National Preparedness: FEMA Has Made Progress, but Needs to Complete and Integrate Planning, Exercise, and Assessment Efforts

FEMA's National Preparedness Directorate (NPD) issued a 2011 report on its Strategic Intent for Fiscal Year 2012-2014/Fiscal Year 2012 Operating Plan. The Operating Plan focuses NPD's efforts primarily on implementation of Presidential Policy Directive-8 and addresses development of a National Preparedness Goal, National Preparedness System, 5 planning frameworks, and a National Preparedness Report. The Plan includes many of the elements outlined in GAO's recommendation, including goals, timelines, milestones and measurements of progress, as well as resources associated with implementing the plan. As a result, this recommendation is closed as implemented.

FEMA developed policies and procedures to meet the timelines delineated in the National Exercise Program (NEP) Implementation Plan (I-Plan) concerning the release of After Action Reports (AARs) for National Level Exercises (NLEs) and, according to agency officials, FEMA has been working with Department of Homeland Security leadership to ensure more rapid approval and release of AARs through the NEP. As an example, they noted that the NLE 2010 AAR was completed and sent to the interagency for review and comment within 60 days of the exercise. According to officials, following NLE 11, FEMA's National Exercise Division initiated a 14-day turnaround for a Missions Critical Finding Reports and presented findings to the Domestic Resilience Group (DRG) within that timeframe. This recommendation is closed as implemented.

In an updated response, FEMA reported in January 2012 that officials met with the National Security Staff (NSS) in June 2011 to explore future processes for Principal Level Exercises (PLEs) corrective actions and to clarify requirements. The NSS informed FEMA that it is committed to ensuring effective identification and tracking of corrective actions from PLEs, and this process is being incorporated into the revised NEP I-Plan. In the meantime FEMA continues to work with NSS to identify and monitor corrective actions from these exercises. For example, recently the NSS and FEMA co-chaired a Corrective Action/Lessons Learned Conference based on issues identified from previous NLEs and (PLEs). During the conference, Federal Departments and Agencies were asked to provide the status on each of their respective corrective actions from these exercises, and follow-up sessions are scheduled to resolve any outstanding items.

The Federal Emergency Management Agency (FEMA) reported in September 2010 that the agency has obtained access to after action reports from past Principal Level Exercises, noting that remedial action tracking is done at the National Security Staff level for most Cabinet level exercises and that FEMA is working with the National Security Staff of the Homeland Security Council to explore ways to gather data that may be used by key players that are responsible for assessments to conduct analysis of Principal Level Exercises, while protecting sensitive information. FEMA's response noted that long term trend analysis to identify comprehensive and supportable findings is important; there are individual findings that provide significant near-term value and lead to rapid corrective actions that significantly improve preparedness, noting that the findings are captured and reviewed for action and implementation by the National Security Staff and that FEMA is working with the staff to enhance the corrective action identification and tracking process. As a result, this recommendation is closed as implemented.

The Federal Emergency Management Agency (FEMA) reported in September 2010 that the agency has added the National Council on Disability to the invitee list for the annual National Exercise Program planning conferences, including National Level Exercises. According to FEMA, the National Exercise Division has begun collaborative discussions directly with the National Council on Disability and through the FEMA Office of Disability Integration and Coordination on how best to incorporate the unique life experiences of people with disabilities in the design and execution of exercises, including national level exercises.

Since issuing an initial National Exercise Program (NEP) charter memorandum and related implementation plan in 2007, FEMA issued a new NEP base plan in March 2011 to replace the original charter. In June 2012, FEMA issued an updated NEP implementation plan, which further clarifies the roles and responsibilities of stakeholders, and details specific processes and procedures for carrying out the program. The implementation plan includes guidance on exercise evaluation planning. The implementation plan requires FEMA?s National Exercise Division, in coordination with the federal interagency and FEMA?s National Preparedness Assessment Division, to develop an evaluation plan for each NEP two-year exercise cycle. The evaluation plan is to be approved by the National Security Staff at the White House. Each evaluation plan is to cover three key elements: evaluation methodology, performance measures, and evaluation tools and templates. The implementation plan further notes that for each NEP exercise, the exercise?s sponsoring organization will be responsible for conducting the exercise evaluation, using the methodology, performance measures, and evaluation tools described in the evaluation plan for a given NEP cycle. Exercise Directors are to ensure that all exercise evaluators have completed general and specific exercise evaluation training directed by the Homeland Security Exercise Evaluation Program (HSEEP) guidance, which was revised and reissued in April 2013. Additionally, the implementation plan states that Exercise Directors are to mandate and enforce the use of the approved exercise evaluation guide for the exercise to help provide consistent standards and guidelines for observation, data collection, analysis, and development of exercise-related reports. Finally, the NEP implementation plan notes that the adherence to these exercise evaluation policies and procedures is intended to enable the generation of several analytical products for the benefit of senior leaders, exercise planners, and participants. These analytical products are to include an NEP rolling summary report, exercise lessons learned reports and related corrective action improvement plans, and a concluding report at the end of each 2-year NEP cycle for National Security Staff review. Based on the internal control policies and procedures established in the June 2012 NEP implementation plan, this recommendation is closed as implemented.

