Emergency Communications: Effectiveness of the Post-Katrina Interagency Coordination Group Could Be Enhanced
Highlights
What GAO Found
Implementation of the Post-Katrina Emergency Management Reform Act of 2006 (PKEMRA) provisions related to emergency communications planning and federal coordination has enhanced federal support for state and local efforts; however, federal coordination could be improved. PKEMRA created within the Department of Homeland Security (DHS) the Office of Emergency Communications, which has taken a number of steps aimed at ensuring that state and local agencies have the plans, resources, and training they need to support reliable emergency communications. PKEMRA also directed DHS to develop the National Emergency Communications Plan (NECP). The NECP includes goals for improving emergency communications and encourages states to align their plans with these emergency communications goals. PKEMRA further established the Emergency Communications Preparedness Center (ECPC), comprising 14 member agencies, to improve coordination and information sharing among federal emergency communications programs. GAO previously identified key features and issues to consider when implementing collaborative mechanisms, including interagency groups like the ECPC. GAO found that the ECPC's collaborative efforts were consistent with most of these features, such as those related to leadership and resources, but were not fully consistent with others. For example, one of the key features calls for interagency groups to clearly define goals and track progress, yet the ECPC has not done so. As a result, the ECPC's member agencies might not understand the ECPC's goals or have a chance to ensure that the goals align with their own agencies' purposes and goals. Furthermore, the ECPC puts forth recommendations that could improve emergency communications. But the recommendations are implemented at the discretion of the ECPC's member agencies and are not tracked. Without a mechanism to track the ECPC's recommendations, it is unclear the extent to which the recommendations are being implemented and the ECPC is missing an opportunity to monitor its progress.
Almost all of the Statewide Interoperability Coordinators (SWIC) responding to GAO's survey reported that to better plan for emergency communications during disasters, their states have taken the following steps since PKEMRA: (1) developed comprehensive strategic plans for emergency communications that align with the NECP; (2) established SWIC positions to support state emergency communications initiatives, such as developing high-level policy and coordinating training and exercises; and (3) implemented governance structures to manage the systems of people, organizations, and technologies that need to collaborate to effectively plan for emergencies. GAO did not independently verify state responses. In responding to GAO's survey, most SWICs reported not having a comprehensive emergency communications plans in place prior to PKEMRA's 2006 enactment. In particular, prior to the enactment of PKEMRA, only a few states had comprehensive emergency communications plans in place, but now all but one have such a plan. Most of the SWICs also reported that their statewide plans cover key elements, such as governance, standard operating procedures, and training and exercises, which are considered by DHS as the essential foundation for achieving the NECP goals.
Why GAO Did This Study
During emergency situations, reliable communications are critical to ensure a rapid and sufficient response. PKEMRA was enacted in 2006 to improve the federal government's preparation for and response to disasters, including emergency communications. Since that time, natural and man-made disasters continue to test the nation's emergency communications capabilities. Given that states and localities are the first line of response following a disaster, states' emergency communications planning is very important.
GAO was asked to review the implementation of PKEMRA. This report examines (1) federal efforts to implement PKEMRA emergency communications provisions related to planning and federal coordination, and (2) how states' emergency communications planning has changed since PKEMRA. GAO reviewed relevant reports and documentation from DHS and other agencies; surveyed SWICs from 50 states, the District of Columbia, and 5 territories, receiving 52 responses; assessed the ECPC's collaborative efforts; and interviewed federal and state officials selected for their emergency communications experience. GAO plans to review the implementation of other PKEMRA emergency communications provisions in future work.
Recommendations
GAO is making recommendations to DHS aimed at improving the ECPC's collaborative efforts, including defining its goals and tracking its recommendations. DHS concurred with the recommendations.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Department of Homeland Security | To improve the effectiveness, transparency, and accountability of the ECPC's efforts, the Secretary of Homeland Security, as the administrative leader of the ECPC, should clearly document the ECPC's strategic goals. |
The Post-Katrina Emergency Management Reform Act of 2006 established the Emergency Communications Preparedness Center (ECPC), comprising 14 member agencies, to improve coordination and information sharing among federal emergency communications programs. In July 2016, we reported that the ECPC's collaborative efforts were consistent with most of the key features and issues to consider when implementing collaborative mechanisms, such as those related to leadership and resources. However, we reported that the ECPC's efforts were not fully consistent with others. For example, one of the key features calls for interagency groups to clearly define goals, yet the ECPC had not done so. As a result, the ECPC's member agencies might not understand the ECPC's goals. We recommended that the Department of Homeland Security (DHS), as the administrative leader of the ECPC, clearly document the ECPC's strategic goals. In 2017, DHS provided us with the "ECPC Strategy" covering fiscal years 2017-2019. This strategy document includes 10 goals covering 5 main categories, such as Governance and Leadership, Planning and Procedures, and Operational Coordination. As a result of DHS documenting the ECPC's strategic goals, the ECPC's member agencies can fully understand those goals and ensure that the goals align with their own agencies' purposes and goals.
