Homeland Security
The Status of Strategic Planning in the National Capital Region Gao ID: GAO-06-559T March 29, 2006Congress asked GAO to provide comments on the National Capital Region's (NCR) strategic plan. GAO reported on NCR strategic planning, among other issues, in May 2004 and September 2004, testified before the House Committee on Government Reform in June 2004, and testified before the Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia in July 2005. In this testimony, we addressed completion of the NCR strategic plan, national and regional priorities, and strengthening any plan that is developed.
Among its other statutory responsibilities, the Office of National Capital Region Coordination is charged with coordinating with NCR agencies and other entities to ensure adequate planning, information sharing, training, and execution of domestic preparedness activities among these agencies and entities. In May 2004 and again in July 2005, we recommended that the ONCRC complete a regional strategic plan to establish goals and priorities for enhancing first responder capacities that could be used to guide the effective use of federal funds. Although work has continued on a NCR strategic plan for the past 2 years, a completed plan is not yet available. According to NCR officials, completion of the plan requires integrating information and analyses from other documents completed or nearly completed, and a plan may not be available before September or October of 2006. The NCR's strategic planning should reflect both national and regional priorities and needs. The majority of the individual documents ONCRC provided to us as representing components for its strategic plan were developed in response to Department of Homeland Security fiscal year 2006 grant guidance to support the NCR's fiscal year 2006 grant application. It is appropriate and necessary that the NCR address national priorities, but the NCR's strategic plan should not be primarily driven by these requirements. It should integrate national and regional priorities and needs. A well-defined, comprehensive strategic plan for the NCR is essential for assuring that the region is prepared for the risks it faces. A November 18, 2005, NCR PowerPoint presentation describes the NCR's vision, mission, goals, objectives, and priority initiatives. That presentation includes some elements of a good strategic plan, including some performance measures, target dates, and cost estimates. A completed NCR strategic plan should build on the current elements that the NCR has developed and strengthen others based on the desirable characteristics of a national strategy that may also be useful for a regional approach to homeland security strategic planning. As it completes its strategic plan, the NCR could focus on strengthening (1) initiatives that will accomplish objectives under the NCR strategic goals, (2) performance measures and targets that indicate how the initiatives will accomplish identified strategic goals, (3) milestones or timeframes for initiative accomplishment, (4) information on the resources and investments for each initiative, and (5) organizational roles, responsibilities, and coordination, and integration and implementation plans.
GAO-06-559T, Homeland Security: The Status of Strategic Planning in the National Capital Region
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United States Government Accountability Office:
GAO:
Testimony Before the Subcommittee on Oversight of Government
Management, the Federal Workforce, and the District of Columbia;
Committee on Homeland Security and Governmental Affairs:
U.S. Senate:
For Release on Delivery:
Expected at 2:30 p.m. EST Wednesday, March 29, 2006:
Homeland Security:
The Status of Strategic Planning in the National Capital Region:
Statement of William O. Jenkins, Jr.
Director, Homeland Security and Justice Issues:
GAO-06-559T:
GAO Highlights:
Highlights of GAO-06-559T, a testimony before the Subcommittee on
Oversight of Government Management, the Federal Workforce, and the
District of Columbia of the Committee on Homeland Security and
Governmental Affairs; U.S. Senate:
Why GAO Did This Study:
The Subcommittee asked GAO to provide comments on the National Capital
Region‘s (NCR) strategic plan. GAO reported on NCR strategic planning,
among other issues, in May 2004 and September 2004, testified before
the House Committee on Government Reform in June 2004, and testified
before the Subcommittee on Oversight of Government Management, the
Federal Workforce, and the District of Columbia in July 2005. In this
testimony, we addressed completion of the NCR strategic plan, national
and regional priorities, and strengthening any plan that is developed.
What GAO Found:
Among its other statutory responsibilities, the Office of National
Capital Region Coordination is charged with coordinating with NCR
agencies and other entities to ensure adequate planning, information
sharing, training, and execution of domestic preparedness activities
among these agencies and entities. In May 2004 and again in July 2005,
we recommended that the ONCRC complete a regional strategic plan to
establish goals and priorities for enhancing first responder capacities
that could be used to guide the effective use of federal funds.
