Department of Homeland Security
Progress Report on Implementation of Mission and Management Functions Gao ID: GAO-07-1081T September 6, 2007The Department of Homeland Security's (DHS) recent 4-year anniversary provides an opportunity to reflect on the progress DHS has made. The creation of DHS was one of the largest federal reorganizations in the last several decades, and GAO has reported that it was an enormous management challenge and that the size, complexity, and importance of the effort made the challenge especially daunting and critical to the nation's security. Our prior work on mergers and acquisitions has found that successful transformations of large organizations, even those faced with less strenuous reorganizations than DHS, can take at least 5 to 7 years to achieve. This testimony is based on our August 2007 report evaluating DHS's progress since March 2003. Specifically, it addresses DHS's progress across 14 mission and management areas and key themes that have affected DHS's implementation efforts.
Since its establishment in March 2003, DHS has made varying levels of progress in implementing its mission and management areas, as shown in the following table. In general, DHS has made more progress in its mission areas than in its management areas. Within its mission areas, DHS has made progress in developing plans and programs, but has faced challenges in its implementation efforts. Key underlying themes have affected DHS's implementation efforts. These include strategies to achieve agency transformation, strategic planning and results management, risk management, information sharing, and partnerships and coordination. For example, we have designated DHS's implementation and transformation as high-risk. While DHS has made progress in transforming its component agencies into a fully functioning department, it has not yet addressed elements of the transformation process, such as developing a comprehensive transformation strategy. DHS also has not yet fully adopted and applied a risk management approach in implementing its mission and management functions. Some DHS component agencies have taken steps to do so, but this approach is not yet used departmentwide. In addition, DHS has taken steps to share information and coordinate with homeland security partners but has faced difficulties in these partnership efforts. Given DHS's leading role in securing the homeland, it is critical that the department's mission and management programs operate as efficiently and effectively as possible. DHS has taken important actions to secure the border and transportation sectors and to prepare for and respond to disasters. DHS has had to undertake these missions while also working to transform itself into a fully functioning cabinet department--a difficult task for any organization. As DHS moves forward, it will be important for the department to continue to develop more measurable goals to guide implementation efforts and to enable better accountability. It will also be important for DHS to continually reassess its mission and management goals, measures, and milestones to evaluate progress made, identify past and emerging obstacles, and examine alternatives to effectively address those obstacles.
GAO-07-1081T, Department of Homeland Security: Progress Report on Implementation of Mission and Management Functions
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Testimony before the Committee on Homeland Security and Governmental
Affairs U.S. Senate:
United States Government Accountability Office:
GAO:
For Release on Delivery Expected at 1:30 p.m. EST:
Thursday, September 6, 2007:
Department Of Homeland Security:
Progress Report on Implementation of Mission and Management Functions:
Statement of David M. Walker Comptroller General of the United States:
GAO-07-1081T:
GAO Highlights:
Highlights of GAO-07-1081T, a testimony before the Committee on
Homeland Security and Governmental Affairs, U.S. Senate.
Why GAO Did This Study:
The Department of Homeland Security‘s (DHS) recent 4-year anniversary
provides an opportunity to reflect on the progress DHS has made. The
creation of DHS was one of the largest federal reorganizations in the
last several decades, and GAO has reported that it was an enormous
management challenge and that the size, complexity, and importance of
the effort made the challenge especially daunting and critical to the
nation‘s security. Our prior work on mergers and acquisitions has found
that successful transformations of large organizations, even those
faced with less strenuous reorganizations than DHS, can take at least 5
to 7 years to achieve. This testimony is based on our August 2007
report evaluating DHS‘s progress since March 2003. Specifically, it
addresses DHS‘s progress across 14 mission and management areas and key
themes that have affected DHS‘s implementation efforts.
How GAO Did this Study:
To assess DHS‘s progress for the report, GAO identified performance
expectations for each mission and management area based on legislation,
homeland security presidential directives, DHS and component agencies‘
strategic plans, and other sources.
GAO analyzed these documents to identify responsibilities for DHS and
obtained and incorporated feedback from DHS officials on the
performance expectations. On the basis of GAO‘s and the DHS Office of
Inspector General‘s (IG) prior work and updated information provided by
DHS, GAO judged the extent to which DHS has taken actions to generally
achieve each performance expectation. An assessment of generally
achieved indicated that, in our view, DHS has taken actions to satisfy
most elements of the expectation, and an assessment of generally not
achieved indicated that, in our view, DHS has not yet taken actions to
satisfy most elements of the expectation. In cases when we or the DHS
IG had not completed work upon which to base an assessment or the
information DHS provided did not enable us to clearly determine the
extent to which DHS has achieved the performance expectation, we
indicated no assessment made.
Our assessment of DHS‘s progress relative to each performance
expectation was not meant to imply that DHS should have fully achieved
the performance expectation at this point. On the basis of this
analysis, GAO determined whether DHS has made limited, modest,
moderate, or substantial progress in each mission and management area.
The assessments of progress do not reflect, nor are they intended to
reflect, the extent to which DHS‘s actions have made the nation more
secure in each area.
What GAO Found:
Since its establishment in March 2003, DHS has made varying levels of
progress in implementing its mission and management areas, as shown in
the following table. In general, DHS has made more progress in its
mission areas than in its management areas. Within its mission areas,
DHS has made progress in developing plans and programs, but has faced
challenges in its implementation efforts.
Table: Summary of Assessments of DHS's Progress in Mission and
Management Areas:
Mission/Management area: Border security;
Number of performance expectations: 12;
Number of expectations generally achieved: 5;
Number of expectations generally not achieved: 7;
Number of expectations not assessed: 0;
Overall assessment of progress: Modest.
Mission/Management area: Immigration enforcement;
Number of performance expectations: 16;
Number of expectations generally achieved: 8;
Number of expectations generally not achieved: 4;
Number of expectations not assessed: 4;
Overall assessment of progress: Moderate.
Mission/Management area: Immigration services;
Number of performance expectations: 14;
Number of expectations generally achieved: 5;
Number of expectations generally not achieved: 9;
Number of expectations not assessed: 0;
Overall assessment of progress: Modest.
Mission/Management area: Aviation security;
Number of performance expectations: 24;
Number of expectations generally achieved: 17;
Number of expectations generally not achieved: 7;
Number of expectations not assessed: 0;
Overall assessment of progress: Moderate.
Mission/Management area: Surface transportation security;
Number of performance expectations: 5;
Number of expectations generally achieved: 3;
Number of expectations generally not achieved: 2;
Number of expectations not assessed: 0;
Overall assessment of progress: Moderate.
Mission/Management area: Maritime security;
Number of performance expectations: 23;
Number of expectations generally achieved: 17;
Number of expectations generally not achieved: 4;
Number of expectations not assessed: 2;
Overall assessment of progress: Substantial.
Mission/Management area: Emergency preparedness and response;
Number of performance expectations: 24;
Number of expectations generally achieved: 5;
Number of expectations generally not achieved: 18;
Number of expectations not assessed: 1;
Overall assessment of progress: Limited.
Mission/Management area: Critical infrastructure protection;
Number of performance expectations: 7;
Number of expectations generally achieved: 4;
Number of expectations generally not achieved: 3;
Number of expectations not assessed: 0;
Overall assessment of progress: Moderate.
Mission/Management area: Science and technology;
Number of performance expectations: 6;
Number of expectations generally achieved: 1;
Number of expectations generally not achieved: 5;
Number of expectations not assessed: 0;
Overall assessment of progress: Limited.
Mission/Management area: Acquisition management;
Number of performance expectations: 3;
Number of expectations generally achieved: 1;
Number of expectations generally not achieved: 2;
Number of expectations not assessed: 0;
Overall assessment of progress: Modest.
Mission/Management area: Financial management;
Number of performance expectations: 7;
Number of expectations generally achieved: 2;
Number of expectations generally not achieved: 5;
Number of expectations not assessed: 0;
Overall assessment of progress: Modest.
Mission/Management area: Human capital management;
Number of performance expectations: 8;
Number of expectations generally achieved: 2;
Number of expectations generally not achieved: 6;
Number of expectations not assessed: 0;
Overall assessment of progress: Limited.
Mission/Management area: Information technology management;
Number of performance expectations: 13;
Number of expectations generally achieved: 2;
Number of expectations generally not achieved: 8;
Number of expectations not assessed: 3;
Overall assessment of progress: Limited.
