplemental Funding - Plans and Progress (2002-
I-0039). Washington, D.C.: June 2002.
U.S. Department of the Interior, Office of Inspector General. Progress
Report: Secretary's Directives for Implementing Law Enforcement Reform
in Department of the Interior (2003-I-0062). Washington, D.C.: August
28, 2003.
U.S. Department of the Interior, Office of Inspector General. Review of
National Icon Park Security (2003-I-0063). Washington, D.C.: August
2003.
Department of State:
U.S. Department of State, Office of Inspector General. Limited-Scope
Security Inspection of Embassy Port of Spain, Trinidad and Tobago (SIO-
I-03-22). Washington, D.C.: August 2003.
U.S. Department of State, Office of Inspector General. Security
Inspection of Embassy N'Djamena, Chad (SIO-I-03-27). Washington, D.C.:
June 2003.
U.S. Department of State, Office of Inspector General. Security
Inspection of Embassy Yaoundé, Cameroon (SIO-I-03-28). Washington,
D.C.: March 2003.
U.S. Department of State, Office of Inspector General. Security
Inspection of Embassy Maseru, Lesotho (SIO-I-03-26). Washington, D.C.:
March 2003.
U.S. Department of State, Office of Inspector General. Limited-Scope
Security Inspection of Embassy Belgrade, Serbia and Montenegro (SIO-I-
03-13). Washington, D.C.: March 2003.
U.S. Department of State, Office of Inspector General. Limited-Scope
Security Inspection of Embassy Quito, Ecuador and Consulate General
Guyaquil (SIO-I-03-25). Washington, D.C.: February 2003.
U.S. Department of State, Office of Inspector General. Security
Oversight Inspection of Embassy Muscat, Oman (SIO-I-03-17). Washington,
D.C.: February 2003.
U.S. Department of State, Office of Inspector General. Limited-Scope
Security Inspection of Embassy Dublin, Ireland (SIO-I-03-08).
Washington, D.C.: December 2002.
U.S. Department of State, Office of Inspector General. Limited-Scope
Security Inspection of Embassy Apia, Samoa (SIO-I-03-04). Washington,
D.C.: November 2002.
U.S. Department of State, Office of Inspector General. Limited-Scope
Security Inspection of Embassy Ljubljana, Slovenia (SIO-I-03-03).
Washington, D.C.: November 2002.
U.S. Department of State, Office of Inspector General. Limited-Scope
Security Inspection of Embassy Almaty, Kazakhstan (SIO-I-03-02).
Washington, D.C.: November 2002.
U.S. Department of State, Office of Inspector General. Limited-Scope
Security Inspection of Embassy Amman, Jordan (SIO-I-03-01). Washington,
D.C.: November 2002.
U.S. Department of State, Office of Inspector General. Classified
Semiannual Report to the Congress: April 1, 2003 to September 30, 2003.
Washington, D.C.: September 2003.
U.S. Department of State, Office of Inspector General. Classified
Semiannual Report to the Congress: October 1, 2002 to March 31, 2003.
Washington, D.C.: March 2003.
General Services Administration:
General Services Administration, Office of Inspector General. Follow-up
Review of the Federal Protective Service's Contract Guard Program
(A020092/P/2/R02016). Arlington, VA: August 29, 2002.
General Services Administration, Office of Inspector General. Report on
Federal Protective Service Security Equipment Countermeasures
Installed at Federal Facilities (A020092/P/2/R02008). Arlington, VA:
March 29, 2002.
General Services Administration, Office of Inspector General. Audit of
the Federal Protective Service's Federal Security Risk Manager Program
(A010129/P/2/R02007). Arlington, VA: March 27, 2002.
General Services Administration, Office of Inspector General. Audit of
the Federal Protective Service's Intelligence Sharing Program (A000992/
P/2/R01013). Arlington, VA: March 23, 2001.
General Services Administration, Office of Inspector General. Audit of
The Federal Protective Service's Contract Guard Program (A995175/P/2/
R00010). Arlington, VA: March 28, 2000.
General Services Administration, Office of Inspector General. Audit of
Security Measures for New and Renovated Federal Facilities (A995025/P/
H/R99513). Arlington, VA: March 24, 1999.
General Services Administration, Office of Inspector General. Audit of
The Federal Protective Service's Program for Upgrading Security at
Federal Facilities (A70642/P/2/R98024). Arlington, VA: September 14,
1998.
Postal Service:
U.S. Postal Service, Office of Inspector General. Fiscal Year 1999
Information System Controls: St. Louis Information Service Center (FR-
AR-99-010). Arlington, VA: September 28, 1999.
