Emergency Communications
Vulnerabilities Remain and Limited Collaboration and Monitoring Hamper Federal Efforts
GAO-09-604, Jul 27, 2009
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Emergency communications breakdowns undermined response efforts during terrorist attacks in 2001 and Hurricane Katrina in 2005. In response, federal agencies like the Department of Homeland Security (DHS) and Federal Communications Commission (FCC) have increased efforts to enhance emergency communications. This requested report identifies (1) vulnerabilities, if any, to emergency communications systems; (2) federal assistance available or planned to first responders for addressing vulnerabilities or enhancing emergency communications; and (3) challenges, if any, with federal emergency communications efforts. GAO developed six catastrophic disaster case studies, reviewed agency documents, and interviewed public and private sector officials at the national, state, and local levels.
Continuity of communications, capacity, and interoperability are primary areas of vulnerability in first responder emergency communications in communities across the country. The destructive nature of catastrophic disasters can disrupt continuity of communications--the ability to maintain communications during and following a disaster. A volcanic mudflow at Mount Rainier, Washington, could destroy infrastructure supporting communications systems. Capacity--a communication system's ability to handle demand, provide coverage, and send different types of information--is also vulnerable in a catastrophic disaster. For example, blind spots, areas outside the range of communications systems, could inhibit response. Lastly, vulnerabilities involving interoperability--the ability to communicate across different organizations and jurisdictions as needed and authorized--remain due to technological and human factors. Federal agencies provide a wide range of assistance intended to help first responders mitigate emergency communications vulnerabilities. GAO grouped available federal assistance into three categories: (1) new guidance and other significant federal efforts; (2) grants and funding; and (3) technical support and federal assets. DHS and other federal agencies have taken strategic steps to enhance emergency communications by issuing key documents like the National Emergency Communications Plan--the first strategic document for improving emergency communications nationwide. Numerous grants are available and are increasingly aligned with recently developed national and state plans. Federal agencies like DHS also offer technical support intended to help mitigate vulnerabilities through planning and on-the-scene assistance. Limited collaboration and monitoring jeopardize federal emergency communications efforts, even as the federal government has taken strategic steps to assist first responders. Federal agencies have demonstrated limited use of some best practices that GAO previously reported as helpful for addressing issues like emergency communications. Delays in establishing the Emergency Communications Preparedness Center, which would help define common goals and mutually reinforcing strategies--two collaboration best practices--undermine the National Emergency Communications Plan's implementation. DHS and FCC have also not applied these practices in FCC's effort to promote a public safety network for emergency communications. Agency officials reported it was either too early or not the agency's responsibility to use these best practices in developing this network. DHS did not submit formal comments to FCC and FCC officials described its proposed network as separate from DHS emergency communications efforts. However, GAO found potential opportunities to align these agencies' efforts. Another collaboration best practice is leveraging resources, which DHS has done in providing emergency communications technical assistance and planning guidance. But efforts have focused on state and local jurisdictions and less on federal agencies, some of which lack formal emergency communications plans. Monitoring is also crucial in helping agencies meet goals.
Status Legend:
Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.
- In Process
- Open
- Closed - implemented
- Closed - not implemented
Recommendations for Executive Action
Recommendation: To improve federal agencies' collaboration and monitoring in efforts related to emergency communications and to help foster implementation of the National Emergency Communications Plan, the Secretary of Homeland Security, in DHS's role as chair of the agency working group to establish the Emergency Communications Preparedness Center, should work to complete the memorandum of understanding (MOU) to establish the center. The MOU should include a clear purpose, expected outputs, and realistic performance measures from participating agencies.
Agency Affected: Department of Homeland Security
Status: Closed - Implemented
Comments: In our June 2009 report, we recommended that DHS work to complete a memorandum of understanding among federal agencies to establish the Emergency Communications Preparedness Center. The memorandum would include a clear purpose, expected outputs, and realistic performance measures from participating agencies. In response, DHS finished work to establish the Center. Specifically, DHS worked with other federal agencies to complete the memorandum of understanding, and the Center's participating agencies met in October 2009. Additionally, DHS completed a charter that included a clear purpose for the Center, which is to serve as the focal point for interagency efforts and as a clearinghouse for all relevant intergovernmental information to support emergency communications. Expected outputs included preparing an annual strategic assessment regarding the coordination efforts of federal departments and agencies for Congress, as well as establishing committees to administer the Center. Performance measures included agency participation and meeting requirements.
Recommendation: To improve federal agencies' collaboration and monitoring in efforts related to emergency communications and to help ensure that DHS and FCC's significant emergency communications efforts, such as the National Emergency Communications Plan and the 700 MHz Public/Private Partnership, have a common vision and mutually reinforcing strategies, the Secretary of Homeland Security and the Chair of the Federal Communications Commission should establish a forum, or other mechanism, to better collaborate on each agency's emergency communications efforts. Such collaboration could identify opportunities for aligning agency activities to ensure that they are mutually reinforcing, as well as developing an action plan or other working document to develop a common vision for implementation of the National Emergency Communications Plan and its relationship to the future 700 MHz Public/Private Partnership.
