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 to achieve its potential as it continues to  mature. DHS implemented key homeland  security operations and achieved important goals and milestones in many  areas. Specifically:    DHS issued strategic and operational plans to guide its homeland  security efforts, such as the QHSR, which provided a strategic  framework for homeland security, and the National Response  Framework, which is built upon coordinating structures to align key  roles and responsibilities across the nation, linking all levels of  government, nongovernmental organizations, and the private sector.   DHS successfully hired, trained, and deployed workforces, such as a  federal screening workforce at airports nationwide.   DHS created new programs and offices, or expanded existing ones, to  implement key homeland security responsibilities, such as  establishing the U.S. 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, our work has shown that more work remains for DHS to  address 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 did not  sufficiently define what capabilities and benefits would be delivered, by  when, and at what cost for US-VISIT—which is to verify the identities of  foreign visitors entering and exiting the United States by storing and  processing biometric and biographic information—and has not yet  reached a decision on deploying an exit capability. DHS subsequently  canceled this program. 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. Appendix II: Scope and Methodology

This report addresses the following question: What progress has the  Department of Homeland Security (DHS) made in implementing its  mission functions since it began operations; what work, if any, remains;  and what crosscutting and management issues have affected DHS’s  implementation efforts? This report is based primarily on work that we have completed since DHS  began its operations in March 2003, with an emphasis on reports issued  since 2008 to reflect our most recent work, supplemented by DHS Office  of Inspector General (IG) reports and updated information and  documentation provided by the department in July and August 2011. As part of these  responsibilities, TSA performs or oversees the performance of security  operations at the nation’s more than 460 commercial airports.Key  elements that comprise aviation security include:   the aviation security workforce, including hiring, training, and  deploying a screening workforce;     passenger prescreening—comparing passenger information to the  Selectee and No Fly lists;     passenger checkpoint screening, including using staff, policies and  procedures, and technology to address potential vulnerabilities;     checked baggage screening, including deploying explosives detection  systems and other technologies to screen baggage for explosives;     air cargo screening, which involves using staff, policies and  procedures, and technology to screen domestic and high-risk  international inbound air cargo transported on passenger aircraft; and    security of airports, including airport perimeter security and access  controls. Additionally, TSA does not  yet have a mechanism to verify the accuracy of domestic and inbound air  cargo screening data. Appendix IV: Chemical, Biological, Radiological, and Nuclear Threats

	What This Area Includes

The Department of Homeland Security (DHS) leads federal interagency  coordination and planning for emergency response to catastrophic events  such as chemical, biological, radiological, and nuclear (CBRN) incidents  in the United States, and is responsible for assessing the risks posed by  various CBRN agents. However, work remains in implementing  the global nuclear detection strategy, and DHS faced difficulties in  developing new technologies to detect radiological and nuclear materials. For example, ICE took action to address a small portion of  the estimated overstay population in the United States, and lacks  measures for assessing its progress in addressing overstays. It is also finalizing a National Disaster  Recovery Framework, intended to provide a model to identify and  address challenges that arise during the disaster recovery process. We also reported that FEMA awards certain preparedness  grants based on a reasonable risk methodology. However, more work  remains in FEMA’s efforts to assess capabilities for all-hazards  preparedness, provide long-term disaster recovery assistance, and  strengthen alert systems. In September 2007, DHS issued the National Preparedness Guidelines  that describe a national framework for capabilities-based preparedness as  a systematic effort that includes sequential steps to first determine  capability requirements and then assess current capability levels. As a  companion to the Guidelines, FEMA issued a Target Capabilities List,  designed to provide a national-level generic model of capabilities defining  all-hazards preparedness. DHS  concurred with our recommendation. GAO. GAO. Border Security: DHS's Visa Security Program Needs to Improve  Performance Evaluation and Better Address Visa Risk Worldwide. GAO. U.S. Emergency Preparedness and Response

GAO. GAO. GAO. Efficacy of  DHS Grants Programs.
Why GAO Did This Study

The events of September 11, 2001, led to profound changes in government policies and structures to confront homeland security threats. 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, 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 border and transportation security and emergency management, among others. As requested, this report addresses DHS's progress in implementing its homeland security missions since it began operations, work remaining, and issues affecting implementation efforts. This report is based on GAO's past and ongoing work, supplemented with DHS Office of Inspector General reports, with an emphasis on reports issued since 2008. GAO also analyzed information provided by DHS in July and August 2011 on recent actions taken in response to prior work.

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, and awards preparedness grants based on a reasonable risk methodology. 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. This report contains no new recommendations.