U.S. Postal Service, Office of Inspector General. Review of Security
Badge Controls at Postal Service Headquarters (OV-LA-01-001).
Arlington, VA: March 26, 2001.
U.S. Postal Service, Office of Inspector General. Review of United
States Postal Service Personnel Security Program: Process for Updating
Sensitive Clearances (OV-MA-99-001). Arlington, VA: March 31, 1998.
Veterans Affairs:
Veterans Affairs, Office of Inspector General. Review of Security and
Inventory Controls Over Selected Biological, Chemical, and Radioactive
Agents Owned by or Controlled at Department of Veterans Affairs
Facilities (02-00266-76). Washington, D.C.: March 14, 2002.
[End of section]
Related GAO Products:
Allocating Resources Using Risk Management:
Fiscal Year 2003 U.S. Government Financial Statements: Sustained
Improvement in Federal Financial Management Is Crucial to Addressing
Our Nation's Future Fiscal Challenges.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-886T]
Washington, D.C.: July 8, 2004.
Nuclear Security: Several Issues Could Impede the Ability of DOE's
Office of Energy, Science and Environment to Meet the May 2003 Design
Basis Threat.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-894T]
Washington, D.C.: June 22, 2004.
Homeland Security: Summary of Challenges Faced in Targeting Oceangoing
Cargo Containers for Inspection.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-557T]
Washington, D.C.: March 31, 2004.
Homeland Security: Management Challenges Facing Federal Leadership.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-260]
Washington, D.C.: December 20, 2002.
Critical Infrastructure Protection: Significant Challenges Need to Be
Addressed.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-961T]
Washington, D.C.: July 24, 2002.
Homeland Security: Critical Design and Implementation Issues.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-957T]
Washington, D.C.: July 17, 2002.
Critical Infrastructure Protection: Significant Homeland Security
Challenges Need to Be Addressed.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-918T]
Washington, D.C.: July 9, 2002.
Homeland Security: A Risk Management Approach Can Guide Preparedness
Efforts.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-208T]
Washington, D.C.: October 31, 2001.
Combating Terrorism: Considerations for Investing Resources in Chemical
and Biological Preparedness.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-162T]
Washington, D.C.: October 17, 2001.
Homeland Security: Key Elements of a Risk Management Approach.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-150T]
Washington, D.C.: October 12, 2001.
Chemical and Biological Defense: Improved Risk Assessment and Inventory
Management Are Needed.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-667]
Washington, D.C.: September 28, 2001.
Combating Terrorism: Selected Challenges and Related Recommendations.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-822]
Washington, D.C.: September 20, 2001.
Combating Terrorism: Actions Needed to Improve DOD Antiterrorism
Program Implementation and Management.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-909]
Washington, D.C.: September 19, 2001.
Weapons of Mass Destruction: Defense Threat Reduction Agency Addresses
Broad Range of Threats, but Performance Reporting Can Be Improved.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-330]
Washington, D.C.: February 13, 2004.
Leveraging Technology:
Electronic Government: Smart Card Usage is Advancing Among Federal
Agencies, Including the Department of Veterans Affairs.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-05-84T]
Washington, D.C: September 6, 2004.
Information Security: Technologies to Secure Federal Systems.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-467]
Washington, D.C.: March 9, 2004.
Security: Counterfeit Identification Raises Homeland Security Concerns.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-133T]
Washington, D.C.: October 1, 2003.
Electronic Government: Challenges to the Adoption of Smart Card
Technology.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-1108T]
Washington, D.C.: September 9, 2003.
Information Security: Challenges in Using Biometrics.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-1137T]
Washington, D.C.: September 9, 2003.
Border Security: Challenges in Implementing Border Technology.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-546T]
Washington, D.C.: March 12, 2003.
Electronic Government: Progress in Promoting Adoption of Smart Card
Technology.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-144]
Washington, D.C.: January 3, 2003.
Technology Assessment: Using Biometrics for Border Security.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-174]
Washington, D.C.: November 15, 2002.
National Preparedness: Technologies to Secure Federal Buildings.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-687T]
Washington, D.C.: April 25, 2002.
Information Sharing and Coordination:
Information Technology: Major Federal Networks That Support Homeland
Security Functions.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-375]
Washington, D.C.: September 17, 2004:
9/11 Commission Report: Reorganization, Transformation, and Information
Sharing.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-1033T]
Washington, D.C.: August 3, 2004.
