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Emergency Communications: National Communications System Provides Programs for Priority Calling, but Planning for New Initiatives and Performance Measurement Could be Strengthened

GAO-09-822 Published: Aug 28, 2009. Publicly Released: Sep 28, 2009.
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Highlights

Government functions and effective disaster response and management rely on the ability of national security and emergency preparedness (NS/EP) personnel to communicate. The Department of Homeland Security's (DHS) National Communications System (NCS), is responsible for ensuring continuity of NS/EP communications when network congestion or damage occurs. As requested, GAO assessed the (1) priority communication programs NCS provides, how it enlists subscribers, and to what extent NCS controls access to these programs; (2) challenges that can affect delivery of these programs; and (3) extent to which NCS plans for and evaluates its services. GAO reviewed NCS program documents, such as annual reports and access control procedures and data on program subscribers. GAO also interviewed officials from NCS and select state and local government entities. GAO compared NCS performance measures to federal best practices.

Recommendations

Recommendations for Executive Action

Agency Affected Recommendation Status
Department of Homeland Security To help ensure that NCS management has sufficient information needed to assess and improve NCS's programs and new initiatives and to effectively support budget decisions, the Secretary of DHS should direct the Manager of the NCS to develop program plans for the national security and emergency preparedness next generation network (NS/EP NGN) initiative that outline an acquisition approach based on available technologies, realistic cost estimates, and that include mitigation plans to address identified challenges and risks.
Closed – Implemented
In August 2009, we reported that the events of September 11, 2001, and the 2005 hurricane season dramatically demonstrated how catastrophic man-made and natural disasters can disrupt communication capabilities and highlight the need for essential national security and emergency preparedness (NS/EP) officials to be able to communicate during and in the aftermath of such events. The Department of Homeland Security's (DHS) National Communications System (NCS) is responsible for ensuring continuity of NS/EP communications when network congestion or damage occurs. NCS recognized the need to keep pace with technological changes and look for ways to better meet NS/EP personnel's current and future communications needs as evidenced by the development of the NGN (Next Generation Network) initiative. However, we found that while NCS was restructuring its priority calling programs to support the use of technological advances and evolutionary communications networks through the NGN initiative as mandated by presidential directive, NCS had not fully detailed how it planned to mitigate existing challenges and could not provide details about key program elements, such as the estimated costs and a timeline for the implementation of the initiative. To help ensure that NCS management has sufficient information needed to asses and improve NCS's programs and new initiatives and to effectively support budget decisions, we recommended that the Secretary of DHS direct the Manager of the NCS to develop program plans for the NS/EP NGN initiative that outline the acquisition approach based on available technologies, realistic cost estimates, and that include mitigation plans to address identified risks and challenges. In response to our recommendation, NCS developed a NGN Priority Services Program Management Plan in March 2011 to manage this initiative. The plan defined the activities, responsibilities, and timing of events that support the NGN initiative and outlined an acquisition approach based on available technologies and realistic cost estimates. In addition, NCS subsequently finalized a NGN risk mitigation plan, which we reviewed in 2012. The plan identified risks, challenges, and strategies to mitigate these risks and challenges. These plans developed by NCS are consistent with our recommendation and should help ensure NCS management has sufficient information needed to assess and improve the NGN initiative and leverage technological advances and communications networks to help meet its mission of ensuring continuity of NS/EP communications when network congestion or damage occurs. Based on these actions, the recommendation is closed as implemented.
Department of Homeland Security To help ensure that NCS management has sufficient information needed to assess and improve NCS's programs and new initiatives and to effectively support budget decisions, the Secretary of DHS should direct the Manager of the NCS to follow best practices for strategic planning in finalizing the NCS strategic plan including identifying the resources needed to achieve its strategic goals and objectives and providing a description of the relationship between planned initiatives such as the NS/EP NGN and strategic goals.
Closed – Implemented