Mission/Management area: Real property;
Number of performance expectations: 9;
Number of expectations generally achieved: 6;
Number of expectations generally not achieved: 3;
Number of expectations not assessed: 0;
Overall assessment of progress: Moderate.
Total;
Number of performance expectations: 171;
Number of expectations generally achieved: 78;
Number of expectations generally not achieved: 83;
Number of expectations not assessed: 10.
Source: GAO analysis.
Definitions:
Substantial progress: DHS has taken actions to generally achieve more
than 75 percent of the identified performance expectations.
Moderate progress: DHS has taken actions to generally achieve more than
50 percent but 75 percent or less of the identified performance
expectations.
Modest progress: DHS has taken actions to generally achieve more than
25 percent but 50 percent or less of the identified performance
expectations.
Limited progress: DHS has taken actions to generally achieve 25 percent
or less of the identified performance expectations.
[End of table]
Key underlying themes have affected DHS‘s implementation efforts. These
include strategies to achieve agency transformation, strategic planning
and results management, risk management, information sharing, and
partnerships and coordination. For example, we have designated DHS‘s
implementation and transformation as high-risk. While DHS has made
progress in transforming its component agencies into a fully
functioning department, it has not yet addressed elements of the
transformation process, such as developing a comprehensive
transformation strategy. DHS also has not yet fully adopted and applied
a risk management approach in implementing its mission and management
functions. Some DHS component agencies have taken steps to do so, but
this approach is not yet used departmentwide. In addition, DHS has
taken steps to share information and coordinate with homeland security
partners but has faced difficulties in these partnership efforts.
Given DHS‘s leading role in securing the homeland, it is critical that
the department‘s mission and management programs operate as efficiently
and effectively as possible. DHS has taken important actions to secure
the border and transportation sectors and to prepare for and respond to
disasters. DHS has had to undertake these missions while also working
to transform itself into a fully functioning cabinet department”a
difficult task for any organization. As DHS moves forward, it will be
important for the department to continue to develop more measurable
goals to guide implementation efforts and to enable better
accountability. It will also be important for DHS to continually
reassess its mission and management goals, measures, and milestones to
evaluate progress made, identify past and emerging obstacles, and
examine alternatives to effectively address those obstacles.
What GAO Recommends:
While this testimony contains no new recommendations, GAO has made
approximately 700 recommendations to DHS. DHS has implemented some of
these recommendations and taken actions to address others. However, we
have reported that the department still has much to do to ensure that
it conducts its missions efficiently and effectively while it
simultaneously prepares to address future challenges that face the
department and the nation.
In commenting on a draft of our report, DHS raised some concerns
regarding aspects of our methodology, including the criteria used and
consistent application of the criteria. We believe that we have fully
disclosed and consistently applied the methodology in our report and
that it provides a sound basis for our progress report. DHS also
disagreed with our assessment for 42 of the 171 performance
expectations. Our report provides a detailed response to DHS‘s comments
on the 42 expectations. Overall, we appreciate DHS‘s concerns and
recognize that in such a broad-based endeavor, some level of
disagreement is inevitable, especially at any given point in time.
However, we have been as transparent as possible regarding our purpose,
methodology, and professional judgments.
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-07-1081T].
To view the full product, including the scope and methodology, click on
the link above. For more information, contact Norman J. Rabkin at (202)
512-8777 or rabkinn@gao.gov.
[End of section]
Mr. Chairman and Members of the Committee:
I appreciate the opportunity to appear today to discuss the Department
of Homeland Security's (DHS) efforts to implement its major mission and
management functions. At your request we issued a report last month
evaluating progress DHS has made since March 2003.[Footnote 1] This
report defines specific actions DHS is to achieve based on legislation,
homeland security presidential directives, DHS strategic planning
documents, and other sources and reports the progress the department
has made in implementing programmatic and management activities based
on its achievement of these actions. However, the assessments of
progress are not indicative of the extent to which DHS's actions have
made the nation more secure in each area. Moreover, our assessments do
not imply that DHS would have or should have achieved all of the
actions we identified. On the other hand, failure to effectively
implement these actions could have serious consequences for our
homeland security, and it is important for Congress and other
stakeholders to have a sense of the department's accomplishments to
date as well as areas for further focus to help inform oversight and
investment decisions.
Prior to the creation of DHS, we testified on whether the
reorganization of government agencies might better address the nation's
homeland security needs.[Footnote 2] At that time, we testified that
the nation had a unique opportunity to create an effective and
performance-based organization to strengthen the nation's ability to
protect its borders and citizens. We noted that the magnitude of the
challenges that the new department would face would require substantial
time and effort and that implementation of the new department would be
extremely complex. Often it has taken years for the consolidated
functions in new organizations to effectively build on their combined
strengths, and it is not uncommon for management challenges to remain
for decades. For example, the 1947 legislation creating the Department
of Defense (DOD) was amended by Congress in 1949, 1953, 1958, and 1986
to improve the department's structural effectiveness. Despite these and
other changes made by DOD, we have reported that more than 50 years
after its establishment, DOD continues to face a number of serious
management challenges.
DHS began operations in March 2003 with missions that include
preventing terrorist attacks from occurring within the United States,
reducing U.S. vulnerability to terrorism, minimizing the damages from
attacks that occur, and helping the nation recover from any attacks.
The department has initiated and continued the implementation of
various policies and programs to address these missions as well as its
nonhomeland security functions.[Footnote 3] DHS has also taken actions
to integrate its management functions and to transform its component
agencies into an effective cabinet department. In 2003, we designated
the implementation and transformation of DHS as high-risk because it
represented an enormous undertaking that would require time to achieve
in an effective and efficient manner.[Footnote 4] Additionally, the
components merged into DHS already faced a wide array of existing
challenges, and any DHS failure to effectively carry out its mission
would expose the nation to potentially serious consequences. The area
has remained on our high-risk list since 2003.[Footnote 5] In
designating the implementation and transformation of DHS as high-risk,
we noted that building an effective department would require consistent
and sustained leadership from top management to ensure the needed
transformation of disparate agencies, programs, and missions into an
integrated organization. Our prior work on mergers and acquisitions,
undertaken before the creation of DHS, found that successful
transformations of large organizations, even those faced with less
strenuous reorganizations than DHS, can take at least 5 to 7 years to
achieve.
My comments are based on the results of a report issued last month
evaluating the extent to which DHS has achieved congressional and
Administration expectations in its major mission and management areas.
In my testimony, I will explain how we conducted our work for the
report and discuss the results of that work. I will also discuss the
key themes that have affected the department's efforts to implement its
mission and management areas. These key themes include agency
transformation, strategic planning and results management, risk
management, information sharing, and partnerships and coordination.
We conducted our work in accordance with generally accepted government
auditing standards.
Summary:
Our report provides assessments of DHS's progress across 14 mission and
management areas. For each area we identified performance expectations
based on responsibilities set out in legislation, homeland security
presidential directives and executive orders, DHS planning documents,
and other sources. Our analysts and subject matter experts reviewed our
prior work, DHS Inspector General (IG) work, and information DHS
provided to assess whether DHS generally achieved each expectation. We
used these performance expectation assessments to determine DHS's
overall progress in each mission and management area. In commenting on
a draft of our report, DHS raised concerns about our methodology,
including the criteria we used for assessing the extent to which DHS
has achieved each performance expectation and our consistent
application of the criteria. We discussed our criteria and methodology
with DHS officials throughout our review and took steps to ensure their
consistent application. We believe that our methodology provides a
sound basis for our progress report. Overall, we appreciate DHS's
concerns and recognize that in such a broad-based endeavor, some level
of disagreement is inevitable. However, we have been as transparent as
possible regarding our purpose, methodology, and professional
judgments.
DHS has made varying levels of progress in implementing its mission and
management areas since March 2003, as shown in table 1. In general, DHS
has made more progress in its mission areas than in its management
areas, which reflects an understandable focus on implementing efforts
to secure the nation. Within its mission areas, DHS has made progress
in developing plans and programs but has faced difficulties in
implementing them. In commenting on a draft of the report issued last
month, DHS disagreed with our assessments for 42 of the 171 performance
expectations. We provide a detailed response to DHS's comments on the
42 expectations in the report.
