Homeland Security: Management Challenges Facing Federal Leadership
GAO-03-260
Published: Dec 20, 2002. Publicly Released: Dec 24, 2002.
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Highlights
To understand the federal government's response since the September 11 terrorist attacks, GAO was asked to review governmentwide changes and challenges prevalent in the missions and activities of agencies involved in homeland security, including the coordination and collaboration required to meet overall goals and needs, and government's efforts in planning and implementing strategic, transitional, and human capital activities designed to reorganize and strengthen homeland security.
Recommendations
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Office of Homeland Security | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, GAO recommends that, given the scope of homeland security objectives across the public and private sector, it is important for OHS, in conjunction with OMB and DHS, to set priorities, to help guide and support the development of performance measures and time frames, and to assess and oversee progress, in implementing the national homeland security strategy. Through the national strategy, OHS should also lead efforts to ensure clarity in the roles and responsibilities of all parties--OHS, OMB, DHS, and others--to leverage collaboration among them, and to establish effective accountability to meet national goals. Moreover, these entities will need to balance and reconcile program objectives and priorities, and make realistic resource allocations, within and among homeland security and non-homeland security missions across government. | In March 2005, GAO issued a report on DHS's strategic planning efforts (GAO-05-300), and we noted that it was linked to the National Homeland Security Strategy, and we made a number of related recommendations. DHS's updated strategic plan has not been issued yet, so the status of developing specific performance measures and timeframes departmentwide has not changed. The Future Years Homeland Security Plan (FYHSP) does contain goals, targets and timeframes. Our report on DHS's progress in implementing its mission and management functions (the DHS "report card" GAO-07-454)states that since its inception, DHS has not done a good job of clarifying roles and responsibilities, coordinating and... collaborating, and to establish effective accountability. Concerning balancing program objectives and priorities and making realistic resource allocations, we have reported that DHS does not have a department-wide risk assessment strategy.
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| Office of Management and Budget | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, OMB, in developing an effective transition plan for DHS, should ensure that the plan incorporates the practices identified during Mergers and Transformation Forum, as well as key factors for successful organizations listed in appendix II in helping lay the foundation for a cohesive, world-class organization capable of protecting the nation from terrorism. | OMB's Transition Planning Office (TPO) was dissolved once the Department of Homeland Security was stood up in March 2003. DHS has not, to date, provided GAO with any planning documents from OMB's TPO to help GAO determine whether such transition plans existed and whether they included the mergers and transformation and other successful practices that GAO recommended. However, GAO has made a similar recommendation to DHS under GAO-05-139 related to a strategy for the management integration of DHS. DHS has provided us with its Management Directorate Strategic Plan, which contains some information relative to developing an agencywide management integration strategy, but there are no...
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| Office of Management and Budget | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, over the coming years, OMB, in conjunction with DHS, should help ensure the implementation of broad-based management practices and principles that will improve the sustainability of DHS and other homeland security activities, consistent with statutory and regulatory requirements as well as with the President's Management Agenda. They should, in part, direct the establishment of appropriate plans and management systems to ensure the needed management capacity, people, partnerships, and accountability to achieve national homeland security goals. This includes an effective strategic planning system that articulates meaningful performance goals, objectives, and measures; an effective human capital strategy; and a process for reporting and oversight. Strong financial and information technology systems and internal controls will also be critical to the success of DHS and other organizations with homeland security missions. | In February 2005, DHS issued its final regulations for its new human capital system. In March 2005, GAO issued a report on DHS' strategic planning efforts (GAO-05-300) that made a number of related recommendations. DHS has not yet updated its strategic plan that would indicate whether they have implemented our prior recommendations related to strategic planning. Consistent with another prior recommendation, DHS has directed the establishment of a departmentwide strategic framework for managing its IT information. As we reported in March 2006, DHS is continuing to work to institutionalize the strategic framework, including fully defining and implementing effective IT management controls...
