[Senate Report 117-231]
[From the U.S. Government Publishing Office]


                                                     Calendar No. 581
117th Congress       }                             {        Report
                                 SENATE
 2d Session          }                             {        117-231
_______________________________________________________________________

                     QUADRENNIAL HOMELAND SECURITY
                     REVIEW TECHNICAL CORRECTIONS 
                              ACT OF 2021

                               __________

                              R E P O R T

                                 of the

                   COMMITTEE ON HOMELAND SECURITY AND

                          GOVERNMENTAL AFFAIRS

                          UNITED STATES SENATE

                              to accompany

                                H.R. 370

           TO AMEND THE HOMELAND SECURITY ACT OF 2002 TO MAKE
           TECHNICAL CORRECTIONS TO THE REQUIREMENT THAT THE
           SECRETARY OF HOMELAND SECURITY SUBMIT QUADRENNIAL
           HOMELAND SECURITY REVIEWS, AND FOR OTHER PURPOSES

		[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]


                December 5, 2022.--Ordered to be printed


                              __________
                              
                    U.S. GOVERNMENT PUBLISHING OFFICE
                         
39-010                    WASHINGTON : 2022
                              
                              
        COMMITTEE ON HOMELAND SECURITY AND GOVERNMENTAL AFFAIRS

                   GARY C. PETERS, Michigan, Chairman
THOMAS R. CARPER, Delaware           ROB PORTMAN, Ohio
MAGGIE HASSAN, New Hampshire         RON JOHNSON, Wisconsin
KYRSTEN SINEMA, Arizona              RAND PAUL, Kentucky
JACKY ROSEN, Nevada                  JAMES LANKFORD, Oklahoma
ALEX PADILLA, California             MITT ROMNEY, Utah
JON OSSOFF, Georgia                  RICK SCOTT, Florida
                                     JOSH HAWLEY, Missouri

                   David M. Weinberg, Staff Director
                    Zachary I. Schram, Chief Counsel
         Christopher J. Mulkins, Director of Homeland Security
            Benjamin J. Schubert, Professional Staff Member
                Pamela Thiessen, Minority Staff Director
            Sam J. Mulopulos, Minority Deputy Staff Director
       Clyde E. Hicks Jr., Minority Director of Homeland Security
          Roland Hernandez, Minority Professional Staff Member
                     Laura W. Kilbride, Chief Clerk


                                                     Calendar No. 581
117th Congress       }                             {        Report
                                 SENATE
 2d Session          }                             {        117-231

======================================================================

 
 QUADRENNIAL HOMELAND SECURITY REVIEW TECHNICAL CORRECTIONS ACT OF 2021

                                _______
                                

                December 5, 2022.--Ordered to be printed

                                _______
                                

 Mr. Peters, from the Committee on Homeland Security and Governmental 
                    Affairs, submitted the following

                              R E P O R T

                        [To accompany H.R. 370]

      [Including cost estimate of the Congressional Budget Office]

    The Committee on Homeland Security and Governmental 
Affairs, to which was referred the bill (H.R. 370) to amend the 
Homeland Security Act of 2022 to make technical corrections to 
the requirement that the Secretary of Homeland Security submit 
quadrennial homeland security reviews, and for other purposes, 
having considered the same, reports favorably thereon without 
amendment and recommends that the bill do pass.

                                CONTENTS

                                                                   Page
  I. Purpose and Summary..............................................1
 II. Background and Need for the Legislation..........................2
III. Legislative History..............................................4
 IV. Section-by-Section Analysis of the Bill, as Reported.............4
  V. Evaluation of Regulatory Impact..................................5
 VI. Congressional Budget Office Cost Estimate........................5
VII. Changes in Existing Law Made by the Bill, as Reported............6

                         I. Purpose and Summary

    H.R. 370, the Quadrennial Homeland Security Review 
Technical Corrections Act of 2021, makes numerous technical 
corrections to the Department of Homeland Security's (DHS or 
Department) required quadrennial homeland security review 
(QHSR) mandate. The changes to the QHSR focus on strengthening 
requirements to increase stakeholder consultation, identify 
resources required to execute homeland security strategies, 
specify deadlines to complete the review, and maintain all 
documentation regarding the QHSR. The changes will ensure DHS 
better aligns its budget with its mission priorities and that 
its policy positions are informed and based on documented risk 
analysis.

