We also reported that the establishment of the Operations  Directorate provided DHS with an opportunity to more consistently  implement these practices. The Centers Do Not Define and Articulate Common Outcomes and Joint Strategies, a Key Practice Intended to Enhance and Sustain Collaboration

At the time of our review, the three DHS components responsible for the  four multi-agency centers had not developed or documented common  goals or joint strategies that incorporated all the agencies within the  centers and that our work has shown could, in turn, enhance collaboration  among these agencies. For example, DHS said it  has developed national reporting requirements and a coordinated national  reporting chain for submitting homeland security information during a  crisis, in part in response to Hurricane Katrina lessons learned. Therefore, while we  understand that the Operations Directorate has taken the position it does  not have control over the component center resources, we maintain that  providing guidance to component agencies to assist them in conducting  such staffing needs assessments would allow the component sponsoring  the center to leverage resources more efficiently to meet the operational  needs of the center. According to DHS, since our report, it has taken steps to further define the  role and responsibilities of the watchstanders in its National Operations  Center and documented them in its Standard Operating Procedures, as  well as to develop Memoranda of Agreements with the components that  will codify the role of the watchstanders they provide to the National  Operations Center. However, we, the DHS IG, and the department itself have identified  continuing concerns with this system, which is used for sharing a variety  of information, including law enforcement and emergency response  information used to support situational awareness and incident response  In April 2007, we reported that DHS did not fully adhere to collaborative  practices or Office of Management and Budget (OMB) guidance in  coordinating its efforts to implement HSIN through state and local  information-sharing initiatives. Key practices to help implement the guidance include  establishing joint strategies and developing compatible policies and  procedures to operate across agency boundaries. Nor were performance measures or other  mechanisms in place to monitor and evaluate the joint efforts of multiple  DHS agencies at the Transportation Security Operations Center and the  National Targeting Center. To date, DHS has not provided guidance to the multiagency centers to help  implement mechanisms to monitor and evaluate the results of  collaborative efforts. DHS’s Operations Directorate Has Given Priority to Fixing the Problems that Hurricane Katrina Exposed

According to DHS officials, the Operations Directorate and the National  Operations Center have been focused on responding to the congressional  and administration reports and corresponding recommendations  generated in the aftermath of Hurricane Katrina. In response to these concerns, among others, DHS reported that it made a  series of changes to its operations, organization, and procedures for  sharing information in order to maintain situational awareness and  provide for incident management. Disaster Situational Awareness Teams. While DHS provided us with background briefings, some supporting  documentation, and some after action reports on the initiatives we have  outlined, we did not evaluate the extent to which they have been  implemented and are effective at addressing the problems Katrina  identified, in part because they are so new and in some cases still  concepts.
Why GAO Did This Study

This testimony summarizes GAO's October 2006 report on the Department of Homeland Security's (DHS) operations centers--centers run by three DHS components and operating 24 hours a day, 7 days a week, 365 days a year to conduct monitoring and surveillance activities of potential terrorist activities and other crises. Specifically, GAO assessed the extent to which the centers implemented key practices GAO's work has shown will enhance and sustain collaboration. In addition, GAO is aware of Congress's concerns about the performance of certain DHS components with regard to situational awareness during Hurricane Katrina, and the recent efforts made in response to these concerns identified in hurricane after-action studies and reports. Because these efforts to some extent affect DHS's response to the recommendations made in GAO's previous report, this testimony briefly describes some of the steps DHS reported that it has taken to address situational awareness problems Katrina exposed. However, because these actions are relatively new, it is too early to assess how well they are being implemented.

What GAO Found

The DHS operations centers GAO studied--the Air and Marine Operations Center, the National Targeting Center, the Transportation Security Operations Center, and the National Operations Center--could improve implementation of the key practices GAO identified as having a positive effect on inter-agency collaboration. These key practices include (1) defining common outcomes and joint strategies; (2) assessing each center's needs to leverage resources; (3) defining the roles and responsibilities of the personnel conducting surveillance activities; (4) establishing compatible standards, policies, and procedures for using DHS's primary information sharing network; (5) developing mechanisms to monitor and evaluate results of joint operations; and (6) reinforcing accountability by recognizing joint efforts and outcomes achieved in annual performance plans and reports. The Operations Directorate, established in November 2005 to improve operational efficiency and coordination, provides DHS with an opportunity to more fully implement these key practices by providing guidance to the operations centers. Although GAO recommended that the Directorate provide this guidance, DHS stated that the Directorate does not have control over the component operations centers; therefore, it has not provided guidance to improve collaboration among the centers. According to DHS, it has given priority to fixing issues that affect situational awareness and its ability to respond to national incidents and disasters, such as Hurricane Katrina. The actions in response to Katrina include establishing standard roles and procedures for reporting information during a major incident and creating a Web-based tool to provide a common view of critical information during a crisis. While DHS has not fully responded to GAO's recommendation for implementing key collaborative practices, it maintains that the initiatives it has implemented since Katrina will improve collaboration and create an environment to address the recommendations in the future.