Table 1: Summary of Assessments of Progress Made by DHS in Its Mission
and Management Areas:
Mission/ management area: Border security;
Number of performance expectations: 12;
Number of performance expectations generally achieved: 5;
Number of performance expectations generally not achieved: 7;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Modest.
Mission/ management area: Immigration enforcement;
Number of performance expectations: 16;
Number of performance expectations generally achieved: 8;
Number of performance expectations generally not achieved: 4;
Number of performance expectations not assessed: 4;
Overall assessment of progress: Moderate.
Mission/ management area: Immigration services;
Number of performance expectations: 14;
Number of performance expectations generally achieved: 5;
Number of performance expectations generally not achieved: 9;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Modest.
Mission/ management area: Aviation security;
Number of performance expectations: 24;
Number of performance expectations generally achieved: 17;
Number of performance expectations generally not achieved: 7;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Moderate.
Mission/ management area: Surface transportation security;
Number of performance expectations: 5;
Number of performance expectations generally achieved: 3;
Number of performance expectations generally not achieved: 2;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Moderate.
Mission/ management area: Maritime security;
Number of performance expectations: 23;
Number of performance expectations generally achieved: 17;
Number of performance expectations generally not achieved: 4;
Number of performance expectations not assessed: 2;
Overall assessment of progress: Substantial.
Mission/ management area: Emergency preparedness and response;
Number of performance expectations: 24;
Number of performance expectations generally achieved: 5;
Number of performance expectations generally not achieved: 18;
Number of performance expectations not assessed: 1;
Overall assessment of progress: Limited.
Mission/ management area: Critical infrastructure and key resources
protection;
Number of performance expectations: 7;
Number of performance expectations generally achieved: 4;
Number of performance expectations generally not achieved: 3;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Moderate.
Mission/ management area: Science and technology;
Number of performance expectations: 6;
Number of performance expectations generally achieved: 1;
Number of performance expectations generally not achieved: 5;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Limited.
Mission/ management area: Acquisition management;
Number of performance expectations: 3;
Number of performance expectations generally achieved: 1;
Number of performance expectations generally not achieved: 2;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Modest.
Mission/ management area: Financial management;
Number of performance expectations: 7;
Number of performance expectations generally achieved: 2;
Number of performance expectations generally not achieved: 5;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Modest.
Mission/ management area: Human capital management;
Number of performance expectations: 8;
Number of performance expectations generally achieved: 2;
Number of performance expectations generally not achieved: 6;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Limited.
Mission/ management area: Information technology management;
Number of performance expectations: 13;
Number of performance expectations generally achieved: 2;
Number of performance expectations generally not achieved: 8;
Number of performance expectations not assessed: 3;
Overall assessment of progress: Limited.
Mission/ management area: Real property management;
Number of performance expectations: 9;
Number of performance expectations generally achieved: 6;
Number of performance expectations generally not achieved: 3;
Number of performance expectations not assessed: 0;
Overall assessment of progress: Moderate.
Mission/ management area: Total;
Number of performance expectations: 171;
Number of performance expectations generally achieved: 78;
Number of performance expectations generally not achieved: 83;
Number of performance expectations not assessed: 10;
Overall assessment of progress: [Empty].
Source: GAO analysis.
[End of table]
A variety of cross-cutting issues have affected DHS's efforts to
implement its mission and management functions. These key issues
include agency transformation, strategic planning and results
management, risk management, information sharing, and partnerships and
coordination.
* We initially designated the implementation and transformation of DHS
as a high-risk area because it represented an enormous undertaking that
would require time to achieve and the components to be merged into DHS
already faced a wide array of challenges. We continued this designation
in 2005 and 2007 in part because DHS's management systems and functions
are not yet fully integrated and wholly operational.
* DHS has not always implemented effective strategic planning efforts
and has not yet fully developed performance measures or put in place
structures to help ensure that the agency is managing for results. For
example, we have reported that some component agencies have had
difficulties developing outcome-based goals and measures for assessing
program performance. We have also noted that DHS faces inherent
challenges in developing outcome-based goals and measures to assess the
effect of its efforts on strengthening homeland security.
* The National Strategy for Homeland Security and DHS's strategic plan
have called for the use of risk-based decisions to prioritize DHS's
resource investments. We have found that while some DHS component
agencies, such as the Coast Guard, have taken steps to apply risk-based
decision making in implementing some of its mission functions, other
components have not utilized such an approach.
* We have designated information sharing for homeland security as high-
risk in part because the nation still lacks an implemented set of
governmentwide policies and processes for sharing terrorism-related
information. The federal government has issued a strategy for how it
will put in place the overall framework and policies for sharing
information with critical partners. DHS has taken actions to implement
its information-sharing responsibilities, but we have reported that DHS
faces challenges in continuing to develop productive information-
sharing relationships with federal agencies, state and local
governments, and the private sector.
* The National Strategy for Homeland Security underscores the
importance of DHS partnering with other stakeholders, as the majority
of the strategy's initiatives are intended to be implemented by three
or more federal agencies. DHS has taken steps to strengthen partnering
frameworks and capabilities. However, we have also reported on
difficulties DHS faces in its partnership efforts, such as in
coordinating with its emergency preparedness and response partners in
the wake of Hurricanes Katrina and Rita.
Given DHS's leading role in securing the homeland, it is critical that
the department's mission and management programs are operating as
efficiently and effectively as possible. DHS has taken important
actions to secure the border and transportation sectors and to prepare
for and respond to disasters. DHS has had to undertake these missions
while also working to transform itself into a fully functioning cabinet
department--a difficult task for any organization. As it moves forward,
DHS will continue to face the challenges that have affected its
operations thus far, including transforming into a high-performing,
results-oriented agency; developing results-oriented goals and measures
to effectively assess performance; developing and implementing a risk-
based approach to guide resource decisions; and establishing effective
frameworks and mechanisms for sharing information and coordinating with
homeland security partners. DHS has undertaken efforts to address these
challenges but will need to give continued attention to these efforts
in order to efficiently and effectively identify and prioritize mission
and management needs, implement efforts to address those needs, and
allocate resources accordingly. As DHS continues to evolve and
implements its programs, we will continue to review its progress and
report to Congress and the public on our work.
Background:
In July 2002, President Bush issued the National Strategy for Homeland
Security. The strategy set forth overall objectives to prevent
terrorist attacks within the United States, reduce America's
vulnerability to terrorism, and minimize the damage and assist in the
recovery from attacks that occur. The strategy set out a plan to
improve homeland security through the cooperation and partnering of
federal, state, local, and private sector organizations on an array of
functions. The National Strategy for Homeland Security specified a
number of federal departments, as well as nonfederal organizations,
that have important roles in securing the homeland. In terms of federal
departments, DHS was assigned a leading role in implementing
established homeland security mission areas.
In November 2002, the Homeland Security Act of 2002 was enacted into
law, creating DHS. This act defined the department's missions to
include preventing terrorist attacks within the United States; reducing
U.S. vulnerability to terrorism; and minimizing the damages, and
assisting in the recovery from, attacks that occur within the United
States. The act also specified major responsibilities for the
department, including to analyze information and protect
infrastructure; develop countermeasures against chemical, biological,
radiological, and nuclear, and other emerging terrorist threats; secure
U.S. borders and transportation systems; and organize emergency
preparedness and response efforts. DHS began operations in March 2003.
Its establishment represented a fusion of 22 federal agencies to
coordinate and centralize the leadership of many homeland security
activities under a single department.[Footnote 6]
A variety of factors have affected DHS's efforts to implement its
mission and management functions. These factors include both domestic
and international events, such as Hurricanes Katrina and Rita, and
major homeland security-related legislation. Figure 1 provides a
timeline of key events that have affected DHS's implementation.
Figure 1: Selected Key Events That Have Affected Department of Homeland
Security Implementation:
[See PDF for image]
Source: GAO analysis.