              II. Background and Need for the Legislation

    The Implementing Recommendations of the 9/11 Commission Act 
of 2007 (9/11 Commission Act) amended the Homeland Security Act 
of 2002 to require a ``comprehensive examination'' of the 
nation's long-term homeland security strategy every four 
years.\1\ The statute requires that the review process, which 
includes an analysis of mission priorities, interagency 
cooperation activities, and budgetary effects, be documented in 
a report to Congress.\2\ Additionally, Congress requires the 
report to include a result of the review and an assessment of 
the effectiveness of DHS's capacity to turn the results of the 
QHSR into an acquisition and expenditure plan.
---------------------------------------------------------------------------
    \1\6 U.S.C. Sec. 347.
    \2\Id.
---------------------------------------------------------------------------
    The 2010 and 2014 QHSRs were criticized by the Government 
Accountability Office (GAO) for failing to meet a number of 
statutory requirements, including the inclusion of mission 
priorities, an updated strategy, budget plans, and stakeholder 
consultation.\3\ Specifically, the inaugural 2010 QHSR did not 
include a prioritized mission or strategy. The 2014 QHSR 
attempted to address the lack of mission priorities by adding a 
``strategic priorities'' section with priorities that ``reflect 
changes in the strategic environment.'' In doing so, however, 
the Department only described cross-cutting priorities instead 
of outlining the full range of threats and prioritizing 
missions accordingly.\4\ Additionally, a 2016 GAO report found 
that DHS did not sufficiently document the risk assessment 
process.\5\ The Department incorporated the Homeland Security 
Strategic Environment Assessment, which evaluated the 
likelihood and consequences of various threats including 
intentional acts of terrorism, natural hazards, technological 
accidents, and infrastructure failures, into the QHSR. 
According to GAO, however, the 2014 review did not document the 
manner in which DHS utilized analyses to develop the review, 
nor did the assessment illustrate the consequences of any 
uncertainty in the results.\6\ Risk analysis is an important 
component of producing quality results, and the lack of 
documentation hinders the reproducibility of the results, 
adversely affecting its validity.\7\
---------------------------------------------------------------------------
    \3\Congressional Research Service, 2014 Quadrennial Homeland 
Security Review: Evolution of a Strategic Review (IF10024) (Oct. 9, 
2020).
    \4\Id.; Government Accountability Office, Quadrennial Homeland 
Security Review: Improved Risk Analysis and Stakeholder Review Could 
Enhance Future Reviews (GAO-16-371) (Apr. 2016).
    \5\Government Accountability Office, Quadrennial Homeland Security 
Review: Improved Risk Analysis and Stakeholder Review Could Enhance 
Future Reviews (GAO-16-371) (Apr. 2016).
    \6\Id. at 16-17.
    \7\Government Accountability Office, Quadrennial Homeland Security 
Review: Improved Risk Analysis and Stakeholder Review Could Enhance 
Future Reviews (GAO-16-371) (Apr. 2016).
---------------------------------------------------------------------------
    The 2014 QHSR also did not provide an assessment of an 
expenditure plan as is statutorily required.\8\ GAO observed 
that the President's 2015 and 2016 budget requests for DHS were 
in general alignment with the QHSR mission areas.\9\ However, 
GAO assessed that the failure to meet the statute's budget 
requirement was in part due to accounting challenges from DHS's 
annual appropriation structure.\10\ Budget disparities and 
inconsistencies between components and appropriations programs 
have further hindered the accounting process. The Department 
addressed its accounting issues through the use of the Common 
Appropriation Structure.\11\ This approach consolidated DHS's 
appropriations accounts, better aligning programs to strategic 
missions. However, DHS did not submit a QHSR for 2018, as 
required by law, and has yet to submit one for 2022. Therefore, 
Congress has not been able to evaluate the full extent of 
