Homeland Security
Coordinated Planning and Standards Needed to Better Manage First Responder Grants in the National Capital Region Gao ID: GAO-04-904T June 24, 2004Since the tragic events of September 11, 2001, the National Capital Region (NCR), comprising jurisdictions including the District of Columbia and surrounding jurisdictions in Maryland and Virginia, has been recognized as a significant potential target for terrorism. GAO was asked to report on (1) what federal funds have been allocated to NCR jurisdictions for emergency preparedness; (2) what challenges exist within NCR to organizing and implementing efficient and effective regional preparedness programs; (3) what gaps, if any, remain in the emergency preparedness of NCR; and (4) what has been the role of the Department of Homeland Security (DHS) in NCR to date.
In fiscal years 2002 and 2003, grant programs administered by the Departments of Homeland Security, Health and Human Services, and Justice awarded about $340 million to eight NCR jurisdictions to enhance emergency preparedness. Of this total, the Office for National Capital Region Coordination (ONCRC) targeted all of the $60.5 million Urban Area Security Initiative funds for projects designed to benefit NCR as a whole. However, there was no coordinated regionwide plan for spending the remaining funds (about $279.5 million). Local jurisdictions determined the spending priorities for these funds and reported using them for emergency communications and personal protective equipment and other purchases. NCR faces several challenges in organizing and implementing efficient and effective regional preparedness programs, including the lack of a coordinated strategic plan for enhancing NCR preparedness, performance standards, and a reliable, central source of data on funds available and the purposes for which they were spent. Without these basic elements, it is difficult to assess first responder capacities, identify first responder funding priorities for NCR, and evaluate the effectiveness of the use of federal funds in enhancing first responder capacities and preparedness in a way that maximizes their effectiveness in improving homeland security.
GAO-04-904T, Homeland Security: Coordinated Planning and Standards Needed to Better Manage First Responder Grants in the National Capital Region
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Testimony:
Before the Committee on Government Reform, House of Representatives:
United States General Accounting Office:
GAO:
For Release on Delivery Expected at 10:00 a.m. EDT:
Thursday, June 24, 2004:
HOMELAND SECURITY:
Coordinated Planning and Standards Needed to Better Manage First
Responder Grants in the National Capital Region:
Statement of William O. Jenkins, Jr., Director, Homeland Security and
Justice Issues:
GAO-04-904T:
GAO Highlights:
Highlights of GAO-04-904T, a testimony before the Chairman, Committee
on Government Reform, House of Representatives
Why GAO Did This Study:
Since the tragic events of September 11, 2001, the National Capital
Region (NCR), comprising jurisdictions including the District of
Columbia and surrounding jurisdictions in Maryland and Virginia, has
been recognized as a significant potential target for terrorism. GAO
was asked to report on (1) what federal funds have been allocated to
NCR jurisdictions for emergency preparedness; (2) what challenges exist
within NCR to organizing and implementing efficient and effective
regional preparedness programs; (3) what gaps, if any, remain in the
emergency preparedness of NCR; and (4) what has been the role of the
Department of Homeland Security (DHS) in NCR to date.
What GAO Found:
In fiscal years 2002 and 2003, grant programs administered by the
Departments of Homeland Security, Health and Human Services, and
Justice awarded about $340 million to eight NCR jurisdictions to
enhance emergency preparedness. Of this total, the Office for National
Capital Region Coordination (ONCRC) targeted all of the $60.5 million
Urban Area Security Initiative funds for projects designed to benefit
NCR as a whole. However, there was no coordinated regionwide plan for
spending the remaining funds (about $279.5 million). Local
jurisdictions determined the spending priorities for these funds and
reported using them for emergency communications and personal
protective equipment and other purchases.
NCR faces several challenges in organizing and implementing efficient
and effective regional preparedness programs, including the lack of a
coordinated strategic plan for enhancing NCR preparedness, performance
standards, and a reliable, central source of data on funds available
and the purposes for which they were spent.