Although work has continued on a NCR strategic plan for the past 2
years, a completed plan is not yet available. According to NCR
officials, completion of the plan requires integrating information and
analyses from other documents completed or nearly completed, and a plan
may not be available before September or October of 2006. The NCR‘s
strategic planning should reflect both national and regional priorities
and needs. The majority of the individual documents ONCRC provided to
us as representing components for its strategic plan were developed in
response to Department of Homeland Security fiscal year 2006 grant
guidance to support the NCR‘s fiscal year 2006 grant application. It is
appropriate and necessary that the NCR address national priorities, but
the NCR‘s strategic plan should not be primarily driven by these
requirements. It should integrate national and regional priorities and
needs. A well-defined, comprehensive strategic plan for the NCR is
essential for assuring that the region is prepared for the risks it
faces. A November 18, 2005, NCR PowerPoint presentation describes the
NCR‘s vision, mission, goals, objectives, and priority initiatives.
That presentation includes some elements of a good strategic plan,
including some performance measures, target dates, and cost estimates.
A completed NCR strategic plan should build on the current elements
that the NCR has developed and strengthen others based on the desirable
characteristics of a national strategy that may also be useful for a
regional approach to homeland security strategic planning. As it
completes its strategic plan, the NCR could focus on strengthening (1)
initiatives that will accomplish objectives under the NCR strategic
goals, (2) performance measures and targets that indicate how the
initiatives will accomplish identified strategic goals, (3) milestones
or timeframes for initiative accomplishment, (4) information on the
resources and investments for each initiative, and (5) organizational
roles, responsibilities, and coordination, and integration and
implementation plans.
What GAO Recommends:
Although we include no new recommendations in this statement, GAO
continues to recommend that the ONCRC work with the NCR jurisdictions
to quickly complete a coordinated strategic plan to establish and
monitor the achievement of regional goals and priorities.
http://www.gao.gov/cgi-bin/getrpt?GAO-06-559T. To view the full
product, including the scope and methodology, click on the link above.
For more information, contact William Jenkins, Jr., 202-512-8757,
jenkinswo@gao.gov.
[End of section]
Mr. Chairman and Members of the Committee:
I appreciate the opportunity to be here today to discuss the National
Capital Region's (NRC) strategic plan. The NCR is an area comprising
the District of Columbia and surrounding counties and cities in the
states of Maryland and Virginia. The NCR is the only area in the nation
that has a statutorily designated regional coordinator--the Office of
the National Capital Region Coordinator (ONCRC) under the Department of
Homeland Security (DHS).
One ONCRC mandate is to coordinate with NCR agencies and other entities
to ensure adequate planning, information sharing, training, and
execution of domestic preparedness activities among these agencies and
entities. We reported on NCR strategic planning, among other issues, in
May 2004 and September 2004, testified before the House Committee on
Government Reform in June 2004, and testified before your committee in
July 2005.[Footnote 1] In our previous work, we provided
recommendations regarding NCR strategic planning and the preparation of
a strategic plan.
My statement today provides our preliminary observations on documents
provided by ONCRC that describe current NCR strategic planning efforts.
Specifically, I will comment on completion of the strategic plan, the
impact of federal homeland security grant program requirements on NCR
strategic planning, and observations on strengthening any plan that is
developed.
We have only recently received new documentation related to the NCR's
strategic plan and its development from the ONCRC and have not had an
opportunity to review them fully. Consequently, my remarks are
necessarily preliminary based on our limited review and analysis of the
documents. We did our work in accordance with generally accepted
government auditing standards.
Summary:
In May 2004 and again in July 2005 we recommended that the Secretary of
Department of Homeland Security work with the NCR jurisdictions to
develop a coordinated strategic plan to establish goals and priorities
to enhance first responder capacities that can be used to guide the use
of federal emergency preparedness funds--a recommendation which the
Department agreed to implement. Almost two years after our initial
recommendation, NCR has not produced a completed strategic plan to
guide decisionmaking such as assessment of NCR's strategic priorities
and funding needs and aid NCR jurisdictions in ascertaining how the NCR
strategic plan complements their individual or combined efforts. ONCRC
officials have explained that integration of additional information
such as from an Emergency Management Accreditation Program (EMAP)
assessment[Footnote 2] has delayed completion of a strategic plan.
ONCRC provided us several individual documents that they stated
constituted the basic elements of the NCR's strategic plan. According
to the ONCRC, a November 18, 2005, NCR Plenary Session powerpoint
presentation (updated from a November 15 document) among the documents
contains the core elements of the NCR's strategic plan--the mission,
vision, guiding principles, long-term goals, and objectives. According
to ONCRC officials, an initial strategic plan will not be available
until at least September or October 2006.