progress made on subsequent QHSRs in almost a decade.
---------------------------------------------------------------------------
    \8\6 U.S.C. Sec.  347; Department of Homeland Security, The 2014 
Quadrennial Homeland Security Review (June 18, 2014) (https://
www.dhs.gov/sites/default/files/publications/2014-qhsr-final-508.pdf); 
Congressional Research Service, 2014 Quadrennial Homeland Security 
Review: Evolution of a Strategic Review (IF10024) (Oct. 9, 2020).
    \9\Government Accountability Office, Quadrennial Homeland Security 
Review: Improved Risk Analysis and Stakeholder Review Could Enhance 
Future Reviews (GAO-16-371) (Apr. 2016).
    \10\Id. at 26-27.
    \11\Government Accountability Office, Quadrennial Homeland Security 
Review: Improved Risk Analysis and Stakeholder Review Could Enhance 
Future Reviews (GAO-16-371) (Apr. 2016).
---------------------------------------------------------------------------
    GAO also found shortcomings in the inclusion of stakeholder 
consultation efforts. The 9/11 Commission Act requires that DHS 
consult with federal, state, local, and tribal partners, as 
well as members of Congress, the private sector, and academia 
in conducting the quadrennial review.\12\ DHS expanded their 
stakeholder outreach during the second QHSR, but external 
feedback highlighted a number of continuing issues. GAO found 
that both allowing stakeholders the necessary time to provide 
meaningful input and creating a collaborative environment 
during the review process ensures greater participation of 
relevant federal and nonfederal entities who play a critical 
role in securing the nation.\13\ GAO also observed that DHS 
suffered from time constraints during both 2010 and 2014 
reviews, despite GAO's 2011 recommendation that DHS allow for 
additional time in their 2014 planning process.\14\ Further, 
almost all respondent stakeholders reported to GAO through 
surveys and interviews that DHS's time constraints either 
hindered or disrupted their ability to give accurate and 
quality input during the review process.\15\ A majority of the 
federal stakeholders described communication with DHS as ``one-
way,'' which created the sense that external input was not 
valued.\16\
---------------------------------------------------------------------------
    \12\6 U.S.C. Sec. 347.
    \13\Id.
    \14\Government Accountability Office, Quadrennial Homeland Security 
Review: Improved Risk Analysis and Stakeholder Review Could Enhance 
Future Reviews (GAO-16-371) (Apr. 2016).
    \15\Id.
    \16\Id.
---------------------------------------------------------------------------
    The evolving nature of homeland security threats requires a 
constant reevaluation of mission priorities and resources 
required to protect the nation. In addition to the faults of 
the 2010 and 2014 QHSRs, Congress has not received the 2018 or 
2022 iterations of the statutorily mandated review. The failure 
to provide Congress with a comprehensive review of the 
Department's mission priorities, strategies, and budget plans 
impedes Congress's oversight responsibilities, and the lack of 
a consistent review process also hinders the ability of the 
federal government's state, local, tribal and territorial 
partners to meet their obligations in protecting the homeland. 
The Quadrennial Homeland Security Technical Corrections Act of 
2021 addresses a wide array of deficiencies within DHS's review 
and reporting efforts to achieve a more effective and timely 
assessment. This bill clarifies that mission prioritization 
should be based on documented risk analysis, which will enhance 
the validity of the review's results. Additionally, the bill 
enhances Congress's oversight responsibility by requiring the 
Secretary of Homeland Security to provide Congress with all 
written communication regarding feedback from stakeholders and 
how that feedback was used to inform the development of each 
QHSR, risk analysis information, and how the results of the 
review were integrated into acquisition and expenditure plans. 
These changes will help to ensure that DHS has a robust and 
timely QHSR process that guides the homeland security 
enterprise's long-term strategy to protect the homeland in a 
more effective manner.