Critical Infrastructure Protection: Improving Information Sharing with
Infrastructure Sectors.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-780]
Washington, D.C.: July 9, 2004.
Posthearing Questions from September 17, 2003, Hearing on "Implications
of Power Blackouts for the Nation's Cybersecurity and Critical
Infrastructure Protection: The Electrical Grid, Critical
Interdependencies, Vulnerabilities, and Readiness".
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-300R]
Washington, D.C.: December 8, 2003.
Homeland Security: Challenges in Achieving Interoperable Communications
for First Responders.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-231T]
Washington, D.C.: November 6, 2003.
Homeland Security: Information Sharing Responsibilities, Challenges,
and Key Management Issues.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-1165T]
Washington, D.C.: September 17, 2003.
Homeland Security: Efforts to Improve Information Sharing Need to Be
Strengthened.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-760]
Washington, D.C.: August 27, 2003.
Homeland Security: Information Sharing Responsibilities, Challenges,
and Key Management Issues.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-715T]
Washington, D.C.: May 8, 2003.
Information Technology: Terrorist Watch Lists Should Be Consolidated to
Promote Better Integrating and Sharing.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-322]
Washington, D.C.: April 15, 2003.
Bioterrorism: Information Technology Strategy Could Strengthen Federal
Agencies' Abilities to Respond to Public Health Emergencies.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-139]
Washington, D.C.: May 30, 2003.
Homeland Security: Information Sharing Activities Face Continued
Management Challenges.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-1122T]
Washington, D.C.: October 1, 2002.
National Preparedness: Technology and Information Sharing Challenges.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-1048R]
Washington, D.C.: August 30, 2002.
Homeland Security: Effective Intergovernmental Coordination is Key to
Success.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-1013T]
Washington, D.C.: August 23, 2002.
Homeland Security: Effective Intergovernmental Coordination is Key to
Success.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-1012T]
Washington, D.C.: August 22, 2002.
Homeland Security: Effective Intergovernmental Coordination is Key to
Success.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-1011T]
Washington, D.C.: August 20, 2002.
Homeland Security: Intergovernmental Coordination and Partnership Will
Be Critical to Success.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-901T]
Washington, D.C.: July 3, 2002.
Homeland Security: Intergovernmental Coordination and Partnership Will
Be Critical to Success.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-900T]
Washington, D.C.: July 2, 2002.
Homeland Security: Intergovernmental Coordination and Partnership Will
Be Critical to Success.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-899T]
Washington, D.C.: July 1, 2002.
National Preparedness: Integration of Federal, State, Local, and
Private Sector Efforts is Critical to an Effective National Strategy
for Homeland Security.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-621T]
Washington, D.C.: April 11, 2002.
Combating Terrorism: Intergovernmental Cooperation in the Development
of a National Strategy to Enhance State and Local Preparedness.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-550T]
Washington, D.C.: April 2, 2002.
Combating Terrorism: Enhancing Partnerships Through a National
Preparedness Strategy.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-549T]
Washington, D.C.: March 28, 2002.
Combating Terrorism: Critical Components of a National Strategy to
Enhance State and Local Preparedness.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-548T]
Washington, D.C.: March 25, 2002.
Combating Terrorism: Intergovernmental Partnership in a National
Strategy to Enhance State and Local Preparedness.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-547T]
Washington, D.C.: March 22, 2002.
Homeland Security: Progress Made; More Direction and Partnership
Sought.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-490T]
Washington, D.C.: March 12, 2002.
Combating Terrorism: Key Aspects of a National Strategy to Enhance
State and Local Preparedness.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-473T]
Washington, D.C.: March 1, 2002.
Bioterrorism: Review of Public Health Preparedness Programs.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-149T]
Washington, D.C.: October 10, 2001.
Bioterrorism: Public Health and Medical Preparedness.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-141T]
Washington, D.C.: October 9, 2001.
Bioterrorism: Coordination and Preparedness.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-129T]
Washington, D.C.: October 5, 2001.
Combating Terrorism: Observations on Federal Spending to Combat
Terrorism.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-NSIAD/GGD-99-107]
Washington, D.C.: March 11, 1999.
Aligning Assets to Mission:
Embassy Construction: State Department Has Implemented Management
Reforms, but Challenges Remain.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-100]
Washington, D.C.: November 4, 2003.
VA Health Care: Framework for Analyzing Capital Asset Realignment for
Enhanced Services Decisions.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-1103R]
Washington, D.C.: August 18, 2003.