[End of figure]
Our Report Assesses DHS's Progress in Implementing Its Mission and
Management Functions:
Our report assesses DHS's progress across 14 mission and management
areas. We based these areas on those identified in the National
Strategy for Homeland Security, the goals and objectives set forth in
the DHS strategic plan and homeland security presidential directives,
our reports, and studies conducted by the DHS IG and other
organizations and groups, such as the 9/11 Commission and the Century
Foundation. The 14 we identified are:
1. Border security:
2. Immigration enforcement:
3. Immigration services:
4. Aviation security:
5. Surface transportation security:
6. Maritime security:
7. Emergency preparedness and response:
8. Critical infrastructure and key resources protection:
9. Science and technology:
10. Acquisition management:
11. Financial management:
12. Human capital management:
13. Information technology management:
14. Real property management:
For each mission and management area, we identified performance
expectations and vetted them with DHS officials. These performance
expectations are a composite of the responsibilities or functions--
derived from legislation, homeland security presidential directives and
executive orders, DHS planning documents, and other sources--that the
department is to achieve.[Footnote 7] Our analysts and subject matter
experts reviewed our prior work, DHS IG work, and evidence DHS provided
between March and July 2007, including DHS officials' assertions when
supported by documentation. On the basis of this analysis and our
experts' judgment, we then assessed the extent to which DHS had
achieved each of the expectations we identified. We made preliminary
assessments for each performance expectation based solely on GAO and
DHS IG work. In March through July, we received additional information
from DHS, which we reviewed and used to inform our final assessments.
In some cases the assessments remained the same as our preliminary
ones, and in other cases they changed.
When our review of our prior work, the DHS IG's work, and DHS's
documentation indicated that DHS had satisfied most of the key elements
of a performance expectation, we concluded that DHS had generally
achieved it. When our reviews showed that DHS had not yet satisfied
most of the key elements of a performance expectation, we concluded
that DHS had generally not achieved it. More specifically, where our
prior work or that of the DHS IG indicated DHS had not achieved a
performance expectation and DHS did not provide documentation to prove
otherwise, we concluded that DHS had generally not achieved it. For a
small number of performance expectations we could not make an
assessment because neither we nor the DHS IG had completed work and the
information DHS provided did not enable us to clearly assess DHS's
progress.
We used these performance expectation assessments to determine DHS's
overall progress in each mission and management area. After making an
assessment for each performance expectation, we added up those rated as
generally achieved. We divided this number by the total number of
performance expectations for the mission or management area, excluding
those performance expectations for which we could not make an
assessment. If DHS generally achieved more than 75 percent of the
identified performance expectations, we identified its overall progress
as substantial. When the number achieved was more than 50 percent but
75 percent or less, we identified its overall progress as moderate. If
DHS generally achieved more than 25 percent but 50 percent or less, we
identified its overall progress as modest. For mission and management
areas in which DHS generally achieved 25 percent or less of the
performance expectations, we identified overall progress as limited.
We and the DHS IG have completed varying degrees of work for each
mission and management area, and DHS's components and offices provided
us with different amounts and types of information. As a result, our
assessments of DHS's progress in each mission and management area
reflect the information available for our review and analysis and are
not equally comprehensive across all 14 mission and management areas.
It is also important to note that while there are qualitative
differences between the performance expectations, we did not weigh some
more heavily than others in our overall assessments of mission and
management areas. We also recognize that these expectations are not
time bound, and DHS will take actions to satisfy these expectations
over a sustained period of time. Our assessment of DHS's progress
relative to each performance expectation refers to the progress made by
the department since March 2003 and does not imply that DHS should have
fully achieved each performance expectation at this point.
In commenting on a draft of our report, DHS took issues with our
methodology. First, DHS believed that we altered the criteria we used
to judge the department's progress. We did not change our criteria;
rather we made a change in terminology to better convey the intent
behind the performance expectations that DHS achieve them instead of
merely take actions that apply or relate to them. Second, DHS took
issue with the binary standard approach we used to assess each
performance expectation. We acknowledge the limitations of this
standard in our report but believe it was appropriate for our review
given that the Administration has generally not established
quantitative goals and measures for the expectations. Therefore, we
could not assess where along a spectrum of progress DHS stood in
achieving each performance expectation. Third, DHS was concerned about
an apparent shift in criteria we applied after the department provided
us additional information and documents. What DHS perceived as a change
in criteria for certain performance expectations was really the process
by which we disclosed our preliminary assessment; analyzed additional
documents and information from DHS; and updated and, in many cases
revised, our assessments based on the additional inputs. Fourth, DHS
raised concerns with consistency in our application of the methodology.
Our core team of GAO analysts and managers reviewed all inputs from GAO
staff to ensure consistent application of our methodology, criteria,
and analytical process, and our quality control process included
detailed reviews of the report's facts as well as assurances that we
followed generally accepted government auditing standards. Finally, DHS
points outs that we treated all performance expectations as if they
were of equal significance. In our report, we acknowledged that
differences exist, but we did not weight the performance expectations
because congressional, departmental, and others' views on the relative
priority of each expectation may be different, and we did not believe
it was appropriate to substitute our judgment for theirs.
Overall, we appreciate DHS's concerns and recognize that in such a
broad-based endeavor, some level of disagreement is inevitable,
especially at any given point in time. However, we have been as
transparent as possible regarding our purpose, methodology, and
professional judgments and believe that our methodology provides a
sound basis for the progress report.
DHS Has Made Progress in Implementing Mission and Management Functions
but Has Faced Difficulties in Its Implementation Efforts:
Our report shows that since March 2003, DHS has attained some level of
progress in implementing the performance expectations in all of its
major mission and management areas, but the rate of progress among
these areas has varied. Overall, DHS has made more progress in its
mission areas than in its management areas, reflecting an
understandable focus on implementing efforts to secure the homeland. As
DHS continues to mature as an organization, we believe it will be able
to put more focus--and achieve more expectations--in the management
areas.
Within its mission areas, DHS has made more progress in developing
strategies, plans, and programs than in implementing them. For example,
in the area of border security we found that DHS has developed a
multiyear strategy and initiative for identifying illegal border
crossings between ports of entry. However, DHS is in the early stages
of implementing this strategy, and we and the DHS IG identified
problems with implementation of past programs with similar objectives.
Likewise, in the area of emergency preparedness and response, DHS has
developed the National Incident Management System. However, we have
reported that much more work remains for DHS to effectively coordinate
its implementation.
Below we provide more information on progress made by DHS in its
mission and management areas.
* DHS's border security mission includes detecting and preventing
terrorists and terrorist weapons from entering the United States;
facilitating the orderly and efficient flow of legitimate trade and
travel; interdicting illegal drugs and other contraband; apprehending
individuals who are attempting to enter the United States illegally;
inspecting inbound and outbound people, vehicles, and cargo; and
enforcing laws of the United States at the border. As shown in table 2,
we identified 12 performance expectations for DHS in the area of border
security and found that DHS has generally achieved 5 of them and has
generally not achieved 7 others.
Table 2: Summary of Our Assessments for DHS's Border Security
Performance Expectations:
Performance expectation: Generally achieved;
Total: 5;
Generally achieved: Implement a biometric entry system to prevent
unauthorized border crossers from entering the United States through
ports of entry;
Generally achieved: Develop a program to detect and identify illegal
border crossings between ports of entry;
Generally achieved: Develop a strategy to detect and interdict illegal
flows of cargo, drugs, and other items into the United States;
Generally achieved: Provide adequate training for all border- related
employees;
Generally achieved: Develop staffing plans for hiring and allocating
human capital resources to fulfill the agency's border security
mission;
Performance expectation: Generally not achieved;
Total: 7;
Generally not achieved: Implement a biometric exit system to collect
information on border crossers leaving the United States through ports
of entry;
Generally not achieved: Implement a program to detect and identify
illegal border crossings between ports of entry;
Generally not achieved: Implement a strategy to detect and interdict
illegal flows of cargo, drugs, and other items into the United States;
Generally not achieved: Implement effective security measures in the
visa issuance process;
Generally not achieved: Implement initiatives related to the security
of certain documents used to enter the United States;
Generally not achieved: Ensure adequate infrastructure and facilities;
Generally not achieved: Leverage technology, personnel, and information
to secure the border;
Generally not achieved: Overall assessment of progress;
Total: Modest.
Source: GAO analysis.
[End of table]
* DHS's immigration enforcement mission includes apprehending,
detaining, and removing criminal and illegal aliens;
disrupting and dismantling organized smuggling of humans and contraband
as well as human trafficking; investigating and prosecuting those who
engage in benefit and document fraud; blocking and removing employers'
access to undocumented workers; and enforcing compliance with programs
to monitor visitors. As shown in table 3, we identified 16 performance
expectations for DHS in the area of immigration enforcement and found
that DHS has generally achieved 8 of them and has generally not
achieved 4 others. For 4 performance expectations, we could not make an
assessment.