                        III. Legislative History

    H.R. 370 was introduced by Representative Bonnie Watson 
Coleman (D-NJ-12) on January 19, 2021, with Representatives 
Bennie Thompson (D-MS-2), John Katko (R-NY-24), and Van Taylor 
(R-TX-3) and referred to the House Committee on Homeland 
Security. The bill was considered in the House of 
Representatives under suspension of the rules and passed the 
House on April 20, 2021. The bill was referred to the Senate 
Committee on Homeland Security and Governmental Affairs.
    The Committee considered H.R. 370 at a business meeting on 
August 3, 2022. The Committee ordered the bill reported 
favorably by voice vote en bloc. Senators present for the vote 
were: Peters, Hassan, Sinema, Rosen, Padilla, Ossoff, Lankford, 
Romney, Scott, and Hawley.

        IV. Section-by-Section Analysis of the Bill, as Reported


Section 1. Short title

    This section establishes the short title of the bill as the 
``Quadrennial Homeland Security Review Act Technical 
Corrections of 2021.''

Section 2. Technical corrections to Homeland Security Quadrennial 
        Review

    This section amends section 707 of the Homeland Security 
Act of 2002 (6 U.S.C. 347) to add a requirement that the 
Secretary of Homeland Security conduct the QHSR in consultation 
with relevant advisory committees, including the Homeland 
Security Advisory Council, the Homeland Security Science and 
Technology Advisory Committee, and the Aviation Security 
Advisory Committee. This section also requires that mission 
prioritization be based on practical risk assessments.
    This section also requires that the QHSR identify the 
``resources required'' to execute the full range of national 
homeland security missions, as well as unnecessary or wasteful 
spending.
    This section requires that the DHS Secretary submit a 
report on the QHSR within 60 days after the submission of the 
President's budget for the succeeding year. The provision 
mandates that the report also include a risk assessment of the 
threats examined for the purpose of the review.
    This section requires that the DHS Secretary maintain and, 
upon request, provide Congress with: (1) all written 
communication that the Secretary sent out and feedback received 
via online communications tools, in-person discussions, and the 
interagency process; (2) information on the risk models used to 
conduct risk assessments and sources of information used to 
generate assessments; and (3) information on assumptions, 
weighing factors, and subjective judgements used to generate 
risk assessments in tandem with the rationale for such 
judgements.
    This section requires that no later than 90 days after the 
submission of the report, the Secretary of Homeland Security 
must provide Congressional committees with information on how 
the findings and recommendations of the review were integrated 
into the acquisition and expenditure plans of DHS.
    Finally, this section states that the changes made by this 
bill shall apply to any QHSR required to be submitted after 
December 31, 2021.

                   V. Evaluation of Regulatory Impact

    Pursuant to the requirements of paragraph 11(b) of rule 
XXVI of the Standing Rules of the Senate, the Committee has 
considered the regulatory impact of this bill and determined 
that the bill will have no regulatory impact within the meaning 
of the rules. The Committee agrees with the Congressional 
Budget Office's statement that the bill contains no 
intergovernmental or private-sector mandates as defined in the 
Unfunded Mandates Reform Act (UMRA) and would impose no costs 
on state, local, or tribal governments.

             VI. Congressional Budget Office Cost Estimate

                                     U.S. Congress,
                               Congressional Budget Office,
                                 Washington, DC, September 8, 2022.
Hon. Gary Peters,
Chairman, Committee on Homeland Security and Governmental Affairs, U.S. 
        Senate, Washington, DC.
    Dear Mr. Chairman: The Congressional Budget Office has 
prepared the enclosed cost estimate for H.R. 370, the 
Quadrennial Homeland Security Review Technical Corrections Act 
of 2021.
    If you wish further details on this estimate, we will be 
pleased to provide them. The CBO staff contact is Jeremy Crimm.
            Sincerely,
                                         Phillip L. Swagel,
                                                          Director.
    Enclosure.

    	[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
    

    H.R. 370 would make technical changes to the requirements 
for the Department of Homeland Security's (DHS) Quadrennial 
Review. Every four years, DHS is required to conduct a 
comprehensive review of its strategy to improve the security of 
the United States, including recommending improvements to its 
long-term security strategy. Based on information from DHS, CBO 
estimates that implementing H.R. 370 would have an 
insignificant effect on spending; such spending would be 
subject to the availability of appropriated funds.
    The CBO staff contact for this estimate is Jeremy Crimm. 
The estimate was reviewed by Leo Lex, Deputy Director of Budget 
Analysis.

