	DHS Continues to Implement and Strengthen Its Mission Functions, but Key Operational and Management Challenges Remain

Since DHS began operations in March 2003, it has developed and  implemented key policies, programs, and activities for implementing its  homeland security missions and functions that have created and  strengthened a foundation for achieving its potential as it continues to  mature. DHS Has Made Progress in Implementing its Mission Functions, but Program Weaknesses and Management Issues Have Hindered Implementation Efforts

DHS has made important progress in implementing and strengthening its  mission functions over the past 8 years, including implementing key  homeland security operations and achieving important goals and  milestones in many areas. The department’s accomplishments include  developing strategic and operational plans across its range of missions;  hiring, deploying and training workforces; establishing new, or expanding  existing, offices and programs; and developing and issuing policies,  procedures, and regulations to govern its homeland security operations. For example:     DHS issued the QHSR, which provides a strategic framework for  homeland security, and the National Response Framework, which  outlines guiding principles for disaster response.   DHS successfully hired, trained, and deployed workforces, such  as a federal screening workforce which assumed security  screening responsibilities at airports nationwide, and the  department has about 20,000 agents to patrol U.S. land borders.   DHS created new programs and offices, or expanded existing  ones, to implement key homeland security responsibilities, such  as establishing the United States Computer Emergency  Readiness Team to, among other things, coordinate the nation’s  efforts to prepare for, prevent, and respond to cyber threats to  systems and communications networks. However, more work remains for DHS to address gaps and weaknesses  in its current operational and implementation efforts, and to strengthen  the efficiency and effectiveness of those efforts to achieve its full  potential. For example, DHS has not yet  developed a set of target capabilities for disaster preparedness or  established metrics for assessing those capabilities to provide a  framework for evaluating preparedness, as required by the Post-Katrina  Emergency Management Reform Act. Table 1 provides examples of key  progress and work remaining in DHS’s functional mission areas, with an  emphasis on work we completed since 2008. Moreover, DHS has not yet  established performance measures to assess the effectiveness of its  programs for investigating alien smuggling operations and foreign  nationals who overstay their authorized periods of admission to the  United States, making it difficult for these agencies to determine progress  made in these areas and evaluate possible improvements. In addition, DHS took action to develop and deploy new technologies to  help meet its homeland security missions. Key Themes Have Impacted DHS’s Progress in Implementing Its Mission Functions

Our work at DHS has identified several key themes—leading and  coordinating the homeland security enterprise, implementing and  integrating management functions for results, and strategically managing  risks and assessing homeland security efforts—that have impacted the  department’s progress since it began operations. DHS made progress and has had successes in all of these  areas, but our work found that these themes have been at the foundation  of DHS’s implementation challenges, and need to be addressed from a  departmentwide perspective to position DHS for the future and enable it  to satisfy the expectations set for it by the Congress, the administration,  and the country. While  DHS is one of a number of entities with a role in securing the homeland, it  has significant leadership and coordination responsibilities for managing  efforts across the homeland security enterprise. Eight years later,  DHS remains on our high-risk list. Strategically managing risks and assessing homeland security  efforts. Key threats, such  as attempted attacks against the aviation sector, have impacted and  altered DHS’s approaches and investments, such as changes DHS made  to its processes and technology investments for screening passengers  and baggage at airports. These accomplishments are especially noteworthy given that the  department has had to work to transform itself into a fully functioning  cabinet department while implementing its missions—a difficult  undertaking for any organization and one that can take years to achieve  even under less daunting circumstances. This is a work of the U.S. government and is not subject to copyright protection in the  United States.
Why GAO Did This Study

The terrorist attacks of September 11, 2001, led to profound changes in government agendas, policies and structures to confront homeland security threats facing the nation. Most notably, the Department of Homeland Security (DHS) began operations in 2003 with key missions that included preventing terrorist attacks from occurring in the United States, reducing the country's vulnerability to terrorism, and minimizing the damages from any attacks that may occur. DHS is now the third-largest federal department, with more than 200,000 employees and an annual budget of more than $50 billion. Since 2003, GAO has issued over 1,000 products on DHS's operations in such areas as transportation security and emergency management, among others. As requested, this testimony addresses DHS's progress and challenges in implementing its homeland security missions since it began operations, and issues affecting implementation efforts. This testimony is based on a report GAO issued in September 2011, which assessed DHS's progress in implementing its homeland security functions and work remaining.

What GAO Found

Since it began operations in 2003, DHS has implemented key homeland security operations and achieved important goals and milestones in many areas to create and strengthen a foundation to reach its potential. As it continues to mature, however, more work remains for DHS to address gaps and weaknesses in its current operational and implementation efforts, and to strengthen the efficiency and effectiveness of those efforts to achieve its full potential. DHS's accomplishments include developing strategic and operational plans; deploying workforces; and establishing new, or expanding existing, offices and programs. For example, DHS (1) issued plans to guide its efforts, such as the Quadrennial Homeland Security Review, which provides a framework for homeland security, and the National Response Framework, which outlines disaster response guiding principles; (2) successfully hired, trained, and deployed workforces, such as a federal screening workforce to assume security screening responsibilities at airports nationwide; and (3) created new programs and offices to implement its homeland security responsibilities, such as establishing the U.S. Computer Emergency Readiness Team to help coordinate efforts to address cybersecurity threats. Such accomplishments are noteworthy given that DHS has had to work to transform itself into a fully functioning department while implementing its missions--a difficult undertaking that can take years to achieve. While DHS has made progress, its transformation remains high risk due to its management challenges. Examples of progress made and work remaining include: Border security. DHS implemented the U.S. Visitor and Immigrant Status Indicator Technology program to verify the identities of foreign visitors entering and exiting the country by processing biometric and biographic information. However, DHS has not yet determined how to implement a biometric exit capability and has taken action to address a small portion of the estimated overstay population in the United States (individuals who legally entered the country but then overstayed their authorized periods of admission). Aviation security. DHS developed and implemented Secure Flight, a program for screening airline passengers against terrorist watchlist records. DHS also developed new programs and technologies to screen passengers, checked baggage, and air cargo. However, DHS does not yet have a plan for deploying checked baggage screening technologies to meet recently enhanced explosive detection requirements, a mechanism to verify the accuracy of data to help ensure that air cargo screening is being conducted at reported levels, or approved technology to screen cargo once it is loaded onto a pallet or container. Emergency preparedness and response. DHS issued the National Preparedness Guidelines that describe a national framework for capabilities-based preparedness, and a Target Capabilities List to provide a national-level generic model of capabilities defining all-hazards preparedness. DHS is also finalizing a National Disaster Recovery Framework. However, DHS needs to strengthen its efforts to assess capabilities for all-hazards preparedness, and develop a long-term recovery structure to better align timing and involvement with state and local governments' capacity. Chemical, biological, radiological and nuclear (CBRN) threats. DHS assessed risks posed by CBRN threats and deployed capabilities to detect CBRN threats. However, DHS should work to improve its coordination of CBRN risk assessments, and identify monitoring mechanisms for determining progress made in implementing the global nuclear detection strategy. GAO's work identified three themes at the foundation of DHS's challenges: Leading and coordinating the homeland security enterprise; Implementing and integrating management functions for results; and Strategically managing risks and assessing homeland security efforts. This testimony contains no new recommendations.