NCR strategic planning should reflect both national and regional
priorities and needs. The November 18 document presents the NCR's
goals, objectives, and initiatives, including those considered
priorities. If the NCR's homeland security grant program funding
documents prepared for DHS are used extensively in NCR strategic
planning, a NCR strategic plan might primarily reflect DHS priorities
and grant funding--national priorities--and not regionally developed
strategic goals and priorities. The majority of the individual
documents ONCRC represented as the basic elements of the NCR's
strategic plan were developed in response to DHS homeland security
grant program funding. Under the DHS funding guidance, the homeland
security strategy of applicants for funding must incorporate DHS'
National Preparedness Goal and related target capabilities. According
to DHS, the strategy is to provide a strategic plan for the use of
related federal, state, local, and private resources within a state
and/or urban area before, during, and after threatened or actual
domestic terrorist attacks, major disasters, and other emergencies. NCR
initiatives developed to implement NCR's strategic goals and objectives
presented in ONCRC documents are not all addressed in the DHS grant
program funding documents and would require implementation and funding
by NCR jurisdictions acting individually or in combination with others.
Our preliminary work did not include an assessment of jurisdictional
efforts to implement the NCR initiatives.
A complete NCR strategic plan based on the November 18 strategic
planning document should build on current elements and strengthen
others based on our six characteristics for a national strategy that
may be useful for a regional approach to homeland security strategic
planning. These include characteristics such as goals, objectives,
activities, and performance measures; resources, investments, and risk
management; and organizational roles, responsibilities, and
coordination. Our limited review indicates that as the ONCRC fleshes
out the November 18 document that contains the core elements of the
NCR's strategic plan, such strengthening could address: (1) initiatives
that will accomplish objectives under the strategic goals, (2)
performance measures and targets that indicate how the initiatives will
accomplish identified strategic goals, (3) milestones or timeframes for
initiative accomplishment, (4) information on the resources and
investment for each initiative, and (5) organizational roles,
responsibilities, and coordination, and integration and implementation
plans.
Background:
Strategic plans developed by regional organizations can be effective
tools to focus resources and efforts to address problems. Effective
plans often contain such features as goals and objectives that are
measurable and quantifiable. These goals and objectives allow problems
and planned steps to be defined specifically and progress to be
measured. By specifying goals and objectives, plans can also give
planners and decisionmakers a structure for allocating funding to those
goals and objectives. Failure to effectively address strategic planning
challenges could have serious consequences for the NCR's security.
The Homeland Security Act established the Office of National Capital
Region Coordinator (ONCRC) within the Department of Homeland
Security.[Footnote 3] The ONCRC is responsible for coordinating
federal, state, and local efforts to secure the homeland in the NCR and
for assessing and advocating for the state, local, and regional
resources in the NCR needed to implement efforts to secure the
homeland. One of the ONCRC mandates is to coordinate with federal,
state, local, 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.
In our earlier work, we reported that ONCRC and the NCR faced three
interrelated challenges in managing federal funds in a way that
maximizes the increase in first responder capacities and preparedness
while minimizing inefficiency and unnecessary duplication of
expenditures. These challenges included the lack of:
* 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;
* a coordinated regionwide plan for establishing first responder
performance goals, needs, and priorities, and assessing the benefits of
expenditures in enhancing first responder capabilities;
* a readily available, reliable source of data on the funds available
to first responders in the NCR and their use.
Without the standards, a regionwide plan, and data on spending, we
observed it would be extremely difficult to determine whether NCR first
responders were prepared to effectively respond to threats and
emergencies. Regional coordination means the use of governmental
resources in a complementary way towards goals and objectives that are
mutually agreed upon by various stakeholders in a region.[Footnote 4]
Regional coordination can also help to overcome the fragmented nature
of federal programs and grants available to state and local entities.
Successful coordination occurs not only vertically among federal,
state, and local governments, but also horizontally within regions. The
effective alignment of resources for the security of communities
requires planning across jurisdictional boundaries. Neighboring
jurisdictions may be affected by an emergency situation in many
potential ways, including major traffic or environmental disruptions,
activation and implementation of mutual aid agreements, acceptance of
evacuated residents, and treating casualties in local hospitals.
NCR Has Not Produced a Strategic Plan:
Almost two years after we recommended a coordinated strategic plan, NCR
has not produced a completed strategic plan to guide decisionmaking
such as assessment of NCR's strategic priorities and funding needs and
aid NCR jurisdictions in ascertaining how the NCR strategic plan
complements their individual or combined efforts. In May 2004, we
recommended that the Secretary of DHS work with the NCR jurisdictions
to develop a coordinated strategic plan to establish goals and
priorities to enhance first responder capacities that can be used to
guide the use of federal emergency preparedness funds, and the
Department agreed to implement this recommendation. A related
recommendation--that DHS monitor the plan's implementation to ensure
that funds are used in a way that promotes effective expenditures that
are not unnecessarily duplicative--could not be implemented until the
final strategic plan was in place. In July 2005, we testified that,
according to a DHS ONCRC official, a final draft for review had been
completed and circulated to key stakeholders. The plan was to feature
measurable goals, objectives, and performance measures.