Table 3: Summary of Our Assessments for DHS's Immigration Enforcement
Performance Expectations:
Performance expectation: Generally achieved;
Total: 8;
Generally achieved: Develop a program to ensure the timely
identification and removal of noncriminal aliens subject to removal
from the United States;
Generally achieved: Assess and prioritize the use of alien detention
resources to prevent the release of aliens subject to removal;
Generally achieved: Develop a program to allow for the secure
alternative detention of noncriminal aliens;
Generally achieved: Develop a prioritized worksite enforcement strategy
to ensure that only authorized workers are employed;
Generally achieved: Develop a comprehensive strategy to interdict and
prevent trafficking and smuggling of aliens into the United States;
Generally achieved: Develop a law enforcement strategy to combat
criminal alien gangs in the United States and cross-border criminal
activity;
Generally achieved: Develop a program to screen and respond to local
law enforcement and community complaints about aliens who many be
subject to removal;
Generally achieved: Develop staffing plans for hiring and allocating
human capital resources to fulfill the agency's immigration enforcement
mission;
Generally achieved: Generally not achieved;
Total: 4;
Generally not achieved: Implement a program to ensure the timely
identification and removal of noncriminal aliens subject to removal
from the United States;
Generally not achieved: Ensure the removal of criminal aliens;
Generally not achieved: Implement a prioritized worksite enforcement
strategy to ensure that only authorized workers are employed;
Generally not achieved: Implement a comprehensive strategy to interdict
and prevent trafficking and smuggling of aliens into the United States;
Performance expectation: No assessment made;
Total: 4;
No assessment made: Implement a program to allow for the secure
alternative detention of noncriminal aliens;
No assessment made: Implement a law enforcement strategy to combat
criminal alien gangs in the United States and cross-border criminal
activity;
No assessment made: Disrupt and dismantle mechanisms for money
laundering and financial crimes;
No assessment made: Provide training, including foreign language
training, and equipment for all immigration enforcement personnel to
fulfill the agency's mission;
Performance expectation: Overall assessment of progress;
Total: Moderate.
Source: GAO analysis.
[End of table]
* DHS's immigration services mission includes administering immigration
benefits and working to reduce immigration benefit fraud. As shown in
table 4, we identified 14 performance expectations for DHS in the area
of immigration services and found that DHS has generally achieved 5 of
them and has generally not achieved 9 others.
Table 4: Summary of Our Assessments for DHS's Immigration Services
Performance Expectations:
Performance expectation: Generally achieved;
Total: 5.
Generally achieved: Institute process and staffing reforms to improve
application processes;
Generally achieved: Establish online access to status information about
benefit applications;
Generally achieved: Establish revised immigration application fees
based on a comprehensive fee study;
Generally achieved: Communicate immigration-related information to
other relevant agencies;
Generally achieved: Create an office to reduce immigration benefit
fraud;
Performance expectation: Generally not achieved;
Total: 9;
Generally not achieved: Eliminate the benefit application backlog and
reduce application completion times to 6 months;
Generally not achieved: Performance expectation: Establish a timetable
for reviewing the program rules, business processes, and procedures for
immigration benefit applications;
Generally not achieved: Performance expectation: Institute a case
management system to manage applications and provide management
information;
Generally not achieved: Performance expectation: Develop new programs
to prevent future backlogs from developing;
Generally not achieved: Performance expectation: Establish online
filing for benefit applications;
Generally not achieved: Performance expectation: Capture biometric
information on all benefits applicants;
Generally not achieved: Performance expectation: Implement an automated
background check system to track and store all requests for
applications;
Generally not achieved: Performance expectation: Establish training
programs to reduce fraud in the benefits process;
Generally not achieved: Performance expectation: Implement a fraud
assessment program to reduce benefit fraud;
Performance expectation: Overall assessment of progress;
Total: Modest.
Source: GAO analysis.
[End of table]
* DHS's aviation security mission includes strengthening airport
security; providing and training a screening workforce; prescreening
passengers against terrorist watch lists; and screening passengers,
baggage, and cargo. As shown in table 5, we identified 24 performance
expectations for DHS in the area of aviation security and found that
DHS has generally achieved 17 of them and has generally not achieved 7
others.
Table 5: Summary of Our Assessments for DHS's Aviation Security
Performance Expectations:
Performance expectation: Generally achieved;
Total: 17l;
Generally achieved: Implement a strategic approach for aviation
security functions;
Generally achieved: Ensure the screening of airport employees against
terrorist watch lists;
Generally achieved: Hire and deploy a federal screening workforce;
Generally achieved: Develop standards for determining aviation security
staffing at airports;
Generally achieved: Establish standards for training and testing the
performance of airport screener staff;
Generally achieved: Establish a program and requirements to allow
eligible airports to use a private screening workforce;
Generally achieved: Train and deploy federal air marshals on high- risk
flights;
Generally achieved: Establish standards for training flight and cabin
crews;
Generally achieved: Establish a program to allow authorized flight deck
officers to use firearms to defend against any terrorist or criminal
acts;
Generally achieved: Establish policies and procedures to ensure that
individuals known to pose, or suspected of posing, a risk or threat to
security are identified and subjected to appropriate action;
Generally achieved: Develop and implement processes and procedures for
physically screening passengers at airport checkpoints;
Generally achieved: Develop and test checkpoint technologies to address
vulnerabilities;
Generally achieved: Deploy explosive detection systems (EDS) and
explosive trace detection (ETD) systems to screen checked baggage for
explosives;
Generally achieved: Develop a plan to deploy in-line baggage screening
equipment at airports;
Generally achieved: Pursue the deployment and use of in-line baggage
screening equipment at airports;
Generally achieved: Develop a plan for air cargo security;
Generally achieved: Develop and implement procedures to screen air
cargo;
Performance expectation: Generally not achieved;
Total: 7;
Generally not achieved: Establish standards and procedures for
effective airport perimeter security;
Generally not achieved: Establish standards and procedures to
effectively control access to airport secured areas;
Generally not achieved: Establish procedures for implementing biometric
identifier systems for airport secured areas access control;
Generally not achieved: Develop and implement an advanced prescreening
system to allow DHS to compare domestic passenger information to the
Selectee List and No Fly List;
Generally not achieved: Develop and implement an international
passenger prescreening process to compare passenger information to
terrorist watch lists before aircraft departure;
Generally not achieved: Deploy checkpoint technologies to address
vulnerabilities;
Generally not achieved: Develop and implement technologies to screen
air cargo;
Performance expectation: Overall assessment of progress;
Total: Moderate.
Source: GAO analysis.
[End of table]
* DHS's surface transportation security mission includes establishing
security standards and conducting assessments and inspections of
surface transportation modes, which include passenger and freight rail;
mass transit; highways, including commercial vehicles; and pipelines.
As shown in table 6, we identified 5 performance expectations for DHS
in the area of surface transportation security and found that DHS has
generally achieved 3 of them and has generally not achieved 2.
Table 6: Summary of Our Assessments for DHS's Surface Transportation
Security Performance Expectations:
Performance expectation: Generally achieved;
Total: 3;
Generally achieved: Develop and adopt a strategic approach for
implementing surface transportation security functions;
Generally achieved: Conduct threat, criticality, and vulnerability
assessments of surface transportation assets;
Generally achieved: Administer grant programs for surface
transportation security;
Performance expectation: Generally not achieved;
Total: 2;
Generally not achieved: Issue standards for securing surface
transportation modes;
Generally not achieved: Conduct compliance inspections for surface
transportation systems;
Performance expectation: Overall assessment of progress;
Total: Moderate.
Source: GAO analysis.
[End of table]
* DHS's maritime security responsibilities include port and vessel
security, maritime intelligence, and maritime supply chain security. As
shown in table 7, we identified 23 performance expectations for DHS in
the area of maritime security and found that DHS has generally achieved
17 of them and has generally not achieved 4 others. For 2 performance
expectations, we could not make an assessment.
