Department of Homeland Security
Actions Taken Toward Management Integration, but a Comprehensive Strategy Is Still Needed
GAO-10-131, Dec 15, 2009
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Significant management challenges exist for the Department of Homeland Security (DHS) as it continues to integrate its varied management processes, policies, and systems in areas such as financial management and information technology. These activities are primarily led by the Under Secretary for Management (USM), department management chiefs, and management chiefs in DHS's seven components. The Government Accountability Office (GAO) was asked to examine: (1) the extent to which DHS has developed a comprehensive strategy for management integration that includes the characteristics recommended in GAO's 2005 report; (2) how DHS is implementing management integration; and (3) the extent to which the USM is holding the department and component management chiefs accountable for implementing management integration through reporting relationships. GAO reviewed DHS plans and interviewed management officials in DHS's headquarters and in all components.
DHS has not yet developed a comprehensive strategy for management integration as required by the 9/11 Commission Act of 2007 and with the characteristics GAO recommended in a 2005 report. Although DHS stated in response to the 2005 report that it was developing an integration strategy, it has not yet done so, in part because it has focused on building operations capacity within functional management areas. In the absence of a comprehensive management integration strategy, DHS officials stated that documents such as management directives and strategic plans address aspects of a management integration strategy and can help the department to manage its integration efforts. However, they do not generally include all of the strategy characteristics GAO identified, such as identifying the critical links that must occur among management initiatives and time lines for monitoring the progress of these initiatives. In addition, DHS has increased the number of performance measures for the Management Directorate, but has not yet established measures for assessing management integration across the department, although DHS officials stated that the department intends to do so. Without these measures DHS cannot assess its progress in implementing and achieving management integration. In the absence of a comprehensive strategy, DHS's Management Directorate has implemented management integration through certain initiatives and mechanisms to communicate and consolidate management policies, processes, and systems. The directorate uses councils to communicate information related to the implementation of management initiatives, among other things. The directorate has also established governance boards and processes to manage specific activities. Further, the directorate is in the process of consolidating certain management systems. However, without a documented management integration strategy, it is difficult for DHS, Congress, and other key stakeholders to understand and monitor the critical linkages and prioritization among these various efforts. The USM and department and component management chiefs are held accountable for implementing management integration through reporting relationships at three levels--between the Secretary and the USM, the USM and department chiefs, and the department and component chiefs--in which, among other things, the Secretary of Homeland Security, USM, and department chiefs are required to provide input into performance plans and evaluations. The Deputy Secretary--through delegation from the Secretary--and the USM have provided input into the USM's and department chiefs' plans and evaluations, respectively. Although department chiefs are required by management directives to provide component chiefs with written objectives at the start of the annual performance cycle, in fiscal year 2009 only two out of six department chiefs provided such input to component chiefs. Without ensuring that the management chiefs provide input into component chiefs' performance plans and evaluations as required, the directorate cannot be sure that component chiefs are fully implementing management integration.
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 strengthen its management integration efforts, the Secretary of Homeland Security should direct the Under Secretary for Management, working with others, once a comprehensive management integration strategy is developed, consistent with statute and as we previously recommended, to establish performance measures to assess progress made in achieving departmentwide management integration once a comprehensive management integration strategy is developed, consistent with statute and as GAO previously recommended.
Agency Affected: Department of Homeland Security
Status: Open
Comments: Our November 2009 report on the status of DHS's management integration found that, while DHS has taken actions to integrate its management functions, DHS had not yet developed a comprehensive strategy for management integration, as recommended by GAO, and is required by the 9/11 Commission Act, and with the characteristics of a strategy that we recommended. DHS has taken some action to develop this strategy, and provided us with a draft management integration plan in February 2010. We provided oral and written feedback to DHS on this draft strategy. Since that time, a new USM has been appointed, and DHS is proposing a different approach to management integration, by focusing on conceptual risk management model for acquisition. In January 2011, DHS provided us with its Integrated Strategy for High Risk Management, which provides an overview of DHS's plans to addressing the high-risk designation, including management integration by, for example, enhancing acquisition management efforts across the department. DHS updated this strategy in June 2011. We have not yet provided detailed feedback to DHS on the June 2011 plan to assess whether this strategy contains a management integration strategy that addresses all of the characteristics we have identified. DHS is also in the process of revising its performance measures departmentwide consistent with the Quadrennial Homeland Security Review (QHSR), so these performance measures would also have to link up with this new management integration strategy.
Recommendation: To strengthen its management integration efforts, the Secretary of Homeland Security should direct the Under Secretary for Management, working with others, to ensure that department management chiefs provide written objectives for component management chiefs' performance plans at the beginning of each performance cycle, and that the objectives are representative of determined priorities and milestones for the management functions during that period.
Agency Affected: Department of Homeland Security
Status: Open
Comments: On February 12, 2010, DHS's former Under Secretary for Management (USM) issued a memo to DHS's management chiefs and functional counterparts in the components on Management Performance Goals for FY 2010. In that memo, the USM stated that, in addition to the department-wide performance goals that are set each fiscal year, the USM added seven initiatives for DHS's management integration goals. These seven initiatives were laid out in DHS's February 2010 draft management integration plan. The USM stated that the DHS management and business line goals are to be included in the appropriate individual's annual performance plan, and their performance rating is to include an assessment of performance against the management goals. Assessments against these goals are to be considered in performance ratings. Since that time, a new USM has been appointed, and a new approach to management integration has been proposed, which will affect the annual performance goals against which the component management chiefs are being held accountable once this new plan is implemented.
Recommendation: To strengthen its management integration efforts, the Secretary of Homeland Security should direct the Under Secretary for Management, working with others, to ensure that department management chiefs provide input into component management chiefs' annual performance evaluations.
Agency Affected: Department of Homeland Security
Status: Open
Comments: On February 12, 2010, DHS's former Under Secretary for Management (USM) issued a memo to DHS's management chiefs and functional counterparts in the components on Management Performance Goals for FY 2010. In that memo, the USM stated that, in addition to the department-wide performance goals that are set each fiscal year, the USM added seven initiatives for DHS's management integration goals. These seven initiatives were laid out in DHS's February 2010 draft management integration plan. The USM stated that the DHS management and business line goals are to be included in the appropriate individual's annual performance plan, and their performance rating is to include an assessment of performance against the management goals. Assessments against these goals are to be considered in performance ratings. Since that time, a new USM has been appointed, and a new approach to management integration has been proposed, which will affect the annual performance goals against which the component management chiefs are being held accountable in their annual performance evaluations, once this new plan is implemented.
Recommendation: To strengthen its management integration efforts, the Secretary of Homeland Security should direct the Under Secretary for Management, working with others, to ensure that component management chiefs' individual performance plans are reflective of and include linkages to the goals and objectives for the Management Directorate and relevant department management function.
Agency Affected: Department of Homeland Security
Status: Open
Comments: On February 12, 2010, DHS's former Under Secretary for Management (USM) issued a memo to DHS's management chiefs and functional counterparts in the components on Management Performance Goals for FY 2010. In that memo, the USM stated that, in addition to the department-wide performance goals that are set each fiscal year, the USM added seven initiatives for DHS's management integration goals. These seven initiatives were laid out in DHS's February 2010 draft management integration plan. The USM stated that the DHS management and business line goals are to be included in the appropriate individual's annual performance plan, and their performance rating is to include an assessment of performance against the management goals. Assessments against these goals are to be considered in performance ratings. Since that time, a new USM has been appointed, and a new approach to management integration has been proposed, which will affect the annual performance plans against which the component management chiefs are being held accountable, once this new management integration plan is implemented.