ONCRC officials state that past references to a NCR strategic plan
reflect availability of the core elements of the NCR strategic plan--
the mission, vision, guiding principles, long-term goals, and
objectives, but not a complete plan. They told us that these core
elements, along with other planning information, will need to be
compiled into a strategic planning document. ONCRC officials said that
NCR leadership had elected to make the core elements available but to
concentrate on preparing other planning and justification documents
required for fiscal year 2006 DHS grant process. NCR planning timelines
indicate this decision was made in September 2005.
Because a strategic plan was not available, ONCRC officials provided us
with several documents, which they have said that taken as a whole,
constitute the basic elements of NCR's strategic plan. These documents
include:
* A November 18, 2005 NCR Plenary Session powerpoint presentation
containing information on NCR strategic goals, objectives, and
initiatives:
* A February 1, 2006 National Capital Region Target Capabilities and
NCR Projects Work Book:
* The March 2, 2006 District of Columbia and National Capital Region FY
2006 Homeland Security Grant Application Program and Capability
Enhancement Plan:
* The March 2, 2006 National Capital Region Initiatives:
* The FY2006 NCR Homeland Security Grant Program Funding Request
Investment Justification, submitted to DHS in March 2006:
According to ONCRC officials, a complete strategic plan is awaiting
integration of additional information that in some cases is not yet
complete. These include an Emergency Management Accreditation Program
(EMAP) assessment of all local jurisdictions in the NCR and regional
level activities, which, according to the ONCRC, is completed but will
not be available until sometime in April; the peer review of the status
of state and urban area emergency operations plans after Hurricane
Katrina, whose completion is anticipated in April 2006; and the fiscal
year 2006 homeland security grant program enhancement plan for funding,
which was completed in early March 2006. ONCRC officials estimate that
after April 2006, it will take approximately 90 more days to integrate
these documents and the November 18, 2005 plenary session document,
plus approximately 60 days for final review and coordination by the NCR
leadership. Thus, an initial strategic plan will not be available until
at least September or October 2006.
NCR Strategic Planning Should Reflect Both National and Regional
Priorities and Needs:
NCR strategic planning should reflect both national and regional
priorities and needs. ONCRC officials have said that the November 18,
2005, NCR plenary session presentation represents the vision, mission,
and core goals and objectives of the NCR's strategic plan. If the NCR's
homeland security grant program funding documents prepared for DHS are
used extensively in NCR strategic planning, a NCR strategic plan might
primarily reflect DHS priorities and grant funding--national
priorities--and not regionally developed strategic goals and
priorities.
NCR's current goals and objectives are shown in table 1.
Table 1: NCR Vision, Mission, Goals, and Objectives From the November
18, 2005 NCR Plenary Session Document:
Vision: Working together towards a safe and secure National Capital
Region;
Mission: Build and sustain an integrated effort to prepare for,
prevent, protect against, respond to, and recover from "all-hazards"
threats or events.
Goals: 1. A collaborative culture for planning, decision-making and
implementation across the NCR;
Objectives for each goal:
1. Enhance and continually adapt the framework for regional strategic
planning and decision-making to achieve an optimal balance of
capabilities across the NCR;
2. Design and implement an integrated and iterative performance and
risk-based regional planning process that engages appropriate NCR
homeland security partners;
3. Establish an NCR-wide assessment process to identify and remedy gaps
in regional, jurisdictional, and sector preparedness;
4. Develop a requirements generation and prioritization process to
effectively utilize available public and private homeland security
resources to satisfy NCR regional, jurisdictional, and sector
preparedness;
5. Enhance the oversight and accountability process that coordinates,
tracks, and evaluates the implementation and effectiveness of regional
decisions;
6. Adopt a lifecycle cost and investment approach to generate enduring
and sustainable preparedness across the NCR.
Goals: 2. An informed and prepared community of those who live, work,
and visit within the region, engaged in the safety and security of the
NCR;
Objectives for each goal:
1. Deliver timely, coordinated and targeted emergency information
across the NCR before, during, and after emergencies;
2. Raise the level of preparedness across the NCR by utilizing and
enhancing public awareness and education campaigns;
3. Strengthen public-private-NGO partnerships and communication through
increased sharing of information and resources, and expanded
participation in preparedness planning across the NCR;
4. Engage those who live, work and visit within the region in emergency
preparedness across the NCR.