Table 7: Summary of Our Assessments for DHS's Maritime Security
Performance Expectations:
Performance expectation: Generally achieved;
Total: 17;
Generally achieved: Develop national plans for maritime security;
Generally achieved: Develop national plans for maritime response;
Generally achieved: Develop national plans for maritime recovery;
Generally achieved: Develop regional (port-specific) plans for
security;
Generally achieved: Develop regional (port-specific) plans for
response;
Generally achieved: Ensure port facilities have completed vulnerability
assessments and developed security plans;
Generally achieved: Ensure that vessels have completed vulnerability
assessments and developed security plans;
Generally achieved: Exercise security, response, and recovery plans
with key maritime stakeholders to enhance security, response, and
recovery efforts;
Generally achieved: Implement a port security grant program to help
facilities improve their security capabilities;
Generally achieved: Establish operational centers to monitor threats
and fuse intelligence and operations at the regional/port level;
Generally achieved: Collect information on incoming ships to assess
risks and threats;
Generally achieved: Develop a vessel-tracking system to improve
intelligence and maritime domain awareness on vessels in U.S. waters;
Generally achieved: Collect information on arriving cargo for screening
purposes;
Generally achieved: Develop a system for screening and inspecting cargo
for illegal contraband;
Generally achieved: Develop a program to work with foreign governments
to inspect suspicious cargo before it leaves for U.S. ports;
Generally achieved: Develop a program to work with the private sector
to improve and validate supply chain security;
Generally achieved: Develop an international port security program to
assess security at foreign ports;
Performance expectation: Generally not achieved;
Total: 4.
Generally not achieved: Develop regional (port-specific) plans for
recovery;
Generally not achieved: Implement a national facility access control
system for port secured areas;
Generally not achieved: Develop a long-range vessel-tracking system to
improve maritime domain awareness;
Generally not achieved: Develop a program to screen incoming cargo for
radiation;
Performance expectation: No assessment made;
Total: 2;
No assessment made: Develop a national plan to establish and improve
maritime intelligence;
No assessment made: Develop standards for cargo containers to ensure
their physical security;
Performance expectation: Overall assessment of progress;
Total: Substantial.
Source: GAO analysis.
[End of table]
* DHS's emergency preparedness and response mission includes preparing
to minimize the damage and recover from terrorist attacks and
disasters; helping to plan, equip, train, and practice needed skills of
first responders; and consolidating federal response plans and
activities to build a national, coordinated system for incident
management. As shown in table 8, we identified 24 performance
expectations for DHS in the area of emergency preparedness and response
and found that DHS has generally achieved 5 of them and has generally
not achieved 18 others. For 1 performance expectation, we could not
make an assessment.
Table 8: Summary of Our Assessments for DHS's Emergency Preparedness
and Response Performance Expectations:
Performance expectation: Generally achieved;
Total: 5;
Generally achieved: Establish a program for conducting emergency
preparedness exercises;
Generally achieved: Develop a national incident management system;
Generally achieved: Provide grant funding to first responders in
developing and implementing interoperable communications capabilities;
Generally achieved: Administer a program for providing grants and
assistance to state and local governments and first responders;
Generally achieved: Allocate grants based on assessment factors that
account for population, critical infrastructure, and other risk
factors;
Performance expectation: Generally not achieved;
Total: 18;
Generally not achieved: Establish a comprehensive training program for
national preparedness;
Generally not achieved: Conduct and support risk assessments and risk
management capabilities for emergency preparedness;
Generally not achieved: Ensure the capacity and readiness of disaster
response teams;
Generally not achieved: Coordinate implementation of a national
incident management system;
Generally not achieved: Establish a single, all-hazards national
response plan;
Generally not achieved: Coordinate implementation of a single, all-
hazards response plan;
Generally not achieved: Develop a complete inventory of federal
response capabilities;
Generally not achieved: Develop a national, all-hazards preparedness
goal;
Generally not achieved: Develop plans and capabilities to strengthen
nationwide recovery efforts;
Generally not achieved: Develop the capacity to provide needed
emergency assistance and services in a timely manner;
Generally not achieved: Provide timely assistance and services to
individuals and communities in response to emergency events;
Generally not achieved: Implement a program to improve interoperable
communications among federal, state, and local agencies;
Generally not achieved: Implement procedures and capabilities for
effective interoperable communications;
Generally not achieved: Increase the development and adoption of
interoperability communications standards;
Generally not achieved: Develop performance goals and measures to
assess progress in developing interoperability;
Generally not achieved: Provide guidance and technical assistance to
first responders in developing and implementing interoperable
communications capabilities;
Generally not achieved: Provide assistance to state and local
governments to develop all-hazards plans and capabilities;
Generally not achieved: Develop a system for collecting and
disseminating lessons learned and best practices to emergency
responders;
Performance expectation: No assessment made;
Total: 1;
No assessment made: Support citizen participation in national
preparedness efforts;
Performance expectation: Overall assessment of progress;
Total: Limited.
Source: GAO analysis.
[End of table]
* DHS's critical infrastructure and key resources protection activities
include developing and coordinating implementation of a comprehensive
national plan for critical infrastructure protection, developing
partnerships with stakeholders and information sharing and warning
capabilities, and identifying and reducing threats and vulnerabilities.
As shown in table 9, we identified 7 performance expectations for DHS
in the area of critical infrastructure and key resources protection and
found that DHS has generally achieved 4 of them and has generally not
achieved 3 others.
Table 9: Summary of Our Assessments for DHS's Critical Infrastructure
and Key Resources Protection Performance Expectations:
Performance expectation: Generally achieved;
Total: 4;
Generally achieved: Develop a comprehensive national plan for critical
infrastructure protection;
Generally achieved: Develop partnerships and coordinate with other
federal agencies, state and local, governments, and the private sector;
Generally achieved: Identify and assess threats and vulnerabilities for
critical infrastructure;
Generally achieved: Support efforts to reduce threats and
vulnerabilities for critical infrastructure;
Performance expectation: Generally not achieved;
Total: 3;
Generally not achieved: Improve and enhance public/private information
sharing involving attacks, threats, and vulnerabilities;
Generally not achieved: Develop and enhance national analysis and
warning capabilities for critical infrastructure;
Generally not achieved: Provide and coordinate incident response and
recovery planning efforts for critical infrastructure;
Performance expectation: Overall assessment of progress;
Total: Moderate.
Source: GAO analysis.
[End of table]
* DHS's science and technology efforts include coordinating the federal
government's civilian efforts to identify and develop countermeasures
to chemical, biological, radiological, nuclear, and other emerging
terrorist threats. As shown in table 10, we identified 6 performance
expectations for DHS in the area of science and technology and found
that DHS has generally achieved 1 of them and has generally not
achieved 5 others.
Table 10: Summary of Our Assessments for DHS's Science and Technology
Performance Expectations:
Performance expectation: Generally achieved;
Total: 1;
Generally achieved: Coordinate with and share homeland security
technologies with federal, state, local, and private sector entities;
Performance expectation: Generally not achieved;
Total: 5.
Generally not achieved: Develop a plan for departmental research,
development, testing, and evaluation activities;
Generally not achieved: Assess emerging chemical, biological,
radiological, and nuclear threats and homeland security
vulnerabilities;
Generally not achieved: Coordinate research, development, and testing
efforts to identify and develop countermeasures to address chemical,
biological, radiological, nuclear, and other emerging terrorist
threats;
Generally not achieved: Coordinate deployment of nuclear, biological,
chemical, and radiological detection capabilities and other
countermeasures;
Generally not achieved: Performance expectation: Assess and evaluate
nuclear, biological, chemical, and radiological detection capabilities
and other countermeasures;
Performance expectation: Overall assessment of progress;
Total: Limited.
Source: GAO analysis.
[End of table]
* DHS's acquisition management efforts include managing the use of
contracts to acquire goods and services needed to fulfill or support
the agency's missions, such as information systems, new technologies,
aircraft, ships, and professional services. As shown in table 11, we
identified 3 performance expectations for DHS in the area of
acquisition management and found that DHS has generally achieved 1 of
them and has generally not achieved 2 others.
Table 11: Summary of Our Assessments for DHS's Acquisition Management
Performance Expectations:
Performance expectation: Generally achieved;
Total: 1;
Generally achieved: Assess and organize acquisition functions to meet
agency needs;
Performance expectation: Generally not achieved;
Total: 2;
Generally not achieved: Develop clear and transparent policies and
processes for all acquisitions;
Generally not achieved: Develop an acquisition workforce to implement
and monitor acquisitions;
Performance expectation: Overall assessment of progress;
Total: Modest.