Without these basic elements, it is difficult to assess first
responder capacities, identify first responder funding priorities for
NCR, and evaluate the effectiveness of the use of federal funds in
enhancing first responder capacities and preparedness in a way that
maximizes their effectiveness in improving homeland security.
National Capital Region Jurisdictions:
[See PDF for image]
[End of figure]
What GAO Recommends:
GAO recommends that the Secretary of DHS (1) work with local NCR
jurisdictions to develop a coordinated strategic plan to establish
capacity enhancement goals and priorities; (2) monitor the plan‘s
implementation; and (3) identify and address gaps in emergency
preparedness and evaluate the effectiveness of expenditures by
conducting assessments based on established standards and guidelines.
DHS and the ONCRC Senior Policy Group generally agreed with GAO‘s
recommendations and noted that a new governance structure, adopted in
February 2004, should accomplish essential coordination.
www.gao.gov/cgi-bin/getrpt?GAO-04-904T
To view the full product, including the scope and methodology, click on
the link above. For more information, contact William O. Jenkins, Jr.,
at (202) 512-8757 or jenkinswo@gao.gov.
[End of section]
Mr. Chairman and Members of the Committee:
I appreciate the opportunity to testify on the results of our work on
the management of first responder grants in the National Capital Region
(NCR). Our report is being released today, and my testimony highlights
the major findings and recommendations of that report. [Footnote 1]
Our report addressed the following questions:
* What federal funds have been allocated to local jurisdictions in NCR
for emergency preparedness, for what specific purposes, and from what
sources?
* What challenges exist within NCR to organizing and implementing
efficient and effective regional preparedness programs?
* What gaps, if any, remain in the emergency preparedness of NCR?
* What has been the Department of Homeland Security's (DHS) role to
date in enhancing the preparedness of NCR through such actions as
coordinating the use of federal emergency preparedness grants,
assessing preparedness, providing guidance, targeting funds to enhance
preparedness, and monitoring the use of those funds?
To respond to these questions, we met with and obtained documentation
from officials of DHS including its Office for National Capital Region
Coordination (ONCRC), the Senior Policy Group, the Metropolitan Council
of Governments, state emergency management agencies, and first
responder officials from NCR jurisdictions. We identified 25 emergency
preparedness programs that provided funding to NCR jurisdictions in
fiscal years 2002 and 2003, and we selected 16 of them for detailed
review. These 16 grants were selected to cover a range of programs,
including the largest funding sources; grants provided for general
purposes, such as equipment and training; and grants provided for
specific purposes, such as fire prevention and bioterrorism. We
collected and analyzed grant data from federal, state, and local
sources; and reviewed relevant reports, studies, and guidelines on
homeland security and domestic preparedness. We conducted our review
from June 2003 through February 2004 in accordance with generally
accepted government auditing standards.
Summary:
* In fiscal years 2002 and 2003, the DHS, the Department of Justice,
and the Department of Health and Human Services awarded about $340
million through 16 grants to NCR jurisdictions. Of these funds, $60.5
million were from the Urban Area Security Initiative grant, designated
for region-wide needs, and the Office of National Capital Region
Coordination has developed a regional plan for their use. The remaining
funds, about $279.5 million, were available to local jurisdictions for
a wide variety of needs, such as equipment and training, and local
jurisdictions determined how these funds were to be spent. Local
jurisdictions used or planned to use monies from those grants to buy
equipment and to implement training and exercises for the area's first
responders, as well as improve planning for responding to a terrorist
event. But, spending for these purposes was not generally based on a
coordinated plan for enhancing regional first responder capacities and
preparedness.