Major Management Challenges and Program Risks: Department of State.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-107]
Washington, D.C.: January 2003.
Overseas Presence: Framework for Assessing Embassy Staff Levels Can
Support Rightsizing Initiatives.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-780]
Washington, D.C.: July 26, 2002.
Overseas Presence: Observations on a Rightsizing Framework.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-659T]
Washington, D.C.: May 1, 2002.
Overseas Presence: More Work Needed on Embassy Rightsizing.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-143]
Washington, D.C.: November 27, 2001.
Strategic Human Capital Management:
Human Capital: Building on the Current Momentum to Transform the
Federal Government.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-976T]
Washington, D.C.: July 20, 2004.
Information Technology: Training Can Be Enhanced by Greater Use of
Leading Practices.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-791]
Washington, D.C.: June 24, 2004.
Results-Oriented Government: Shaping the Government to Meet 21ST
Century Challenges.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-1168T]
Washington, D.C.: September 17, 2003.
Results-Oriented Cultures: Creating a Clear Linkage between Individual
Performance and Organizational Success.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-488]
Washington, D.C.: March 14, 2003.
Human Capital: Building on the Current Momentum to Address High-Risk
Issues.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-637T]
Washington, D.C.: April 8, 2003.
High-Risk Series: Strategic Human Capital Management.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-120]
Washington, D.C.: January 2003.
Human Capital: A Self-Assessment Checklist for Agency Leaders.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/OCG-00-14G]
Washington, D.C.: September 2000.
Executive Guide: Leading Practices in Capital Decision-Making.
AIMD-99-32. Washington, D.C.: December 1998.
Performance Measurement and Testing:
Weaknesses in Screening Entrants Into the United States.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-438T]
Washington, D.C.: January 30, 2003.
Building Security: Interagency Security Committee Has Had Limited
Success in Fulfilling Its Responsibilities.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-1004]
Washington, D.C.: September 17, 2002.
Security Breaches at Federal Buildings in Atlanta, Georgia.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-668T]
Washington, D.C.: April 30, 2002.
Homeland Security: Responsibility and Accountability For Achieving
National Goals.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-627T]
Washington, D.C.: April 11, 2002.
Bioterrorism: Federal Research and Preparedness Activities.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-915]
Washington, D.C.: September 28, 2001.
Combating Terrorism: Observations on Options to Improve the Federal
Response.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-660T]
Washington, D.C.: April 24, 2001.
Combating Terrorism: Analysis of Federal Counterterrorist Exercises.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/NSIAD-99-157BR]
Washington, D.C.: June 25, 1999.
Federal Law Enforcement: Investigative Authority and Personnel at 13
Agencies.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/GGD-96-154]
Washington, D.C.: September 30, 1996.
Challenges and Lessons Learned in Homeland Security:
Critical Infrastructure Protection: Challenges for Selected Agencies
and Industry Sectors.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-233]
Washington, D.C.: February 28, 2003.
Combating Terrorism: Funding Data Reported to Congress Should Be
Improved.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-170]
Washington, D.C.: November 26, 2002.
Combating Terrorism: Actions Needed to Guide Services' Antiterrorism
Efforts at Installations.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-14]
Washington, D.C.: November 1, 2002.
Homeland Security: Challenges and Strategies in Addressing Short-and
Long-Term National Needs.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-160T]
Washington, D.C.: November 7, 2001.
Combating Terrorism: FEMA Continues to Make Progress in Coordinating
Preparedness and Response.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-15]
Washington, D.C.: March 20, 2001.
Critical Infrastructure Protection: Challenges to Building a
Comprehensive Strategy for Information Sharing and Coordination.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-AIMD-00-268]
Washington, D.C.: July 26, 2000.
Combating Terrorism: Observations on Growth in Federal Programs.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-NSIAD-99-181]
Washington, D.C.: June 9, 1999.
Combating Terrorism: Spending on Governmentwide Programs Requires
Better Management and Coordination.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/NSIAD-98-39]
Washington, D.C.: December 1, 1997.
Other Products Related to Facility Security:
Homeland Security: Transformation Strategy Needed to Address Challenges
Facing the Federal Protective Service.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-537]
Washington, D.C.: July 14, 2004.
General Services Administration: Factors Affecting the Construction and
Operating Costs of Federal Buildings.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-609T]
Washington, D.C.: April 2, 2003.
High-Risk Series: Federal Real Property.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-122]
Washington, D.C.: January 2003.
Building Security: Security Responsibilities for Federally Owned and
Leased Facilities.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-8]
Washington, D.C.: October 31, 2002.
