1). NOAA Followed Key Planning Practices and Generally Included Critical Components in Developing Its Tsunami Programs’ Strategic Plans

The planning processes NOAA used to develop its Tsunami Program and  NTHMP strategic plans followed the three key practices leading  organizations use to create effective strategic plans. The plans also  generally include the critical components of effective plans—such as  mission statements and long-term goals—and are closely linked through  their goals and strategies, but some components of the plans have not  been fully developed. NOAA adopted strategic plans in 2008 for the Tsunami Program and in  2009 for NTHMP. We found that the Tsunami Program and NTHMP strategic plans generally  include most of the critical components of effective strategic plans. Specifically, for the Tsunami Program’s strategic plan, we found that it  identifies the program’s mission, nine long-term goals for meeting its  mission, strategies to achieve most of the goals, activities to implement the  strategies, and some performance measures to assess progress. For example, although the plan identifies eight long-term  goals, it does not identify performance measures, milestones, or who is  responsible for achieving the goal of developing understandable and  effective tsunami warning center communications, such as tsunami  warning messages for communities. NOAA Has Expanded and Strengthened Its Tsunami Programs, but Some Challenges Remain

Since our 2006 report, NOAA has made progress in expanding and  strengthening its tsunami warning and mitigation capabilities, but  maintaining a reliable DART detection buoy network and increasing  community participation in the TsunamiReady program have proven to be  challenging. In addition, NOAA’s initial failure to follow its agencywide  research transition policy contributed to about a 2-year delay in moving a  new tsunami forecast system from research to application in the warning  centers, and NOAA has not complied with the Tsunami Warning and  Education Act’s requirement that it develop and execute a plan for the  transfer of technology from ongoing research into the tsunami forecasting  and warning program. For example,  in  fiscal year 2009, NOAA allocated nearly $12 million—about 28 percent of  NOAA’s total tsunami budget—to DART operation and maintenance. NOAA Has Expanded and Reorganized Its Hazard Mitigation Program, but Community Participation in TsunamiReady Remains Limited

To improve its mitigation capabilities, NOAA significantly expanded  NTHMP’s membership and reorganized the program to better focus its  activities toward achieving tsunami mitigation goals. In 2005, NOAA  expanded NTHMP membership from five Pacific Coast states into a  nationwide program including all 29 at-risk coastal U.S. states and  territories. The number of communities recognized as  TsunamiReady has increased from 27 (at the time of our 2006 report) to 74  communities located in 10 states, Puerto Rico, and the Pacific territories,  as of February 2010. Despite this progress, overall community  participation remains relatively low. For example, the 74 communities that  NOAA has recognized as TsunamiReady account for less than 10 percent  of the more than 760 communities identified as at risk for a tsunami (see  table 2). NOAA has not conducted a formal assessment to identify barriers to or  possible incentives for participating in the TsunamiReady program, as we  recommended in 2006. Because  NOAA’s existing policy and procedures, which predated the act, do not  provide a plan specifically for the transfer of tsunami research into the  Tsunami Program, and because NOAA has not created a separate plan for  the transfer of tsunami research, we believe that NOAA has not fully  complied with the act’s requirement for a transition plan for tsunami  research. Recommendations for Executive Action

To improve national tsunami preparedness and ensure that NOAA fulfills  its responsibilities under the Tsunami Warning and Education Act, we are  recommending that the Secretary of Commerce direct the Administrator of  NOAA to take the following two actions:    Revise the Tsunami Program’s and NTHMP’s strategic plans to ensure  that all the components are fully developed, in particular, that they  include effective strategies and performance measures for all goals,  including those for the TsunamiReady program.
Why GAO Did This Study

In June 2006, GAO reported a number of concerns about the level of U.S. tsunami preparedness. The National Oceanic and Atmospheric Administration (NOAA) leads U.S. efforts through three key programs: the Tsunami Program, which focuses on detection and warning activities; the National Tsunami Hazard Mitigation Program (NTHMP), which is a partnership with federal and state agencies focusing on hazard assessment and mitigation; and TsunamiReady, which is a partnership with at-risk communities focusing on education and emergency planning. The Tsunami Warning and Education Act of 2006 directed improvements in NOAA's warning and mitigation efforts and mandated GAO to report on its progress. This report addresses (1) the extent to which NOAA developed effective strategic plans for its tsunami programs and (2) the status of NOAA's efforts to strengthen and expand the programs and move tsunami research to application. GAO analyzed NOAA documents and interviewed federal, state, and local officials responsible for tsunami planning and preparedness efforts.

What GAO Found

NOAA adopted strategic plans for the Tsunami Program in 2008 and NTHMP in 2009, which it developed by following key planning practices and including most of the critical components of strategic plans identified by leading organizations, but some components have not been fully developed. GAO found that NOAA's planning process followed practices critical to creating effective strategic plans, such as involving stakeholders. Both plans also include most of the components of effective strategic plans--such as mission statements and long-term goals--but other necessary components were missing or incomplete. For example, in the Tsunami Program's strategic plan, NOAA identified nine long-term goals but did not identify strategies and performance measures for three of them. Similarly, in the strategic plan for NTHMP, NOAA identified eight long-term goals but did not identify performance measures, milestones, or who is responsible for achieving one of the goals. Although the strategic plan for NTHMP includes a goal for the TsunamiReady program, it does not identify strategies for achieving the goal. Since 2005, NOAA has made progress in expanding and strengthening its tsunami warning and mitigation capabilities but faces challenges in both areas, as well as in moving its tsunami research to application. To enhance its warning capabilities, NOAA has, among other actions, deployed 39 tsunami detection buoys. Operating and maintaining the buoys, however, has been difficult and costly, consuming about 28 percent of the fiscal year 2009 Tsunami Program budget. NOAA is exploring ways to reduce maintenance costs by improving buoy reliability. To enhance its tsunami hazard mitigation efforts, NOAA expanded NTHMP membership from the 5 Pacific Coast states to all 29 at-risk coastal U.S. states and territories, changed how it funds mitigation projects in states and territories, and restructured NTHMP to better meet its program goals. NOAA's efforts to mitigate tsunami impacts through its TsunamiReady program, however, have been hampered by limited community participation. Although the number of TsunamiReady communities has increased from 27 in 2006 to 74 as of February 2010, overall participation in this voluntary program remains relatively low among the more than 760 communities identified as at risk for a tsunami. In this regard, GAO recommended in 2006 that NOAA conduct an assessment to identify potential barriers to program participation. Although NOAA has not yet conducted this assessment, GAO continues to believe that such an assessment is needed to help inform the agency's strategic planning efforts. Finally, NOAA has not complied with the Tsunami Warning and Education Act's requirement to develop and execute a plan for the transfer of technology from research into the Tsunami Program. Furthermore, NOAA's initial failure to follow its agencywide research transition policy contributed to a 2-year delay in moving the new tsunami forecasting system from research to application in its tsunami warning centers. Only after NOAA developed a transition plan in 2009 that was consistent with the agencywide policy did the transition of the system begin to move forward more efficiently.