       VII. Changes in Existing Law Made by the Bill, as Reported

    In compliance with paragraph 12 of rule XXVI of the 
Standing Rules of the Senate, changes in existing law made by 
the bill, as reported, are shown as follows: (existing law 
proposed to be omitted is enclosed in brackets, new matter is 
printed in italic, and existing law in which no change is 
proposed is shown in roman):

HOMELAND SECURITY ACT OF 2002

           *       *       *       *       *       *       *


TITLE VII--MANAGEMENT

           *       *       *       *       *       *       *


SEC. 707. QUADRENNIAL HOMELAND SECURITY REVIEW.

    (a) Requirement.--
          (1) * * *
          (2) * * *
          (3) Consultation.--The Secretary shall conduct each 
        quadrennial homeland security review under this 
        subsection in consultation with--
                  (A) the heads of other Federal agencies, 
                including the Attorney General, the Secretary 
                of State, the Secretary of Defense, the 
                Secretary of Health and Human Services, the 
                Secretary of the Treasury, the Secretary of 
                Agriculture, the Secretary of Energy, and the 
                Director of National Intelligence;
                  (B) key officials of the Department, 
                including the Under Secretary for Strategy, 
                Policy, and Plans; [and]
                  (C) representatives from appropriate advisory 
                committees established pursuant to section 871, 
                including the Homeland Security Advisory 
                Council and the Homeland Security Science and 
                Technology Advisory Committee, or otherwise 
                established, including the Aviation Security 
                Advisory Committee established pursuant to 
                section 44946 of title 49, United States Code; 
                and
                  [(C)] (D) other relevant governmental and 
                nongovernmental entities, including State, 
                local, and tribal government officials, members 
                of Congress, private sector representatives, 
                academics, and other policy experts.
          (4) * * *
    (b) Contents of Review.--In each quadrennial homeland 
security review, the Secretary shall--
          (1) delineate and update, as appropriate, the 
        national homeland security strategy, consistent with 
        appropriate national and Department strategies, 
        strategic plans, and Homeland Security Presidential 
        Directives, including the National Strategy for 
        Homeland Security, the National Response Plan, and the 
        Department Security Strategic Plan;
          (2) outline and prioritize the full range of the 
        critical homeland security mission areas of the Nation 
        based on the risk assessment required to subsection 
        (c)(2)(B);
          (3) describe, to the extent practicable, the 
        interagency cooperation, preparedness of Federal 
        response assets, infrastructure, [budget plan] 
        resources required, and other elements of the homeland 
        security program and policies of the Nation associated 
        with the national homeland security strategy, required 
        to execute successfully the full range of missions 
        called for in the national homeland security strategy 
        described in paragraph (1) and the homeland security 
        mission areas outlined under paragraph (2);
          (4) identify, to the extent practicable, the [budget 
        plan required to provide sufficient resources to 
        successfully] resources required to execute the full 
        range of missions called for in the national homeland 
        security strategy described in paragraph (1) and the 
        homeland security mission areas outlined under 
        paragraph (2)[;], including any resources identified 
        from redundant, wasteful, or unnecessary capabilities 
        or capacities that may be redirected to better support 
        other existing capabilities or capacities, as the case 
        may be; and
          (5) include an assessment of the organizational 
        alignment of the Department with the national homeland 
        security strategy referred to in paragraph (1) and the 
        homeland security mission areas outlined under 
        paragraph (2)[; and].
          [(6) review and assess the effectiveness of the 
        mechanisms of the Department for executing the process 
        of turning the requirements developed in the 
        quadrennial homeland security review into an 
        acquisition strategy and expenditure plan within the 
        Department.]
    (c) Reporting.--
          (1) In general.--Not later than [December 31 of the 
        year] 60 days after the date of the submission of the 
        President's budget for the fiscal year after the fiscal 
        year in which a quadrennial homeland security review is 
        conducted, the Secretary shall submit to Congress a 
        report regarding that quadrennial homeland security 
        review.
          (2) Contents of report.--Each report submitted under 
        paragraph (1) shall include--
                  (A) the results of the quadrennial homeland 
                security review;
                  (B) a [description of the threats to] risk 
                assessment of the assumed or defined national 
                homeland security interests of the Nation that 
