FEMA—a component in DHS—is the federal agency responsible for  leading the nation’s preparedness activities. involves these preparedness stakeholders in plans that define roles a responsibilities, exercises, and assessments of capabilities. Although best  practices for program management state that a program management plan  is an essential tool for implementing a program, FEMA, in coordination  with DHS and other federal entities, has not yet fully developed such a  plan to help ensure the development and integration of policies and plans  that define roles and responsibilities and planning processes for  emergency response. Two of these 4 policies have been completed. Although Action Has Been Taken to Develop and Complete Some Plans That Define Roles and Responsibilities, 68 Percent of the Plans Have Not Been Completed

While DHS, FEMA, and other federal entities with a role in national  preparedness have taken action to develop and complete some plans that  detail and operationalize roles and responsibilities for federal and  nonfederal entities, these entities have not completed 68 percent of the  plans required by existing legislation, presidential directives, and policy  documents as of April 2009. Despite Exercises Demonstrating the Need for the Development of Complete Policies and Plans, FEMA Has Not Fully Developed a Program Management Plan for Their Development and Integration

			Recent Exercises Have Demonstrated the Importance of the Development of Complete Policies and Plans to Define Roles and Responsibilities

In addition to the lessons learned from Hurricane Katrina, recent exercises  have demonstrated the ongoing need for the development of complete  policies and plans that define roles and responsibilities for national  preparedness. Officials at all six states we visited cited actions taken by FEMA to  implement the National Exercise Program as positive contributions to  their exercise efforts. However, the after-action report did not identify a  department or an agency official who was to be responsible for ensuring  that this corrective action was implemented. However, FEMA’s checklist  does not include specific items, such as compliance with HSEEP  requirements, as called for by HSGP guidance. While FEMA has developed a project management plan for  completing the comprehensive assessment system by 2010, the lack of (1)  milestones for establishing quantifiable metrics for all 37 target  capabilities and (2) specific actions for how FEMA will integrate  preparedness information to develop the system, coupled with the (3) the  lack of risk assessment information for the system raises questions about  FEMA’s ability to establish the system in accordance with its anticipated  2010 completion date. FEMA’s National Preparedness Directorate Does Not Have a Strategic Plan for Implementing the National Preparedness System

While FEMA has recognized that its components need to develop strategic  plans that detail program goals, objectives, and strategies, FEMA’s  National Preparedness Directorate (Preparedness Directorate) has not yet  developed such a plan for the national preparedness system. Although the Post-Katrina Act and the directorate’s draft annual operating  plan outline certain elements of a strategy, such as the directorate’s vision,  mission, and goals, they do not include several other desirable  characteristics of a strategic plan, such as a discussion of how the  directorate will (1) measure its progress in developing the national  preparedness system, (2) address risk as it relates to preparedness  activities, (3) coordinate with its preparedness stakeholders in developing  and carrying out the various elements of the national preparedness  system, and (4) integrate the elements of the national preparedness  system. The characteristics are a  starting point for developing a strategic plan. A key part of a national preparedness strategic  plan would be the clear delineation of organizations and their roles and  responsibilities, as well as processes to coordinate their responsibilities. Specifically, our reporting  objectives were to review the extent to which the Federal Emergency  Management Agency (FEMA) has:   1.  developed policies and plans that define roles and responsibilities and  planning processes for national preparedness;  2.  taken actions since 2007 to implement the National Exercise Program  and track corrective actions at the federal and state levels and what  challenges remain;  3.  made progress in conducting a nationwide capabilities-based  assessment, including developing required preparedness reports, and  what issues, if any, it faces in completing the system; and,   4.  developed a strategic plan for implementing the national preparedness  system. The exercises that comprised this data set were  identified by FEMA officials as well as counsel to the White House  Homeland Security Council. State Preparedness Reports. Pilot Capability Assessment (PCA). Homeland Security: DHS Improved its Risk-Based Grant Programs'  Allocation and Management Methods, But Measuring Programs' Impact  on National Capabilities Remains a Challenge. Homeland Security: Preparing for and Responding to Disasters. GAO's Preliminary Observations Regarding Preparedness and Response  to Hurricanes Katrina and Rita.
Why GAO Did This Study

Hurricane Katrina was the most destructive disaster in our nation's history and it highlighted gaps in preparedness for a catastrophic disaster. The Federal Emergency Management Agency (FEMA), a component within the Department of Homeland Security (DHS), is the lead federal agency responsible for developing a national preparedness system. The system includes policies and plans as well as exercises and assessments of capabilities across many public and private entities. GAO was asked to assess the extent to which FEMA has (1) developed policies and plans that define roles and responsibilities; (2) implemented the National Exercise Program, a key tool for examining preparedness; (3) developed a national capabilities assessment; and (4) developed a strategic plan that integrates these elements of the preparedness system. GAO analyzed program documents, such as after-action reports, and visited six states located in disaster regions. While the results of these visits are not generalizable, they show how select states carry out their efforts.

What GAO Found

While most policies (41 of 50) that define roles and responsibilities have been completed, such as the National Response Framework, 68 percent (49 of 72) of the plans to implement these policies, including several for catastrophic incidents, are not yet complete. As a result, the roles and responsibilities of key officials involved in responding to a catastrophe have not been fully defined and, thus, cannot be tested in exercises. The lack of clarity in response roles and responsibilities among the diverse set of responders contributed to the disjointed response to Hurricane Katrina and highlighted the need for clear, integrated disaster preparedness and response policies and plans. Although best practices for program management call for a plan that includes key tasks and their target completion dates, FEMA does not have such a plan. With such a plan, FEMA would be better positioned to ensure that the policies and plans are completed and integrated with each other as intended as well as with other elements of the preparedness system. Since 2007, FEMA has taken actions to implement the National Exercise Program at the federal and state levels by developing, among other things, program guidance and systems to track corrective actions; however, FEMA faces challenges in ensuring that the exercises are carried out consistent with program guidance. For example, the Homeland Security Council (an interagency entity responsible for coordinating homeland security policy) and state participants did not systematically track whether corrective actions had been taken to address deficiencies identified by exercises as called for by program guidance. As a result, FEMA lacks reasonable assurance that entities have taken actions aimed at improving preparedness. FEMA has made progress in developing a system for assessing national preparedness capabilities by, among other things, establishing reporting guidance for state preparedness, but it faces challenges in completing the system and required reports to assess preparedness. While FEMA has developed a project management plan for the new system, the plan does not fully identify milestones and program risks for developing quantifiable metrics necessary for measuring preparedness capabilities. A more complete project plan that identifies milestones and program risks would provide FEMA with greater assurance that it can produce a system to assess capabilities and inform decisions related to improving national preparedness. FEMA's strategic plan for fiscal years 2008-2013 recognizes that each of its components need to develop its own strategic plans that integrate the elements of national preparedness. FEMA's National Preparedness Directorate has yet to develop its strategic plan, but instead plans to use a draft annual operating plan to guide its efforts. This plan does not include all elements of a strategic plan, such as how the directorate will integrate the various elements of the system over time to improve national preparedness. Having a strategic plan would provide FEMA with a roadmap for addressing the complex task of guiding and building a national preparedness system.