Information Technology: Numerous Federal Networks Used to Support
Homeland Security Need to Be Better Coordinated with Key State	 
and Local Information-Sharing Initiatives (16-APR-07,		 
GAO-07-455).							 
                                                                 
A key challenge in securing our homeland is ensuring that	 
critical information collected by the Department of Homeland	 
Security (DHS) and the Department of Justice (DOJ) is shared in a
timely manner with federal, state, and local governments and the 
private sector. It is important that federal networks and	 
associated systems, applications, and data facilitate this vital 
information sharing. GAO was asked to (1) identify DHS and DOJ	 
networks and Internet-based system applications that support	 
homeland security and (2) determine whether DHS efforts 	 
associated with its Homeland Security Information Network are	 
being coordinated with key state and local information-sharing	 
initiatives. GAO assessed the coordination between DHS and two	 
key state and local initiatives of the Regional Information	 
Sharing System program. 					 
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-07-455 					        
    ACCNO:   A68244						        
  TITLE:     Information Technology: Numerous Federal Networks Used to
Support Homeland Security Need to Be Better Coordinated with Key 
State and Local Information-Sharing Initiatives 		 
     DATE:   04/16/2007 
  SUBJECT:   Computer security					 
	     Data transmission					 
	     Federal/state relations				 
	     Government information dissemination		 
	     Homeland security					 
	     Information disclosure				 
	     Information resources management			 
	     Information technology				 
	     Local governments					 
	     Data coordination					 
	     Policies and procedures				 
	     Program coordination				 
	     GAO High Risk Series				 
	     Homeland Security Information Network		 

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GAO-07-455

   

     * [1]Report to the Chairman, Committee on Homeland Security, House of
       Representatives

          * [2]April 2007

     * [3]INFORMATION TECHNOLOGY

          * [4]Numerous Federal Networks Used to Support Homeland Security
            Need to Be Better Coordinated with Key State and Local
            Information-Sharing Initiatives

     * [5]Contents

          * [6]DHS and DOJ Networks and Internet- Based System Applications
            That Support Homeland Security
          * [7]DHS Efforts to Coordinate Its Homeland Security Information
            Network with Key State and Local Information- Sharing Initiatives
          * [8]Conclusions
          * [9]Recommendations
          * [10]Agency Comments and Our Evaluation

     * [11]Briefing Provided to Staff, House Committee on Homeland Security
     * [12]Comments from the Department of Homeland Security
     * [13]GAO Contact and Staff Acknowledgments

Report to the Chairman, Committee on Homeland Security, House of
Representatives

April 2007

INFORMATION TECHNOLOGY

Numerous Federal Networks Used to Support Homeland Security Need to Be
Better Coordinated with Key State and Local Information-Sharing
Initiatives

Contents

April 16, 2007

Letter

The Honorable Bennie G. Thompson
Chairman
Committee on Homeland Security
House of Representatives

Dear Chairman Thompson:

One of the challenges in securing our homeland is ensuring that critical
information collected and analyzed by the Department of Homeland Security
(DHS) and the Department of Justice (DOJ) is shared in a timely and secure
manner with a variety of parties within federal, state, and local
governments, as well as the private sector. In 2005,^1 and more recently
in January 2007,^2 we designated homeland security information sharing as
a high-risk area. Consequently, it is important that federal networks and
associated systems, applications, and data facilitate this vital
information sharing, and do so in a manner that produces effective
information sharing among and between the various levels of government and
avoids unnecessary and duplicative efforts. This is particularly crucial
for DHS's Homeland Security Information Network, which is the department's
primary information technology system for sharing terrorism and related
information. To address these and related information sharing challenges,
the Administration, in response to congressional direction, recently
issued a plan to establish, in 3 years, an Information Sharing
Environment. This initiative is intended to combine policies, procedures,
and networks and other technologies that link people, systems, and
information among all appropriate federal, state, local, and tribal
entities and the private sector.

This report responds to your request that we (1) identify existing and
planned communications networks and Internet-based system applications
within DHS and DOJ that support homeland security and (2) determine
whether DHS efforts associated with its Homeland Security Information
Network are being coordinated with key state and local information-sharing
initiatives.

