Homeland Security
Challenges for the Food and Agriculture Sector in Responding to Potential Terrorist Attacks and Natural Disasters Gao ID: GAO-11-946T September 13, 2011In Process
There is no centralized coordination to oversee the federal government's overall progress implementing the nation's food and agriculture defense policy. Because the responsibilities outlined in this policy (HSPD-9) cut across several different agencies, centralized oversight is important to ensure that efforts are coordinated to avoid fragmentation, efficiently use scarce funds, and promote the overall effectiveness of the federal government. Previously, the White House Homeland Security Council conducted some coordinated activities to oversee federal agencies' HSPD-9 implementation by gathering information from agencies about their progress, and DHS supported these activities by coordinating agencies' reporting of HSPD-9 implementation progress. However, the Homeland Security Council and DHS's efforts are no longer ongoing. Top-level review can help ensure that management's directives are carried out and determine if agencies are effectively and efficiently using resources. USDA does not have a department-wide strategy for setting priorities and allocating resources for implementing its numerous HSPD-9 responsibilities. Instead, according to USDA, the department assigned HSPD-9 implementation responsibilities to its agencies based on their statutory authority and expertise and allowed individual agencies to determine their implementation and budget priorities. We have previously reported that developing a strategy to accomplish national security goals and desired outcomes helps agencies manage their programs more effectively and is an essential mechanism to guide progress in achieving desired results. Moreover, effective strategies help set priorities and allocate resources to inform decision making and help ensure accountability. Such priority setting and resource allocation is especially important in a fiscally constrained environment. Without such a strategy, USDA cannot be assured that its agencies' efforts are making progress to align with departmental priorities and effectively allocate resources. Therefore, USDA also cannot be assured that it is fulfilling its HSPD-9 responsibilities. According to USDA officials, the department would benefit from strategic direction from the National Security Staff--which supports the White House Homeland Security Council under the current administration--to help prioritize specific activities and funding decisions, given this time of limited resources. According to USDA, from 2007 through May 2011, it coordinated the federal food and agriculture response for 28 natural disasters, including hurricanes, floods, winter storms, and other weather-related emergencies. USDA and state officials we met with said that having a single USDA coordinator to facilitate communication during ESF-11 emergencies contributed to the success of USDA's ESF-11 response. However, they also identified some challenges. For example, when ESFs are activated and multiple federal agencies become involved, agencies' responsibilities for disposing of animal carcasses are not always clear, which has delayed previous disposal efforts and could pose a public health risk. We have previously reported that a lack of clarity in leadership roles and responsibilities can result in disjointed federal emergency response efforts among collaborating agencies and confusion about what resources would be provided within specific time frames. To address such a lack of clarity in leadership roles among collaborating agencies, we have reported that a practice to enhance and sustain collaboration is for agencies to work together to define and agree on their respective roles and responsibilities, including how the collaborative effort will be led.
GAO-11-946T, Homeland Security: Challenges for the Food and Agriculture Sector in Responding to Potential Terrorist Attacks and Natural Disasters
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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. EDT:
Tuesday, September 13, 2011:
Homeland Security:
Challenges for the Food and Agriculture Sector in Responding to
Potential Terrorist Attacks and Natural Disasters:
Statement of Lisa Shames, Director:
Natural Resources and Environment:
GAO-11-946T:
Chairman Akaka, Ranking Member Johnson, and Members of the
Subcommittee:
I am pleased to be here today as you examine issues related to food
and agriculture emergencies. Agriculture is critical to public health
and the nation's economy. It annually produces $300 billion worth of
food and other farm products and is estimated to be responsible for 1
out of every 12 U.S. jobs. As a result, any natural or deliberate
disruption of the agriculture or food production systems--including
natural disasters, disease outbreaks, and food contamination--can
present a serious threat to the national economy and human health and
can halt or slow trade. The food and agriculture systems are also
vulnerable to terrorist attacks, such as the intentional introduction
of a foreign animal or plant disease or the intentional contamination
of food products.
Recognizing the vulnerability of the U.S. food and agriculture
systems, the President issued Homeland Security Presidential Directive
(HSPD)-9 in January 2004 to establish a national policy to defend
these systems against terrorist attacks, major disasters, and other
emergencies. HSPD-9 assigns various emergency response planning and
recovery responsibilities to federal agencies, including the
Departments of Agriculture (USDA), Health and Human Services (HHS),
and Homeland Security (DHS), and also the Environmental Protection
Agency (EPA). Separately, DHS's 2008 National Response Framework
outlines how the nation will collectively respond to any emergency,
regardless of its cause or size. The framework includes 15 emergency
support functions (ESF) for the federal response to an emergency or
for federal support to states during an emergency. DHS activates
individual ESFs when a threat or emergency necessitates a specific
type of coordinated federal response. ESF-11 specifically addresses
the federal food and agriculture response during emergencies, and USDA
is designated as coordinator.
