Combating Terrorism: Evaluation of Selected Characteristics in
National Strategies Related to Terrorism (03-FEB-04,
GAO-04-408T).
Following the terrorist attacks of September 11, 2001, the Bush
administration developed and published seven national strategies
that relate, in part or in whole, to combating terrorism and
homeland security. These were National Security Strategy of the
United States of America; National Strategy for Homeland
Security; National Strategy for Combating Terrorism; National
Strategy to Combat Weapons of Mass Destruction; National Strategy
for the Physical Protection of Critical Infrastructure and Key
Assets; National Strategy to Secure Cyberspace; and the 2002
National Money Laundering Strategy. In view of heightened
concerns about terrorism and homeland security, GAO was asked to
identify and define the desirable characteristics of an effective
national strategy and to evaluate whether the national strategies
related to terrorism address those characteristics. The purpose
of this testimony is to report on GAO's findings on this matter.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-04-408T
ACCNO: A09211
TITLE: Combating Terrorism: Evaluation of Selected
Characteristics in National Strategies Related to Terrorism
DATE: 02/03/2004
SUBJECT: Counterterrorism
National preparedness
Performance measures
Risk management
Terrorism
Strategic planning
National defense operations
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GAO-04-408T
United States General Accounting Office
GAO Subcommittee on National Security, Emerging Threats, and International
Relations, Committee on Government Reform, House of Representatives
For Release on Delivery
Expected at 10:00 a.m. EST COMBATING TERRORISM
Tuesday, February 3, 2004
Evaluation of Selected Characteristics in National Strategies Related to
Terrorism
Statement of Randall A. Yim, Managing Director Homeland Security and Justice
Issues
GAO-04-408T
Highlights of GAO-04-408T, testimony before the Subcommittee on National
Security, Emerging Threats, and International Relations, Committee on
Government Reform, House of Representatives
Following the terrorist attacks of September 11, 2001, the Bush
administration developed and published seven national strategies that
relate, in part or in whole, to combating terrorism and homeland security.
These were the:
- National Security Strategy of the United States of America.
- National Strategy for Homeland Security.
- National Strategy for Combating Terrorism.
- National Strategy to Combat Weapons of Mass Destruction.
- National Strategy for the Physical Protection of Critical Infrastructure
and Key Assets.
- National Strategy to Secure Cyberspace.
- 2002 National Money Laundering Strategy.
In view of heightened concerns about terrorism and homeland security, GAO
was asked to identify and define the desirable characteristics of an
effective national strategy and to evaluate whether the national
strategies related to terrorism address those characteristics. The purpose
of this testimony is to report on GAO's findings on this matter.
www.gao.gov/cgi-bin/getrpt?GAO-04-408T.
To view the full product, including the scope and methodology, click on
the link above. For more information, contact Randall A. Yim at (202)
512-6787 or [email protected].
February 3, 2004
COMBATING TERRORISM
Evaluation of Selected Characteristics in National Strategies Related to
Terrorism
National strategies are not required by either executive or legislative
mandate to address a single, consistent set of characteristics. However,
based on a review of numerous sources, GAO identified a set of desirable
characteristics to aid responsible parties in further developing and
implementing the strategies-and to enhance their usefulness in resource
and policy decisions and to better assure accountability. The
characteristics GAO identified are: (1) purpose, scope, and methodology;
(2) problem definition and risk assessment; (3) goals, subordinate
objectives, activities, and performance measures; (4) resources,
investments, and risk management; (5) organizational roles,
responsibilities, and coordination; and (6) integration and
implementation.
GAO found considerable variation in the extent to which the seven
strategies related to combating terrorism and homeland security address
the desirable characteristics. A majority of the strategies at least
partially address the six characteristics. However, none of the strategies
addresses all of the elements of resources, investments, and risk
management; or integration and implementation. Even where the
characteristics are addressed, improvements could be made. For example,
while the strategies identify goals, subordinate objectives, and specific
activities, they generally do not discuss or identify priorities,
milestones, or performance measures- elements that are desirable for
evaluating progress and ensuring effective oversight. On the whole, the
National Strategy for Homeland Security and the National Strategy for the
Physical Protection of Critical Infrastructure and Key Assets address the
greatest number of desirable characteristics, while the National Security
Strategy and the National Strategy to Combat Weapons of Mass Destruction
address the fewest.
The Pentagon in Flames Moments after International Terrorists Crash a
Hijacked Aircraft into the Building on September 11, 2001
Mr. Chairman and Members of the Subcommittee:
I appreciate the opportunity to be here today to participate in this
hearing that examines the various national strategies published by the
Bush Administration following the terrorist attacks of September 11, 2001.
These strategies represent the administration's guidance to the federal
state, local, private, and international sectors, for combating terrorism
and securing the homeland and, equally important, for sustaining efforts
into the future. Specifically, these seven strategies cover a broad range
of related topics-from preparing against terrorist attacks to combating
weapons of mass destruction, protecting our physical infrastructure,
securing cyberspace, and blocking terrorist financing. The new strategies
accompany the federal government's biggest reorganization in more than 50
years, resulting in the creation of a new Department of Homeland Security
(DHS) to address the new threat environment.
Based upon heightened concerns about terrorism and homeland security, the
Subcommittee asked us (1) to identify and define the characteristics of an
effective national strategy and (2) to evaluate whether the strategies
related to terrorism address those characteristics. This work expands upon
our testimony to the Subcommittee in March 2003 and a related report in
May 2003, as well as prior work for this Subcommittee and other committees
over the past 7 years.1
After providing some background on the strategies related to terrorism, my
statement will identify a set of desirable characteristics for any
effective national strategy and compare and contrast the extent to which
each of the strategies we address contains such characteristics. We
believe these desirable characteristics would help shape the policies,
programs, priorities, resource allocations, and standards that would
enable federal agencies and other stakeholders to implement the strategies
and achieve the identified results. We hope that the value of our review
lies in assisting the evolution and implementation of these national
strategies, so that homeland security efforts nationwide are clear,
sustainable, and integrated into agency, governmental, and private sector
missions; and, further, that
1 See U.S. General Accounting Office, Combating Terrorism: Observations on
National Strategies Related to Terrorism, GAO-03-519T (Washington, D.C.:
Mar. 3, 2003) and Combating Terrorism: Interagency Framework and Agency
Programs to Address the Overseas Threat, GAO-03-165 (Washington, D.C.: May
2003). In addition, a list of related GAO products is at the end of this
statement.
these efforts are balanced with other important priorities, and
transparent enough to ensure accountability.
We recognize the difficulty of the tasks presented to the strategy
developers-and that national strategies are only starting points for
federal agencies and other parties responsible for developing more
detailed implementation plans. In some areas, so much needed to be done
quickly that even general strategic statements added value. Some of the
differences in detail in the national strategies may be attributed to
their different breadths of scope and/or the maturity levels in their
underlying program activities. We hope it is instructive to compare and
contrast these strategies not only to each other, but also with other
complex strategic planning efforts, so that the value of the strategies as
guidance is enhanced and the timeframe for further refinements and
implementation is expedited, given the critical nature of our homeland
security efforts.
The new or updated national strategies released in the past 2 years that
relate to combating terrorism and homeland security, in part or in whole,
are:
o The National Security Strategy of the United States of America,
September 2002.
o The National Strategy for Homeland Security, July 2002.
o The National Strategy for Combating Terrorism, February 2003.
o The National Strategy to Combat Weapons of Mass Destruction, December
2002.
o The National Strategy for the Physical Protection of Critical
Infrastructure and Key Assets, February 2003.
o The National Strategy to Secure Cyberspace, February 2003.
o The 2002 National Money Laundering Strategy, July 2002.
As agreed with your staff, we will report separately on the classified
National Military Strategic Plan for the War on Terrorism.
Summary National strategies are not required by executive or legislative
mandate to address a single, consistent set of characteristics, and they
contain varying degrees of detail based on their different scopes.
Furthermore, we found there was no commonly accepted set of
characteristics used for an effective national strategy. Nonetheless,
after consulting numerous sources, we identified a set of desirable
characteristics that we believe would provide additional guidance to
responsible parties for developing and implementing the strategies-and to
enhance their usefulness as
guidance for resource and policy decision-makers and to better ensure
accountability. Those characteristics are: (1) a statement of purpose,
scope, and methodology; (2) problem definition and risk assessment; (3)
goals, subordinate objectives, activities, and performance measures; (4)
resources, investments, and risk management; (5) organizational roles,
responsibilities, and coordination; and (6) integration and
implementation. We identified these desirable characteristics by
consulting statutory requirements pertaining to certain strategies we
reviewed, as well as legislative and executive branch guidance for other
national strategies. In addition, we studied the Government Performance
and Results Act of 1993 (GPRA); general literature on strategic planning
and performance; and guidance from the Office of Management and Budget
(OMB) on the President's Management Agenda. We also gathered published
recommendations made by national commissions chartered by Congress; past
GAO work; and various research organizations that have commented on
national strategies.
The seven national strategies related to homeland security and combating
terrorism vary considerably in the extent to which they address the
desirable characteristics that we identified. All seven strategies we
reviewed partially address goals, subordinate objectives, activities, and
performance measures. Four of the strategies address problem definition
and risk assessment, while one strategy partially addresses that
characteristic. And a majority of the strategies at least partially
address the four other characteristics: purpose, scope, and methodology;
resources, investments, and risk management; organizational roles,
responsibilities, and coordination; and integration and implementation.
However, none of the strategies addresses all of the elements of
resources, investments, and risk management; or integration and
implementation. Furthermore, even where the strategies address certain
elements of the characteristics, there is room for improvement. For
example, while the strategies identify goals, subordinate objectives, and
specific activities, they generally do not discuss or identify priorities,
milestones, or performance measures- elements that we consider to be
desirable for evaluating progress, achieving results, and ensuring
effective oversight. On the whole, the National Strategy for Homeland
Security and the National Strategy for the Physical Protection of Critical
Infrastructure and Key Assets address the greatest number of the desirable
characteristics, while the National Security Strategy and the National
Strategy to Combat Weapons of Mass Destruction address the fewest. Table 1
shows the extent that the strategies address, partially address, or do not
address our characteristics.
Table 1: National Strategies and the Extent they Address GAO's Desirable
Characteristics
Goals,
subordinate
objectives, Resources, Organizational
National Purpose, Problem activities, investments, roles,
and
Strategy scope, and definition performance and risk responsibilities,
and Integration and
(short titles) methodology risk measures management and coordination
assessment implementation
National Does not Does not Partially Does not Does not Does not
Security address address addresses address address address
Homeland Addresses Addresses Addresses
Partially Partially Partially
Security addresses addresses addresses
Addresses Does not Partially
Combating Partially Partially Partially
Terrorism addresses addresses address addresses
addresses
Does not Does not Does not Partially
Weapons of Partially Partially
Mass address address addresses address addresses
addresses
Destruction
Addresses Addresses Partially
Physical Partially Partially Partially
Infrastructure addresses addresses Addresses
addresses
Secure Addresses Partially
Partially Partially Partially Partially
Cyberspace addresses addresses addresses Addresses
addresses
Partially
Money Partially Partially Partially Partially Partially
addresses addresses addresses addresses addresses
Laundering addresses
Source: GAO analysis.
Note: Per our methodology, a strategy "addresses," a characteristic when
it explicitly cites all elements of a characteristic, even if it lacks
specificity and details and thus could be improved upon. A strategy
"partially addresses" a characteristic when it explicitly cites some, but
not all elements of a characteristic. Within our designation of "partially
addresses" there is a wide variation between a strategy that addresses
most of the elements of a characteristic and a strategy that addresses few
of the elements of a characteristic. A strategy "does not address" a
characteristic when it does not explicitly cite or discuss any elements of
a characteristic, and/or any implicit references are either too vague or
general. See appendix I for more details on our methodology.