On January 24, 2007, we provided this briefing to House Homeland Security
Committee staff. This report transmits the presentation slides we used to
brief the staff and recommendations that we made to the Secretary of
Homeland Security and the Director, Office of Operations Coordination, who
is responsible for managing the Homeland Security Information Network
program. The full briefing, including our scope and methodology, is
reprinted as appendix I.

DHS and DOJ Networks and Internet-Based System Applications That Support
Homeland Security

The Departments of Homeland Security and Justice have 17 major networks
that they use to support their homeland security missions, including
sharing information with state and local governments. Examples include
DHS's Homeland Secure Data Network and DOJ's Justice Consolidated Network.
The departments also have four system applications that use the Internet.
Among the four are DHS's Homeland Security Information Network and DOJ's
Law Enforcement Online.

The networks and system applications range from top secret to
unclassified. Of the 17 federal networks, 4 are categorized as either top
secret or secret, 12 are categorized as sensitive but unclassified, and 1
is unclassified. All of the four system applications are categorized as
sensitive but unclassified.

While some networks and applications are used solely within their
respective departments, others are used both within the department and by
other federal agencies, as well as state and local governments and private
sector entities. Of the 17 networks, 9 are used only within their own
department, and 8 are used within the department and by other federal,
state, and/or local agencies. All four of the Internet-based applications
are used both within the department and by other federal agencies, as well
as state and local organizations.

The total cost to develop, operate, and maintain these networks and
applications in fiscal years 2005 and 2006, as reported by DHS and DOJ,
was $893.1 million. Of this total, the networks accounted for the vast
majority of the cost at $830.5 million.

DHS Efforts to Coordinate Its Homeland Security Information Network with
Key State and Local Information-Sharing Initiatives

DHS is statutorily responsible for coordinating the federal government's
networks and other communications systems, like the department's Homeland
Security Information Network, with state and local governments. The Office
of Management and Budget (OMB) guidance requires DHS to foster such
coordination and collaboration as a means to improve government
performance, including enhancing information sharing and avoiding
duplication of effort. Key practices to help implement the guidance
include establishing joint strategies and developing compatible policies
and procedures to operate across agency boundaries.

However, DHS did not fully adhere to these practices or guidance in
coordinating its efforts on the Homeland Security Information Network with
key state and local information-sharing initiatives. For example, in
developing the system, the department did not work with the two key state
and local initiatives, which are major parts of the Regional Information
Sharing System program,^3 to fully develop joint strategies to meet mutual
needs. In addition, it did not develop compatible policies, procedures,
and other means to operate across organizational boundaries.

DHS's limited use of these practices is attributable to a number of
factors, including the department's expediting its schedule to deploy
information-sharing capabilities after the events of September 11, 2001,
and in doing so not developing a comprehensive inventory of key state and
local information-sharing initiatives. Consequently, the department faces
the risk that, among other things, effective information sharing is not
occurring. It also faces the risk that the Homeland Security Information
Network may be duplicating state and local capabilities.

DHS officials stated that the department has efforts planned and under way
to improve coordination and collaboration. For example, it is developing
an integration strategy to allow other entities' applications and networks
to more easily connect with its Homeland Security Information Network. In
addition, the department is establishing a Homeland Security Information
Network Advisory Committee, that includes state and local officials, whose
charge is to advise the department on how it can better meet user needs,
including examining DHS processes for deploying the Homeland Security
Information Network to the states as well as assessing what resources
states already have and how DHS can leverage them. DHS also plans to
coordinate its improvements efforts with the Administration's initiative
to establish the Information Sharing Environment. While these are steps in
the right direction, they have either just begun or are being planned,
with milestones for implementation yet to be defined.

Conclusions

DHS and DOJ have a vast array of major federal networks and Internet-based
applications, reported to cost almost one billion dollars over the past 2
years, that are key to these departments achieving their homeland security
missions, including sharing information with state and local governments.