* ONCRC and the NCR face at least three interrelated challenges in
managing federal funds in a way that maximizes the increase in first
responder capacities and preparedness while also minimizing
inefficiency and unnecessary duplication of expenditures. These
challenges are (1) a lack of preparedness standards; (2) a coordinated
region-wide plan for establishing first responder performance goals,
needs, and priorities and assessing the benefits of expenditures in
enhancing first responder capabilities; and (3) the lack of a readily
available, reliable source of data on the federal grant funds available
to first responders in NCR, budget plans and criteria used to determine
spending priorities, and actual expenditures. Without the standards, a
region-wide plan, and needed data on spending, it is extremely
difficult to determine whether NCR first responders have the ability to
respond to threats and emergencies with well-planned, well-coordinated,
and effective efforts that involve a variety of first responder
disciplines from NCR jurisdictions.
* During our review, we could identify no reliable data on preparedness
gaps in the NCR, which of those gaps were most important, and the
status of efforts to close those gaps. The baseline data needed to
assess those gaps had not been fully developed or made available on a
NCR-wide basis.
* To date, DHS and ONCRC appear to have had a limited role in assessing
and analyzing first responder needs in NCR and developing a coordinated
effort to address those needs through the use of federal grant funds.
ONCRC has focused principally on developing a plan for using the Urban
Area Security Initiative funds. In its comments on a draft of our
report, DHS said that a governance structure approved in February 2004,
should accomplish essential region-wide coordination.
Background:
Since September 11, 2001, the federal government, state and local
governments, and a range of independent research organizations have
agreed on the need for a coordinated intergovernmental approach to
allocating the nation's resources to address the threat of terrorism
and improve our security. The need for a coordinated approach was most
recently stated in the report of the Homeland Security Advisory
Council,[Footnote 2] released earlier this month:
Arguably, while each at-risk locality must be provided adequate
resources to effectively fight this war, no single jurisdiction or
response discipline can fight it alone. Effective homeland security
efforts require continuous regional collaboration and coordination.
Such an approach includes developing national guidelines and standards
and monitoring and assessing preparedness against those standards to
effectively manage risk.
The National Strategy for Homeland Security, released in 2002 following
the proposal for DHS, emphasized a shared national responsibility for
security involving close cooperation among all levels of government and
acknowledged the complexity of developing a coordinated approach within
our federal system of government and among a broad range of
organizations and institutions involved in homeland security. The
national strategy highlighted the challenge of developing complementary
systems that avoid unintended duplication and increase collaboration
and coordination so that public and private resources are better
aligned for homeland security. The national strategy established a
framework for this approach by identifying critical mission areas with
intergovernmental initiatives in each area. For example, the strategy
identified such initiatives as modifying federal grant requirements and
consolidating funding sources to state and local governments. The
strategy further recognized the importance of assessing the capability
of state and local governments, developing plans, and establishing
standards and performance measures to achieve national preparedness
goals. In addition, many aspects of DHS' success depend on its
maintaining and enhancing working relationships within the
intergovernmental system as the department relies on state and local
governments to accomplish its mission.
ONCRC Responsibilities Include Assessing Capabilities and Advocating
for Needed Resources:
The creation of DHS was an initial step toward reorganizing the federal
government to respond to some of the intergovernmental challenges
identified in the National Strategy for Homeland Security. The Homeland
Security Act established ONCRC within DHS to oversee and coordinate
federal programs for, and relationships with, federal, state, local,
and regional authorities in the NCR.[Footnote 3] Specifically, ONCRC
was mandated to:
* coordinate the activities of DHS relating to NCR, including
cooperating with the DHS' Office for State and Local Government
Coordination;
* coordinate with federal agencies in the NCR on terrorism preparedness
to ensure adequate planning, information sharing, training, and
execution of the federal role in domestic preparedness activities;
* coordinate with federal, state, and regional agencies and the private
sector in NCR on terrorism preparedness to ensure adequate planning,
information sharing, training, and execution of domestic preparedness
activities among these agencies and entities;
* serve as a liaison between the federal government and state, local,
and regional authorities, and private sector entities in NCR to
facilitate access to federal grants and other programs.[Footnote 4]
With regard to resource assessments and needs, the NCR's
responsibilities also include:
* assessing and advocating for resources needed by state, local, and
regional authorities in the NCR to implement efforts to secure the
homeland and:
* submitting an annual report to Congress that (1) identifies resources
required to fully implement homeland security efforts, (2) assesses
progress in implementing homeland security efforts in the NCR, and (3)
includes recommendations to Congress regarding additional resources
needed to fully implement homeland security efforts in the NCR.