Background
Seven National Strategies Related to Combating Terrorism Released Since
September 11 Attacks
In the wake of the terrorist attacks on September 11, 2001, seven new
national strategies were developed and published to help guide U.S.
efforts to combat terrorism. Of these, five were newly published
strategies that related to specific aspects of homeland security and
combating terrorism, such as weapons of mass destruction, protecting
physical infrastructure, and securing cyberspace. Two strategies, the
National Security Strategy of the United States of America and the 2002
National Money Laundering Strategy, were updated from pre-September 11
versions to specifically include terrorism. "Terrorism" may be generally
defined as
politically motivated violence to coerce a government or civilian
population. "Combating terrorism" refers to the full range of policies,
programs, and activities to counter terrorism, both at home and abroad.
There is a further distinction within "combating terrorism," with
"homeland security" referring to domestic efforts and "combating terrorism
overseas" referring to international efforts.2 Some of these national
strategies were specific to combating terrorism, while others involved
terrorism to lesser degrees. Table 2 describes the new national strategies
related to combating terrorism.
Table 2: National Strategies Related to Combating Terrorism
Strategy
National Security Strategy of the United States of America
o Issued by the President, September 2002
National Strategy for Homeland Security
o Issued by the President, July 2002
Description of strategy
The National Security strategy provides a broad framework for
strengthening U.S. security in the future. It identifies the national
security goals of the United States, describes the foreign policy and
military capabilities necessary to achieve those goals, evaluates the
current status of these capabilities, and explains how national power will
be structured to utilize these capabilities. It devotes a chapter to
combating terrorism that focuses on the disruption and destruction of
terrorist organizations, the winning of the "war of ideas," the
strengthening of homeland security, and the fostering of cooperation with
allies and international organizations to combat terrorism.
The Homeland Security strategy addresses the threat of terrorism in the
United States by organizing the domestic efforts of federal, state, local,
and private organizations. It aligns and focuses homeland security
functions into six critical mission areas, set forth as (1) intelligence
and warning, (2) border and transportation security, (3) domestic
counterterrorism, (4) protecting critical infrastructure and key assets,
(5) defending against catastrophic threats, and (6) emergency preparedness
and response. Additionally, it describes four foundations that cut across
all the mission areas, across all levels of government, and across all
sectors of society as being (1) law, (2) science and technology, (3)
information sharing and systems, and (4) international cooperation. It
also addresses the costs of homeland security and future priorities.
National Strategy for Combating Terrorism The Combating Terrorism strategy
elaborates on the terrorism aspects of the National
o Issued by the President, February 2003 Security strategy by expounding
on the need to destroy terrorist organizations, win the "war of ideas,"
and strengthen security at home and abroad. Unlike the Homeland Security
strategy that focuses on preventing terrorist attacks within the United
States, the Combating Terrorism strategy focuses on identifying and
defusing threats before they reach the borders of the United States. In
that sense, although it has defensive elements, this strategy is an
offensive strategy to complement the defensive Homeland Security strategy.
National Strategy to Combat Weapons of The Weapons of Mass Destruction
strategy presents a national strategy to combat Mass Destruction weapons
of mass destruction (WMD) through three major efforts: (1)
nonproliferation,
o Issued by the President, December (2) counterproliferation, and (3)
consequence management in WMD incidents. The plan
2002 addresses the production and proliferation of WMD among nations, as
well as the potential threat of terrorists using WMD agents.
2 For a more detailed discussion of the definition of terrorism, combating
terrorism, and homeland security, see GAO-03-165.
Strategy Description of strategy
National Strategy for the Physical Protection of Critical Infrastructures
and Key Assets
o Issued by the President, February 2003 The Physical Infrastructure
strategy provides a statement of national policy to remain committed to
protecting critical infrastructures and key assets from terrorist attacks
and is based on eight guiding principles, including establishing
responsibility and accountability, encouraging and facilitating partnering
among all levels of government and between government and industry, and
encouraging market solutions wherever possible and government intervention
when needed. The strategy also establishes three strategic objectives. The
first is to identify and assure the protection of the most critical
assets, systems, and functions, in terms of national level public health
and safety, governance, and economic and national security and public
confidence. The second is to ensure protection of infrastructures and
assets facing specific, imminent threats. The third is to pursue
collaborative measures and initiatives to ensure the protection of other
potential targets that may become attractive over time.
National Strategy to Secure Cyberspace
o Issued by the President, February 2003
The Secure Cyberspace strategy is intended to provide an initial framework
for both organizing and prioritizing efforts to protect our nation's
cyberspace. Also, it is to provide direction to federal departments and
agencies that have roles in cyberspace security and to identify steps that
state and local governments, private companies and organizations, and
individual Americans can take to improve the nation's collective
cybersecurity. The strategy is organized according to five national
priorities, with major actions and initiatives identified for each. These
priorities are: (1) a National Cyberspace Security Response System, (2) a
National Cyberspace Security Threat and Vulnerability Reduction Program,
(3) a National Cyberspace Security Awareness and Training Program, (4)
Securing Governments' Cyberspace, and (5) National Security and
International Cyberspace Security Cooperation. In describing the threats
to, and vulnerabilities of, our nation's cyberspace, the strategy
highlights the potential for damage to U.S. information systems from
attacks by terrorist organizations.
2002 National Money Laundering Strategy The Money Laundering strategy is
intended to support planning for the efforts of law
o Issued by the Secretary of the Treasury enforcement agencies,
regulatory officials, the private sector, and overseas entities to
and the Attorney General, July 2002 combat the laundering of money
generated from criminal activities. Although the 2002 strategy still
addresses general criminal financial activity, that plan outlines a major
governmentwide strategy to combat terrorist financing. The strategy
discusses the need to adapt traditional methods of combating money
laundering to unconventional tools used by terrorist organizations to
finance their operations.
Source: Published national strategies and GAO analysis.
National Strategies
Are Broad but Vary
in Scope and Detail
These seven national strategies differ from other federal government
planning documents, such as agency-specific strategic plans that GPRA
requires.3 These strategies are national in scope, cutting across levels
of government and sectors and involving a large number of organizations
and entities (i.e., the federal, state, local, and private sectors). In
addition, national strategies frequently have international components,
and they may be part of a structure of overlapping or supporting national
strategies. Furthermore, the federal government does not control many of
the sectors, organizations, entities, and resources involved in
implementing the national strategies.
3P.L. 103-62 (Aug. 3, 1993). Page 6 GAO-04-408T
We found that the strategies we studied are organized in a rough
hierarchy, with the National Security strategy providing an overarching
strategy for national security as a whole, including terrorism. The
Homeland Security and Combating Terrorism strategies provide,
respectively, a more specific, defensive approach to combating terrorism
at home and an offensive approach to combating terrorism overseas.4 The
other strategies provide further levels of detail on the specific
functions related to weapons of mass destruction, cyber security,
protection of physical infrastructure, and money laundering. While the
national strategies we studied generally overlap in their coverage of
terrorism, some contain elements unrelated to terrorism. For example, both
the Secure Cyberspace and Money Laundering strategies include domestic
criminal elements that are not necessarily associated with national
security or terrorism.5
In addition, other executive branch guidance in the form of executive
orders or presidential directives elaborates on the national strategies
and provides further direction to the implementing parties. Most recently,
for instance, the Homeland Security Presidential Directives 7 and 8,
issued in December 2003, refine the national strategies with respect to
critical infrastructure and national preparedness, respectively. In fact,
those presidential directives identify specific priorities and milestones
and assign certain responsibilities, which address some of our concerns on
the lack of specificity and delineation of clear lines of responsibility
in the national strategies. Further down the hierarchy, agency-specific
strategic plans and performance plans; federal or agency-level enterprise
architectures; and state, local, private and international sector plans
provide even further details and guidance to implementing parties. In
addition, these plans and reports may address goals and objectives beyond
terrorism and homeland security. Figure 1 shows the hierarchy among the
national strategies and other plans and guidance.
4 We recognize that our characterization of these two strategies
simplifies a complex relationship. Both strategies contain both defensive
and offensive elements. For example, while we characterize the Homeland
Security strategy as mainly defensive, it includes some offensive
initiatives to target and attack terrorist financing, and to track foreign
terrorists and bring them to justice. Similarly, while we characterize the
Combating Terrorism strategy as mainly offensive, it includes some
defensive objectives to implement the Homeland Security strategy and to
protect U.S. citizens abroad.
5 For example, the Secure Cyberspace strategy also covers
nonterrorism-related computer hacking, and the Money Laundering strategy
deals with all types of crimes associated with money laundering, such as
drug trafficking.
Figure 1. Hierarchy of National Strategies and Other Plans and Guidance
for Combating Terrorism and Homeland Security
Alignment of Strategies and Examples of Other Guidance Strategy Hierarchy
From Broad to Detailed
Examples of Guidance
Through the Hierarchy --
Source: GAO.
Because national strategies are not governed by a single, consistent set
of requirements, we consulted a variety of public and private sector
sources to identify a set of desirable characteristics. Those sources
included legislative and executive branch mandates pertaining to the
strategies we reviewed, as well as some nonterrorism-related strategies.
We also studied GPRA; general literature on strategic planning and
performance; and guidance from OMB on the President's Management Agenda.
We also gathered published recommendations made by national commissions
chartered by Congress; past GAO work; and various research organizations
that have commented on national strategies. Based upon this methodology,
we identified six characteristics to be desirable for a national strategy,
which are described later in this testimony.
GAO Developed A Set of Desirable Characteristics for National Strategies
No Single Set of Requirements in Place
for Characteristics That National Strategies
Should Contain
National strategies are not required, either by executive or legislative
mandate, to address a single, consistent set of characteristics.
Furthermore, we found that there is no commonly accepted set of
characteristics used to develop an effective national strategy. Thus to
identify desirable characteristics for all national strategies, including
those related to terrorism, we consulted numerous sources. First, we
identified statutory or executive requirements specific to some of the
individual strategies for insight into whether those requirements could be
generalized as desirable characteristics for all national strategies. Two
of the seven strategies we reviewed-the National Security and Money
Laundering strategies-are required by statutes that mandate specific
content
6
elements.
The statute mandating the Money Laundering strategy generally calls for
the strategy to contain provisions on setting goals, objectives, and
priorities; coordinating prevention efforts; specifying detection and
prosecution initiatives; and enhancing intergovernmental cooperation (at
the federal, state, and local levels) and partnerships between the private
sector and law enforcement agencies.7 In addition, that statute calls for
providing 3-year program projections and budget priorities; an assessment
of how the budget is to be utilized and its sufficiency; the development
of improved communication systems; and evaluations of the effectiveness of
policies to combat money laundering and related financial crimes.
The statute mandating the National Security strategy calls for the
document to provide a comprehensive description and discussion of U.S.
worldwide interests, goals, and objectives vital to national security;
detail the foreign policy, worldwide commitments, and national defense
capabilities necessary to deter aggression and implement the strategy;
identify the proposed short-and long-term uses of national power to
protect our interests and achieve our goals and objectives; and assess the
adequacy of our capabilities to carry out the national strategy.8
6 Section 801(b) of the Homeland Security Act of 2002 requires DHS to
develop a process for receiving meaningful input from states and
localities to assist in the development of a national strategy "for
combating terrorism and other homeland security activities," but does not
establish specific content elements as do the laws pertaining to the Money
Laundering and National Security strategies.
7 31 U.S.C. 5341.
8 50 U.S.C. 404a.
However, the requirements set forth in these two statutes, in addition to
being different from one another, do not impose any requirements on the
five other national strategies we reviewed.
We Developed Characteristics Desirable for National Strategies
Given that there is no established set of requirements for all national
strategies-or even the seven related specifically to homeland security and
combating terrorism-we developed a set of desirable characteristics by
reviewing several sources of information. First, we gathered statutory
requirements pertaining to some of the strategies we were asked to
assess-namely, the Money Laundering and the National Security strategies,
as mentioned earlier-and legislative and executive branch guidance for
other strategies, such as the National Drug Control Strategy. We also
reviewed GPRA; general literature on strategic planning and performance;
and guidance from OMB on the President's Management Agenda. Furthermore,
we studied our past reports and testimonies for findings and
recommendations pertaining to desirable elements of a national strategy.
