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Department of Homeland Security
DHS’ Oversight of Interoperable Communications
OIG-13-06
November 2012
OFFICE
OF
INSPECTOR GENERAL
Department
of
Homeland Security
Washington, DC 20528 / www.oig.dhs.gov
November 2, 2012
MEMORANDUM
FOR:
The
Honorable
Rafael
Borras
Under Secretary for Management
FROM:
Charles K. Edwards
Acting Inspector General
SUBJECT:
DHS' Oversight
of
Interoperable Communications
Attached
for
your action
is
our final report,
DHS'
Oversight
of
Interoperable
Communications.
We incorporated the formal comments from the Departmental
GAO-
OIG
Liaison Office
in
the final report.
The
report contains
two
recommendations aimed at improving oversight
of
interoperable radio communications. Your office concurred with one
of
the
recommendations.
As
prescribed by the Department
of
Homeland Security Directive
077-01, Follow-Up
and
Resolutions
for
the Office
of
Inspector General Report
Recommendations, within 90
days
of
the date
of
this memorandum, please provide
our
office with a written response
that
includes your
(1)
agreement
or
disagreement,
(2)
corrective action plan,
and
(3)
target completion date for
each
recommendation. Also,
please include responsible parties
and
any other supporting documentation necessary
to
inform
us
about the current status
of
the recommendation. Until your response
is
received
and
evaluated, the recommendations will
be
considered open
and
unresolved.
Based
on
information provided
in
your response
to
the draft report, we consider the
second recommendation resolved. Once your office
has
fully implemented the
recommendation, please submit a formal closeout letter
to
us
within 30
days
so
that
we
may close the recommendation(s).
The
memorandum should
be
accompanied by
evidence
of
completion
of
agreed-upon corrective actions
and
of
the disposition
of
any
monetary amounts.
Consistent with our responsibility under the
Inspector General Act, we are providing
copies
of
our report
to
appropriate congressional committees with oversight and
appropriation responsibility over the Department
of
Homeland Security. We will post
the report
on
our website
for
public dissemination.
Please
call me with any questions,
or
your staff may contact Anne Richards,
Assistant Inspector General
for
Audits, at (202) 254-4100.
Attachment
OFFICE OF INSPECTOR GENERAL
Department of Homeland Security
Table of Contents
ExecutiveSummary 1
Background 2
ResultsofAudit 3
DHSInteroperableCommunications 4
AuthorityandResponsibilityforInteroperability 6
Conclusion 8
Recommendations 8
ManagementCommentsandOIGAnalysis 8
Appendices
AppendixA: Objectives,Scope,andMethodology 10
AppendixB: ManagementCommentstotheDraftReport 11
AppendixC: MajorContributorstoThisReport 13
AppendixD: ReportDistribution 14
Abbreviations
DHS DepartmentofHomelandSecurity
GAO U.SGovernmentAccountabilityOffice
JWPMO JointWirelessProgramManagementOffice
MOA MemorandumofAgreement
OIG OfficeofInspectorGeneral
S&T Science&Technology
OFFICE OF INSPECTOR GENERAL
Department of Homeland Security
Executive Summary
TheDepartmentofHomelandSecurity(DHS)includesanamalgamationoforganizations
thatworktogethertopreventandrespondtoterroristattacks,naturaldisasters,and
otherthreats. Suchcollaborationrequiresthatcomponentsestablisheffective
communicationamongexternalandinternalpartnersduringoperations.DHS
establishedaninternalgoalofdevelopinginteroperableradiocommunicationsand
identifiedcommonchannels,anditscomponentsinvestedabout$430millionin
equipment,infrastructure,andmaintenancetomeetcommunicationrequirements. We
performedthisaudittodeterminewhetherDHS’oversightensuredachievementof
Departmentwideinteroperableradiocommunications.
DHSdidnotprovideeffectiveoversighttoensurethatitscomponentsachieved
Departmentwideinteroperableradiocommunications. Itdidnotestablishaneffective
governingstructurethathadtheauthorityandresponsibilitytooverseeitsgoalof
achievingDepartmentwideinteroperability.Withoutagoverningstructure,DHShad
limitedinteroperabilitypoliciesandprocedures,andcomponentpersonneldidnothave
interoperableradiocommunications. Asaresult,only1of479radiouserstestedcould
accessandcommunicateusingthespecifiedcommonchannel.Further,ofthe382
radiostested,only20percent(78)containedallthecorrectprogramsettingsforthe
commonchannel. UntilDHSdevelopsaneffectivegoverningstructureandmakesa
concertedefforttoattainDepartmentwideinteroperability,overallprogresswill
remainlimited.