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| Office of Homeland Security | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, over the coming years, OMB, in conjunction with DHS, should help ensure the implementation of broad-based management practices and principles that will improve the sustainability of DHS and other homeland security activities, consistent with statutory and regulatory requirements as well as with the President's Management Agenda. They should, in part, direct the establishment of appropriate plans and management systems to ensure the needed management capacity, people, partnerships, and accountability to achieve national homeland security goals. This includes an effective strategic planning system that articulates meaningful performance goals, objectives, and measures; an effective human capital strategy; and a process for reporting and oversight. Strong financial and information technology systems and internal controls will also be critical to the success of DHS and other organizations with homeland security missions. | In February 2005, DHS issued its final regulations for its new human capital system. In March 2005, GAO issued a report on DHS' strategic planning efforts (GAO-05-300) that made a number of related recommendations. DHS has not yet updated its strategic plan that would indicate whether they have implemented our prior recommendations related to strategic planning. Consistent with another prior recommendation, DHS has directed the establishment of a departmentwide strategic framework for managing its IT information. As we reported in March 2006, DHS is continuing to work to institutionalize the strategic framework, including fully defining and implementing effective IT management controls...
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| Office of Management and Budget | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, OPM in conjunction with OMB and the agencies, should develop and oversee the implementation of a long-term human capital strategy that can support the capacity building across government required to meet the objectives of the nation's efforts to strengthen homeland security. With respect to DHS, in particular, this strategy should establish an effective performance management system, which incorporates the practices that reinforce a "line of sight" that shows how unit and individual performance can contribute to overall organization goals. |
In February 2005, the Department of Homeland Security issued its final regulations for its new human capital system. Among the system's requirements is setting and communicating performance expectations to employees. Further, these expectations must align with and support the Department's strategic goals and other measures of performance.
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| Office of Personnel Management | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, OPM in conjunction with OMB and the agencies, should develop and oversee the implementation of a long-term human capital strategy that can support the capacity building across government required to meet the objectives of the nation's efforts to strengthen homeland security. With respect to DHS, in particular, this strategy should establish an effective performance management system, which incorporates the practices that reinforce a "line of sight" that shows how unit and individual performance can contribute to overall organization goals. |
In February 2005, the Department of Homeland Security issued its final regulations for its new human capital system. Among the system's requirements is setting and communicating performance expectations to employees. Further, these expectations must align with and support the Department's mission and strategic goals and other measures of performance.
|
| Office of Management and Budget | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, OPM, in conjunction with OMB and the agencies, should develop and oversee the implementation of a long-term human capital strategy that can support the capacity building across government required to meet the objectives of the nation's efforts to strengthen homeland security. With respect to DHS, in particular, this strategy should provide for the appropriate utilization of the human capital flexibilities granted to DHS to effectively manage its workforce. |
In February 2005, the Department of Homeland Security issued its final regulations for its new human capital system to implement the flexibilities established in the Homeland Security Act, P.L. 107-296.
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| Office of Personnel Management | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, OPM, in conjunction with OMB and the agencies, should develop and oversee the implementation of a long-term human capital strategy that can support the capacity building across government required to meet the objectives of the nation's efforts to strengthen homeland security. With respect to DHS, in particular, this strategy should provide for the appropriate utilization of the human capital flexibilities granted to DHS to effectively manage its workforce. |
In February 2005, the Department of Homeland Security issued its final regulations for its new human capital system to implement the flexibilities established in the Homeland Security Act (P.L. 107-296).
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| Office of Management and Budget | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, OPM, in conjunction with OMB and the agencies, should develop and oversee the implementation of a long-term human capital strategy that can support the capacity building across government required to meet the objectives of the nation's efforts to strengthen homeland security. With respect to DHS, in particular, this strategy should foster an environment that promotes employee involvement and empowermnent, as well as constructive and cooperative labor-management employee relations. |
DHS provided for collaboration and employee involvement. Employees were provided multiple opportunities to be included in the design team, town hall meetings, and focus groups. The regulations also recognize the importance of employee involvement in implementing the new system and providing for involvement in developing directives, participating on the compensation committee, and commenting on evaluations.
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| Office of Personnel Management | As the federal government clearly faces a number of leadership and management challenges in achieving its homeland security mission, OPM, in conjunction with OMB and the agencies, should develop and oversee the implementation of a long-term human capital strategy that can support the capacity building across government required to meet the objectives of the nation's efforts to strengthen homeland security. With respect to DHS, in particular, this strategy should foster an environment that promotes employee involvement and empowermnent, as well as constructive and cooperative labor-management employee relations. |
GAO reported that in designing its new human capital system, the Department of Homeland Security provided for collaboration and employee involvement. In addition, the final regulations provide for continuing collaboration in developing directives, participating on the Compensation Committee, and commenting on evaluations of the system.
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Bioterrorism hospital preparedness programBioterrorism preparedness and response programCounterterrorismEmergency preparednessFederal agency reorganizationHomeland securityPerformance managementStrategic planningTerrorismTransportation security