Diffuse Security Threats: USPS Air Filtration Systems Need More Testing
and Cost Benefit Analysis before Implementation.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-838]
Washington, D.C.: August 22, 2002.
Homeland Security: Key Elements to Unify Efforts Are Underway but
Uncertainty Remains.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-610]
Washington, D.C.: June 7, 2002.
Federal Real Property: Better Governmentwide Data Needed for Strategic
Decisionmaking.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-342]
Washington, D.C.: April 16, 2002.
Highlights of GAO's Conference on Options to Enhance Mail Security and
Postal Operations.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-315SP]
Washington, D.C.: December 20, 2001.
General Services Administration: Status of Efforts to Improve
Management of Building Security Upgrade Program.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-GGD/OSI-00-19]
Washington, D.C.: October 7, 1999:
General Services Administration: Many Building Security Upgrades Made
But Problems Have Hindered Program Implementation.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-GGD-98-141]
Washington, D.C.: June 4, 1998.
Other Products Related to Security Topics:
Combating Terrorism: Evaluation of Selected Characteristics in National
Strategies Related to Terrorism.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-408T]
Washington, D.C.: February 3, 2004.
Homeland Security Advisory System: Preliminary Observations Regarding
Threat Level Increases from Yellow to Orange.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-453R]
Washington, D.C.: February 26, 2004.
Homeland Security: Preliminary Observations on Efforts to Target
Security Inspections of Cargo Containers.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-325T]
Washington, D.C.: December 16, 2003.
Aviation Security: Efforts to Measure Effectiveness and Strengthen
Security Programs.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-285T]
Washington, D.C.: November 20, 2003.
Bioterrorism: A Threat to Agriculture and the Food Supply.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-259T]
Washington, D.C.: November 19, 2003.
Aviation Security: Efforts to Measure Effectiveness and Address
Challenges.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-232T]
Washington, D.C.: November 5, 2003.
Aviation Security: Progress Since September 11, 2001 and the Challenges
Ahead.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-1150T]
Washington, D.C.: September 9, 2003.
Transportation Security: Post-September 11th Initiatives and Long-Term
Challenges.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-616T]
Washington, D.C.: April 1, 2003.
Combating Terrorism: Observations on National Strategies Related to
Terrorism.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-519T]
Washington, D.C.: March 3, 2003.
Overseas Presence: Conditions of Overseas Diplomatic Facilities.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-557T]
Washington, D.C.: March 20, 2003.
Mass Transit: Federal Action Could Help Transit Agencies Address
Security Challenges.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-03-263]
Washington, D.C.: December 13, 2002.
Mass Transit: Challenges in Securing Transit Systems.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-1075T]
Washington, D.C.: September 18, 2002.
Combating Terrorism: Department of State Programs to Combat Terrorism
Abroad.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-1021]
Washington, D.C.: September 6, 2002.
Port Security: Nation Faces Formidable Challenges in Making New
Initiatives Successful.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-993T]
Washington, D.C.: August 5, 2002.
National Preparedness: Integrating New and Existing Technology and
Information Sharing into an Effective Homeland Security Strategy.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-02-811T]
Washington, D.C.: June 7, 2002.
Homeland Security: A Framework for Addressing the Nation's Efforts.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-1158T]
Washington, D.C.: September 21, 2001.
Combating Terrorism: Comments on H.R. 525 to Create a President's
Council on Domestic Terrorism Preparedness.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-555T]
Washington, D.C.: May 9, 2001.
Combating Terrorism: Comments on Counterterrorism Leadership and
National Strategy.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-556T]
Washington, D.C.: March 27, 2001.
Embassy Construction: Better Long-Term Planning Will Enhance Program
Decision-making.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-11]
Washington, D.C.: January 22, 2001.
FAA Computer Security: Recommendations to Address Continuing
Weaknesses.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-01-171]
Washington, D.C.: December 6, 2000.
FAA Computer Security: Actions Needed to Address Critical Weaknesses
That Jeopardize Aviation Operations.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-AIMD-00-330]
Washington, D.C.: September 27, 2000.
FAA Computer Security: Concerns Remain Due to Personnel and Other
Continuing Weaknesses.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/AIMD-00-252]
Washington, D.C.: August 16, 2000.
Combating Terrorism: Action Taken but Considerable Risks Remain for
Forces Overseas.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/NSIAD-00-181]
Washington, D.C.: July 19, 2000.
State Department: Overseas Emergency Security Program Progressing, but
Costs Are Increasing.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/NSIAD-00-83]
Washington, D.C.: March 8, 2000.