In August 2009, we reported that the events of September 11, 2001, and the 2005 hurricane season dramatically demonstrated how catastrophic man-made and natural disasters can disrupt communication capabilities and highlight the need for essential national security and emergency preparedness (NS/EP) officials to be able to communicate during and in the aftermath of such events. The Department of Homeland Security's (DHS) National Communications System (NCS) is responsible for ensuring continuity of NS/EP communications when network congestion or damage occurs. Strategic plans are an essential element in results-oriented program management and provide agencies and stakeholders a common set of operation principle with which to guide actions and decisions. While we found that NCS had undertaken some strategic planning for its programs, it had not finalized its strategic plan, which had been in draft since mid-2008, or committed to incorporating key elements of a strategic plan. To help ensure that NCS management has sufficient information needed to assess and improve NCS's programs and new initiatives and to effectively support budget decisions, we recommended that the Secretary of DHS direct the Manager of the NCS to follow best practices for strategic planning in finalizing the NCS strategic plan including identifying the resources needed to achieve its strategic goals and objectives and providing a description of the relationship between planned initiatives such as the NS/EP Next Generation Network (NGN) and strategic goals. In response to our recommendation, NCS took a number of actions. In December 2011, DHS finalized an Office of Emergency Communications (OEC) strategic plan, which we received and reviewed in 2012, as well as an OEC Implementation Plan, which we received and reviewed in 2013. NCS also developed a NGN Priority Services Program Management Plan and NGN risk mitigation plan, which we reviewed in 2012. Collectively, these plans are consistent with our recommendation as they identify the resources needed to achieve its strategic goals and objectives and provide a description of the relationship of planned initiatives such NGN with strategic goals. In addition, since DHS's National Protection and Programs Directorate's Office of Cybersecurity and Communications (CS&C) has taken over responsibility for NCS activities per Executive Order 13618, CS&C has stated that it will continue to update these strategic and implementation plans for consistency with EO 13618 and a CS&C strategic plan in development. Based on these actions, the recommendation is closed as implemented.
Department of Homeland Security To help ensure that NCS management has sufficient information needed to assess and improve NCS's programs and new initiatives and to effectively support budget decisions, the Secretary of DHS should direct the Manager of the NCS to strengthen NCS's performance measurement efforts by (1) developing measures to cover all core program activities, (2) exploring opportunities to develop more outcome-oriented measures, (3) ensuring performance measure baselines are reliable and based upon past performance, (4) and improving the clarity of its call completion measure.
Closed – Not Implemented
In August 2009, we reported that the events of September 11, 2001, and the 2005 hurricane season dramatically demonstrated how catastrophic man-made and natural disasters can disrupt communication capabilities and highlight the need for essential national security and emergency preparedness (NS/EP) officials to be able to communicate during and in the aftermath of such events. The Department of Homeland Security's (DHS) National Communications System (NCS) is responsible for ensuring continuity of NS/EP communications when network congestion or damage occurs. We found that NCS's existing performance measures did not cover all of its core responsibilities, as suggested by best practices, and certain performance measures could be strengthened. To help ensure that NCS management has sufficient information needed to assess and improve NCS's programs and new initiatives and to effectively support budget decisions, we recommended that the Secretary of DHS should direct the Manager of the NCS to strengthen NCS's performance measurement efforts by (1) developing measures to cover all core program activities, (2) exploring opportunities to develop more outcome-oriented measures, (3) ensuring performance measure baselines are reliable and based upon past performance, (4) and improving the clarity of its call completion measure. To date, NCS has not implemented this recommendation or provided documentation to demonstrate that parts of this recommendation have been implemented. However, according to the DHS's National Protection and Programs Directorate's Office of Cybersecurity and Communications (CS&C), as the new Sector-Specific Agency (SSA) for the Communications and Information Technology Sectors per Executive Order 13636, it plans to leverage its long-standing partnership between government and industry to continue to implement this recommendation. Under EO 13636 Section 7, DHS supports the National Institute of Standards and Technology (NIST) as the lead for developing a framework that reduces cyber risks posed to critical infrastructure (Cybersecurity Framework). DHS is leading the Framework Collaboration Working Group, which provides NIST with interagency and critical infrastructure reach-back capabilities. The working group also supports DHS, which is responsible under Section 7(d) of EO 13636 for providing performance goals based on consultation with stakeholders. According to CS&C, DHS has already begun working with critical infrastructure sectors in partnership with NIST and has already identified initial sector-provided data points on current performance goal practices. CS&C plans to use its engagements with critical infrastructure sectors and results from future NIST Cybersecurity Framework workshops to identify opportunities to encourage adoption of baseline performance goals. According to CS&C, the goals will be measureable and adopters will be further encouraged to develop their own measures and targets consistent with their specific business models. DHS also plans to leverage its partnerships with industry members of the Communications Section where possible to assure overall cooperation from the sector, and the eventual development of meaningful performance goals. However, given that DHS has not implemented this recommendation after 4 years, and that these newly cited actions lack both specificity and timeframes, we are closing this recommendation as not implemented.

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Topics

Appropriated fundsCommunication securityCommunication systemsCost analysisCost overrunsEmergency communication systemsEmergency managementEmergency preparednessFunds managementInternal controlsPerformance measuresTelecommunication policyWireless networksDisaster communications