Goals: 3. An enduring capability to protect the NCR by preventing or
mitigating "all-hazards" threats or events;
Objectives for each goal:
1. Develop and sustain common, multi-disciplinary standards for
planning, equipping, training, operating, and (cross-jurisdictional)
exercising to maximize prevention and mitigation capabilities across
the NCR;
2. Strengthen the gathering, fusion, analysis, and exchange of multi-
discipline strategic and tactical information and data for shared
situational awareness;
3. Employ a performance-and risk-based approach to critical
infrastructure protection across the NCR, targeting resources where the
threat, vulnerability, and impact are greatest.
Goals: 4. A sustained capacity to respond to and recovery from "all-
hazards" events across the NCR;
Objectives for each goal:
1. Develop, adopt, and implement integrated plans, policies, and
standards to facilitate response and recovery;
2. Ensure the capacity to operate multi-level coordinated response and
recovery;
3. Ensure adequate and effective sharing of resources;
4. Comprehensively identify long-term recovery issues.
Source: NCR Plenary Session Presentation, November 18, 2005.
[End of table]
The other four documents that ONCRC represents as comprising the NCR
strategic plan were developed in response to federal requirements under
the National Preparedness Goal and to support the NCR's federal funding
application. Required by Homeland Security Presidential Directive 8,
the National Preparedness Goal is a national domestic all-hazards
preparedness goal intended to establish measurable readiness priorities
and targets. The fiscal year 2006 Homeland Security Grant Program
(HSGP) integrates the State Homeland Security Program, the Urban Areas
Security Initiative, the Law Enforcement Terrorism Prevention Program,
the Metropolitan Medical Response System, and the Citizen Corps
Program. For the first time starting with the fiscal year 2006, the
Department of Homeland Security is using the National Preparedness Goal
to shape national priorities and focus expenditures for the HSGP.
According to DHS, the combined fiscal year 2006 HSGP Program Guidance
and Application Kit streamlines efforts for states and urban areas in
obtaining resources that are critical to building and sustaining
capabilities to achieve the National Preparedness Goal and implement
state and urban area homeland security strategies.
All states and urban areas were required to align existing preparedness
strategies within the National Preparedness Goal's 8 national
priorities.[Footnote 5] States and urban areas were required to assess
their preparedness needs by reviewing their existing programs and
capabilities and use those findings to develop a plan and formal
investment justification outlining major statewide, sub-state, or inter-
state initiatives for which they will seek funding. According to DHS,
these initiatives are to focus efforts on how to build and sustain
programs and capabilities within and across state boundaries, while
aligning with the National Preparedness Goal and national priorities.
It is, of course, important and necessary that the ONCRC, and other
regional and local jurisdictions, incorporate the DHS' National
Preparedness Goal and related target capabilities into their strategic
planning. The target capabilities are intended to serve as a benchmark
against with states, regions, and localities can measure their own
capabilities. However, these national requirements are but one part of
developing regional preparedness, response, and recovery assessments
and funding priorities specific to the NCR. The NCR's strategic plan
should provide the framework for guiding the integration of DHS
requirements into the NCR's overall efforts.
While the NCR strategic plan is not complete, our preliminary review of
the NCR initiatives developed to implement NCR's strategic goals and
objectives presented in ONCRC documents are not completely addressed in
the DHS HSGP documents. Using the November 18, 2005 powerpoint document
as our primary framework, we identified whether the NCR's 39 individual
regional initiatives were specifically supported in whole or in part by
programs or investments in the fiscal year 2006 HSGP documents
(enhancement plan and investment justification) prepared for DHS. Our
preliminary analysis indicates that regional initiatives defined under
NCR strategic goals and objectives have some coverage--individual
programs or projects--in the NCR documents prepared for DHS HSGP
funding, but not complete coverage. We found that of the NCR's 16
priority initiatives, 10 were partially addressed in the enhancement
plan and 12 were partially addressed in the investment justification.
Of the other 23 NCR initiatives, 8 were partially addressed in the
enhancement plan and 12 were partially addressed in the investment
justification.
Implementation of regional initiatives not covered by HSPG funding
likely would require NCR jurisdictions acting individually or in
combination with others. Our preliminary work did not include an
assessment of individual jurisdictional efforts to implement the NCR
initiatives to determine if uncovered initiatives, particularly those
considered priority initiatives, might be addressed by one or more of
the NCR jurisdictions. Further work would be required to determine to
what extent, if any, the NCR initiatives are addressed in other federal
funding applications or individual NCR jurisdictional homeland security
initiatives.