Grants Available to NCR Jurisdictions and Their Use:
In fiscal years 2002 and 2003, 16 separate federal grant programs
conveyed about $340 million to state and local emergency management,
law enforcement, fire, public health, and other emergency response
agencies in NCR. Two funding sources--the fiscal year 2002 Department
of Defense Emergency Supplemental Appropriation (almost $230 million)
and the fiscal year 2003 Urban Area Security Initiative ($60.5 million)
accounted for about 85 percent of those funds. The Urban Area Security
Initiative funds were designated for regional use, and a plan has been
developed for using the funds to benefit the region as a whole. These
funds have been targeted for equipment ($26.5 million), planning ($12.4
million), exercises ($4 million), and administrative costs ($1.8
million), among other things.
The other grant programs were not specifically designated for regional
purposes, and spending for these funds was determined by individual
local jurisdictions. These funds were available for such purposes as
purchasing additional equipment and supplies for first responders;
planning, coordinating, and evaluating exercises; training first
responders; funding the emergency preparedness planning efforts and
administration; and providing technical assistance. NCR jurisdictions
reported using or planning to use these funds to purchase a range of
equipment--for example, vehicles and communications equipment--
supplies, training, and technical assistance services.
Challenges to Using Coordinated, Effective Use of Federal Grants in
NCR:
In our report, we discuss issues associated with managing federal first
responder grants in NCR, assessing gaps in first responder capacities
and preparedness in the region, and the role of the Office for National
Capital Region Coordination in coordinating and assessing efforts to
enhance first responder capacity across NCR. Effectively managing first
responder federal grants funds requires the ability to measure progress
and provide accountability for the use of public funds. A strategic
approach to homeland security includes identifying threats and managing
risks, aligning resources to address them, and assessing progress in
preparing for those threats and risks. As with other major policy
areas, demonstrating the results of homeland security efforts includes
developing and implementing strategies, establishing baselines,
developing and implementing performance goals and data quality
standards, collecting reliable data, analyzing the data, assessing the
results, and taking action based on the results. The purpose of these
efforts with regard to first responder grant funds to be able to answer
three basic, but difficult, questions:
* For what types of threats and emergencies should first responders be
prepared?
* What is required--for example, coordination, equipment, training--to
be prepared for these threats and emergencies?
* How do first responders know that they have met their preparedness
goals?
NCR is an example of the difficulties of answering the second and third
questions in particular.
Lack of Standards, Plans, and Data Limit Effective Grant Management to
Guide First Responder Spending in NCR:
The region faces significant challenges in managing homeland security
dollars. ONCRC and NCR jurisdictions face three interrelated challenges
that limit their ability to jointly manage federal funds in a way that
demonstrates increased first responder capacities and preparedness
while minimizing inefficiency and unnecessary duplication of
expenditures.
First, a lack of preparedness standards for both equipment and
performance means that it is difficult to assess first responder
capabilities, identify gaps in those capabilities, and measure progress
in closing those gaps. As in other areas of the nation generally, NCR
does not have a set of accepted benchmarks (best practices) and
performance goals that could be used to identify desired goals and
determine whether first responders have the ability to respond to
threats and emergencies with well-planned, well-coordinated, and
effective efforts that involve police, fire, emergency medical, public
health, and other personnel from multiple jurisdictions.
Second, a strategic plan for the use of homeland security funds--
whether in NCR or elsewhere--should be based on established goals,
priorities, and measures, and align spending plans with those
priorities and goals. At the time of our review, ONCRC had developed a
regional spending plan for the Urban Area Security Initiative grants,
but this plan was not part of a broader coordinated plan for spending
federal grant funds and developing first responder capacity and
preparedness in NCR. The lack of benchmarks and performance goals may
contribute to difficulties in developing a coordinated region-wide plan
for determining how to spend federal funds and assessing the benefits
of that spending.