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| Department of Homeland Security | To improve the effectiveness, transparency, and accountability of the ECPC's efforts, the Secretary of Homeland Security, as the administrative leader of the ECPC, should establish a mechanism to track progress by the ECPC's member agencies in implementing the ECPC's recommendations. |
The mission of the Emergency Communications Preparedness Center (ECPC) is to improve coordination and information sharing among federal emergency communications programs. There are 14 member agencies of the ECPC that have staff on an Executive Committee responsible for setting the ECPC's priorities. In addition, the ECPC has a Steering Committee and focus groups that develop plans to address the priorities. In July 2016, we reported that although the ECPC's focus groups spend time and resources to make recommendations for improving emergency communications, the focus groups' recommendations, such as those related to federal grant programs and research and development efforts, are implemented at the discretion of the member agencies. For example, one focus group identified five recommendations in 2015 that were aimed at improving collaboration and information sharing around research and development for emergency communications. Specifically, one recommendation was for agencies to share technology profiles to prevent duplicative research. However, since it is voluntary for member agencies to implement the focus groups' recommendations, it was unknown whether agencies were sharing their technology profiles or if duplicative research was being conducted. Furthermore, we found the ECPC does not have a mechanism to track progress and determine the extent to which the focus group recommendations are being implemented. Therefore, we recommended that the Secretary of Homeland Security, as the administrative leader of the ECPC, establish a mechanism to track progress by the ECPC's member agencies in implementing the ECPC's recommendations. In January 2020, we confirmed that DHS established such a mechanism. In particular, DHS prepared an ECPC Strategy for fiscal years 2019 - 2021, which includes a more focused work plan to direct near-term operations and activities for each fiscal year. According to DHS officials, they intend to use the annually updated work plans to identify and track ECPC program recommendations and achievements. They said the ECPC Program Manager coordinates with the respective focus group chairs to provide status updates on progress and activities on a quarterly basis for review by the ECPC Steering Committee, and that the manager will work with the ECPC to revise and improve the tracking and monitoring process for ECPC recommendations in fiscal year 2020. As a result of this action, there is more transparency with respect to which ECPC recommendations are being implemented by the member agencies, and the ECPC can better monitor its efforts.
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| Department of Homeland Security | To improve the effectiveness, transparency, and accountability of the ECPC's efforts, the Secretary of Homeland Security, as the administrative leader of the ECPC, should clearly define the roles and responsibilities of the ECPC's member agencies. |
The Post-Katrina Emergency Management Reform Act of 2006 established the Emergency Communications Preparedness Center (ECPC), comprising 14 member agencies, to improve coordination and information sharing among federal emergency communications programs. In July 2016, we reported that the ECPC's collaborative efforts were consistent with most of the key features and issues to consider when implementing collaborative mechanisms, such as those related to leadership and resources. However, the ECPC's efforts were not completely consistent with key features related to clarity of roles and responsibilities. In particular, we reported that the ECPC had not defined the member agencies' roles and responsibilities, and some member agencies did not know the roles and responsibilities of other members, a situation that could create barriers to working together effectively. We recommended that the Department of Homeland Security (DHS), as the administrative leader of the ECPC, clearly define the roles and responsibilities of the ECPC's member agencies. In response to this recommendation, in 2017 DHS developed ECPC member-agency profiles that DHS noted are intended to improve awareness of the roles which individual federal agencies play in supporting emergency communications interoperability and effectiveness, enabling the ECPC to greater leverage individual agency efforts across the federal government. DHS posted these profiles on the max.gov website. This is a website that hosts documents relevant to the ECPC and is accessible by all ECPC members. By clearly defining the ECPC members' respective roles and responsibilities, the agencies have a better understanding of who will do what to support the ECPC's efforts.
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