Source: GAO analysis.
[End of table]
* DHS's financial management efforts include consolidating or
integrating component agencies' financial management systems. As shown
in table 12, we identified 7 performance expectations for DHS in the
area of financial management and found that DHS has generally achieved
2 of them and has generally not achieved 5 others.
Table 12: Summary of Our Assessments for DHS's Financial Management
Performance Expectations:
Performance expectation: Generally achieved;
Total: 2;
Generally achieved: Designate a department Chief Financial Officer who
is appointed by the President and confirmed by the Senate;
Generally achieved: Prepare corrective action plans for internal
control weaknesses;
Performance expectation: Generally not achieved;
Total: 5;
Generally not achieved: Subject all financial statements to an annual
financial statement audit;
Generally not achieved: Obtain an unqualified financial statement audit
opinion;
Generally not achieved: Substantially comply with federal financial
management system requirements, applicable federal accounting
standards, and the U.S. Standard General Ledger at the transaction
level;
Generally not achieved: Obtain an unqualified opinion on internal
control over financial reporting;
Generally not achieved: Correct internal control weaknesses;
Performance expectation: Overall assessment of progress;
Total: Modest.
Source: GAO analysis.
[End of table]
* DHS's key human capital management areas include pay, performance
management, classification, labor relations, adverse actions, employee
appeals, and diversity management. As shown in table 13, we identified
8 performance expectations for DHS in the area of human capital
management and found that DHS has generally achieved 2 of them and has
generally not achieved 6 others.
Table 13: Summary of Our Assessments for DHS's Human Capital Management
Performance Expectations:
Performance expectation: Generally achieved;
Total: 2;
Generally achieved: Develop a results-oriented strategic human capital
plan;
Generally achieved: Create a comprehensive plan for training and
professional development;
Generally achieved: Generally not achieved; Total: 6;
Generally not achieved: Implement a human capital system that links
human capital planning to overall agency strategic planning;
Generally not achieved: Develop and implement processes to recruit and
hire employees who possess needed skills;
Generally not achieved: Measure agency performance and make strategic
human capital decisions;
Generally not achieved: Establish a market-based and more performance-
oriented pay system;
Generally not achieved: Seek feedback from employees to allow for their
participation in the decision-making process;
Performance expectation: Implement training and development programs in
support of DHS's mission and goals;
Performance expectation: Overall assessment of progress;
Total: Limited.
Source: GAO analysis.
[End of table]
* DHS's information technology management efforts include developing
and using an enterprise architecture, or corporate blueprint, as an
authoritative frame of reference to guide and constrain system
investments; defining and following a corporate process for informed
decision making by senior leadership about competing information
technology investment options; applying system and software development
and acquisition discipline and rigor when defining, designing,
developing, testing, deploying, and maintaining systems; establishing a
comprehensive, departmentwide information security program to protect
information and systems; having sufficient people with the right
knowledge, skills, and abilities to execute each of these areas now and
in the future; and centralizing leadership for extending these
disciplines throughout the organization with an empowered Chief
Information Officer. As shown in table 14, we identified 13 performance
expectations for DHS in the area of information technology management
and found that DHS has generally achieved 2 of them and has generally
not achieved 8 others. For 3 performance expectations, we could not
make an assessment.
Table 14: Summary of Our Assessments for DHS's Information Technology
Management Performance Expectations:
Performance expectation: Generally achieved;
Total: 2;
Generally achieved: Organize roles and responsibilities for information
technology under the Chief Information Officer;
Generally achieved: Develop policies and procedures to ensure
protection of sensitive information;
Performance expectation: Generally not achieved;
Total: 8;
Generally not achieved: Develop a strategy and plan for information
technology management;
Generally not achieved: Develop measures to assess performance in the
management of information technology;
Generally not achieved: Implement a comprehensive enterprise
architecture;
Generally not achieved: Develop a process to effectively manage
information technology investments;
Generally not achieved: Implement a process to effectively manage
information technology investments;
Generally not achieved: Develop policies and procedures for effective
information systems development and acquisition;
Generally not achieved: Implement policies and procedures for effective
information systems development and acquisition;
Generally not achieved: Implement policies and procedures to
effectively safeguard sensitive information;
Performance expectation: No assessment made;
Total: 3;
No assessment made: Strategically manage information technology human
capital;
No assessment made: Develop a comprehensive enterprise architecture;
No assessment made: Provide operational capabilities for information
technology infrastructure and applications;
No assessment made: Overall assessment of progress; Total: Limited.
Source: GAO analysis.
[End of table]
* DHS's responsibilities for real property management are specified in
Executive Order 13327, "Federal Real Property Asset Management," and
include establishment of a Senior Real Property Officer, development of
an asset inventory, and development and implementation of an asset
management plan and performance measures. As shown in table 15, we
identified 9 performance expectations for DHS in the area of real
property management and found that DHS has generally achieved 6 of them
and has generally not achieved 3 others.
Table 15: Summary of Our Assessments for DHS's Real Property Management
Performance Expectations:
Performance expectation: Generally achieved; Total: 6.
Generally achieved: Establish a Senior Real Property Officer who
actively serves on the Federal Real Property Council;
Generally achieved: Complete and maintain a comprehensive inventory and
profile of agency real property;
Generally achieved: Provide timely and accurate information for
inclusion in the governmentwide real property inventory database;
Generally achieved: Develop an Office of Management and Budget-
approved asset management plan;
Generally achieved: Establish an Office of Management and Budget-
approved 3-year rolling timeline with certain deadlines by which the
agency will address opportunities and determine its priorities as
identified in the asset management plan;
Generally achieved: Establish real property performance measures;
Performance expectation: Generally not achieved;
Total: 3;
Generally not achieved: Demonstrate steps taken toward implementation
of the asset management plan;
Generally not achieved: Use accurate and current asset inventory
information and real property performance measures in management
decision making;
Generally not achieved: Ensure the management of agency property assets
is consistent with the agency's overall strategic plan, the agency
asset management plan, and the performance measures;
Performance expectation: Overall assessment of progress;
Total: Moderate.
Source: GAO analysis.
[End of table]
Our report contains detailed information on DHS's progress in achieving
each of the performance expectations, including a detailed summary of
our work, the DHS IG's work, and DHS documentation and officials'
statements. We also provide our basis for each assessment. In
commenting on a draft of our report, DHS disagreed with our assessments
for 42 of the 171 performance expectations noted above. In our report,
we provide detailed responses to DHS's comments on the 42 performance
expectations. We look forward to discussing our assessments in all the
mission and management areas in more detail with the committee and
subcommittees to help inform their ongoing oversight efforts.
Cross-cutting Issues Have Hindered DHS's Implementation Efforts:
Our work has identified cross-cutting issues that have hindered DHS's
progress in its mission and management areas. These issues include: (1)
transforming and integrating DHS's management functions; (2)
establishing baseline performance goals and measures and engaging in
effective strategic planning efforts; (3) applying and improving a risk
management approach for implementing missions and making resource
allocation decisions; (4) sharing information with key stakeholders;
and (5) coordinating and partnering with federal, state, local, and
private sector agencies entities.
* The creation of DHS is an enormous management challenge, and DHS
faces a formidable task in its transformation efforts as it works to
integrate over 170,000 federal employees from 22 component agencies.
Each component agency brought differing missions, cultures, systems,
and procedures that the new department had to efficiently and
effectively integrate into a single, functioning unit. At the same time
it weathers these growing pains, DHS must still fulfill its various
homeland security and other missions. DHS has developed a strategic
plan, is working to integrate some management functions, and has
continued to form necessary partnerships to achieve mission success.
Despite these efforts, we reported earlier this year that DHS
implementation and transformation remains high-risk because DHS has not
yet developed a comprehensive management integration strategy and its
management systems and functionsæespecially related to acquisition,
financial, human capital, and information managementæare not yet fully
integrated and wholly operational.