Similarly, we researched recommendations by national commissions chartered
by Congress in recent years on combating terrorism and protecting the
homeland-namely, the Bremer, Gilmore, and Hart-Rudman Commissions9 --and
various research organizations that have commented on national
strategies.10 Simultaneously, we consulted widely within GAO to
incorporate the most up-to-date thinking on strategic planning;
integration across and between government and its partners;
implementation; and other related subjects. This included consulting our
economists and methodologists to include cost-benefit analysis and other
economic criteria. Furthermore, we consulted outside experts from the
Bremer and Hart-Rudman Commissions. We used our judgment to develop
desirable characteristics based upon their underlying support in
legislative or executive guidance and the frequency with which they were
cited in other sources. We then grouped similar items together
9 Even before the terrorist attacks of September 11, 2001, Congress was
concerned with the issue of homeland security and had chartered three
national commissions, which examined terrorist threats and the
government's response to terrorism, and made numerous recommendations. The
full names of these commissions are the National Commission on Terrorism
(also known as the Bremer Commission), the Advisory Panel to Assess
Domestic Response Capabilities for Terrorism Involving Weapons of Mass
Destruction (the Gilmore Commission), and the U.S. Commission on National
Security/21st Century (the Hart-Rudman Commission).
10 The research organizations whose work and commentary on homeland
security, combating terrorism, and national strategies since 2000 that we
primarily reviewed include the ANSER Institute on Homeland Security, RAND
Corporation, and Brookings Institution.
in a logical sequence from conception to implementation. This was GAO's
first effort to develop desirable characteristics for a national strategy,
so they may evolve over time. Table 3 provides a summary of the six
characteristics.
Table 3: Summary of Desirable Characteristics for a National Strategy, from
Conception to Implementation Desirable characteristic Description
Purpose, scope, and methodology Addresses why the strategy was produced,
the scope of its coverage, and the process by which it was developed.
Problem definition and risk assessment Addresses the particular national
problems and threats the strategy is directed towards.
Goals, subordinate objectives, activities, and performance measures
Addresses what the strategy is trying to achieve, steps to achieve those
results, as well as the priorities, milestones, and performance measures
to gauge results.
Resources, investments, and risk management Addresses what the strategy
will cost, the sources and types of resources and investments needed, and
where resources and investments should be targeted based on balancing risk
reductions with costs.
Organizational roles, responsibilities, and Addresses who will be
implementing the strategy, what their roles will be coordination compared
to others, and mechanisms for them to coordinate their efforts.
Integration and implementation Addresses how a national strategy relates
to other strategies' goals, objectives, and activities, and to subordinate
levels of government and their plans to implement the strategy.
Source: GAO data.
We believe a national strategy should ideally contain all of these
characteristics. Although the authors of national strategies might
organize these characteristics in a variety of ways and/or use different
terms, we present them in this order because they flow logically from
conception to implementation. Specifically, the strategy's purpose leads
to the definition of the problems and risks it intends to address, which
in turn leads to specific actions for tackling those problems and risks,
allocating and managing the appropriate resources, identifying different
organizations' roles and responsibilities, and finally to integrating
action among all relevant parties and implementing the strategy.
We describe the desirable characteristics in more detail in the following
section, where we evaluate the extent to which the strategies address
them. See appendix I for additional details on these characteristics and
our scope and methodology in developing them.
National Strategies Address Some, but Not All, of Desirable Characteristics
GAO Identified
The seven national strategies related to homeland security and combating
terrorism vary considerably in the extent to which they address the
desirable characteristics that we identified. All seven strategies we
reviewed partially address goals, subordinate objectives, activities, and
performance measures. Four of the strategies address problem definition
and risk assessment, while one strategy partially addresses that
characteristic. And a majority of the strategies at least partially
address the four other characteristics: purpose, scope, and methodology;
resources, investments, and risk management; organizational roles,
responsibilities, and coordination; and integration and implementation.
However, none of the strategies addresses all of the elements of
resources, investments, and risk management; or integration and
implementation. Furthermore, even where the strategies address certain
elements of the characteristics, there is room for improvement. For
example, while the strategies identify goals, subordinate objectives, and
specific activities, they generally do not discuss or identify priorities,
milestones, or performance measures- elements that we consider to be
desirable for evaluating progress, achieving results, and ensuring
effective oversight. On the whole, the National Strategy for Homeland
Security and the National Strategy for the Physical Protection of Critical
Infrastructure and Key Assets address the greatest number of the desirable
characteristics, while the National Security Strategy and the National
Strategy to Combat Weapons of Mass Destruction address the fewest.
We recognize that strategies themselves are not endpoints, but rather,
starting points. In our view, the strengths of some strategies are useful
in suggesting ways to enhance the value of other strategies, fill in gaps,
speed implementation, guide resource allocations, and provide oversight
opportunities. As with any strategic planning effort, implementation is
the key. The ultimate measure of these strategies' value will be the
extent they are useful as guidance for policy and decision-makers in
allocating resources and balancing homeland security priorities with other
important, nonhomeland security objectives. It will be important over time
to obtain and incorporate feedback from the "user" community as to how the
strategies can better provide guidance and how Congress and the
administration can identify and remedy impediments to implementation, such
as legal, international, jurisdictional, or resource constraints.
Purpose, Scope, and This characteristic addresses why the strategy was
produced, the scope of
Methodology its coverage, and the process by which it was developed. For
example, a strategy might discuss the specific impetus that led to its
being written (or updated), such as statutory requirements, executive
mandates, or other
events like terrorist attacks. Furthermore, a strategy would enhance
clarity by including definitions of key, relevant terms (such as
"combating terrorism," and "homeland security" in this context). In
addition to describing what it is meant to do and the major functions,
mission areas, or activities it covers, a national strategy would ideally
address its methodology. For example, a strategy might discuss the
principles or theories that guided its development, what organizations or
offices drafted the document, whether it was the result of a working
group, or which parties were consulted in its development.
Five of the national strategies we evaluated address at least some
elements of this characteristic, with four at least partially discussing
their overall purpose and scope, and three addressing, to varying degrees,
their methodology. For example, the Homeland Security strategy explicitly
identifies its fundamental objectives, coverage, and how it was developed.
It describes itself as a framework to answer four basic questions-such as
what is homeland security, and what goals it should pursue-and identifies
six "critical mission areas," or homeland security functions, such as
intelligence and warning, and border and transportation security. The
Physical Infrastructure, Secure Cyberspace, and Money Laundering
strategies also use explicit language to define their purposes and scope.
For example, the Physical Infrastructure strategy identifies its scope as
13 critical sectors (such as agriculture, water, and public health) and
five types of key assets (e.g., national monuments and dams). Concerning
methodology, the Homeland Security strategy explicitly lays out the
principles behind its creation and the numerous parties consulted in its
development. Similarly, the Physical Infrastructure strategy explicitly
discusses the guiding principles behind, and the consultations involved
in, its creation. The Combating Terrorism and Secure Cyberspace strategies
also describe their guiding principles-and the latter discusses, in even
greater detail, the stakeholders involved in its development. And the
Money Laundering strategy provides its background and highlights changes
from the previous version to include terrorist financing.
However, three of the strategies discuss their purpose and scope only in
vague terms, and four strategies do not address their methodology at all.
For instance, regarding its purpose and scope, the Weapons of Mass
Destruction strategy says only that, "The United States must pursue a
comprehensive strategy to counter the WMD threat in all of its
dimensions," without providing any further details. Similarly, while the
National Security strategy emphasizes the importance of pursuing freedom,
peace, and prosperity, it does not state its own purpose or scope. The
Combating Terrorism strategy also uses vague language, such as "the
world must respond and fight this evil," but does not explicitly describe
its purpose and scope. In addition, these three strategies, plus the Money
Laundering strategy, do not discuss who was involved in their development.
In our view, a complete description of the purpose, scope, and methodology
in a national strategy could make the document more useful to the
organizations responsible for implementing the strategy, as well as to
oversight organizations, such as the Congress.
Problem Definition and Risk Assessment
This characteristic addresses the particular national problems and threats
the strategy is directed towards. Specifically, this means a detailed
discussion or definition of the problems the strategy intends to address,
their causes, and operating environment. In addition, this characteristic
entails a risk assessment, including an analysis of the threats to, and
vulnerabilities of, critical assets and operations.11 If the details of
these analyses are classified or preliminary, an unclassified version of
the strategy could at least include a broad description of the analyses
and stress the importance of risk assessment to implementing parties. A
discussion of the quality of data available regarding this characteristic,
such as known constraints or deficiencies, would also be useful.
Five of the strategies at least partially address this characteristic.
Specifically, five define national problems and the environments in which
they occur, while three discuss the importance of assessing risks,
threats, and vulnerabilities. For example, the Combating Terrorism
strategy contains an explicit section on "the nature of the terrorist
threat today," which provides some historical background to terrorism, the
structure of its leadership, and underlying conditions such as poverty,
corruption, religious conflict, and ethnic strife. Similarly, the Homeland
Security, Physical Infrastructure, Secure Cyberspace, and Money Laundering
strategies define the problems in their sectors and describe the nature of
the terrorist threat. Concerning risk assessment, three of them-the
Homeland Security, Physical Infrastructure, and Secure Cyberspace
strategies-stress the importance of national, comprehensive vulnerability
11 This risk assessment is the first phase of a two-part risk management
process. Risk assessment includes a threat assessment, a vulnerability
assessment, and a criticality assessment. For a more in-depth discussion
of these subjects, see U.S. General Accounting Office, Homeland Security:
Key Elements of a Risk Management Approach, GAO-02-150T (Washington, D.C.:
Oct.12, 2002). The second aspect of risk management is discussed below in
the "Resources, Investments and Risk Management" characteristic. It
consists of taking the information from the risk assessment and making
management decisions about resource allocations to minimize risks and
maximize returns on resources expended.
assessments of all critical infrastructures and key assets, setting the
stage for risk management. The Homeland Security strategy contains an
explicit "threat and vulnerability" section that provides many details,
such as defining the different ways and means for terrorist attacks. This
strategy also stresses the importance of comprehensive vulnerability
assessments of all critical infrastructures and key assets, saying they
"are important from a planning perspective in that they enable authorities
to evaluate the potential effects of an attack on a given facility or
sector, and then to invest accordingly in protecting such facilities and
sectors."
However, two strategies do not address this characteristic. The National
Security strategy says the war against terrorism is global and that "The
enemy is not a single political regime or person or religion or ideology,"
but provides no further definition of the problems it seeks to address.
Similarly, the Weapons of Mass Destruction strategy states that such
weapons represent a great security challenge when in the possession of
hostile states and terrorists, and that some terrorism-supporting states
already possess such weapons, but provides no details defining the threat.
Furthermore, while some of the strategies say that intelligence gathering
must be strengthened, the strategies generally do not address limitations
in collecting data. That is, few of the strategies discuss the
difficulties of collecting intelligence on terrorist organizations, plans,
and tactics. In our view, more specific information on both problem
definition and risk assessment in many of the strategies would give the
responsible parties better guidance to implement those strategies. For
example, we recently recommended that future Money Laundering strategies
link to periodic assessments of threats and risks, which would provide a
basis for ensuring that clear priorities are established and focused on
the areas of greatest need.12
Without necessarily prescribing in detail the "solution," better problem
definition and risk assessment also provide greater latitude to
responsible parties to develop innovative approaches that are tailored to
the needs of specific regions or sectors-and are able to be implemented as
a practical matter, given fiscal, human capital, and other limitations.