As I stated earlier, ONCRC officials told us a complete NCR strategic
plan is awaiting information from DHS' peer review of the status of
emergency operations plans in the aftermath of Hurricane Katrina and
the fiscal year 2006 homeland security grant program enhancement plan
for funding. This information may further emphasize federal priorities
in the regional planning process. However, information from these
sources should complement the region's own assessment of preparedness
gaps and the development of strategic goals, objectives, and
initiatives. Officials from the District of Columbia, Virginia, and
Maryland emphasized this point when they testified before this
committee in July 2005. At that time, they said that a new NCR
strategic plan would be a comprehensive document that defined
priorities and objectives for the entire region without regard to any
specific jurisdiction, discipline, or funding mechanisms. In our view,
a NCR plan should complement the plans of the various jurisdictions
within NCR. In the aftermath of the September 11, 2001 terrorist
attacks and the creation of the ONCRC, we would have expected that the
vast majority of this assessment work should have been completed. The
NCR is considered a prime target for terrorist events and other major
events requiring a regional response can be anticipated, such as large,
dangerous chemical spills.
A Completed NCR Strategic Plan Could be Strengthened in Several Ways:
Lastly, a complete NCR strategic plan based on the November 18
powerpoint document could be strengthened in several ways. In earlier
work we have identified characteristics that we consider to be
desirable for a national strategy that may be useful for a regional
approach to homeland security strategic planning.[Footnote 6] The
desirable characteristics, adjusted for a regional strategy, are:
* Purpose, scope, and methodology that address why the strategy was
produced, the scope of its coverage, and the process by which it was
developed.
* Problem definition and risk assessment that address the particular
regional problems and threats the strategy is directed towards.
* Goals, subordinate objectives, activities, and performance measures
that address what the strategy is trying to achieve, steps to achieve
those results, as well as the priorities, milestones, and performance
measures to gauge results.
* Resources, investments, and risk management that address what the
strategy will cost, the sources and types of resources and investments
needed, and where resources and investments should be targeted by
balancing risk reductions and costs.
* Organizational roles, responsibilities, and coordination that address
who will be implementing the strategy, what their roles will be
compared to others, and mechanisms for them to coordinate their
efforts.
* Integration and implementation that address how a regional strategy
relates to other strategies' goals, objectives and activities, and to
state and local governments within their region and their plans to
implement the strategy.
According to the ONCRC, the November 18powerpoint document contains the
core elements of the NCR's strategic plan--the mission, vision, guiding
principles, long-term goals, and objectives. Our preliminary review of
the document indicates it reflects many of the characteristics we have
defined as desirable for a strategy. The document includes some
material on the purpose, scope, and methodology underlying the
document, what it covers, and how it was developed. For example, the
document contains a detailed timeline of key activities in the
execution of the strategic plan and how initiatives were prioritized.
Particular regional problems and performance gaps are described,
including a section on regionwide weaknesses and gaps such as the lack
of a regionwide risk assessment framework and inadequate response and
recovery for special needs populations. These gaps are cross-walked to
priority initiatives. Specific goals, objectives, and initiatives are
in the document, cross-walked to the regional gaps. Some initiative
descriptions identify if a cost is either "high," "medium," or "low"
with more detailed cost information summarized in other sections.
Our preliminary review indicates that as the ONCRC fleshes out the
November 18 document into an initial, complete strategic plan,
improvements might be made in: (1) initiatives that will accomplish
objectives under the strategic goals, (2) performance measures and
targets that indicate how the initiatives will accomplish identified
strategic goals, (3) milestones or timeframes for initiative
accomplishment, (4) information on the resources and investment for
each initiative, and (5) organizational roles, responsibilities, and
coordination, and integration and implementation plans. A discussion of
how these elements could be strengthened follows.
Initiative Development to Match Goal Objectives:
A NCR strategic plan could more fully develop initiatives to accomplish
objectives under the strategic goals. For example, the document
contains several objectives which only have one initiative. A single
initiative may not ensure that objectives are accomplished and it may
merely be restating the objective itself. For example, there is only
one initiative (regional strategic planning and decisionmaking process
enhancements) for Goal 1's first objective (enhancing and adapting the
framework for strategic planning and decision-making to achieve an
optimal balance of capabilities across the NCR). The initiative in
large part restates the objective. This initiative might be replaced by
more specific initiatives or the objective restated and additional
initiatives proposed. Other objectives in the November 18 document
provide a more complete picture of initiatives intended to meet the
objective. For any future plan, these initiatives should be reviewed to
determine if the current initiatives will fully meet the results
expected of the objectives.