Agency Affected: Federal Communications Commission
Status: Closed - Implemented
Comments: DHS has included several collaboration elements in its establishment of the Emergency Communications Preparedness Center. For example, representatives from DHS and FCC are on the rosters of both the executive and steering committee groups for the Center. The Center's charter states that it will complement ongoing efforts of federal agencies focused on the advancement of emergency communications. The Center's charter also outlines several activities that will be made consistent with goals in the National Emergency Communications Plan, or be incorporated into future plan updates. Furthermore, Center action items have recognized that updating national emergency communications and broadband planning requires collective federal input.
Recommendation: To improve federal agencies' collaboration and monitoring in efforts related to emergency communications and to help ensure that DHS and FCC's significant emergency communications efforts, such as the National Emergency Communications Plan and the 700 MHz Public/Private Partnership, have a common vision and mutually reinforcing strategies, the Secretary of Homeland Security and the Chair of the Federal Communications Commission should establish a forum, or other mechanism, to better collaborate on each agency's emergency communications efforts. Such collaboration could identify opportunities for aligning agency activities to ensure that they are mutually reinforcing, as well as developing an action plan or other working document to develop a common vision for implementation of the National Emergency Communications Plan and its relationship to the future 700 MHz Public/Private Partnership.
Agency Affected: Federal Communications Commission
Status: Closed - Implemented
Comments: In our June 2009 report, we recommended that DHS and FCC establish a forum, or other mechanism, to better collaborate on each agency's emergency communications efforts, such as implementing the National Emergency Communications Plan. In response, DHS included several collaboration elements in its establishment of the Emergency Communications Preparedness Center. For example, representatives from DHS and FCC are on the rosters of both the executive and steering committee groups for the Center. The Center's charter states that it will complement ongoing efforts of federal agencies focused on the advancement of emergency communications. The Center's charter also outlines several activities that will be made consistent with information in the National Emergency Communications Plan, or be incorporated into future plan updates. Furthermore, Center action items have recognized that updating national emergency communications and broadband planning requires collective federal input.
Recommendation: To improve federal agencies' collaboration and monitoring in efforts related to emergency communications and to help ensure that federal agencies and their communications assets are well-positioned to support state and local first responders in catastrophic disasters, the Secretary of Homeland Security should provide guidance and technical assistance to federal agencies in developing formal emergency communications plans. These plans could include identifying how federal agencies' communications resources and assets will support state and local first responders in a disaster.
Agency Affected: Department of Homeland Security
Status: Open
Comments: As of March 2010, DHS had not provided any information regarding the implementation of this recommendation.
Recommendation: To improve federal agencies' collaboration and monitoring in efforts related to emergency communications and to help DHS and FCC enhance the value of stakeholder groups' recommendations, the Secretary of Homeland Security and the Chair of the Federal Communications Commission should systematically track, assess, and respond to stakeholder groups' recommendations, including identifying actions taken by the agencies in response to recommendations, whether recommendations are duplicative with past recommendations, and opportunities to work with other agencies, as appropriate, to advance recommendations.
Agency Affected: Department of Homeland Security
Status: Open
Comments: DHS responded that its establishment of the Emergency Communications Preparedness Center included a way to track, assess, and respond to stakeholder group recommendations. While establishing the Center will enhance agency collaboration and mutually reinforce strategies, it is uncertain how the Center's activities will include DHS and FCC considering, deciding, and acting on agency stakeholder groups' recommendations. At present, it is unclear how the Center would incorporate the work of these stakeholder groups and advisory committees, established by DHS and FCC, or avoid recommendations that are duplicative with past recommendations and/or efforts.
Recommendation: To improve federal agencies' collaboration and monitoring in efforts related to emergency communications and to help DHS and FCC enhance the value of stakeholder groups' recommendations, the Secretary of Homeland Security and the Chair of the Federal Communications Commission should systematically track, assess, and respond to stakeholder groups' recommendations, including identifying actions taken by the agencies in response to recommendations, whether recommendations are duplicative with past recommendations, and opportunities to work with other agencies, as appropriate, to advance recommendations.
Agency Affected: Department of Homeland Security
Status: Open
Comments: DHS responded that its establishment of the Emergency Communications Preparedness Center included a way to track, assess, and respond to stakeholder group recommendations. While establishing the Center will enhance agency collaboration and mutually reinforce strategies, it is uncertain how the Center's activities will include DHS and FCC considering, deciding, and acting on agency stakeholder groups' recommendations. At present, it is unclear how the Center would incorporate the work of these stakeholder groups and advisory committees, established by DHS and FCC, or avoid recommendations that are duplicative with past recommendations and/or efforts.