For example, better problem definition or risk assessment can foster
regional approaches or cooperative agreements, and stimulate the
development of national systems or management standards to link the
capabilities of the
12 See U.S. General Accounting Office, Combating Money Laundering:
Opportunities Exist to Improve the National Strategy, GAO-03-813
(Washington, D.C.: Sept. 2003).
responsible parties in a more effective manner. Such assessments help
identify desired goals and "end-states" without "one-size-fits-all"
solutions.
Goals, Subordinate Objectives, Activities, and Performance Measures
This characteristic addresses what the national strategy strives to
achieve and the steps needed to garner those results, as well as the
priorities, milestones, and performance measures to gauge results. At the
highest level, this could be a description of an ideal "end-state,"
followed by a logical hierarchy of major goals, subordinate objectives,
and specific activities to achieve results. In addition, it would be
helpful if the strategy discussed the importance of implementing parties'
establishing priorities, milestones, and performance measures to help
ensure accountability. Ideally, a national strategy would set clear
desired results and priorities, specific milestones, and outcome-related
performance measures while giving implementing parties flexibility to
pursue and achieve those results within a reasonable timeframe. If
significant limitations on performance measures exist, other parts of the
strategy might address plans to obtain better data or measurements, such
as national standards or indicators of preparedness. For example, national
strategies related to terrorism might discuss the lack of national
indicators or standards for emergency preparedness against attacks.
All seven national strategies partially address this characteristic by
identifying their individual, high-level goals, subordinate objectives,
and specific activities to achieve results.13 For example, the Homeland
Security strategy identifies three major goals-prevent terrorist attacks,
reduce vulnerability, and minimize damage and recover from attacks- which
are underpinned by six objectives (called critical mission areas), such as
intelligence and warning, and border and transportation security. Those
objectives in turn, have anywhere from 5 to 12 accompanying activities
apiece. Figure 2 illustrates an example of an overall goal, subordinate
objective, and specific activity in the Homeland Security strategy.
13 The strategies differ in their terminology for goals, objectives, and
activities. For example, some strategies refer to their top-level vision
as "goals," while others describe that as "objectives." The same is true
at the next level of support-some are called objectives, while others are
"priorities" or "critical mission areas"-and at the most detailed level of
activities (alternatively called "priorities" or "initiatives"). For the
purpose of consistency in this testimony, we are using the terms "goals,"
"subordinate objectives," and "activities" (in order of broad to
specific).
Figure 2: The Homeland Security strategy contains an overall goal on
recovering from terrorist attacks, a subordinate objective on emergency
preparedness and response, and a specific initiative to prepare for
chemical, biological, and nuclear decontamination
Source: GAO.
Similarly, the Combating Terrorism strategy contains four overarching
goals: defeat terrorists and their organizations; deny sponsorship,
support, and sanctuary to terrorists; diminish the underlying conditions
that terrorists seek to exploit; and defend U.S. citizens and interests at
home and abroad. These goals are broken down into 15 objectives, such as
identifying terrorists and terrorist organizations, and are further
supported by one to four activities each. Concerning milestones, the Money
Laundering strategy provides a few deadlines for specific activities, such
as the Departments of Treasury and Justice conducting a study by April
2003 on how the Internet could be used by terrorist groups to raise money.
In addition, the Homeland Security strategy calls for DHS to develop and
coordinate implementation of a comprehensive national plan to protect
infrastructure against terrorist attacks, building on baseline protection
plans due by the end of fiscal year 2002.14 Regarding performance
measures, the Homeland Security and Money Laundering strategies provide
some general language on the subject. For example, the former says that,
"Every department or agency will create benchmarks and other performance
measures by which we can evaluate our progress and allocate future
resources." And the latter says that methods for measuring performance
should be consistent with the President's Management Agenda, and that the
Department of the Treasury will develop a "traffic light" scorecard to
track performance and assess how well the strategies' initiatives are
being implemented.
However, the strategies do not address this characteristic in that they
generally lack priorities, milestones, or performance measures. Regarding
priorities, only the Homeland Security strategy identifies a priority
order by stressing the importance of four specific activities in the
fiscal year 2003 budget. Five strategies do not designate specific
priorities; and the Money Laundering strategy, as highlighted in our
recent report, identifies more priorities than can be achieved in a
reasonable timeframe and does not rank them in order of importance.15
Concerning performance measures, only two of them-the Homeland Security
and Money Laundering strategies-explicitly stress the importance of
measuring performance or identify specific measures. As we said in an
earlier testimony, the Homeland Security strategy's initiatives often do
not provide a baseline set of performance goals and measures upon which to
14 The Homeland Security Act of 2002 requires DHS to develop a
comprehensive national plan for securing the key resources and critical
infrastructure of the United States (P.L. 107-296, sec. 201(d)(5).
Consistent with the Act, section (27) of the Homeland Security
Presidential Directive 7 requires the Secretary of Homeland Security to
complete a comprehensive, integrated National Plan for Critical
Infrastructure and Key Resources Protection that outlines national goals,
objectives, milestones, and key initiatives by December 2004.
15 See GAO-03-813.
assess and improve preparedness.16 Similarly, we recently recommended that
future Money Laundering strategies require the principal agencies to
develop outcome-related performance measures that are linked to goals and
objectives.17 Also, we previously reported that neither the Physical
Infrastructure nor the Secure Cyberspace strategies indicate timeframes or
milestones for their overall implementation or for accomplishing specific
actions or initiatives; nor do they establish performance measures for
which entities can be held responsible.18 We believe a better
identification of priorities, milestones, and performance measures would
aid implementing parties in achieving results in specific timeframes-and
would enable more effective oversight and accountability.
Resources, Investments, and Risk Management
This characteristic addresses what the strategy will cost, the sources and
types of resources and investments associated with the strategy, and where
those resources and investments should be targeted. Ideally, a strategy
would also identify criteria and appropriate mechanisms to allocate
resources, such as grants, in-kind services, loans, and user fees, based
on identified needs. Alternatively, the strategy might identify
appropriate "tools of government," such as regulations, tax incentives,
and standards, to mandate or stimulate nonfederal organizations to use
their unique resources. Furthermore, a national strategy would ideally
elaborate on the risk assessment mentioned earlier and give guidance to
implementing parties to manage their resources and investments
accordingly-and begin to address the difficult but critical issues about
who pays, and how such efforts will be funded and sustained in the future.
Four of the strategies we evaluated partially address this characteristic
by identifying numerous resource and investment needs to achieve their
goals and objectives, and by discussing, to varying degrees, risk
management. The Homeland Security strategy goes even farther, devoting a
chapter to this topic in which it identifies a general principle to
allocate homeland security investments based upon balancing risk
reductions and costs. For example, the strategy states, "Decisions on
homeland security activities
16 See U.S. General Accounting Office, Homeland Security: Effective
Intergovernmental Coordination is Key to Success GAO-02-1011T (Washington,
D.C.: August 2002).
17 See GAO-03-813.
18 See U.S. General Accounting Office, Homeland Security: Information
Sharing Responsibilities, Challenges, and Key Management Issues,
GAO-03-1165T (Washington, D.C.: September 2003).
and spending must achieve two overarching goals: to devote the right
amount of scarce resources to homeland security and to spend these
resources on the right activities." In addition, the Homeland Security
strategy cites the concept that "the federal government will provide an
incentive to minimize costs and reward innovation by permitting maximum
flexibility in meeting those objectives." While the Homeland Security
strategy cites these principles, it still provides relatively few details
on the types and levels of resources associated with implementation. The
Physical Infrastructure strategy also partially addresses this
characteristic by identifying planning and resource allocation as one of
its five objectives-and by stressing the importance of incentives for
private organizations, and market solutions where appropriate. And the
Secure Cyberspace strategy is one of only two strategies (the other being
the Homeland Security strategy) to link some of its investment
requests-such as completing the installation of the Cyber Warning and
Information Network in key government operation centers-to the fiscal 2003
budget. The Money Laundering strategy also briefly discusses the
importance of cost-benefit analysis of asset forfeiture strategies "so
that future programs can allocate resources where they are most needed and
productive." Figure 3 shows spending for combating terrorism by federal
agency.
Figure 3: Budget Authority for Combating Terrorism by Agency for Fiscal
Year 2004 (total budget authority is $52,732 million)
Source: OMB 2003 Report on Combating Terrorism.
Note: "Other Agencies" includes the Departments of Energy ($1,588
million), Agriculture ($368 million), Transportation ($283 million),
Commerce ($153 million), Veterans Affairs ($145 million), Interior ($115
million), Treasury ($90 million), Labor ($67 million), Housing and Urban
Development ($2 million), and 18 other independent agencies (totaling
$2,432 million).
Regarding risk management, the Homeland Security strategy makes explicit
reference to the subject, such as when it says, "The national effort to
enhance homeland security will yield tremendous benefits and entail
substantial financial and other costs." The Physical Infrastructure and
Secure Cyberspace strategies also mention risk management, building on
their aforementioned sections on risk assessment. In the former, for
instance, increased sharing of risk-management expertise between the
public and private sectors is an activity identified under the planning
and resource allocation objective.
On the other hand, three of the strategies-the National Security,
Combating Terrorism, and Weapons of Mass Destruction strategies-do not
explicitly address either resource and investment needs or risk
management. And of those that partially address this characteristic, only
two-the Homeland Security and Physical Infrastructure strategies- provide
explicit guidance or principles concerning resource allocation. Along
those lines, none of the strategies provides cost estimates for
implementation in the aggregate, nor for specific goals, objectives, or
activities. In addition, none of the strategies contains distinct chapters
or sections, or detailed discussions of risk management. In our view, more
guidance on resource, investment, and risk management would help
implementing parties allocate resources and investments according to
priorities and constraints, track costs and performance, and shift such
investments and resources as appropriate. Such guidance would also assist
Congress and the administration in developing more effective federal
programs to stimulate desired investments, enhance preparedness, and
leverage finite resources.
Organizational Roles, Responsibilities, and Coordination
This characteristic addresses which organizations will implement the
strategy, their roles and responsibilities, and mechanisms for
coordinating their efforts. It helps answer the fundamental question about
who is in charge, not only during times of crisis, but also during all
phases of homeland security and combating terrorism efforts: prevention,
vulnerability reduction, and response and recovery. This characteristic
entails identifying the specific federal departments, agencies, or offices
involved and, where appropriate, the different sectors, such as state,
local, private, or international sectors. A strategy would ideally clarify
implementing organizations' relationships in terms of leading, supporting,
and partnering.19 In addition, a strategy could describe the organizations
that will provide the overall framework for accountability and oversight,
such as the National Security Council, Homeland Security Council, OMB,
Congress, or other organizations. Furthermore, a strategy might also
identify specific processes for coordination and collaboration between
sectors and organizations-and address how any conflicts would be resolved.
For example, a strategy might also provide for some mechanism to ensure
that the parties are prepared to fulfill their assigned responsibilities
and use their available resources appropriately to enhance their
capabilities and preparedness.
Six strategies at least partially address this characteristic.
Specifically, two of them-the Homeland Security and Physical
Infrastructure strategies-contain distinct chapters on "organizing," which
discuss roles and responsibilities among the federal, state, local,
private, and
19 By "partnering," we refer to shared, or joint, responsibilities between
implementing parties where there is otherwise no clear or established
hierarchy of lead and support functions.
international sectors.20 Furthermore, those two strategies, plus the
Secure Cyberspace and Money Laundering strategies, frequently designate
lead, and sometimes support, roles by objective, sector, or even specific
activity.21 Regarding accountability and oversight, the Combating
Terrorism strategy identifies the creation of an international standard as
one of its objectives, and the Homeland Security and Physical
Infrastructure strategies highlight the importance of accountability. And
concerning coordination between implementing parties, the Homeland
Security and Money Laundering strategies designate some specific tools or
processes (e.g., steering committee or task force), and the Physical
Infrastructure strategy identifies the need to create collaborative
mechanisms for government-industry planning; it also designates DHS as the
primary liaison and facilitator for cooperation between all relevant
parties.