Performance Measure and Target Improvements:
The NCR strategic plan could more fully measure initiative expectations
by improving performance measures and targets. First, in some cases,
the performance measures will not readily lend themselves to actual
quantitative or qualitative measurement through a tabulation,
calculation, a recording of activity or effort, or an assessment of
results that is compared to an intended purpose. Additional measures
might be necessary. For example, Goal 1, Objective 1, Initiative 1
(regional strategic planning and decision-making process) includes
measures such as (1) the decision-making system is well understood by
all stakeholders based on changed behaviors and (2) time and resources
required of stakeholders in the region to participate in the decision-
making process is more efficient. These could be either refined for
more direct measurement or additional measures posed, such as
specifying behaviors for assessment or what parts of the process might
be assessed for efficiency. Other measures in the document might serve
as examples of more direct measurement, such as those that assess
accomplishments using percentages in Goal 2, Objective 4, Initiative 1
(increasing civic involvement).
Second, the strategic plan could be improved by (1) expanding the use
of outcome measures and targets in the plan to reflect the results of
its activities and (2) limiting the use of other types of measures.
ONCRC officials said that the performance measures in the November 18
document had a greater emphasis on tracking outcomes, rather than
inputs. They stated that as programs and projects are funded and
implemented, a more thorough effort to develop associated measures for
each will be undertaken. With regard to revising measures to reflect
funded programs and projects, we would suggest NCR officials focus on
measuring outcomes of programs and projects to meet strategic goals and
objectives.
Our preliminary analysis indicates that several measures are outcome-
oriented, such as those for Goal 2, Objective 4, Initiative 1 (increase
civic involvement in all phases of disaster preparedness) that has
outcome measures such as the percentage of population that has taken
steps to develop personal preparedness and the percentage population
familiar with their workplace, school, and community emergency plans.
However, the majority of the plan's performance measures and targets
are process-or output-oriented and may not match the desired result of
the initiative. For example, the Goal 1, Objective 4, Initiative 2
(facilitating practitioner priorities into the program development
process) desired outcomes are (1) an easily understood process for
participation and feedback of the practitioner stakeholder communities
to influence programmatic initiatives and priorities defined in Goal
Groups 2, 3, and 4 and (2) an awareness and increased participation in
the range of resource opportunities. Measures for this initiative
include communication across ESFs (Emergency Support Functions), an
accountability chart, and governance guidance document show the
feedback loop between ESFs and SPG/CAO (Senior Policy Group/Chief
Administrative Officer) and Regional Working Groups. Such measures
identify completed activities or tasks, not how well understand the
process is. A fourth measure for this initiative--
understanding/agreeing on roles, responsibility and accountability--is
closer to measuring the desired outcome.
Third, many initiatives do not have performance targets. For example,
targets are missing for all or some measures for initiatives under Goal
1, Objectives 1, 3, 4, and 5. Other targets are unclear. For example,
one measure for both Goal 1, Objective 3, Initiative 1 (tasks and
capabilities for the NCR) and Goal 1, Objective 3, Initiative 2 (gap
analysis, recommendations, and appropriate actions) is the progress
towards closing the gap between baseline and target capabilities. The
target is "what we think we need to accomplish in HSPD 7/8." Any
targets such as this would require clarification if progress toward
results is to be assessed.
Timeframes:
A future NCR strategic plan could also be strengthened by including
more complete timeframes for initiative accomplishment, including
specific milestones. In some cases, the timeframe description is
missing or is inconsistent with timeframes provided within performance
measure descriptions that generally cover activities or tasks. For
example, Goal 3, Objective 1, Initiative 1 (region prevention and
mitigation framework) has a timeframe for Fall 2006, but measures
include targets in 2007. In many instances, measures of tasks or
activities include milestones, but an overall timeframe is not
indicated. For example, Goal 3, Objective 3, Initiative 1 (critical
infrastructure and high risk targets risk assessments) and Goal 4,
Objective 1, Initiative 1 (corrective action program for gaps) do not
have timeframes identified, but measures have dates extending into 2007
and 2009 respectively.
Timeframes should also match the initiative. In some cases, it is
unclear if the initiative description should be expanded to encompass
activities that appear outside the scope of the initiative as written,
but result in the timeframe for the overall initiative. For example,
Goal 3, Objective 1, Initiative 3 (health surveillance, detection and
mitigation functions plan) has an overall timeframe of December 2010,
but the 2010 date reflects implementation of a patient tracking system.
In the list of measures, the plan itself is targeted for December 2008.
Either the initiative description could be changed to include the
system or the patient tracking system measure removed or revised.