Since issuing an initial National Exercise Program (NEP) charter memorandum and related implementation plan in 2007, FEMA issued a new NEP base plan in March 2011 to replace the original charter. In June 2012, FEMA issued an updated NEP implementation plan, which further clarifies the roles and responsibilities of stakeholders, and details specific processes and procedures for carrying out the program. The base plan states that FEMA's National Exercise Division (NED) will manage all logistics, coordination, and administrative tasks for the NEP. The implementation plan includes guidance on information management systems to be used to facilitate the evaluation of exercises, including the Corrective Action Program (CAP) System. According to the implementation plan, FEMA's CAP System is a web-based application that enables users (e.g., NED) to prioritize, track, and analyze improvement plans for corrective actions identified through exercises and real-world events. The implementation plan states that all federal corrective actions developed from NEP exercises will be tracked by the federal interagency through the CAP System, from identification through implementation, unless security/classification restrictions prevent the posting of such information to CAP. Based on the June 2012 NEP implementation plan's requirement that all NEP corrective actions be tracked through the CAP system, this recommendation is closed as implemented.

On February 8, 2013, FEMA issued management directive FD107-1 Lessons Learned/Continuous Improvement Program. The directive superseded FEMA's prior Remedial Action Management Program. The directive is intended to establish a single FEMA system for lessons learned information collection, analysis, collaboration, identification of findings, continuous improvement development and tracking, and trend analysis. It establishes policy, assigns responsibilities, and applies to all FEMA components, including FEMA headquarter and regional offices, as well as temporary emergency response field organizations and entities. According to the directive, lessons learned are knowledge and experience derived from actual incidents (i.e., real-world events) as well as from observations and historical study of operations, training, and exercises. Continuous improvement refers to a broad range of improvement actions, processes, and activities that support learning in FEMA and improve operational and programmatic performance. Continuous improvement includes: identification of issues or capability gaps from real-world events, among other things, and resolution of these issues through applied corrective actions; identification and incorporation of best practices from real-world events, among other things; and sharing of lessons learned, best practices, and corrective action information as part of a collaborative learning environment. The Corrective Action Program (CAP) System designed to tracks the status of continuous improvement actions identified through post-event analyses is a component of the Homeland Security Exercise and Evaluation Program developed by DHS. According to the directive, all corrective actions identified for assignment and tracking based on lessons learned (including from real-world events) that are presented to the FEMA Office of Policy and Program Analysis chaired FEMA Continuous Improvement Working Group, shall be submitted for inclusion in the CAP System. Based on the February 2013 management directive's requirement that all corrective actions identified for assignment and tracking as a result of lessons learned, including from real-world events, shall be submitted for inclusion in the CAP System, this recommendation is closed as implemented.

In response to our recommendation, the Federal Emergency Management Agency reported in September 2010 that the agency's efforts in implementing the comprehensive assessment system reflected its improved approach. Program officials provided an updated project plan that included milestone dates that included risk assessment and mitigation. As a result, this recommendation is closed as implemented.

In April 2009, we reported that developing goals and metrics to measure progress towards achieving an integrated system would help FEMA prioritize actions, requirements, and national investments in preparedness and that a strategic plan for the National Preparedness Directorate that describes how it will approach these challenges and mitigate these weaknesses would help FEMA partner with the many organizations whose cooperation and resources are necessary for success. We recommended that FEMA develop a strategic plan for implementing the national preparedness system that includes the key characteristics of a strategic plan, including coordination, integration, and implementation approaches. In response, NPD issued a 2011 report on its Strategic Intent for Fiscal Year 2012-2014. The report defines the mission and responsibilities of the Directorate, its strategic priorities, and the major outcomes anticipated from each of the priorities for the years covered by the plan, many of the program management elements called for in this recommendation. As a result of these efforts to describe and document a strategic approach, FEMA's oversight and management of national preparedness efforts can better ensure effective participation and implementation by federal, state and local stakeholders.