PPA 503 – The Public PPA 503 – The Public Policy-Making ProcessPolicy-Making Process

Lecture 9b – Homeland Security, Lecture 9b – Homeland Security, Disaster Management, and EvaluationDisaster Management, and Evaluation

Homeland Security Goals and Homeland Security Goals and ObjectivesObjectives National Strategy for Homeland National Strategy for Homeland

Security.Security. http://www.whitehouse.gov/homelhttp://www.whitehouse.gov/homel

and/book/sect1.pdfand/book/sect1.pdf..

Strategic Plan of the Strategic Plan of the Department of Homeland Department of Homeland Security.Security. http://www.dhs.gov/dhspublic/interhttp://www.dhs.gov/dhspublic/inter

web/assetlibrary/DHS_StratPlan_web/assetlibrary/DHS_StratPlan_FINAL_spread.pdfFINAL_spread.pdf..

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DHS Office of Inspector General Management DHS Office of Inspector General Management Challenges.Challenges. DHS has made significant progress in addressing all

of its management challenges. However, some of the planned improvements will take years to develop and implement, and much remains to be done. For example:

§ DHS has taken steps to consolidate many of its support service operations, including financial management, contracting, and human resources, but the operations are still not under central control, and contracts management and information technology present formidable challenges.

§ DHS has taken steps to consolidate its preparedness grant programs under one component, and generally has been timely in awarding “first responder” funds; however, state and local grant recipients have been slow in spending the funds, and an effective grants management system is needed.

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DHS Office of Inspector General Management DHS Office of Inspector General Management Challenges.Challenges. § Financial management functions provided by 19 separate

service providers during FY 2003 are now provided by 10 service providers, including 4 outside DHS; however, development and implementation of a single, integrated financial management system are still years away.

§ DHS has developed and distributed for public comment proposed human resource regulations that will dramatically affect DHS employees and could serve as a model for the whole federal government; however, finalizing and implementing these regulations will be challenging.

§ DHS has made major strides in protecting U.S. borders, including beginning implementation of the United States Visitor and Immigrant Status Indication Technology System (US-VISIT) program, which will provide the capability to record entry and exit information on foreign visitors who travel through U.S. air, sea, and land ports of entry. However, the challenges are immense, and it will take years to address them fully.

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Homeland Security: Summary of Homeland Security: Summary of Challenges Faced in Targeting Challenges Faced in Targeting Oceangoing Cargo Containers Oceangoing Cargo Containers for Inspection  for Inspection  GAO-04-557TGAO-04-557T  March 31, 2004  March 31, 2004HighlightsHighlights    Accessible TextAccessible Text

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After the attacks of September 11, 2001, concerns After the attacks of September 11, 2001, concerns intensified that terrorists would attempt to smuggle intensified that terrorists would attempt to smuggle a weapon of mass destruction into the United a weapon of mass destruction into the United States. One possible method is to use one of the 7 States. One possible method is to use one of the 7 million cargo containers that arrive at our seaports million cargo containers that arrive at our seaports each year. Addressing the potential threat posed by each year. Addressing the potential threat posed by the movement of oceangoing cargo containers falls the movement of oceangoing cargo containers falls to the Department of Homeland Security's U.S. to the Department of Homeland Security's U.S. Customs and Border Protection (CBP). Since CBP Customs and Border Protection (CBP). Since CBP cannot inspect all arriving cargo containers, it uses cannot inspect all arriving cargo containers, it uses a targeting strategy, including an Automated a targeting strategy, including an Automated Targeting System. This system targets containers Targeting System. This system targets containers for inspection based on perceived level of risk. for inspection based on perceived level of risk.

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In this testimony, GAO In this testimony, GAO summarizes its work on (1) summarizes its work on (1) whether the development of whether the development of CBP's targeting strategy is CBP's targeting strategy is consistent with recognized key consistent with recognized key risk management and modeling risk management and modeling practices and (2) how well the practices and (2) how well the strategy has been implemented strategy has been implemented at selected seaports. at selected seaports.

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CBP has taken steps to address CBP has taken steps to address the terrorism risks posed by the terrorism risks posed by oceangoing cargo containers, but oceangoing cargo containers, but its strategy neither incorporates its strategy neither incorporates all key elements of a risk all key elements of a risk management framework nor is it management framework nor is it entirely consistent with entirely consistent with recognized modeling practices. recognized modeling practices.

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Actions CBP has taken included Actions CBP has taken included refining the Automated Targeting refining the Automated Targeting System to target cargo containers that System to target cargo containers that are a high risk for terrorism, or other are a high risk for terrorism, or other smuggling, for physical inspection. CBP smuggling, for physical inspection. CBP has also implemented national targeting has also implemented national targeting training and sought to improve the training and sought to improve the quality and timeliness of manifest quality and timeliness of manifest information, which is one of the inputs information, which is one of the inputs for its Automated Targeting System. for its Automated Targeting System.