Third, there is no established process or means for regularly and
reliably collecting data on (1) the amounts of first responder grants
available to each jurisdiction and (2) the budget plans and criteria
used for determining spending allocations and budget priorities.
Reliable data are needed to establish accountability, analyze gaps, and
assess progress toward meeting established performance goals. Without
such data, it is difficult to verify the results of preparedness
assessments and to establish a baseline that could be used to develop
plans to address outstanding needs. It should be noted that the
fragmented nature of the multiple federal grants available to first
responders--some awarded to states, some to localities, some directly
to local first responder agencies--may make it more difficult to
collect and maintain region-wide data on grant funds received and the
use of those funds in NCR.
Guidance, Reliable Data Needed to Assess Remaining Gaps in First
Responder Capabilities:
Without national standards, guidance on likely threats and scenerios
for which to be prepared, coordinated plans, and reliable data, it is
difficult for us or ONCRC to determine what gaps, if any, remain in the
emergency response capacities and preparedness within NCR.
Determining the existence of gaps in NCR's emergency preparedness is
difficult currently because there is little baseline data on the
region's preparedness, and DHS's Office for National Capital Region
Coordination does not have information on how NCR localities used
federal grant dollars to enhance their capacities or preparedness. Even
if those data were available, a lack of standards against which to
evaluate the data would also have made it difficult to assess any gaps.
The Office for Domestic Preparedness collected information on regional
security risks and needs for NCR jurisdictions, and ONCRC based funding
decisions for the Urban Area Security Initiative on the results.
However, as already noted, it is not clear how the Urban Area Security
Initiative spending plan links to the actual and planned uses for the
other funding sources that comprised about $279.5 million of the $340
million in federal homeland security grants to the NCR during fiscal
years 2002 and 2003.
Each jurisdiction provided us with information on their perceived gaps
and specific needs for improving emergency preparedness. However, there
is no consistent method for identifying these gaps among jurisdictions
within NCR. Several jurisdictions told us that they identify remaining
gaps based on requests from emergency responder agencies. Other
jurisdictions said they have established emergency management councils
or task forces to review their preparedness needs and are developing a
more strategic plan for funding those needs. Officials of most NCR
jurisdictions commonly identified the need for more comprehensive and
redundant communications systems and upgraded emergency operations
centers.
DHS and ONCRC Appear to Have Had Limited Role in Promoting Regional
Coordination in NCR:
We recognize that NCR is a complex multijurisdictional area comprising
the District of Columbia and surrounding county and city jurisdictions
in Maryland and Virginia. The region is the home to the federal
government, many national landmarks, and military installations.
Coordination within this region presents the challenge of working with
numerous jurisdictions that vary in size, political organization, and
experience with managing large emergencies.
According to emergency management officials we contacted, DHS' Office
for National Capital Region Coordination could play a potentially
important role in assisting them to implement a coordinated, well-
planned effort in using federal resources to improve the region's
preparedness. In our view, meeting ONCRC's statutory mandate would
fulfill such a key responsibility.
We recognize that the Office for National Capital Region Coordination
was created about 15 months ago, and that some start-up time has been
required. To date, however, it appears that ONCRC's efforts have not
focused on assessing what has been accomplished with funds available
within NCR to date and identifying what needs remain and for what
purposes. ONCRC has concentrated its efforts on developing a
coordinated assessment and plan for the use of Urban Area Security
Initiative funds. Although we believe that those steps are important
for rationalizing and prioritizing the expenditure of homeland security
dollars designated for region-wide use, ONCRC's efforts generally do
not address expenditures from the majority of the homeland security
grant dollars received in NCR. In addition, it is difficult for the
ONCRC to meet its statutory responsibilities without an NCR emergency
preparedness baseline, a region-wide plan for prioritizing expenditures
and assessing their benefits, and reliable data on funds that are
available and those have been spent.