On the other hand, the National Security strategy does not address this
characteristic at all, and there is room for improvement in the other six
strategies as well. For example, many of the references to U.S. roles and
responsibilities in the National Security and Combating Terrorism
strategies simply designate "the United States," rather than a specific
federal agency, level of government, or sector. Thus those two strategies
do not identify lead, support, and partner roles like the other strategies
do. In addition, none of the strategies defines an overarching
accountability or oversight framework, and five of the strategies do not
identify specific tools or processes for coordination. For example, we
recently recommended that future Money Laundering strategies address,
among other things, strengthening the leadership structure and
establishing a mechanism to resolve disputes among agencies and ensure
accountability for implementation.22 Also, we previously reported that
neither the Physical Infrastructure nor the Secure Cyberspace strategies
adequately define the roles, responsibilities, and relationships among the
key critical infrastructure protection organizations, including state and
local
20 The Homeland Security strategy places many responsibilities on DHS,
which had not been created yet when the strategy was published.
21 The unclassified Weapons of Mass Destruction strategy outlines only a
few specific responsibilities for the Homeland Security Council, National
Security Council, and Department of State. However, its classified version
contains more relevant details, which cannot be addressed in this
unclassified statement.
22 See GAO-03-813.
governments and the private sector.23 The inclusion of these subjects in a
national strategy would be useful to agencies and other stakeholders in
fostering coordination and clarifying specific roles, particularly where
there is overlap, and thus enhancing both implementation and
accountability.
Integration and
Implementation
This characteristic addresses both how a national strategy relates to
other strategies' goals, objectives, and activities-and to subordinate
levels of government and their plans to implement the strategy. For
example, a national strategy could discuss how its scope complements,
expands upon, or overlaps with other national strategies, such as
transportation infrastructure recapitalization or energy reliability.
Similarly, related strategies could highlight their common or shared
goals, subordinate objectives, and activities. In addition, a national
strategy could address its relationship with relevant documents from
implementing organizations, such as the strategic plans, annual
performance plans, or annual performance reports required of federal
agencies by GPRA. A strategy might also discuss, as appropriate, various
strategies and plans produced by the state, local, private, or
international sectors. It could also provide guidance such as the
development of national standards to link together more effectively the
roles, responsibilities, and capabilities of the implementing parties.
Five of the strategies address certain elements of this characteristic.
Specifically, in terms of integration, the Homeland Security strategy
states that it complements the National Security strategy in providing a
framework for other security-related strategies and, in this vein, lays
out goals, objectives, and mission areas that are shared with other
strategies. The Combating Terrorism, Weapons of Mass Destruction, and
Secure Cyberspace strategies also address integration by discussing the
importance of other strategies and their complementary relationships. The
Homeland Security and Physical Infrastructure strategies also provide some
language on this subject, such as the latter's statement that DHS will
collaborate with state and local governments as well as other federal
agencies and the private sector to implement structures and processes for
protecting assets and infrastructure. Regarding implementation, the
Homeland Security strategy contains a distinct section on the subject,
acknowledging that executive branch agencies need to issue detailed plans
23 See GAO-03-1165T.
for the strategy's initiatives. And the Money Laundering strategy, for
many of its activities, lists specific "action items" for agencies to
implement. Two other strategies-the Physical Infrastructure and Secure
Cyberspace strategies-make some general references to implementation. For
example, the former says that "DHS and designated federal lead departments
and agencies will prepare detailed implementation plans to support the
activities outlined."
However, one of the strategies we reviewed-the National Security
strategy-does not address this characteristic. It does not define its
relationship to the other strategies; nor does it (along with the
Combating Terrorism, Weapons of Mass Destruction, Secure Cyberspace, and
Money Laundering strategies) address their relationship with other plans
by federal, state, local, and other implementing parties. Furthermore,
three strategies-the National Security, Combating Terrorism, and Weapons
of Mass Destruction strategies-do not explicitly address implementation,
and none of the strategies provides detailed guidance on the subject. We
believe more information on this characteristic in a national strategy
would build on the aforementioned organizational roles and
responsibilities-and thus further clarify the relationships between
various implementing parties, both vertically and horizontally. This, in
turn, would foster effective implementation and accountability.
The seven national strategies addressing homeland security and combating
terrorism that we discuss in this testimony were developed to help the
United States respond to an array of potential threats brought sharply
into focus after the terrorist attacks of September 11, 2001. We recognize
that these strategies were issued to meet a variety of homeland security
needs and, furthermore, that they were not required, for the most part, to
address the characteristics that we consider to be desirable. In addition,
we do not expect all of the strategies to provide the same degree of
detail because of their different scopes; for example, we consider it
appropriate for the National Security strategy to contain fewer specifics
than the Physical Infrastructure or Money Laundering strategies.
Nonetheless, in our view, it would be useful for all of the strategies to
address each of the characteristics, which logically flow from conception
to implementation, in order to provide guidance to the federal agencies
and other parties responsible for achieving results, evaluating progress,
and ensuring accountability. Even where the strategies address our
characteristics, we have identified potential areas for improvement. The
numerous examples that I have cited today of the characteristics'
inclusion in the national
Concluding Observations
strategies may serve as a model for future versions of these and other
strategies.
The ultimate value of these strategies will be determined through time as
the strategies are implemented by the federal, state, local, private, and
international sectors-and as homeland security actions are embedded or
integrated into ongoing governmental and private sector missions in
sustainable and balanced ways. To achieve these goals, it will continue to
be important to solicit the feedback and input from all responsible
parties-legislative, federal, state, local, private, and international-and
to incorporate this information to better achieve the parties' shared
goals of improved homeland security and national preparedness. We will
continue our work for the Subcommittee to evaluate these national
strategies and their implementation. In the coming weeks, we look forward
to reporting on (1) the extent that these strategies address
recommendations by national commissions and GAO, (2) the extent to which
implementing agencies are incorporating the national strategies into their
own plans, and (3) the challenges faced in implementing these national
strategies.
Mr. Chairman, this concludes my prepared statement. I will be pleased to
respond to any questions that you or other members of the Subcommittee may
have.
GAO Contact and Staff Acknowledgments
GAO Contact Randall Yim at (202) 512-6787
GAO Individuals making key contributions to this statement include Stephen
L. Caldwell, Sharon Caudle, Josey Ballenger, Heather MacLeod, Jared
Acknowledgments Hermalin, Wayne A. Ekblad, Amy Bernstein, and Christine
Davis.
Appendix I: Scope and Methodology
Developing Desirable Characteristics for a National Strategy
This appendix describes how we developed the characteristics that we
consider to be desirable for a national strategy and how we used them to
evaluate the national strategies related to combating terrorism and
homeland security.
There are no legislative or executive mandates identifying a uniform set
of required or desirable characteristics for all national strategies,
including those related to combating terrorism and homeland security.
While two of the seven strategies we reviewed-the National Security and
Money Laundering strategies-are required by statutes to include specific
content elements, the requirements set forth in these two statutes, in
addition to being different from one another, do not levy any requirements
on the five other national strategies we reviewed.
Given that there is no established set of requirements for all national
strategies-or even the seven related specifically to combating terrorism
and homeland security-we identified a set of desirable characteristics by
reviewing several sources of information. First, we gathered statutory
requirements pertaining to some of the strategies we were asked to
assess-namely, the Money Laundering and National Security strategies, as
mentioned earlier-as well as legislative and executive branch guidance for
other strategies, such as the National Drug Control Strategy. We also
consulted the Government Performance and Results Act (GPRA) of 1993;
general literature on strategic planning and performance;1 and guidance
from the Office of Management and Budget (OMB) on the President's
Management Agenda. In addition, we studied our past reports and
testimonies for findings and recommendations pertaining to desirable
elements of a national strategy. Similarly, we researched recommendations
by national commissions chartered by Congress in recent years on combating
terrorism and protecting the homeland- namely, the Bremer, Gilmore, and
Hart-Rudman Commissions--and various research organizations that have
commented on national strategies, such as the ANSER Institute on Homeland
Security, RAND Corporation, and Brookings Institution.
1 Examples of such literature include John M. Bryson's book Strategic
Planning for Public and Nonprofit Organizations: A Guide to Strengthening
and Sustaining Organizational Achievement (Jossey-Bass, 1995) and Edward
Filiberti's article, National Strategic Guidance: Do We Need a Standard
Format? (Parameters, U.S. Army War College, Autumn 1995).
Simultaneously, we consulted widely within GAO to incorporate the most
up-to-date thinking on strategic planning, integration across and between
government and its partners, implementation, and other related subjects.
This included consulting our economists and methodologists to include
cost-benefit analysis and other economic factors. Furthermore, we
consulted outside experts from the Bremer and Hart-Rudman Commissions.
We used our judgment to develop desirable characteristics based on their
underlying support in legislative or executive guidance and the frequency
with which they were cited in other sources. We then grouped similar items
together in a logical sequence, from conception to implementation. This is
our first effort to develop desirable characteristics for an effective
national strategy, so they may evolve over time. The desirable
characteristics are:
o Purpose, scope, and methodology.
o Problem definition and risk assessment.
o Goals, subordinate objectives, activities, and performance measures.
o Resources, investments, and risk management.
o Organizational roles, responsibilities, and coordination.
o Integration and implementation.
Later in this appendix, we provide a more detailed description of the six
characteristics, plus examples of elements that a strategy might include
to address them. We believe a national strategy should ideally contain all
of these characteristics. Although the authors of national strategies
might organize them in a variety of ways and/or use different terms, we
present the characteristics in this order as a logical flow from
conception to implementation. Specifically, the strategy's purpose leads
to the definition of the problems and risks it intends to address, which
in turn leads to specific actions for tackling those problems and risks,
allocating and managing the appropriate resources, identifying different
organizations' roles responsibilities and, finally, to integrating action
among all relevant parties and implementing the strategy.
One challenge we encountered in identifying and applying these
characteristics was determining the appropriate level of specificity a
national strategy might contain. We found that there was no consensus on
this issue among the sources and experts we consulted. Furthermore, the
strategies we reviewed vary in their scope of coverage-some are broad
strategies, while others focus on implementation-and thus their level of
detail varies.2 We recognize that by their nature, national strategies are
intended to provide broad direction and guidance-rather than be
prescriptive, detailed mandates-to the relevant implementing parties. Thus
it is unrealistic to expect all of the national strategies to provide
details on each and every key characteristic we identified. Nonetheless,
we believe the more detail a strategy provides, the easier it is for the
responsible parties to implement it and achieve its goals. Table 4
provides the desirable characteristics and examples of their elements.
Table 4: GAO Desirable Characteristics for a National Strategy
Desirable Characteristic Brief description Examples of elements
Purpose, scope, Addresses why the o Statement of broad or narrow
and strategy was purpose, as appropriate.
produced, the scope How it compares and contrasts
of its coverage, and with other national
methodology the process by which o o strategies. What major
it was developed. functions, mission areas, or
activities it covers.
o Principles or theories that
guided its development.
Impetus for strategy, e.g.
o statutory requirement or
event.
o Process to produce strategy,
e.g. interagency task force;
state, local, or private
input.
o Definition of key terms.
Problem definition Addresses the o Discussion or definition of
and risk particular national problems, their causes, and
problems and
assessment threats the operating environment.
strategy
is directed o Risk assessment, including an
towards. analysis of threats and
vulnerabilities.
o Quality of data available, e.g.
constraints, deficiencies, and
"unknowns."
Goals, subordinate objectives, activities, and performance measures
Addresses what the strategy is trying to achieve, steps to achieve those
results, as well as the priorities, milestones, and performance measures
to gauge results. o Overall results desired, i.e. "end-state."
o Hierarchy of strategic goals and subordinate objectives.
o Specific activities to achieve results.
o Priorities, milestones, and outcome-related performance measures.
o Specific performance measures.
o Process for monitoring and reporting on progress.
o Limitations on progress indicators.
