[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.
* * * * * * *
[all]