While DHS is responsible for coordinating these network and system efforts
among federal, state, and local governments, it has not done so
effectively with regard to its primary information-sharing system and two
key state and local initiatives. This was due largely to the department's
hasty approach to delivering needed information-sharing capabilities; in
doing so, DHS did not follow key coordination and collaboration practices
and guidance or invest the time to inventory and fully understand how it
could leverage state and local approaches. Consequently, the department
faces the risk that effective information sharing is not occurring and
that its Homeland Security Information Network may be duplicating existing
state and local capabilities. DHS recognizes these risks and has
improvements planned and under way to address them, but it has yet to
establish dates for when the improvements will be fully completed and
institutionalized.

The limited use of the guidance and practices and the absence of an
inventory raise doubt about whether DHS is effectively coordinating its
Homeland Security Information Network efforts with all other key state and
local information initiatives. DHS's activities at the state and local
level also raise questions about whether it has adequately addressed
coordination and duplication issues with regard to the other federal
homeland security networks and associated systems and applications under
the department's purview. Given what is at stake, it is extremely
important that DHS authorities expeditiously address these issues and
mitigate the associated risks. Further, in doing so, it is imperative to
ensure that any and all efforts to address coordination issues are not
done in isolation but rather in a manner  that is consistent with
implementation of the recently issued Information Sharing Environment
plan.

Recommendations

We recommend that the Secretary of Homeland Security direct the Director,
Office of Operations Coordination, to ensure that the Homeland Security
Information Network efforts are effectively coordinated with key state and
local government information-sharing initiatives. This should include,

oidentifying existing and planned key state and local information-sharing
initiatives and assessing whether there are opportunities for the program
to improve information sharing and avoid duplication of effort;

owhere there are opportunities, adopting and institutionalizing key
practices related to OMB's guidance on enhancing and sustaining agency
coordination and collaboration, including developing documented policies
and procedures to operate across organizational boundaries; and

oensuring that its coordination efforts are consistent with implementation
of the Information Sharing Environment plan.

We also recommend that the Secretary of Homeland Security determine
whether there are coordination and duplication issues with other homeland
security networks and associated systems and applications. In each case
where issues are identified, the Secretary should direct the appropriate
department executive to ensure that the efforts are effectively
coordinated consistent with our recommendation above.

Agency Comments and Our Evaluation

In DHS's written comments on a draft of this report, which were contained
in a letter signed by the Director, Departmental GAO/Office of Inspector
General Liaison, the department stated it agreed with our recommendations
on identifying and inventorying key state and local initiatives,
implementing coordination and collaboration practices, and ensuring its
efforts are consistent with implementation of the Information Sharing
Environment plan. In addition, DHS described actions it is taking to
address each recommendation. However, these actions did not specifically
include whether the department is to identify and inventory existing and
planned key state and local information-sharing initiatives. As we stated
in our briefing, without this inventory, the department will have limited
knowledge of state and local initiatives and will continue to risk
duplicating these capabilities.

With regard to our recommendation on determining whether coordination and
duplication issues exist with other homeland security systems, DHS said
that it is still taking the recommendation under advisement and plans to
provide an update to appropriate congressional committees and the OMB
within 60 days of our report's issuance. DHS's comments are reprinted in
appendix II.

As agreed with your office, unless you publicly announce the contents of
this report earlier, we plan no further distribution until 30 days from
the report date. At that time, we will send copies of this report to the
Secretary of Homeland Security, the Attorney General, and the Director of
OMB. Copies are also available at no charge on the GAO Web site at
http://www.gao.gov.

Should you or your office have questions on matters discussed in this
report, please contact me at (202) 512-9286 or at [email protected] .
Contact points for our Offices of Congressional Relations and Public
Affairs may be found on the last page of this report. GAO staff who made
key contributions to this report are listed in appendix III.

Sincerely yours,

David A. Powner
Director, Information Technology Management Issues

Appendix I:  Briefing Provided to Staff, House Committee on Homeland Security

Appendix II:  Comments from the Department of Homeland Security

Appendix III:  GAO Contact and Staff Acknowledgments

GAO Contact

David A. Powner at (202) 512-9286 or [email protected]

Staff Acknowledgments

In addition to the contact named above, the following also made key
contributions to this report: Gary Mountjoy, Assistant Director; Barbara
Collier; Joseph Cruz; Matthew Grote; Joanne Landesman; and Lori Martinez.