* A number of DHS's programs lack outcome goals and measures, a fact
that may hinder the department's ability to effectively assess the
results of program efforts or fully assess whether the department is
using resources effectively and efficiently, especially given various
agency priorities for resources. In particular, we have reported that
some of DHS's components have not developed adequate outcome-based
performance measures or comprehensive plans to monitor, assess, and
independently evaluate the effectiveness of their plans and
performance. For example, in August 2005 we reported that U.S.
Immigration and Customs Enforcement lacked outcome goals and measures
for its worksite enforcement program and recommended that the agency
set specific time frames for developing these goals and measures.
Further, we have reported that many of DHS's border-related performance
goals and measures are not fully defined or adequately aligned with one
another, and some performance targets are not realistic. We have also
recognized that DHS faces some inherent difficulties in developing
performance goals and measures to address its unique mission and
programs, such as in developing measures for the effectiveness of its
efforts to prevent and deter terrorist attacks.
* Within its sphere of responsibility, DHS cannot afford to protect
everything against all possible threats. As a result, DHS must make
choices about how to allocate its resources to most effectively manage
risk. In April 2007, DHS established the new Office of Risk Management
and Analysis to serve as the DHS Executive Agent for national-level
risk management analysis standards and metrics; develop a standardized
approach to risk; develop an approach to risk management to help DHS
leverage and integrate risk expertise across components and external
stakeholders; assess DHS risk performance to ensure programs are
measurably reducing risk; and communicate DHS risk management in a
manner that reinforces the risk-based approach. It is too early to tell
what effect this office will have on strengthening departmentwide risk
management activities. Several DHS component agencies have taken steps
toward integrating risk-based decision making into their decision-
making processes. For example, the Coast Guard has developed security
plans for seaports, facilities, and vessels based on risk assessments.
Other components have not always utilized such an approach. In
addition, DHS has not performed comprehensive risk assessments in
transportation, critical infrastructure, and the immigration and
customs systems to guide resource allocation decisions. For example,
DHS has not fully utilized a risk-based strategy to allocate resources
among transportation sectors. Although TSA has developed tools and
processes to assess risk within and across transportation modes, it has
not fully implemented these efforts to drive resource allocation
decisions.
* In 2005, we designated information sharing for homeland security as
high-risk and continued that designation in 2007. We recently reported
that the nation still lacked an implemented set of governmentwide
policies and processes for sharing terrorism-related information but
has issued a strategy on how it will put in place the overall
framework, policies, and architecture for sharing with all critical
partners--actions that we and others have recommended. DHS has taken
some steps to implement its information-sharing responsibilities. For
example, DHS implemented a network to share homeland security
information. States and localities are also creating their own
information "fusion" centers, some with DHS support. However, DHS did
not fully adhere to key practices in coordinating efforts on its
homeland security information network with state and local information
sharing initiatives and faces other information-sharing challenges,
including developing productive information-sharing relationships among
the federal government, state and local governments, and the private
sector.
* To secure the nation, DHS must form effective and sustained
partnerships among legacy component agencies and also with a range of
other entities, including other federal agencies, state and local
governments, the private and nonprofit sectors, and international
partners, but has faced difficulties in doing so. Thirty-three of the
43 initiatives the National Strategy for Homeland Security are required
to be implemented by three or more federal agencies. In addition, the
private sector is a key homeland security partner. For example, DHS
must partner with individual companies and organizations to protect
vital national infrastructure, such as the nation's water supply,
transportation systems, and chemical facilities. In October 2006 we
reported that all 17 critical infrastructure sectors had established
their respective government councils, and nearly all sectors had
initiated their voluntary private sector councils in response to the
National Infrastructure Protection Plan. In addition, through its
Customs-Trade Partnership Against Terrorism Program, CBP has worked in
partnership with private companies to review their supply chain
security plans. However, DHS has faced some challenges in developing
other effective partnerships and in clarifying the roles and
responsibilities of various homeland security stakeholders. For
example, federal and private sector stakeholders stated that the
Transportation Security Administration (TSA) has not provided them with
the information they would need to support TSA's efforts for the Secure
Flight program. Further, lack of clarity regarding roles and
responsibilities caused DHS difficulties in coordinating with its
emergency preparedness and response partners in responding to
Hurricanes Katrina and Rita.
Concluding Observations:
Given the leading role that DHS plays in securing the homeland, it is
critical that the department's mission programs and management systems
and functions operate as efficiently and effectively as possible. In
the more than 4 years since its establishment, the department has taken
important actions to secure the border and the transportation sector
and to defend against, prepare for, and respond to threats and
disasters. DHS has had to undertake these critical missions while also
working to transform itself into a fully functioning cabinet
department--a difficult undertaking for any organization and one that
can take, at a minimum, 5 to 7 years to complete even under less
daunting circumstances. At the same time, a variety of factors,
including Hurricanes Katrina and Rita, threats to and attacks on
transportation systems in other countries, and new responsibilities and
authorities provided by Congress have forced the department to reassess
its priorities and reallocate resources to address key domestic and
international events and to respond to emerging issues and threats.
As it moves forward, DHS will continue to face the challenges that have
affected its operations thus far, including transforming into a high-
performing, results-oriented agency; developing results-oriented goals
and measures to effectively assess performance; developing and
implementing a risk-based approach to guide resource decisions; and
establishing effective frameworks and mechanisms for sharing
information and coordinating with homeland security partners. DHS has
undertaken efforts to address these challenges but will need to give
continued attention to these efforts in order to efficiently and
effectively identify and prioritize mission and management needs,
implement efforts to address those needs, and allocate resources
accordingly. Efforts to address these challenges are especially
important given the threat environment and long-term fiscal imbalance
facing the nation. While this testimony contains no new
recommendations, in past products GAO has made approximately 700
recommendations to DHS. DHS has implemented some of these
recommendations and taken actions to implement others. However, we have
reported that the department still has much to do to ensure that it
conducts its missions efficiently and effectively while it
simultaneously prepares to address future challenges that face the
department and the nation.
A well-managed, high-performing Department of Homeland Security is
essential to meeting the significant homeland security challenges
facing the nation. As DHS continues to evolve, implement its programs,
and integrate its functions, we will continue to review its progress
and performance and provide information to Congress and the public on
its efforts.
This concludes my prepared statement. I would be pleased to answer any
questions you and the Committee members may have.
GAO Contact and Staff Acknowledgments:
For further information about this testimony, please contact Norman J.
Rabkin, Managing Director, Homeland Security and Justice, at 202-512-
8777 or rabkinn@gao.gov. Other key contributors to this statement were
Jason Barnosky, Rebecca Gambler, Kathryn Godfrey, Christopher Keisling,
Thomas Lombardi, Octavia Parks, and Sue Ramanathan.
Footnotes:
[1] GAO, Department of Homeland Security: Progress Report on
Implementation of Mission and Management Functions, GAO-07-454
(Washington, D.C.: August 17, 2007).
[2] GAO, Homeland Security: Critical Design and Implementation Issues,
GAO-02-957T (Washington, D.C.: July 17, 2002).
[3] Examples of nonhomeland security functions include Coast Guard
search and rescue and naturalization services.
[4] GAO, High-Risk Series: An Update, GAO-03-119 (Washington, D.C.:
January 2003).
[5] GAO, High-Risk Series: An Update, GAO-05-207 (Washington, D.C.:
January 2005), and GAO, High-Risk Series: An Update, GAO-07-310
(Washington, D.C.: January 2007).
[6] These 22 agencies, offices, and programs were U.S. Customs Service;
U.S. Immigration and Naturalization Service; Federal Protective
Service; Transportation Security Administration; Federal Law
Enforcement Training Center; Animal and Plant Health Inspection
Service; Office for Domestic Preparedness; Federal Emergency Management
Agency; Strategic National Stockpile and the National Disaster Medical
System; Nuclear Incident Response Team; Domestic Emergency Support
Team; National Domestic Preparedness Office; Chemical, Biological,
Radiological, and Nuclear Countermeasures Program; Environmental
Measures Laboratory; National BW Defense Analysis Center; Plum Island
Animal Disease Center; Federal Computer Incident Response Center;
National Communications System; National Infrastructure Protection
Center; Energy Security and Assurance Program; Secret Service; and U.S.
Coast Guard.
[7] We did not consider performance expectations derived from sources
arising after September 2006, such as the Security and Accountability
for Every (SAFE) Port Act and the fiscal year 2007 DHS appropriations
act.
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