Combating Terrorism: Issues in Managing Counterterrorist Programs.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-NSIAD-00-145]
Washington, D.C.: April 6, 2000.
State Department: Progress and Challenges in Addressing Management
Issues.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-NSIAD-00-124]
Washington, D.C.: March 8, 2000.
State Department: Major Management Challenges and Program Risks.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-NSIAD/AIMD-99-99]
Washington, D.C.: March 4, 1999.
Major Management Challenges and Program Risks: Department of State.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/OCG-99-12]
Washington, D.C.: January 1999.
Combating Terrorism: Opportunities to Improve Domestic Preparedness
Program Focus and Efficiency.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/NSIAD-99-3]
Washington, D.C.: November 12, 1998.
Foreign Affairs Management: Major Challenges Facing the Department of
State.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-NSIAD-98-251]
Washington, D.C.: September 17, 1998.
Combating Terrorism: Efforts to Protect U.S. Forces in Turkey and the
Middle East.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-NSIAD-98-44]
Washington, D.C.: October 28, 1997.
Combating Terrorism: Federal Agencies' Efforts to Implement National
Policy and Strategy.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/NSIAD-97-254]
Washington, D.C.: September 26, 1997.
Combating Terrorism: Status of DOD Efforts to Protect Its Forces
Overseas.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/NSIAD-97-207]
Washington, D.C.: July 21, 1997.
Aviation Security: FAA's Procurement of Explosives Detection Devices.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/RCED-97-111R]
Washington, D.C.: May 1, 1997.
Aviation Security: Posting Notices at Domestic Airports.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/RCED-97-88R]
Washington, D.C.: March 25, 1997.
Aviation Security: Technology's Role in Addressing Vulnerabilities.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-RCED/NSIAD-96-262]
Washington, D.C.: September 19, 1996.
Aviation Security: Urgent Issues Need to Be Addressed.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-RCED/NSIAD-96-251]
Washington, D.C.: September 11, 1996.
Aviation Security: Immediate Action Needed to Improve Security.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-RCED/NSIAD-96-237]
Washington, D.C.: August 1, 1996.
Aviation Security: FAA Can Help Ensure That Airports' Access Control
Systems are Cost-Effective.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/RCED-95-25]
Washington, D.C.: March 1, 1995.
(543094):
FOOTNOTES
[1] Presidential Executive Order 12977, Oct. 19, 1995.
[2] GAO, Building Security: Interagency Security Committee Has Had
Limited Success in Fulfilling Its Responsibilities, GAO-02-1004
(Washington, D.C.: Sept. 17, 2002).
[3] See GAO, A Model of Strategic Human Capital Management, GAO-02-
373SP (Washington, D.C.: Mar. 15, 2002); GAO, Human Capital: A Guide
for Assessing Strategic Training and Development Efforts in the Federal
Government, GAO-04-546G (Washington, D.C.: March 2004); GAO, Executive
Guide: Leading Practices in Capital Decision-Making, GAO/AIMD-99-32
(Washington, D.C.: December 1998); and GAO, Information Technology:
Training Can Be Enhanced by Greater Use of Leading Practices, GAO-04-
791 (Washington, D.C.: June 24, 2004).
[4] ISC's membership includes the Departments of State, Treasury,
Defense, Justice, the Interior, Agriculture, Commerce, Labor, Health
and Human Services, Housing and Urban Development, Transportation,
Energy, Education, and Veterans Affairs; GSA; the Environmental
Protection Agency, Central Intelligence Agency (CIA), and OMB. Other
members of ISC include the Director, U.S. Marshals Service and the
Assistant to the President for National Security Affairs. As a member
of ISC, DOD participates in meetings to ensure that DOD physical
security policies are consistent with ISC security standards and policy
guidance, according to the Executive Director of ISC.
[5] Homeland Security Presidential Directive Number 7, Critical
Infrastructure Identification Prioritization, and Protection, Dec. 17,
2003.
[6] GAO-02-1004.
[7] GAO, High-Risk Series: Federal Real Property, GAO-03-122
(Washington, D.C.: January 2003).
[8] GAO-02-1004.
[9] GAO-02-1004.
[10] Presidential Executive Order 13286, Mar. 5, 2003.
[11] Homeland Security Presidential Directive Number 12, Policy for a
Common Identification Standard for Federal Employees and Contractors,
Aug. 27, 2004.