(310839)

www.gao.gov/cgi-bin/getrpt?GAO-07-455 .

To view the full product, including the scope
and methodology, click on the link above.

For more information, contact David Powner at (202) 512-9286 or
[email protected].

Highlights of [18]GAO-07-455 , a report to the Chairman, Committee on
Homeland Security, House of Representatives

April 2007

INFORMATION TECHNOLOGY

Numerous Federal Networks Used to Support Homeland Security Need to Be
Better Coordinated with Key State and Local Information Sharing
Initiatives

A key challenge in securing our homeland is ensuring that critical
information collected by the Department of Homeland Security (DHS) and the
Department of Justice (DOJ) is shared in a timely manner with federal,
state, and local governments and the private sector. It is important that
federal networks and associated systems, applications, and data facilitate
this vital information sharing. GAO was asked to (1) identify DHS and DOJ
networks and Internet-based system applications that support homeland
security and (2) determine whether DHS efforts associated with its
Homeland Security Information Network are being coordinated with key state
and local information-sharing initiatives. GAO assessed the coordination
between DHS and two key state and local initiatives of the Regional
Information Sharing System program.

[19]What GAO Recommends

To improve coordination with state and local information sharing efforts
and avoid duplication, GAO is recommending, among other things, that DHS
inventory key state and local initiatives, implement coordination and
collaboration practices, and ensure its efforts are consistent with the
Administration's information-sharing initiative. In its written comments,
DHS concurred with the above recommendations and noted actions it is
taking to implement them.

The Departments of Homeland Security and Justice have 17 major networks
that support their homeland security missions, including sharing
information with state and local governments. Examples include DHS's
Homeland Secure Data Network and DOJ's Justice Consolidated Network. The
departments also have four system applications that use the Internet.
Among the four are DHS's Homeland Security Information Network--the
department's primary information technology system for sharing terrorism
and related information--and DOJ's Law Enforcement Online. While some
networks and applications are used solely within their respective
departments, others are used both within the department and by other
federal, state, and local agencies and the private sector. For example, of
the 17 networks, 9 are used only within their own department, and 8 are
used within the department and by other federal, state, and local
agencies. The reported cost to develop, operate, and maintain these
networks and applications in fiscal years 2005 and 2006 was $893.1
million.

DHS is statutorily responsible for coordinating the federal government's
networks and related systems with state and local governments. Federal
guidance directs DHS to foster such coordination and collaboration as a
means to enhance information sharing and avoid duplicative efforts. Key
practices to help implement the guidance include establishing joint
strategies and compatible policies and procedures to operate across agency
boundaries. However, DHS did not fully adhere to these practices in
coordinating efforts on its Homeland Security Information Network with key
state and local information-sharing initiatives. For example, it did not
work with the two key state and local information-sharing initiatives (of
the Regional Information Sharing System program) to fully develop joint
strategies to meet mutual needs. It also did not develop compatible
policies, procedures, and other means to operate across organizational
boundaries. DHS's limited use of these practices is attributable in part
to the department's expediting its schedule to deploy information-sharing
capabilities after September 11, 2001, and in doing so not developing an
inventory of key state and local information-sharing initiatives.

DHS officials have efforts planned and under way to improve coordination
and collaboration, including establishing an advisory committee to obtain
state and local views on network operations. DHS also plans to coordinate
its efforts with the Administration's Information Sharing Environment
initiative that aims to improve information sharing among all levels of
government and the private sector. However, these activities have either
just begun or are being planned. Consequently, until DHS develops an
inventory of key state and local initiatives and fully implements
coordination and collaboration practices, it is at risk that effective
information sharing is not occurring and that its Homeland Security
Information Network may be duplicating state and local capabilities. This
also raises the issue of whether similar coordination and duplication
issues exist with the other homeland security networks, systems, and
applications under DHS's purview.

References

Visible links
  18. file:///home/webmaster/infomgt/d07455.htm#http://www.gao.gov/cgi-bin/getrpt?GAO-07-455
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