Resources and Investments:
A future NCR strategic plan could provide fuller information on the
resources and investments associated with each initiative. For example,
each initiative in the November 18 document has a section for cost and
cost factors. However, there is not an explanation in the document as
to what cost categories of "high," "medium," or "low" mean in terms of
dollar ranges. ONCRC officials told us that these descriptions should
be considered more notional in nature, with a "low" usually meaning
well under $1 million and those rated "high" in the tens of millions.
In many cases, the categorization of cost for an initiative is missing
from the November 18 initiative sections. More specificity in
describing costs would aid decisionmaking and a comparison of trade-
offs as options are considered, particularly when compared with Urban
Area Security Initiative funding information--funded and unfunded--
provided for individual initiatives. The document also could be
improved by including the sources of funding for the anticipated costs,
whether federal, state, or local, or a combination of all sources.
Organizational Contributions and Integration and Implementation
Planning:
Lastly, any future NCR strategic plan could expand on organizational
roles, responsibilities, coordination, and integration and
implementation plans. Organizational, roles, responsibilities, and
coordination for each initiative would clarify accountability and
leadership for completion of the initiative. The plan might also
include information on how the plan will be integrated with the
strategic plans of NCR jurisdictions and that of the ONCRC and related
operational and tactical implementation plans.
Concluding Observations:
There is no more important element in results-oriented management than
the effort of strategic planning. This effort is the starting point and
foundation for defining what an organization seeks to accomplish,
identifying the strategies it will use to achieve desired results and
then determining how well it succeeds in reaching results-oriented
goals and achieving objectives. Establishing clear goals, objectives,
and milestones; setting performance goals; assessing performance
against goals to set priorities; and monitoring the effectiveness of
actions taken to achieve the designated performance goals are all part
of the planning process. If done well, strategic planning is not a
static or occasional event, but rather a dynamic and inclusive process.
Continuous strategic planning provides the foundation for the most
important things an organization does each day, and fosters informed
communication between the organization and those affected by or
interested in the organization's activities.
We appreciate the fact that strategic plans, once issued, are "living
documents" which require continual assessment. There is an
understandable temptation to delay issuing a strategic plan at some
point in the ongoing strategic planning process until the plan is
considered "perfect" and all information has been collected, analyzed,
and incorporated into the plan. However, failure to complete an initial
strategic plan makes it difficult for decisionmakers to identify and
assess NCR's first strategic goals, objectives, priorities, measures,
and funding needs, and how resources can be leveraged across the region
as events warrant. We continue to recommend that the Secretary of the
Department of Homeland Security work with the NCR jurisdictions to
quickly complete a coordinated strategic plan to establish regional
goals and priorities.
That concludes my statement, Mr. Chairman. I would be pleased to
respond to 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. at (202) 512-8757, email jenkinswo@gao.gov. Sharon L.
Caudle also made key contributions to this testimony.
FOOTNOTES
[1] GAO, 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);
Homeland Security: Coordinated Planning and Standards Needed to Better
Manage First Responder Grants in the National Capital Region. GAO-04-
904T (Washington, D.C.: June 24, 2004); Homeland Security: Effective
Regional Coordination Can Enhance Emergency Preparedness. GAO-04-1009
(Washington, D.C.: September 15, 2004); Homeland Security: Managing
First Responder Grants to Enhance Emergency Preparedness in the
National Capital Region. GAO-05-889T (Washington, D.C.: July 14, 2005).
[2] The Emergency Management Accreditation Program is a voluntary
assessment and accreditation process for state/territorial, tribal, and
local government emergency management programs. Among other things,
EMAP is intended to provide a structure for identifying areas in need
of improvement and a methodology for strategic planning and
justification of resources. EMAP uses national emergency management
standards along with peer assessment teams to evaluate a program's
activities. These standards are based on the National Fire Protection
Association 1600 standard covering functional areas such as program
management and hazard identification and risk assessment.
[3] P.L. 107-296 §882.
[4] GAO-04-1009.
[5] Those priorities are: (1) implement the National Incident
Management System and National Response Plan; (2) expand regional
collaboration; (3) implement the interim National Infrastructure
Protection Plan; (4) strengthen information sharing and collaboration
capabilities; (5) strengthen interoperable communications capabilities;
(6) strengthen chemical, biological, radiological/nuclear and explosive
detection, response, and decontamination capabilities; (7) strengthen
medical surge and mass prophylaxis capabilities; and (8) review
emergency operations plans and the status of catastrophic planning.
[6] GAO. Combating Terrorism: Evaluation of Selected Characteristics in
National Strategies Related to Terrorism. GAO-04-408T (Washington,
D.C.: February 3, 2004).