[12] See GAO-03-122 and GAO, Fiscal Year 2003 U.S. Government Financial
Statements: Sustained Improvement in Federal Financial Management Is
Crucial to Addressing Our Nation's Future Fiscal Challenges, GAO-04-
886T (Washington, D.C.: July 8, 2004).
[13] Presidential Executive Order 12977, Oct. 19, 1995, originally
stated that the Administrator of GSA would provide ISC administrative
services, funds, facilities, staff, and other support services
necessary for the performance of ISC functions. Executive Order 13286
amended Executive Order 12977 to reflect the transfer of ISC to DHS and
substituted the Secretary of DHS for the Administrator of GSA.
[14] GAO-02-687T.
[15] For example, see GAO, Homeland Security: Critical Design and
Implementation Issues, GAO-02-957T (Washington, D.C.: July 17, 2002)
and GAO, Homeland Security: Key Elements of a Risk Management Approach,
GAO-02-150T (Washington, D.C.: Oct. 12, 2001).
[16] GAO, Homeland Security: A Risk Management Approach Can Guide
Preparedness Efforts, GAO-02-208T (Washington, D.C.: Oct. 31, 2001).
[17] GAO, Nuclear Security: Several Issues Could Impede the Ability of
DOE's Office of Energy, Science and Environment to Meet the May 2003
Design Basis Threat, GAO-04-894T (Washington, D.C.: June 22, 2004).
[18] GAO, Homeland Security: Challenges and Strategies in Addressing
Short-and-Long-Term National Needs, GAO-02-160T (Washington, D.C.:
Nov. 7, 2001).
[19] Interior officials requested that we not publicly identify these
16 assets because of security concerns.
[20] GAO, Border Security: Challenges in Implementing Border
Technology, GAO-03-546T (Washington, D.C.: Mar. 12, 2003); GAO,
Information Security: Challenges in Using Biometrics, GAO-03-1137T
(Washington, D.C.: Sept. 9, 2003).
[21] GAO-03-1137T.
[22] GAO, Electronic Government: Challenges to the Adoption of Smart
Card Technology, GAO-03-1108T (Washington, D.C.: Sept. 9, 2003).
[23] For example, see GAO-03-1108T; GAO-03-1137T; GAO-03-546T; U.S
Department of State, Office of Inspector General, Limited-Scope
Security Inspection of Embassy Port of Spain, Trinidad, and Tobago,
SIO-I-03-22, August 2003; U.S. Department of State, Office of Inspector
General, Security Inspection of Embassy N'Djamena, Chad, SIO-I-03-27,
June 2003; and U.S. Department of State, Office of Inspector General,
Security Inspection of Embassy Yaounde, Cameroon, SIO-I-03-28, March
2003.
[24] GAO-02-687T.
[25] GAO, Diffuse Security Threats: USPS Air Filtration System Need
More Testing and Cost Benefit Analysis before Implementation, GAO-02-
838 (Washington, D.C.: Aug. 22, 2002).
[26] As we reported in GAO, Homeland Security Advisory System:
Preliminary Observations Regarding Threat Level Increases from Yellow
to Orange, GAO-04-453R (Washington, D.C.: Feb. 26, 2004), the Homeland
Security Advisory System is composed of five color-coded threat
conditions, which represent levels of risk related to potential terror
attack. Red is severe, orange high, yellow elevated, blue guarded, and
green low.
[27] GAO, Homeland Security: Information Sharing Responsibilities,
Challenges, and Key Management Issues, GAO-03-1165T (Washington, D.C.:
Sept. 17, 2003).
[28] GAO-03-1165T.
[29] GAO, Homeland Security: Efforts to Improve Information Sharing
Need to Be Strengthened, GAO-03-760 (Washington, D.C.: Aug. 27, 2003).
[30] GAO, 9/11 Commission Report: Reorganization, Transformation, and
Information Sharing, GAO-04-1033T (Washington, D.C.: Aug. 3, 2004).
[31] GAO-02-687T.
[32] U.S. Department of the Interior, Office of Inspector General,
Review of National Icon Park Security, 2003-I-0063 (Washington, D.C.:
Aug. 28, 2003).
[33] U.S. Department of State, Office of Inspector General, Security
Inspection: Embassy Ljubljana, Slovenia, SIO-I-03-03 (Washington,
D.C.: November 2002).
[34] General Services Administration, Office of Inspector General,
Audit of the Federal Protective Service's Federal Security Risk Manager
Program, A010129/P/2/R02007 (Arlington, VA: Mar. 27, 2002).
[35] Office of Homeland Security, The National Strategy for Homeland
Security, July 2002.