2 For example, the strategies range from the high-level, "grand" strategy
(e.g., the National Security strategy) to the mid-level strategies
specific to terrorism (e.g., the Homeland Security and Combating Terrorism
strategies) and, finally, to the more detailed, sector- or
function-specific strategies geared towards implementation (e.g., the
Secure Cyberspace, and Money Laundering strategies).
Desirable Characteristic Brief description Examples of elements
Resources, investments, and risk Addresses what the strategy will o
Resources and investments associated with the strategy. management cost,
the sources and types of o Types of resources required, such as
budgetary, human
resources and investments needed, and where resources and investments
should be targeted by balancing risk reductions and costs.
capital, information technology, research and development, contracts.
o Sources of resources, e.g., federal, state, local, and private.
o Economic principles, such as balancing benefits and costs.
o Resource allocation mechanisms, such as grants, in-kind services,
loans, or user fees.
o "Tools of government," e.g., mandates or incentives to spur action.
o Importance of fiscal discipline.
o Linkage to other resource documents, e.g. federal budget.
o Risk management principles.
Organizational roles, Addresses who will be o Roles and responsibilities
of specific federal agencies, responsibilities, and coordination
implementing the strategy, what departments, or offices. their roles will
be compared to o Roles and responsibilities of state, local, private,
and others, and mechanisms for them international sectors.
to coordinate their efforts.
o Lead, support, and partner roles and responsibilities.
o Accountability and oversight framework.
o Potential changes to current organizational structure.
o Specific processes for coordination and collaboration.
o How conflicts will be resolved.
Integration and implementation Addresses how a national strategy relates
to other strategies' goals, objectives and activities - and to subordinate
levels of government and their plans to implement the strategy.
o Integration with other national strategies (horizontal).
o Integration with relevant documents from implementing organizations
(vertical).
o Details on specific federal, state, local, or private strategies and
plans.
o Implementation guidance.
o Details on subordinate strategies and plans for implementation, e.g.,
human capital, and enterprise architecture.
Source: GAO.
The following sections provide more detail on the six characteristics and
our support of each of them.
Purpose, Scope, and This characteristic addresses why the strategy was
produced, the scope of
Methodology its coverage, and the process by which it was developed. For
example, a strategy might discuss the specific impetus that led to its
being written (or updated), such as statutory requirements, executive
mandates, or other events like terrorist attacks. Furthermore, a strategy
would enhance clarity by including definitions of key, relevant terms
(such as "homeland security" and "combating terrorism," in this context).
In addition to
describing what it is meant to do and the major functions, mission areas,
or activities it covers, a national strategy would ideally address its
methodology. For example, a strategy might discuss the principles or
theories that guided its development, what organizations or offices
drafted the document, whether it was the result of a working group, or
which parties were consulted in its development.
We found support for this characteristic in legislation mandating two of
the seven national strategies as well as by related legislation, executive
orders, and GAO and policy research organization publications. For
example, provisions relating to "purpose, scope, and methodology" appear
in the statutes mandating the National Security3 and Money Laundering
strategies4 (e.g., the statute requiring the Money Laundering strategy
sets forth 12 areas that the strategy shall address.) Other legislative
and executive branch guidance justifying the inclusion of this
characteristic in our typology include: statutory requirements and related
government publications describing the required purpose, scope, and
methodology for the National Drug Control Strategy; 5 GPRA legislation
calling for a comprehensive mission statement in agency strategic plans;6
and an executive order determining the purpose and scope of a national
council/strategy on information infrastructure.7 In addition, at least two
of our testimonies have directly addressed the relevant purpose and scope
issues to be included within a homeland security strategy (e.g., the
strategy is to be "national" in scope; its purpose is to include setting
overall priorities and goals for homeland security). 8 But, we also
pointed out in a 2002 testimony, that based upon interviews with officials
at a dozen federal agencies, a broadly accepted definition of homeland
security does not exist and that further clarification is needed.9 The
Gilmore
3 50 U.S.C. 404a.
4 31 U.S.C. 5341.
5 See Section 1005 of the Anti-Drug Abuse Act of 1988, P.L. 100-690 (Nov.
18, 1988).
6 See P.L. 103-62, sec. 3 (Aug. 3, 1993).
7 Executive Order 12864 (Sept. 15, 1993).
8 See U.S. General Accounting Office, Homeland Security: Key Elements to
Unify Efforts Are Underway but Uncertainty Remains, GAO-02-610
(Washington, D.C.: June, 2002), p. 9; and Homeland Security: Proposal for
Cabinet Agency Has Merit, But Implementation Will be Pivotal to Success,
GAO-02-886T (Washington, D.C.: June 25, 2002), p. 4.
9 See U.S. General Accounting Office, Homeland Security: Progress Made;
More Direction and Partnership Sought, GAO-02-490T (Washington, D.C.: Mar.
12, 2002), p. 9.
Commission and ANSER Institute for Homeland Security have also addressed
aspects of "purpose, scope, and methodology" issues that need to be
addressed in a national strategy (e.g., the Gilmore Commission indicates
that the strategy should be functionally comprehensive and address the
full spectrum of the nation's efforts against terrorism).10
Problem Definition and Risk Assessment
This characteristic addresses the particular national problems and threats
the strategy is directed towards. Specifically, this means a detailed
discussion or definition of the problems the strategy intends to address,
their causes, and operating environment. In addition, this characteristic
entails a risk assessment, including an analysis of the threats to, and
vulnerabilities of, critical assets and operations.11 If the details of
these analyses are classified or preliminary, an unclassified version of
the strategy could at least include a broad description of the analyses
and stress the importance of risk assessment to implementing parties. A
discussion of the quality of data available regarding this characteristic,
such as known constraints or deficiencies, would also be useful.
Again, we found support for this characteristic in a variety of sources.
While we have not identified any legislation that requires use of this
characteristic in the national strategies on combating terrorism and
homeland security that we reviewed, the importance of this characteristic
is supported by the Homeland Security Act of 2002, as well as other
legislation, presidential directives, and GAO and policy research
organization publications. For example, the Homeland Security Act of 2002
directs the Department of Homeland Security (DHS) to conduct comprehensive
assessments of vulnerabilities, including risk
10 Second Annual Report to The President and The Congress Of the Advisory
Panel to Assess Domestic Response Capabilities for Terrorism Involving
Weapons of Mass Destruction (aka Gilmore Commission), II. Toward A
National Strategy For Combating Terrorism (Dec. 15, 2000), p. 4; Ruth
David, Homeland Security: Building A National Strategy, The Bridge, 32, 1
(Spring, 2002), p. 2.
11 This risk assessment is the first phase of a two-part risk management
process. Risk assessment includes a threat assessment, a vulnerability
assessment, and a "criticality" analysis. For a more in-depth discussion
of these subjects, see Homeland Security: Key Elements of a Risk
Management Approach, GAO-02-150T (Washington, D.C.: Oct.12, 2002). The
second aspect of risk management is discussed in the "Resources,
Investments and Risk Management" characteristics. It consists of taking
the information from the risk assessment and making management decisions
about resource allocations to minimize risks and maximize returns on
resources expended.
assessments;12 GPRA requires the identification of key factors external to
an agency that can significantly impact that agency's attainment of its
goals and objectives; 13 Homeland Security Presidential Directive (HSPD)
7, which addresses critical infrastructure protection, contains a
background section that defines problem areas, and assesses the national
risk potential if such problem areas are not effectively addressed.
Likewise, an earlier critical infrastructure directive, Presidential
Decision Directive (PDD) 63 defines the growing concern about the nation's
vulnerability.14 Additionally, we testified in 2002 that use of common
definitions promotes more effective intergovernmental operations and more
accurate monitoring of expenditures, thereby eliminating problematic
concerns.15 We also said that a national homeland security strategy should
be based on a comprehensive national threat and risk assessment.16 The
Gilmore Commission, ANSER, and RAND have all suggested the need to conduct
threat assessments to the homeland.17
Goals, Subordinate Objectives, Activities, and Performance Measures
This characteristic addresses what the national strategy strives to
achieve and the steps needed to garner those results, as well as the
priorities, milestones, and performance measures to gauge results. At the
highest level, this could be a description of an ideal "end-state,"
followed by a logical hierarchy of major goals, subordinate objectives,
and specific activities to achieve results. In addition, it would be
helpful if the strategy discussed the importance of implementing parties'
efforts to establish priorities, milestones, and performance measures
which help ensure
12 P.L. 107-296, sec. 201(d)(2).
13 P.L. 103-62, sec. 3.
14 See Homeland Security Presidential Directive/HSPD-7, Critical
Infrastructure Identification, Prioritization and Protection, Dec. 17,
2003, and Presidential Decision Direction/NSC-63, Critical Infrastructure
Protection, May 22, 1998. HSPD-7 states that it supersedes PDD/NS C-63 to
the extent of any inconsistency.
15 See GAO-02-490T.
16 See U.S. General Accounting Office, Homeland Security: A Framework for
Addressing the Nation's Efforts, GAO-01-1158T (Washington, D.C.: September
21, 2001), p. 1.
17 First Annual Report to The President and The Congress Of the Advisory
Panel To Assess Domestic Response Capabilities For Terrorism Involving
Weapons Of Mass Destruction (aka Gilmore Commission), I. Assessing the
Threat (December 15, 1999), p. 55; Ruth David, Homeland Security: Building
a National Strategy, The Bridge, 32, 1 (Spring, 2002), p. 4; Bruce
Hoffman, Combating Terrorism: In Search of a National Strategy RAND
Corporation, CT-175, March 2001, pp. 3,6-7.
accountability. Ideally, a national strategy would set clear desired
results and priorities, specific milestones, and outcome-related
performance measures while giving implementing parties flexibility to
pursue and achieve those results within a reasonable timeframe. If
significant limitations on performance measures exist, other parts of the
strategy might address plans to obtain better data or measurements, such
as national standards or indicators of preparedness.18 For example,
national strategies related to terrorism might discuss the lack of
national indicators or standards for emergency preparedness against
attacks.
As in the case of the first characteristic, we found support for this
characteristic in legislation mandating the Money Laundering and National
Security strategies, as well as support derived from related legislation,
presidential directive, the President's Management Agenda, and GAO and
policy research organization publications. Both the National Security
strategy and the Money Laundering strategy statutes emphasize the need for
goals and objectives, as well as operational initiatives to promote those
goals and objectives. There is also related legislative and executive
supporting guidance for this characteristic in the following: the National
Drug Control Strategy legislation, which requires a complete list of
goals, objectives, and priorities;19 the Homeland Security Act of 2002,
which requires DHS to develop, in connection with a national terrorism
countermeasures strategy, comprehensive, research-based definable goals
and annual measurable objectives and specific targets to accomplish and
evaluate such goals;20 GPRA, which requires federal agencies to set goals
and objectives in their strategic plans;21 PDD 63, which includes a
statement of presidential intent and national goals; 22 and the
President's Management Agenda of FY2002,23 which describes OMB's work
regarding program objectives. Additionally, we testified that a national
strategy
18 For more information on the importance of national indicators for
measuring problems, see U.S. General Accounting Office, Forum on Key
National Indicators: Assessing the Nation's Position and Progress
(GAO-03-672SP, May 2003).
19 See Section 1005 of the Anti-Drug Abuse Act of 1988, P.L. 100-690 (Nov.
18, 1988).
20 See P.L. 107-296, sec. 302(2).
21 See P.L. 103-62, sec. 3.
22 See Presidential Decision Directive 63, Critical Infrastructure
Protection, May 22, 1998.
23 Office of Management & Budget, The President's Management Agenda,
Fiscal Year 2002, p. 29
should establish goals, objectives, and performance measures.24 The
Gilmore Commission, Brookings Institution and ANSER Institute for Homeland
Security also commented on the need for setting priorities (goals),
measurable outcomes and assessment of activities toward these ends.