According to DHS, a governance structure was approved in February 2004
that will provide the essential region-wide coordination that is
necessary.
Our Recommendations:
Our report contains several recommendations. To help ensure that
emergency preparedness grants and associated funds are managed in a way
that maximizes their effectiveness, we recommend that the Secretary of
the Department of Homeland Security take the following three actions to
fulfill DHS's statutory responsibilities in NCR:
* Work with NCR jurisdictions to develop a coordinated strategic plan
to establish goals and priorities for enhancing first responder
capacities that can be used to guide the use of federal emergency
preparedness funds.
* Monitor the plan's implementation to ensure that funds are used in a
way that promotes effective expenditures that are not unnecessarily
duplicative.
* Identify and address gaps in emergency preparedness and evaluate the
effectiveness of expenditures in meeting those needs by adapting
standards and preparedness guidelines based on likely scenarios for NCR
and conducting assessments based on them.
In their comments on a draft of our report, DHS and the Senior Policy
Group generally agreed with our recommendations, but also said that NCR
jurisdictions had worked cooperatively together to identify
opportunities for synergies and lay a foundation for meeting the
challenges noted in the report. The Senior Policy Group noted the
challenge and critical importance of integrating private sector
initiatives as part of the broader effort. DHS and the Senior Policy
Group also agreed that there is a need to continue to improve
preparedness by developing more specific and improved preparedness
standards, clearer performance goals, and an improved method for
tracking regional initiatives. They believe the governance process now
in place will accomplish essential regional coordination.
Concluding Comments:
Coordinated planning for the use of federal grant funds and monitoring
the results achieved with those funds are fundamental for assessing and
building the needed first responder capacity of the region to prepare
for, mitigate, respond to, and recover from major emergency events in
the region--whether the result of nature, accident, or terrorist act.
The urgent nature of the security risk to the National Capital Region
requires a coordinated, well-planned approach to the expenditure of
federal first responder grants. To maximize the positive impact of such
federal dollars, duplication needs to be minimized, available resources
used to the maximum extent possible, and a strategic, region-wide plan
based on an assessment of preparedness gaps developed to guide those
expenditures. Assessments of the current status of emergency
preparedness and of any existing preparedness gaps require the
existence and application of various types of standards. DHS's Office
for National Capital Region Coordination has a significant, statutorily
mandated role in meeting those requirements. It has made a good first
step in developing a region-wide plan for the use of the Urban Area
Initiative Grants. However, information and analysis of planned and
actual expenditures by local NCR jurisdictions is also needed to
develop a region-wide plan for the use of federal grants.
Mr. Chairman, that concludes my statement. I would be pleased to answer
any questions you or other members of the Committee may have.
Contacts and Acknowledgments:
For questions regarding this testimony, please contact William O.
Jenkins, Jr., on (202) 512-8777 or Patricia A. Dalton, Director, on
(202) 512-6737. Other individuals making key contributions to this
testimony included Amelia Shachoy, Ernie Hazera, John Bagnulo, and
Wendy Johnson.
FOOTNOTES
[1] See Homeland Security: Management of First Responder Grants in the
National Capital Region Reflects the Need for Coordinated Planning and
Performance Goals, GAO-04-433, (Washington, D.C.: May 28, 2004),
[2] U.S. Department of Homeland Security, The Homeland Security
Advisory Council, A Report from the Task Force on State and Local
Homeland Security Funding (Washington, D.C.: June 2004), p. 12.
[3] P.L. 107-296 §882.
[4] The Office of National Capital Region Coordination was also
mandated to provide state, local, and regional authorities in NCR with
regular information, research, and technical support to assist the
efforts of state, local, and regional authorities in NCR in securing
the homeland; and develop a process for receiving meaningful input from
state, local, and regional authorities and the private sector in NCR to
assist in the development of the federal government's homeland security
plans and activities.