Protecting food and agriculture has been a topic of interest to the
Subcommittee for many years. For example, in 2005, we reported to this
Subcommittee that, although many steps had been taken to protect
agriculture from a terrorist attack, complex challenges limited the
nation's ability to quickly and effectively respond to a widespread
attack on agriculture.[Footnote 1] In 2007, we also reported to this
Subcommittee that USDA and DHS had not determined how they will work
together during an outbreak of highly pathogenic avian influenza that
is sufficient in scope to warrant various federal disaster
declarations.[Footnote 2] Our prior work has shown that roles and
responsibilities must be clearly defined and understood to facilitate
rapid and effective decision making.[Footnote 3] This issue has yet to
be resolved.
In 2009, we testified before this Subcommittee that the lack of a
government-wide initiative to address current and future veterinarian
shortages may place human health, the economy, and the nation's food
supply at risk.[Footnote 4] We made numerous recommendations,
including that agencies with food safety responsibilities assess their
veterinarian workforces to identify current and future workforce
needs, including training and employee development, and that a
government-wide approach be used to address these shortcomings. In
response, agencies created an interagency forum and developed a
strategic workforce plan to obtain a government-wide understanding of
the current status and future needs of the federal veterinary
workforce. This is a positive step, but more work remains to be done.
For example, steps are still necessary to understand the veterinarian
workforce needed during a potential catastrophic event--whether a
pandemic or an attack on the food supply.
Most recently, you asked us to look at response and recovery from
potential terrorist attacks and natural disasters affecting food and
agriculture. This statement summarizes our report being released today
[Footnote 5] that (1) evaluates the extent to which there is oversight
of federal agencies' overall progress in implementing the nation's
food and agriculture defense policy (HSPD-9); (2) evaluates the steps
USDA has taken to implement its response and recovery responsibilities
outlined in this policy, and identifies challenges, if any, that the
department faces in implementing these responsibilities; and (3)
identifies the circumstances under which USDA has coordinated the
federal food and agriculture response for an emergency for which ESF-
11 was activated and challenges, if any, that the parties involved
experienced.
I will focus my testimony today on three key points. First, there is
no centralized coordination to oversee federal agencies' overall
progress in implementing the nation's food and agriculture defense
policy. Second, USDA does not have a strategy for implementing its
HSPD-9 responsibilities and faces challenges implementing these
responsibilities. Third, USDA faces challenges in coordinating the
federal food and agriculture response for natural disasters for which
ESF-11 was activated.
My statement summarizes the findings in our report, being released by
the Subcommittee today, on response and recovery efforts for food and
agriculture emergencies. To perform this work we, among other things,
reviewed key documents; surveyed animal health officials from all 50
states and five U.S. territories; and interviewed state and industry
officials, as well as officials from USDA, DHS, HHS, and EPA--because
these agencies have the most responsibilities under HSPD-9. Our report
contains a detailed overview of our scope and methodology. We
conducted this work in accordance with generally accepted government
auditing standards.
No Centralized Coordination Exists to Oversee Federal Agencies'
Overall Progress in Implementing the Nation's Food and Agriculture
Defense Policy:
There is no centralized coordination to oversee the federal
government's overall progress implementing the nation's food and
agriculture defense policy. Because the responsibilities outlined in
this policy (HSPD-9) cut across several different agencies,
centralized oversight is important to ensure that efforts are
coordinated to avoid fragmentation, efficiently use scarce funds, and
promote the overall effectiveness of the federal government.
Previously, the White House Homeland Security Council conducted some
coordinated activities to oversee federal agencies' HSPD-9
implementation by gathering information from agencies about their
progress, and DHS supported these activities by coordinating agencies'
reporting of HSPD-9 implementation progress. However, the Homeland
Security Council and DHS's efforts are no longer ongoing. Top-level
review can help ensure that management's directives are carried out
and determine if agencies are effectively and efficiently using
resources. Because there is currently no centralized coordination to
oversee agencies' HSPD-9 implementation progress, it is unclear how
effectively or efficiently agencies are using resources in
implementing the nation's food and agriculture defense policy. As a
result, the nation may not be assured that crosscutting agency efforts
to protect agriculture and the food supply are well-designed and
effectively implemented in order to reduce vulnerability to, and the
impact of, terrorist attacks, major disasters, and other emergencies.