Resources, Investments, and Risk Management
This characteristic addresses what the strategy will cost, the sources and
types of resources and investments needed, and where those resources and
investments should be targeted. Ideally, a strategy would also identify
appropriate mechanisms to allocate resources, such as grants, in-kind
services, loans, and user fees, based on identified needs. Alternatively,
a strategy might identify appropriate "tools of government," such as
regulations, tax incentives, and standards, to mandate or stimulate
nonfederal organizations to use their unique resources. Furthermore, a
national strategy might elaborate on the risk assessment mentioned earlier
and give guidance to implementing parties to manage their resources and
investments accordingly-and begin to address the difficult but critical
issues about who pays, and how such efforts will be funded and sustained
in the future. Furthermore, a strategy might include a discussion of the
type of resources required, such as budgetary, human capital, information,
information technology (IT), research and development (R&D), procurement
of equipment, or contract services. A national strategy might also discuss
linkages to other resource documents, such as federal agency budgets or
human capital, IT, R&D, and acquisition strategies. Finally, a national
strategy might also discuss in greater detail how risk management will aid
implementing parties in prioritizing and allocating resources, including
how this approach will create society-wide benefits and balance these with
society-wide costs. Related to this, a national strategy might discuss the
economic principle of risk-adjusted return on resources.
In similar fashion, we found support for this characteristic in
legislation mandating the Money Laundering and National Security
strategies. Additionally, this characteristic receives related legislative
and executive support, and is further supported by GAO and research policy
organization publications. The Money Laundering strategy legislation
requires a 3-year projection for program and budget priorities and a
"complete assessment"
24 See U.S. General Accounting Office, Combating Terrorism:
Intergovernmental Partnership in a National Strategy to Enhance State and
Local Preparedness, GAO-02547T (Washington, D.C.: March 22, 2002), p. 3,
and GAO-03-519T, p. 17.
of how the proposed budget is intended to satisfy strategy
implementation.25 The National Security strategy legislation requires an
evaluation of whether the nation's "capabilities" (political, economic,
and military) are adequate to support the implementation process.26
Related legislative and executive branch supporting guidance for this
characteristic derives from: the budget and resource balance provisions of
the National Drug Control Strategy; HSPD-8 provisions targeting resource
priorities against perceived risk of attack;27 and the integration of
performance monitoring and budgetary decision-making in the President's
Management Agenda of Fiscal Year 2002.28 GAO has also discussed the
importance of this characteristic in recent testimonies, suggesting that
the executive branch should link resources to threats, using a risk
management approach and that carefully constructed investment strategies
are needed to make appropriate use of limited fiscal and human resources.
29 The Hart-Rudman Commission and the Gilmore Commission have similarly
discussed the need for a homeland security strategy to be appropriately
resourced;30 ANSER likewise has indicated the need for a
25 31 U.S.C. 5341(b)(6), (7).
26 50 U.S.C. 404a(b)(3), (4).
27 Homeland Security Presidential Directive/HSPD-8, National Preparedness,
sec. (6), Dec. 17, 2003.
28 Office of Management & Budget, The President's Management Agenda,
Fiscal Year 2002, p. 29.
29 See U.S. General Accounting Office, National Preparedness: Integration
of Federal, State, Local, and Private Sector Efforts is Critical to an
Effective National Strategy for Homeland Security, GAO-02-621T
(Washington, D.C.: April 11, 2002), p. 3; and GAO-03-519T, pp. 7-8.
30 The U.S. Commission on National Security/21st Century (aka The
Hart-Rudman Commission), Seeking A National Strategy: A Concert for
Preserving Security and Promoting Freedom: Phase II Report (Ap. 15, 2000),
p. 16; Second Annual Report to The President and The Congress Of the
Advisory Panel to Assess Domestic Response Capabilities For Terrorism
Involving Weapons Of Mass Destruction (aka Gilmore Commission), II. Toward
A National Strategy For Combating Terrorism (Dec. 15, 2000), pp. iv, 5;
Fourth Annual Report to the President and the Congress of the Advisory
Panel to Assess Domestic Response Capabilities for Terrorism Involving
Weapons of Mass Destruction (aka Gilmore Commission), IV. Implementing the
National Strategy (Dec.15, 2002), p. 37.
strategy to be supported by a comprehensive budget plan that aligns
resources with national priorities.31
Organizational Roles, Responsibilities, and Coordination
This characteristic addresses what organizations will implement the
strategy, their roles and responsibilities, and mechanisms for
coordinating their efforts. It helps to answer the fundamental question
about who is in charge, not only during times of crisis, but also during
all phases of homeland security efforts: prevention, vulnerability
reduction, and response and recovery. This characteristic entails
identifying the specific federal departments, agencies, or offices
involved and, where appropriate, the different sectors, such as state,
local, private, or international sectors. A strategy would ideally clarify
implementing organizations' relationships in terms of leading, supporting,
and partnering.32 In addition, a strategy should describe the
organizations that will provide the overall framework for accountability
and oversight, such as the Homeland Security Council, OMB, Congress, or
other organizations. Furthermore, a strategy might also identify specific
processes for coordination and collaboration between sectors and
organizations-and address how any conflicts would be resolved.
We found support for this characteristic in the Money Laundering strategy
legislation, which provides that the strategy must address the
coordination of regulatory and enforcement efforts; the enhancement of
cooperation between federal, state, and local officials, as well as
private sector entities; and the improvement of communications systems.33
This characteristic also enjoys broad support from related legislation,
executive orders, presidential directives, and recent GAO and policy
research organization publications. For example, the Homeland Security Act
of 2002 charges DHS with various functions, including coordination with
nonfederal entities and promotion of public-private partnerships, among
31 Ruth David, Homeland Security: Building a National Strategy, The
Bridge, 32, 1
2002), pp. 4-5.
32 By "partnering," we refer to shared, or joint, responsibilities among
implementing parties where there is otherwise no clear or established
hierarchy of lead and support functions.
33 31 U.S.C. 5341(b)(2), (4), (5) and (11).
other things.34 In addition, the statute mandating the National Drug
Control Strategy calls for cooperative efforts between federal, state, and
local governments and private sector initiatives.35 Furthermore, HSPD-6,
HSPD-7, PPD 63, and National Security Decision Directive (NSDD) 207 each
seek to delineate the roles and responsibilities of various federal
agencies and department heads; and Executive Order 13228 and HSPD-1 seek
to coordinate implementation of the national strategy.36 In addition, we
emphasized that a national strategy should define the roles of federal,
state, and local governments as well as the private sector, and that a
national strategy needs to provide both direction and guidance to
governments and the private sector so that missions and contributions can
be more appropriately coordinated.37 The Gilmore Commission, ANSER, and
the Brookings Institution have also discussed the need for clearly
assigning roles, responsibilities, accountability, liaison, and
coordination among intergovernmental agencies, multilateral institutions,
and international organizations.38
Integration and This characteristic addresses both how a national strategy
relates to other
Implementation strategies' goals, objectives, and activities (horizontal
integration)-and to subordinate levels of government and other
organizations and their plans to implement the strategy (vertical
integration). For example, a national strategy could discuss how its scope
complements, expands upon, or
34 See P.L. 107-296, sec. 102(c), (f).
35 Anti-Drug Abuse Act of 1988, P.L. 100-690, sec. 1005(b)(2).
36 See generally Homeland Security Presidential Directive/HSPD-6,
Integration and Use of Screening Information, Sept. 16, 2003; Homeland
Security Presidential Directive/HSPD-7, Critical Infrastructure
Identification, Prioritization, and Protection, Dec. 17, 2003;
Presidential Decision Directive/NSC-63, Critical Infrastructure
Protection, May 22, 1998; National Security Decision Directive/NSDD-207,
The National Program for Combating Terrorism, Jan. 20, 1986; Executive
Order 13228, Establishing the Office of Homeland Security and the Homeland
Security Council, Oct. 8, 2001; and Homeland Security Presidential
Directive/HSPD-1, Organization and Operation of the Homeland Security
Council, Oct. 29, 2001.
37 See GAO-03-519T, pp. 15-16; and GAO-02-621T, p. 3.
38 First Annual Report to The President and The Congress of the Advisory
Panel To Assess Domestic Response Capabilities For Terrorism Involving
Weapons of Mass Destruction (aka Gilmore Commission), I: Assessing the
Threat (December 15, 1999), pp. x-xi; Ruth David, Homeland Security:
Building a National Strategy, The Bridge, 32,1 (Spring, 2002),
p. 5; Michael E. O'Hanlon et al., Protecting the American Homeland: One
Year On, Brookings Institution, 2003, p. xxv.
overlaps with other national strategies. Similarly, related strategies
could highlight their common or shared goals, subordinate objectives, and
activities. In addition, a national strategy could address its
relationship with relevant documents from implementing organizations, such
as the strategic plans, annual performance plans, or annual performance
reports GPRA requires of federal agencies. A strategy might also discuss,
as appropriate, various strategies and plans produced by the state, local,
private or international sectors. A strategy could also provide guidance
such as the development of national standards to link together more
effectively the roles, responsibilities, and capabilities of the
implementing parties.
We found support for this characteristic in the Money Laundering strategy
legislation, which requires the strategy to address how to enhance
intergovernmental cooperation and the flow of information between federal,
state, and local governments; the coordination of regulatory and
enforcement efforts; and the role of the private sector in a more
integrated approach.39 Related legislative and executive support derives
from the National Drug Control Strategy legislation, presidential
directive and executive order. The National Drug Control Strategy
statutory requirements call for improving the timely flow of information
to federal agencies by enhancing the compatibility of automated
information and communication systems.40 In addition, HSPD-7 addresses
coordination and integration,41 and Executive Order 13228 states that
executive departments and agencies shall, to the extent permitted by law,
make available to the Homeland Security Council all necessary information
relating to terrorist threats and activities within the United States.42
We indicated that the national strategy would benefit from addressing how
intergovernmental and private sector initiatives can be operationally
coordinated and integrated and, specifically, that an "overarching,
integrated framework" can help deal with issues of potential duplication,
overlap and conflict.43 Similarly, the Gilmore Commission defined a "New
Normalcy" of vertical
39 31 U.S.C. 5341(b)(4), (5), and (11).
40 Anti-Drug Abuse Act of 1988, P.L. 100-690, sec. 1005(b)(6).
41 See Homeland Security Presidential Directive/HSPD-7, Critical
Infrastructure Identification, Prioritization, and Protection, Dec. 17,
2003.
42 Executive Order 13228, Establishing the Office of Homeland Security and
the Homeland Security Council, sec. 3(b)(ii), Oct. 8, 2001.
43 See GAO-02-1122T, p. 12; and GAO-03-260, p. 38.
Applying the Desirable Characteristics to the National Strategies
and horizontal information and intelligence sharing and ANSER has called
for federal program integration where possible.44
After developing the characteristics, we reviewed the content of each
national strategy to determine the extent to which it satisfied each of
the six desirable characteristics. We did this by first summarizing the
structure of each strategy in terms of its overall goals, subordinate
objectives, and specific initiatives. Next, we carefully read through each
strategy to apply our characteristics and recorded our results on
individual matrixes so we could compare characteristics across the
strategies. Finally, we summarized our results on a matrix "snapshot,"
using our judgment to rate each national strategy on each characteristic.
Strategies could obtain one of three potential scores: "addresses,"
"partially addresses" or "does not address." Per our methodology, a
strategy "addresses," a characteristic when it explicitly cites all
elements of a characteristic, even if it lacks specificity and details and
thus could be improved upon. A strategy "partially addresses" a
characteristic when it explicitly cites some, but not all elements of a
characteristic. Within our designation of "partially addresses" there is a
wide variation between a strategy that addresses most of the elements of a
characteristic and a strategy that addresses few of the elements of a
characteristic. A strategy "does not address" a characteristic when it
does not explicitly cite or discuss any elements of a characteristic,
and/or any implicit references are either too vague or general.