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However, regarding risk However, regarding risk management, CPB has not management, CPB has not performed a comprehensive performed a comprehensive set of assessments vital for set of assessments vital for determining the level of risk determining the level of risk for oceangoing cargo for oceangoing cargo containers and the types of containers and the types of responses necessary to responses necessary to mitigate that risk. mitigate that risk.

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Regarding recognized modeling practices, CBP Regarding recognized modeling practices, CBP has not subjected the Automated Targeting has not subjected the Automated Targeting System to adequate external peer review or System to adequate external peer review or testing. It has also not fully implemented a testing. It has also not fully implemented a process to randomly examine containers in process to randomly examine containers in order to test the targeting strategy. Without order to test the targeting strategy. Without incorporating all key elements of a risk incorporating all key elements of a risk management framework and recognized management framework and recognized modeling practices, CBP cannot be reasonably modeling practices, CBP cannot be reasonably sure that its targeting strategy provides the sure that its targeting strategy provides the best method to protect against weapons of best method to protect against weapons of mass destruction entering the United States at mass destruction entering the United States at its seaports. its seaports.

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GAO's visits to selected seaports found GAO's visits to selected seaports found that the implementation of CBP's that the implementation of CBP's targeting strategy faces a number of targeting strategy faces a number of challenges. Although port officials said challenges. Although port officials said that inspectors were able to inspect all that inspectors were able to inspect all containers designated by the containers designated by the Automated Targeting System as high-Automated Targeting System as high-risk, GAO's requests for documentation risk, GAO's requests for documentation raised concerns about the adequacy of raised concerns about the adequacy of CBP's data to document these CBP's data to document these inspections.inspections.

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CBP lacks an adequate mechanism to CBP lacks an adequate mechanism to test or certify the competence of test or certify the competence of students who participate in their students who participate in their national targeting training. Additionally, national targeting training. Additionally, CBP has not been able to fully address CBP has not been able to fully address longshoremen's safety concerns related longshoremen's safety concerns related to inspection equipment. Addressing to inspection equipment. Addressing these concerns is important to ensure these concerns is important to ensure that cargo inspections are conducted that cargo inspections are conducted safely and efficiently. safely and efficiently.

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Challenges to both the Challenges to both the development and the development and the implementation of CBP's implementation of CBP's targeting strategy, if not targeting strategy, if not addressed, may limit the addressed, may limit the effectiveness of targeting as effectiveness of targeting as a tool to help ensure a tool to help ensure homeland security.homeland security.

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DISASTER MANAGEMENT: Improving the Nation’s Response to Catastrophic Disasters (GAO/RCED-93-186), July 1993

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The federal strategy for responding The federal strategy for responding to catastrophic disasters is deficient to catastrophic disasters is deficient because it lacks provisions for the because it lacks provisions for the federal government to immediately federal government to immediately (1) assess in a comprehensive manner (1) assess in a comprehensive manner

the damage and the corresponding the damage and the corresponding needs of disaster victims and needs of disaster victims and

(2) provide food, shelter, and other (2) provide food, shelter, and other essential services when the needs of essential services when the needs of disaster victims outstrip the resources of disaster victims outstrip the resources of the state, local, and private voluntary the state, local, and private voluntary community. community.

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Moreover, the federal strategy - Moreover, the federal strategy - encompassing 26 different agencies encompassing 26 different agencies - does not promote adequate - does not promote adequate preparedness when there is advance preparedness when there is advance warning of a disaster because warning of a disaster because preparatory activities are not preparatory activities are not explicitly authorized until the explicitly authorized until the President has issued a disaster President has issued a disaster declaration. declaration. These problems were most evident in These problems were most evident in

the immediate response to Hurricane the immediate response to Hurricane Andrew in South Florida. Andrew in South Florida.

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To improve the federal To improve the federal response, the nation needs response, the nation needs presidential involvement and presidential involvement and leadership both before and after leadership both before and after a catastrophic disaster strikes. a catastrophic disaster strikes.

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To underscore the commitment of the President, To underscore the commitment of the President, responsibility for catastrophic disaster responsibility for catastrophic disaster preparedness and response should be placed with preparedness and response should be placed with a key official in the White House. a key official in the White House. This would institutionalize the direct presidential This would institutionalize the direct presidential

involvement that occurred on an ad hoc basis in involvement that occurred on an ad hoc basis in Hurricane Andrew and other recent major disasters. Hurricane Andrew and other recent major disasters.

Furthermore, this organizational arrangement could Furthermore, this organizational arrangement could increase the levels of attention given to emergency increase the levels of attention given to emergency management responsibilities throughout the management responsibilities throughout the government, not just in times of catastrophic government, not just in times of catastrophic disasters. disasters.

This responsibility should not be a full-time position This responsibility should not be a full-time position that would effectively duplicate the role of the Director that would effectively duplicate the role of the Director of FEMA, but the White House official should be of FEMA, but the White House official should be sufficiently knowledgeable about disaster response to sufficiently knowledgeable about disaster response to guide the federal effort.guide the federal effort.