                were examined for the purposes of that review 
                or for purposes of the quadrennial EMP and GMD 
                risk assessment under section 320(d)(1)(E);
                  (C) the national homeland security strategy, 
                including a prioritized list of the critical 
                homeland security missions of the Nation, as 
                required under subsection (b)(2);
                  (D) to the extent practicable, a description 
                of the interagency cooperation, preparedness of 
                Federal response assets, infrastructure, 
                [budget plan] resources required, and other 
                elements of the homeland security program and 
                policies of the Nation associated with the 
                national homeland security strategy, required 
                to execute successfully the full range of 
                missions called for in the applicable national 
                homeland security strategy referred to in 
                subsection (b)(1) and the homeland security 
                mission areas outlined under subsection (b)(2);
                  (E) an assessment of the organizational 
                alignment of the Department with the applicable 
                national homeland security strategy referred to 
                in subsection (b)(1) and the homeland security 
                mission areas outlined under subsection (b)(2), 
                including the Department's organizational 
                structure, management systems, budget and 
                accounting systems, human resources systems, 
                procurement systems, and physical and technical 
                infrastructure;
                  (F) to the extent practicable, a discussion 
                of [the status of] cooperation among Federal 
                agencies in the effort to promote national 
                homeland security;
                  (G) to the extent practicable, a discussion 
                of [the status of] cooperation between the 
                Federal Government and State, local, and tribal 
                governments in preventing terrorist attacks and 
                preparing for emergency response to threats and 
                risks to national homeland security; and
                  [(H) an explanation of any underlying 
                assumptions used in conducting the review; and]
                  [(I)] (H) any other matter the Secretary 
                considers appropriate.
          (3) Documentation.--The Secretary shall retain and, 
        upon request, provide to Congress the following 
        documentation regarding each quadrennial homeland 
        security review:
                  (A) Records regarding the consultation 
                carried out pursuant to subsection (a)(3), 
                including the following:
                          (i) All written communications, 
                        including communications sent out by 
                        the Secretary and feedback submitted to 
                        the Secretary through technology, 
                        online communications tools, in-person 
                        discussions, and the interagency 
                        process.
                          (ii) Information on how feedback 
                        received by the Secretary informed each 
                        such quadrennial homeland security 
                        review.
                  (B) Information regarding the risk assessment 
                required pursuant to subsection (c)(2)(B), 
                including the following:
                          (i) The risk model utilized to 
                        generate such risk assessment.
                          (ii) Information, including data use 
                        in the risk model, utilized to generate 
                        such risk assessment.
                          (iii) Sources of information, 
                        including other risk assessments, 
                        utilized to generate such risk 
                        assessment.
                          (iv) Information on assumptions, 
                        weighing factors, and subjective 
                        judgments utilized to generate such 
                        risk assessment, together with 
                        information on the rationale or basis 
                        thereof.
          [(3)] (4) Public availability.--The Secretary shall, 
        consistent with the protection of national security and 
        other sensitive matters, make each report submitted 
        under paragraph (1) publicly available on the Internet 
        website of the Department.
    (d) Review.--Not later than 90 days after the submission of 
each report required under subsection (c)(1), the Secretary 
shall provide to the Committee on Homeland Security of the 
House of Representatives and the Committee on Homeland Security 
and Governmental Affairs of the Senate information on the 
degree to which the findings and recommendations developed in 
the quadrennial homeland security review that is the subject of 
such report were integrated into the acquisition strategy and 
expenditure plans for the Department.
    [(d)] (e) Authorization of Appropriations.--There are 
authorized to be appropriated such sums as may be necessary to 
carry out this section.

           *       *       *       *       *       *       *


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