[36] Office of Homeland Security, The National Strategy for the
Physical Protection of Critical Infrastructures and Key Assets,
February 2003.
[37] GAO, Combating Terrorism: Evaluation of Selected Characteristics
in National Strategies Related to Terrorism, GAO-04-408T (Washington,
D.C.: Feb. 3, 2004).
[38] GAO, Weapons of Mass Destruction: Defense Threat Reduction Agency
Addresses Broad Range of Threats, but Performance Reporting Can Be
Improved, GAO-04-330 (Washington, D.C.: Feb. 13, 2004).
[39] GAO-04-330.
[40] WMD, once defined by DOD as nuclear, biological, and chemical, now
includes radiological and high explosives as well.
[41] U.S. Department of the Interior, Office of Inspector General,
Review of National Icon Park Security, 2003-I-0063 (Washington, D.C.:
August 2003).
[42] GAO-02-687T, and GAO, Information Security: Technologies to Secure
Federal Systems, GAO-04-467 (Washington, D.C.: Mar. 9, 2004).
[43] After the bombing of a federal building in Oklahoma City,
Oklahoma, the President issued PDD 39 in June 1995, which enumerated
responsibilities for federal agencies in combating terrorism, including
domestic incidents. In May 1998, the President issued PDD 62 that
reaffirmed PDD 39 and further articulated responsibilities for specific
agencies.
[44] GAO, Combating Terrorism: Analysis of Federal Counterterrorist
Exercises, GAO/NSIAD-99-157BR (Washington, D.C.: June 25, 1999).
[45] GAO-03-122.
[46] DOE Office of the Inspector General, Disposition of the
Department's Excess Facilities, DOE/IG-0550 (Washington, D.C.: Apr. 3,
2002).
[47] GAO, Federal Real Property: Actions Needed to Address Long-
standing and Complex Problems, GAO-04-119T (Washington, D.C.: Oct. 1,
2003).
[48] State established OPAP following the 1998 embassy bombings in
Africa and in response to recommendations of the Accountability Review
Boards to consider the organization of U.S. embassies and consulates.
Department of State, America's Overseas Presence in the 21st Century,
The Report of the Overseas Presence Advisory Panel (Washington, D.C.:
November 1999).
[49] GAO, Overseas Presence: Observations on a Rightsizing Framework,
GAO-02-659T (Washington, D.C.: May 1, 2002).
[50] GAO, Overseas Presence: Rightsizing Framework Can Be Applied at
U.S. Diplomatic Posts in Developing Countries, GAO-03-396 (Washington,
D.C.: Apr. 7, 2003).
[51] GAO, Overseas Presence: Systematic Processes Needed to Rightsize
Posts and Guide Embassy Construction, GAO-03-582T (Washington, D.C.:
Apr. 7, 2003).
[52] GAO-04-1033T.
[53] GAO, Results-Oriented Government: Shaping the Government to Meet
21st Century Challenges, GAO-03-1168T (Washington, D.C.: Sept. 17,
2003).
[54] GAO, Results-Oriented Cultures: Creating a Clear Linkage between
Individual Performance and Organizational Success, GAO-03-488
(Washington, D.C.: Mar. 14, 2003).
[55] GAO, Homeland Security: Transformation Strategy Needed to Address
Challenges Facing the Federal Protective Service, GAO-04-537
(Washington, D.C.: July 14, 2004).
[56] GAO-04-1033T.
[57] Department of Energy Inspector General, Audit of the Department of
Energy's Security Police Officer Training, CR-B-95-03 (Washington,
D.C.: Feb. 6, 1995).
[58] ASIS formerly stood for the American Society for Industrial
Security; but now the organization refers to itself as ASIS
International.
[59] GAO, Federal Real Property: Better Governmentwide Data Needed for
Strategic Decisionmaking, GAO-02-342 (Washington, D.C.: Apr. 16, 2002).
[60] GAO-02-687T.
[61] GAO-04-1033T.
[62] GAO-03-760.
[63] GAO-03-122.
[64] GAO, Embassy Construction: State Department Has Implemented
Management Reforms, but Challenges Remain, GAO-04-100 (Washington,
D.C.: Nov. 4, 2003).
[65] GAO, High-Risk Series: Strategic Human Capital Management, GAO-03-
120 (Washington, D.C.: January 2003).
[66] See GAO-02-373SP; GAO/AIMD-99-32; GAO-04-791; and, GAO-04-546G.
[67] See GAO-02-208T and GAO-02-150T.
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