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Within FEMA, a disaster unit is needed to Within FEMA, a disaster unit is needed to provide the White House and the Director provide the White House and the Director of FEMA with information, analysis, and of FEMA with information, analysis, and technical support to improve federal technical support to improve federal decision-making on helping state and local decision-making on helping state and local governments before, during, and after governments before, during, and after catastrophic disasters. catastrophic disasters. Consisting of a core staff located in FEMA and Consisting of a core staff located in FEMA and

augmented by staff in other participating federal augmented by staff in other participating federal agencies, the disaster unit would plan for and agencies, the disaster unit would plan for and respond to a wide variety of catastrophic respond to a wide variety of catastrophic disasters. disasters.

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We believe a major reorganization would We believe a major reorganization would be necessary in order to ensure a disaster be necessary in order to ensure a disaster unit’s success in FEMA. unit’s success in FEMA. Since FEMA was formed 14 years ago by Since FEMA was formed 14 years ago by

consolidating several agencies from throughout consolidating several agencies from throughout the federal government, two of its Directorates the federal government, two of its Directorates (whose resources would form the bulk of a (whose resources would form the bulk of a disaster unit) have historically not worked well disaster unit) have historically not worked well together. together.

Institutional and cultural barriers have prevented Institutional and cultural barriers have prevented effective cooperation between the two effective cooperation between the two Directorates during disasters. Directorates during disasters.

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The military can play an important role in The military can play an important role in responding to catastrophic disasters.responding to catastrophic disasters. After Hurricanes Andrew and Iniki, the military was After Hurricanes Andrew and Iniki, the military was

highly effective in providing supplies and services and highly effective in providing supplies and services and in establishing the infrastructure necessary to restore in establishing the infrastructure necessary to restore order and meet the immediate needs of victims. order and meet the immediate needs of victims.

While only the Department of Defense (DOD) can While only the Department of Defense (DOD) can quickly escalate the federal response when the quickly escalate the federal response when the destruction and the need for mass care is far greater destruction and the need for mass care is far greater than first anticipated, the disaster unit we propose for than first anticipated, the disaster unit we propose for FEMA - and not DOD - would be in the best position FEMA - and not DOD - would be in the best position to determine when such an escalation is necessary. to determine when such an escalation is necessary.

Neither the responses to Hurricanes Andrew and Iniki Neither the responses to Hurricanes Andrew and Iniki nor the experts with whom we consulted indicated nor the experts with whom we consulted indicated that DOD should have overall management that DOD should have overall management responsibility for disaster relief and recovery. responsibility for disaster relief and recovery.

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Legislative changes may also be needed to Legislative changes may also be needed to foster a more effective federal response to foster a more effective federal response to catastrophic disasters. catastrophic disasters. Current federal law governing disaster response Current federal law governing disaster response

does not explicitly authorize federal agencies to does not explicitly authorize federal agencies to undertake preparatory activities before a undertake preparatory activities before a disaster declaration by the President, nor does it disaster declaration by the President, nor does it authorize FEMA to reimburse agencies for such authorize FEMA to reimburse agencies for such preparation, even when disasters like hurricanes preparation, even when disasters like hurricanes provide some warning that such activities will be provide some warning that such activities will be needed. needed.

Federal agencies may fail to undertake advance Federal agencies may fail to undertake advance preparations because of uncertainty over preparations because of uncertainty over whether costs incurred before a disaster whether costs incurred before a disaster declaration will ultimately be reimbursed by declaration will ultimately be reimbursed by FEMA. FEMA.

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Legislative changes may also be needed to Legislative changes may also be needed to foster a more effective federal response to foster a more effective federal response to catastrophic disasters. catastrophic disasters. The success or failure of any of these proposed The success or failure of any of these proposed

changes in the national disaster response changes in the national disaster response system will be heavily affected by the efforts of system will be heavily affected by the efforts of state and local governments, which are state and local governments, which are expected to be the first responders when a expected to be the first responders when a disaster strikes. disaster strikes.

However, these responders do not have However, these responders do not have adequate training and funding to respond to adequate training and funding to respond to catastrophic disasters on their own. catastrophic disasters on their own.

As a result, FEMA needs to use its existing As a result, FEMA needs to use its existing resources to better prepare state and local resources to better prepare state and local governments for catastrophic disaster response governments for catastrophic disaster response so that they are as effective as possible. so that they are as effective as possible.

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Finally, FEMA is not organized for and Finally, FEMA is not organized for and does not carry out the types of training, does not carry out the types of training, exercises, and oversight needed to ensure exercises, and oversight needed to ensure that deficiencies in state preparedness are that deficiencies in state preparedness are identified and corrected. identified and corrected. While it sets policies, provides funding, and has While it sets policies, provides funding, and has

established limited exercises and some general established limited exercises and some general training programs for the states, FEMA has training programs for the states, FEMA has neither established performance standards nor neither established performance standards nor developed a training and exercise program developed a training and exercise program specifically geared toward enhancing state and specifically geared toward enhancing state and local preparedness for catastrophic disaster local preparedness for catastrophic disaster response. response.