USDA Does Not Have a Department-wide Strategy for Implementing Its
Response and Recovery Responsibilities:
USDA does not have a department-wide strategy for setting priorities
and allocating resources for implementing its numerous HSPD-9
responsibilities. Instead, according to USDA, the department assigned
HSPD-9 implementation responsibilities to its agencies based on their
statutory authority and expertise and allowed individual agencies to
determine their implementation and budget priorities. We have
previously reported that developing a strategy to accomplish national
security goals and desired outcomes helps agencies manage their
programs more effectively and is an essential mechanism to guide
progress in achieving desired results.[Footnote 6] Moreover, effective
strategies help set priorities and allocate resources to inform
decision making and help ensure accountability. Such priority setting
and resource allocation is especially important in a fiscally
constrained environment. Without such a strategy, USDA cannot be
assured that its agencies' efforts are making progress to align with
departmental priorities and effectively allocate resources. Therefore,
USDA also cannot be assured that it is fulfilling its HSPD-9
responsibilities. According to USDA officials, the department would
benefit from strategic direction from the National Security Staff--
which supports the White House Homeland Security Council under the
current administration--to help prioritize specific activities and
funding decisions, given this time of limited resources.
Moreover, although USDA agencies have taken steps to implement the
department's response and recovery responsibilities, they also face
challenges. For example:
* National Veterinary Stockpile (NVS): USDA's Animal and Plant Health
Inspection Service (APHIS)--which is responsible for issuing orders
and regulations to prevent the introduction or dissemination of animal
and plant pests and diseases--has developed the NVS to respond to the
17 most damaging animal diseases, such as highly pathogenic avian
influenza. This disease is associated with high morbidity and
mortality in poultry, and the H5N1 strain of avian influenza is
associated with illness and death in humans. Among the steps APHIS
took to develop the NVS, was the acquisition of critical supplies to
respond to animal disease outbreaks. APHIS also took steps to prepare
states to use these supplies, such as developing guidance and hiring a
full-time liaison to, among other things, help states develop a plan
to manage these supplies.
However, APHIS also experiences complex implementation challenges. For
example, although the NVS has acquired various supplies to respond to
each of the 17 animal disease threats, vaccines and diagnostic test
kits for certain diseases have either not yet been developed or may be
too costly for the NVS to purchase. In addition, APHIS officials told
us that although they have the capability to deploy certain supplies
within 24 hours--as required by HSPD-9--it will take longer to deliver
certain vaccines to states. Furthermore, states may not be adequately
prepared to receive and use NVS supplies. About one-third of all the
states and territories responding to our survey reported completing an
NVS plan, which, according to guidance, is needed to ensure emergency
responders get the NVS supplies they need. Finally, NVS may be missing
opportunities to leverage resources, where appropriate, from the
Strategic National Stockpile, as directed by HSPD-9. The Strategic
National Stockpile contains medical supplies to address public health
emergencies affecting humans, and as such, may have resources that are
also useful in emergencies affecting animals. HHS's Centers for
Disease Control (CDC), which manages the Strategic National Stockpile,
and APHIS have taken some steps to help the NVS leverage these
resources. However, confusion about the mission and infrastructure of
each stockpile, and disagreement about whether additional resources
can be leveraged, may be impeding efforts to identify further
leveraging opportunities. Because they have no formal agreement
regarding if and when leveraging is appropriate, USDA and HHS may miss
opportunities to more effectively utilize federal and state resources.
* National Plant Disease Recovery System (NPDRS): USDA's Agricultural
Research Service (ARS)--which is the department's chief research
agency--has taken steps to develop the NPDRS, a system intended to
help the nation recover from high-consequence plant disease outbreaks
that could devastate the nation's production of economically important
crops. According to the NPDRS's 2010 draft strategic plan, ARS's
principal method for fulfilling this responsibility is to develop an
estimated 30 to 50 recovery plans for select high-consequence plant
diseases that may enter the United States. As of May 2011, ARS had
completed 13 plans, which are intended to provide a brief primer on
each plant disease and identify research gaps and priorities. For
example, the NPDRS recovery plan for stem rust of wheat--one of the
most devastating plant diseases worldwide--states that current
understanding of the disease is based largely on 50-year-old data that
must be reexamined and identifies 13 specific areas that require
updated research. ARS also uses NPDRS funds as a flexible source of
funding to help ARS initiate research on new, emerging plant disease
problems as they arise.