To verify our work, the members of the project team independently reviewed
the matrix summaries at every stage and made adjustments accordingly.
Specifically, the project team verified that examples of where
44 Fifth Annual Report to The President and The Congress of the Advisory
Panel To Assess Domestic Response Capabilities For Terrorism Involving
Weapons of Mass Destruction (aka Gilmore Commission), V: Forging America's
New Normalcy, December, 15, 2003, pp. i, iv; David McIntyre, the National
Strategy for Homeland Security: Finding the Path Among the Trees, The
ANSER Institute for Homeland Security, 2002, p. 7.
strategies "address" or "partially address" characteristics were valid
and, furthermore, that we properly characterized the strategies as not
addressing the characteristics. In addition, we asked other internal teams
who are familiar with the strategies from past reports and testimonies to
verify our summary analysis.
GAO Related Products
Management (including Intergovernmental Coordination, Fiscal & Strategic
Planning)
Terrorist Financing: U.S. Agencies Should More Systematically Assess the
Use of Alternative Financing Mechanisms. GAO-04-163. Washington, D.C.:
November 14, 2003.
Combating Money Laundering: Opportunities Exist to Improve the National
Strategy. GAO-03-813. Washington, D.C.: September 26, 2003.
Combating Terrorism: Interagency Framework and Agency Programs to Address
Overseas Threat. GAO-03-165. Washington, D.C.: May 23, 2003.
Combating Terrorism: Observations on National Strategies Related to
Terrorism. GAO-03-519T. Washington, D.C.: March 3, 2003.
Major Management Challenges and Program Risks: Department of Homeland
Security. GAO-03-102. Washington, D.C.: January 1, 2003.
Homeland Security: Management Challenges Facing Federal Leadership.
GAO-03-260. Washington, D.C.: December 20, 2002.
Homeland Security: Information Technology Funding and Associated
Management Issues. GAO-03-250. Washington, D.C.: December 13, 2002.
Combating Terrorism: Funding Data Reported to Congress Should Be Improved.
GAO-03-170. Washington, D.C.: November 26, 2002.
Homeland Security: Effective Intergovernmental Coordination is Key to
Success. GAO-02-1013T. Washington, D.C.: August 23, 2002.
Homeland Security: Critical Design and Implementation Issues. GAO-02-957T.
Washington, D.C.: July 17, 2002.
Homeland Security: Proposal for Cabinet Agency has Merit, But
Implementation Will be Pivotal to Success. GAO-02-886T. Washington, D.C.:
June 25, 2002.
Homeland Security: Key Elements to Unify Efforts Are Underway but
Uncertainty Remains. GAO-02-610. Washington, D.C.: June 7, 2002.
Homeland Security: Responsibility and Accountability for Achieving
National Goals. GAO-02-627T. Washington, D.C.: April 11, 2002.
Homeland Security: Challenges and Strategies in Addressing Short-and
Long-Term National Needs. GAO-02-160T. Washington, D.C.: November 7, 2001.
Homeland Security: A Risk Management Approach Can Guide Preparedness
Efforts. GAO-02-208T. Washington, D.C.: October 31, 2001.
Homeland Security: A Framework for Addressing the Nation's Issues.
GAO-01-1158T. Washington, D.C.: September 21, 2001.
Combating Terrorism: Selected Challenges and Related Recommendations.
GAO-01-822. Washington, D.C.: September 20, 2001.
Combating Terrorism: Linking Threats to Strategies and Resources.
GAO/T-NSIAD-00-218. Washington, D.C.: July 26, 2000.
Combating Terrorism: How Five Countries Are Organized to Combat Terrorism.
GAO/NSIAD-00-85. Washington, D.C.: April 7, 2000.
Emergency Preparedness and Response
Bioterrorism: A Threat to Agriculture and the Food Supply. GAO-04-259T.
Washington, D.C.: November 19, 2003.
Homeland Security: Challenges in Achieving Interoperable Communications
for First Responders. GAO-04-231T. Washington, D.C.: November 6, 2003.
September 11: Overview of Federal Disaster to the New York City Area.
GAO-04-72. Washington, D.C.: October 31, 2003.
Homeland Security: Reforming Federal Grants to Better Meet Outstanding
Needs. GAO-03-1146T. Washington, D.C.: September 3, 2003.
Hospital Preparedness: Most Urban Hospitals Have Emergency Plans but Lack
Certain Capacities for Bioterrorism Response. GAO-03-924. Washington,
D.C.: August 6, 2003.
Bioterrorism: Information Technology Strategy Could Strengthen Federal
Agencies' Abilities to Respond to Public Health Emergencies. GAO-03-139.
Washington, D.C.: May 30, 2003.
Bioterrorism: Adequacy of Preparedness Varies Across State and local
Jurisdictions. GAO-03-373. Washington, D.C.: April 7, 2003.
Homeland Security: Intergovernmental Coordination and Partnerships Will Be
Critical to Success. GAO-02-899T. Washington, D.C.: July 1, 2002.
National Preparedness: Integration of Federal, State, Local, and Private
Sector Efforts is Critical to an Effective National Strategy for Homeland
Security. GAO-02-621T. Washington, D.C.: April 11, 2002.
Combating Terrorism: Enhancing Partnerships Through a National
Preparedness Strategy. GAO-02-549T. Washington, D.C.: March 28, 2002.
Combating Terrorism: Critical Components of a National Strategy to Enhance
State and Local Preparedness. GAO-02-548T. Washington, D.C.: March 25,
2002.
Combating Terrorism: Intergovernmental Partnership in a National Strategy
to Enhance State and Local Preparedness. GAO-02-547T. Washington, D.C.:
March 22, 2002.
Homeland Security: Progress Made; More Direction and Partnership Sought.
GAO-02-490T. Washington, D.C.: March 12, 2002.
Combating Terrorism: Key Aspects of a National Strategy to Enhance State
and Local Preparedness. GAO-02-473T. Washington, D.C.: March 1, 2002.
Combating Terrorism: Considerations for Investing Resources in Chemical
and Biological Preparedness. GAO-02-162T. Washington, D.C.: October 17,
2001.
Bioterrorism: Review of Public Health and Medical Preparedness Programs.
GAO-02-149T. Washington, D.C.: October 10, 2001.
Combating Terrorism: Observations on Options to Improve the Federal
Response. GAO-01-660T. Washington, D.C.: April 24, 2001.
Combating Terrorism: Issues in Managing Counterterrorist Programs.
GAO/T-NSIAD-00-145. Washington, D.C.: April 6, 2000.
Border and Transportation Security
Homeland Security: Preliminary Observations on Efforts to Target Security
Inspections of Cargo Containers. GAO-04-325T. Washington, D.C.: December
16, 2003.
Aviation Security: Efforts to Measure Effectiveness and Strengthen
Security Programs. GAO-04-285T. Washington, D.C.: November 20, 2003.
Aviation Security: Efforts to Measure Effectiveness and Address
Challenges. GAO-04-232T. Washington, D.C.: November 5, 2003.
Homeland Security: Overstay Tracking is a Key Component of a Layered
Defense. GAO-04-170T. Washington, D.C.: October 16, 2003.
Coast Guard: New Communication System to Search and Rescue Faces
Challenges. GAO-03-1111. Washington, D.C.: September 30, 2003.
Airport Passenger Screening: Preliminary Observations on Progress Made and
Challenges Remaining. GAO-03-1173. Washington, D.C.: September 24, 2003.
Homeland Security: Risks Facing Key Border and Transportation Security
Program Need to be Addressed. GAO-03-1083. Washington, D.C.: September 19,
2003.
Maritime Security: Progress Made in Implementing Maritime Transportation
Security Act, but Concerns Remain. GAO-03-1155T. Washington, D.C.:
September 9, 2003.
Transportation Security: Federal Action Needed to Enhance Security
Efforts. GAO-03-1154T. Washington, D.C.: September 9, 2003.
Aviation Security: Progress Since September 11th and the Challenges Ahead.
GAO-03-1150T. Washington, D.C.: September 9, 2003.
Land Border Ports of Entry: Vulnerabilities and Inefficiencies in the
Inspections Process. GAO-03-1084R. Washington, D.C.: August 18, 2003.
Container Security: Expansion of Key Customs Programs Will Require Greater
Attention to Critical Success Factors. GAO-03-770. Washington, D.C.: July
25, 2003.
Border Security: New Policies and Increased Interagency Coordination
Needed to Improve Visa Process. GAO-03-1013T. Washington, D.C.: July 15,
2003.
Transportation Security: More Federal Coordination Needed to Help Address
Security Challenges. GAO-03-843. Washington, D.C.: June 30, 2003.
Homeland Security: Challenges Facing the Department of Homeland Security
in Balancing Its Trade Facilitation and Border Protection Missions.
GAO-03-902T. Washington, D.C.: June 16, 2003.
Transportation Security: Post 9/11 Initiatives and Long-Term Challenges.
GAO-03-616T. Washington, D.C.: April 1, 2003.
Border Security: Challenges in Implementing Border Technology.
GAO-03-546T. Washington, D.C.: March 12, 2003.
Aviation Security: Vulnerabilities and Potential Improvements for the Air
Cargo Security System. GAO-03-344. Washington, D.C.: December 20, 2002.
Port Security: Nation Faces Formidable Challenges in Making New
Initiatives Successful. GAO-02-993T. Washington, D.C.: August 5, 2002.
Information Analysis and Infrastructure Protection
Critical Infrastructure Protection: Challenges in Securing Control
Systems. GAO-04-140T. Washington, D.C.: October 1, 2003.
Homeland Security: Information Sharing Responsibilities, Challenges, and
Key Management Issues. GAO-03-1165T. Washington, D.C.: September 17, 2003.
Homeland Security: Counterfeit Identification and Identification Fraud
Raise Security Concerns. GAO-03-1147T. Washington, D.C.: September 9,
2003.
Homeland Security: Efforts to Improve Information Sharing Need to Be
Strengthened. GAO-03-760. Washington, D.C.: August 27, 2003.
Homeland Security: Information Sharing Responsibilities, Challenges and
Key Management Issues. GAO-03-715T. Washington, D.C.: May 8, 2003.
Information Technology: Terrorist Watch Lists Should Be Consolidated to
Promote Better Integration and Sharing. GAO-03-322. Washington, D.C.:
April 15, 2003.
Critical Infrastructure Protection: Challenges for Selected Agencies and
Industry Sectors. GAO-03-233. Washington, D.C.: February 28, 2003.
Protecting Information Systems Supporting the Federal Government and the
Nation's Critical Infrastructure. GAO-03-121. Washington, D.C.: January
30, 2003.
Homeland Security: Information Sharing Activities Face Continued
Management Challenges. GAO-02-1122T. Washington, D.C.: October 1, 2002.
National Preparedness: Technology and Information Sharing Challenges.
GAO-02-1048R. Washington, D.C.: August 30, 2002.
Critical Infrastructure Protection: Federal Efforts Require a More
Coordinated and Comprehensive Approach to Protecting Information Systems.
GAO-02-474. Washington, D.C.: July 15, 2002.
Homeland Security: Key Elements of a Risk Management Approach.
GAO-02-150T. Washington, D.C.: October 12, 2001.
Nuclear Security: Federal and State Action Needed to Improve Security of
Sealed Radioactive Sources. GAO-03-804. Washington, D.C.: August 6, 2003.
Nuclear Regulatory Commission: Oversight of Security at Commercial Nuclear
Power Plants Needs to be Strengthened. GAO-03-752. Washington, D.C.:
September 4, 2003.
Nuclear Nonproliferation: U.S. and International Assistance Efforts to
Control Sealed Radioactive Sources Need Strengthening. GAO-03-638.
Washington, D.C.: May 16, 2003.
Homeland Security: Title III of the Homeland Security Act of 2002.
GAO-02-927T. Washington, D.C.: July 9, 2002.
Science and Technology; Chemical, Biological, Radiological, and Nuclear
Countermeasures
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