However, ARS lacks a systematic process to monitor and fill research
gaps included in the plans. According to ARS officials, they rely on a
variety of entities--including other federal agencies, state
governments, land grant universities, and the private sector--to
conduct research on high-consequence plant diseases that may fill
research gaps identified in the recovery plans. Without a documented,
systematic process to monitor the extent to which research gaps are
filled, USDA may not have critical information needed to help the
nation recover from high-consequence plant disease outbreaks.
Moreover, NPDRS guidance states that recovery plans provide an
opportunity to indicate where research dollars need to be concentrated
in the future. ARS also has not effectively communicated the NPDRS to
key stakeholders that need to know about these plant disease recovery
plans. The NPDRS draft strategic plan states that recovery from high-
consequence plant diseases will require coordination between USDA and
states. However, the 12 USDA and state plant health officials we met
with all had limited or no knowledge about NPDRS recovery plans, even
though ARS officials told us that they were sharing plans through a
variety of venues. As a result, key state and federal plant health
officials may not have the necessary information to facilitate
recovery from high-consequence plant diseases.
* Recovery from an emergency: Various USDA agencies have taken steps
to enhance recovery efforts for emergencies affecting food and
agriculture. For example, several USDA agencies participated in a 2005
EPA-led effort that produced guidance on federal roles and
responsibilities for disposing of contaminated animals, crops, and
food products and decontaminating affected areas in order to prevent
the spread of disease. APHIS also is partnering with universities,
states, and industry to develop continuity-of-business plans for some
animal disease emergencies.
However, recovery efforts face critical challenges. For example, there
may not be sufficient workforce capacity to depopulate--or slaughter--
animals quickly in the event of a catastrophic outbreak of a highly
contagious animal disease, such as foot-and-mouth disease, a viral
disease of cattle, swine, sheep, and other cloven-hoofed animals. Foot-
and-mouth disease could create the need to depopulate millions of
animals to control the outbreak. However, APHIS officials told us that
it could take as long as 80 days to depopulate a single feedlot with
about 100,000 cattle. Also, burial has traditionally been the
preferred method for disposal, but USDA officials told us that this
may not be feasible on a large scale because, among other things, it
is labor intensive and may be limited by topography, soil type, and
environmental regulations. According to APHIS officials, the public
health consequences of carcass burial on a large scale are
unacceptable, as recent outbreaks of foot-and-mouth disease in Japan,
Korea, and the United Kingdom have shown. For example, the media
reported groundwater contaminations in Korea near some burial sites--
including near several schools--that made the water unfit for human
use. USDA's November 2010 draft foot-and-mouth disease response plan
takes into consideration alternative approaches to depopulation and
disposal--such as increasing the use of vaccines for at-risk animals--
that could help mitigate the depopulation and disposal resource
concerns.
USDA Faces Challenges Coordinating the Federal Food and Agriculture
Response for Natural Disasters:
According to USDA, from 2007 through May 2011, it coordinated the
federal food and agriculture response for 28 natural disasters,
including hurricanes, floods, winter storms, and other weather-related
emergencies. USDA and state officials we met with said that having a
single USDA coordinator to facilitate communication during ESF-11
emergencies contributed to the success of USDA's ESF-11 response.
However, they also identified some challenges. For example, when ESFs
are activated and multiple federal agencies become involved, agencies'
responsibilities for disposing of animal carcasses are not always
clear, which has delayed previous disposal efforts and could pose a
public health risk. In one case, during Hurricane Ike in Texas in
2008, water surges washed cattle, horses, and poultry 15 to 20 miles
inland, leaving dead livestock in backyards, in front of hospitals,
and on roads and highways. Texas officials involved with the response
told us that valuable time was lost as federal officials debated
whether the U.S. Army Corps of Engineers or USDA would carry out the
disposal. Ultimately, DHS's Federal Emergency Management Agency
(FEMA)--which directs response to emergencies and major disasters--
asked USDA's Natural Resources Conservation Service to do so. The
Natural Resources Conservation Service administers a number of
programs that encourage conservation, development, and productive use
of the nation's land. However, according to officials from that
agency, FEMA did not make the request until several days after the
hurricane struck, and the carcasses had begun to decompose. We have
previously reported that a lack of clarity in leadership roles and
responsibilities can result in disjointed federal emergency response
efforts among collaborating agencies and confusion about what
resources would be provided within specific time frames.[Footnote 7]
To address such a lack of clarity in leadership roles among
collaborating agencies, we have reported that a practice to enhance
and sustain collaboration is for agencies to work together to define
and agree on their respective roles and responsibilities, including
how the collaborative effort will be led.[Footnote 8]
In addition, we found that USDA has not consistently prepared after-
action reports--documents that summarize what went well and what
needed improvement during an emergency response. Specifically, USDA
completed 14 after-action reports--including one that covered the 2008
hurricane season--for various emergencies, even though USDA officials
reported to us that ESF-11 has been activated for about 28
emergencies.[Footnote 9] Moreover, not all of the after-action reports
that USDA completed contained the perspectives of key parties involved
in the response, such as FEMA officials, relevant USDA officials at
the state level, and state officials. Without a more consistent and
comprehensive after-action reporting process, USDA managers may not
have the necessary information to identify gaps or challenges and
address them through corrective actions to help ensure that past
mistakes are not repeated. Moreover, in February 2006, a White House
report on Hurricane Katrina stated that "too often, after-action
reports for exercises and real-world incidents highlight the same
problems that do not get fixed."[Footnote 10] According to the report,
all departments and agencies should translate findings of homeland
security gaps and vulnerabilities into concrete programs for
corrective action that are fully implemented in a timely fashion.
In our report, we are making nine recommendations to help ensure that
the federal government is effectively implementing the nation's food
and agriculture defense policy and to ensure that the nation is
adequately prepared to respond to and recover from emergencies
affecting food and agriculture. In written comments on the report,
USDA, HHS, and DHS generally concurred with the recommendations. In
addition, in an e-mail received July 22, 2011, the National Security
Staff's Deputy Legal Advisor stated that the National Security Staff
agrees that a review of HSPD-9 is appropriate and that they will look
for an opportunity to do so. The report contains a complete list of
our recommendations, along with agencies' comments, and our evaluation
of those comments.
Chairman Akaka, Ranking Member Johnson, and Members of the
Subcommittee, this concludes my prepared remarks. I would be happy to
respond to any questions that you may have at this time.
GAO Contact and Staff Acknowledgments:
For questions or further information regarding this testimony, please
contact Lisa Shames, Director, Natural Resources and Environment, at
(202) 512-3841 or shamesl@gao.gov. Contact points for our Offices of
Congressional Relations and Public Affairs may be found on the last
page of this testimony. Key contributors to this testimony include
Mary Denigan-Macauley, Assistant Director, and Amanda Krause. Kevin
Bray and Benjamin Shouse also made important contributions.
[End of section]
Footnotes:
[1] GAO, Homeland Security: Much Is Being Done to Protect Agriculture
from a Terrorist Attack, but Important Challenges Remain, [hyperlink,
http://www.gao.gov/products/GAO-05-214] (Washington, D.C.: Mar. 8,
2005).
[2] See, GAO, Avian Influenza: USDA Has Taken Important Steps to
Prepare for Outbreaks, but Better Planning Could Improve Response,
[hyperlink, http://www.gao.gov/products/GAO-07-652] (Washington, D.C.:
June 11, 2007).
[3] GAO, Catastrophic Disasters: Enhanced Leadership, Capabilities,
and Accountability Controls Will Improve the Effectiveness of the
Nation's Preparedness, Response, and Recovery System, [hyperlink,
http://www.gao.gov/products/GAO-06-618] (Washington, D.C.: Sept. 6,
2006).
[4] GAO, Veterinarian Workforce: The Federal Government Lacks a
Comprehensive Understanding of Its Capacity to Protect Animal and
Public Health, [hyperlink, http://www.gao.gov/products/GAO-09-424T]
(Washington, D.C.: Feb. 26, 2009).
[5] GAO, Homeland Security: Actions Needed to Improve Response to
Potential Terrorist Attacks and Natural Disasters Affecting Food and
Agriculture, [hyperlink, http://www.gao.gov/products/GAO-11-652]
(Washington, D.C.: Aug. 19, 2011).
[6] See, for example: GAO, Combating Terrorism: Evaluation of Selected
Characteristics in National Strategies Related to Terrorism,
[hyperlink, http://www.gao.gov/products/GAO-04-408T] (Washington,
D.C.: Feb. 3, 2004).
[7] See [hyperlink, http://www.gao.gov/products/GAO-06-618].
[8] GAO, Results-Oriented Government: Practices That Can Help Enhance
and Sustain Collaboration among Federal Agencies, [hyperlink,
http://www.gao.gov/products/GAO-06-15] (Washington, D.C.: Oct. 21,
2005).
[9] Three of these 28 emergencies occurred in spring 2011 and,
therefore, the agency would not have developed after-action reports at
the time we completed our audit work.
[10] The White House, The Federal Response to Hurricane Katrina:
Lessons Learned (Washington, D.C.: Feb. 26, 2006).
[End of section]
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