WemadetworecommendationstoimproveDHS’oversightofinteroperableradio
communications.DHSdidnotconcurwiththefirstrecommendationandconcurred
withthesecondandistakingactiontoimplementtherecommendation.
www.oig.dhs.gov 1 OIG-13-06
OFFICE OF INSPECTOR GENERAL
Department of Homeland Security
Background
TheestablishmentofDHSin2003broughttogetherthefunctionsof22Federal
departmentsandagencies. Asaresult,theDepartmenttodayincludesanetworkof
organizationsthatworktogethertopreventandrespondtoterroristattacks,natural
disasters,andotherthreats. Suchcollaborationrequiresthatcomponentsestablish
effectivecommunicationamongexternalandinternalpartnersduringoperations.DHS
componentsperformdailyoperationstoprotecttheUnitedStatesfromattackand
illegalentry,enforceFederalimmigrationandcustomslaws,andrespondtodisasters.
Duringtheirdailyoperationsandemergencyresponses,componentpersonneldepend
onsecure,reliable,andtimelyaccesstocriticalinformationtocarryouttheirmissions.
DHS’prioritywastoassistStateandlocalfirstresponderswithattaininginteroperable
communications.DHScreatedpolicies,guidance,andtemplatestoaidinachieving
interoperabilityforfirstrespondersandprovidedassistancetoStateandlocalagencies.
Since2003,ithasprovidedabout$18.5billionin FederalHomelandSecuritygrantsto
Stateandlocalgovernmentstoimproveemergencycommunications.Thesegrants
allowedStateandlocalgovernmentstoenhanceinteroperabilityoftheiremergency
responsesystems. AccordingtotheU.S.GovernmentAccountabilityOffice(GAO),these
systemshaveimproved,butfullinteroperabilityremainsadistantgoal.
1
Duringthis
sametime,DHScomponentsinvestedabout$430millionin equipment,infrastructure,
andresourcestomeettheircommunicationneeds.
Radiosystemsallowpersonneltoreceiveorshareinformationthatiscriticalfor
operationalawarenessandpersonnelsafety.DHS’radiosystemsincludehandheldor
mobileradiosandsupportinginfrastructureandservices,andserveabout123,000radio
fieldusers. Figure1showstheapproximatenumberofradiousersforeachcomponent
asofDecember2011.
1
GAO12343, Emergency Communications —Various Challenges Likely to Slow Implementation of a Public
Safety Broadband Network;February2012
www.oig.dhs.gov
2 OIG-13-06
OFFICE OF INSPECTOR GENERAL
Department of Homeland Security
Figure 1: Approximate Number of Radio Users for Each Component, as of December
2011
50,000
40,000
30,000
20,000
10,000
0
45,000
30,000
20,000
13,500
5,100
5,000
4,000
250
CBPCustomsandBorderProtection
TSA–TransportationSecurityAdministration
USCG – UnitedStatesCoastGuard
ICE–ImmigrationandCustomsandEnforcement
USSS–UnitedStates SecretService
FPS–FederalProtective Service
FEMA–FederalEmergencyManagementAgency
FLETC– FederalLawEnforcementTrainingCenter
CBP TSA USCG ICE USSS FPS FEMA FLETC
Source: DHS
Interoperable Radio Communications
DHSpersonnelrequireinteroperabilitytocommunicatebothwithotherDHS
componentsandexternalpartners,includingFederal,State,andlocalentities.DHS
establishedagoalthatallcomponentswouldbeabletocommunicateusing
interoperableradiosystems,anditplannedtoachievethatgoalbyestablishinga
commonradiochannelandpurchasingstandardizedequipment.
Results of Audit
DHSdidnotprovideeffectiveoversighttoensurethatitscomponentsachieved
Departmentwideinteroperablecommunications.Itestablishedagoalforinternal
interoperabilityandestablishedcommonradiochannels. However,only1of479radio
userswereviewedcouldaccessandcommunicateusingthespecifiedcommonchannel.
Further,ofthe382radioswetested,only20percent(78)containedallthecorrect
programsettings,includingthename,forthecommonDHSchannel. DHSdidnot
establishaneffectivegoverningstructurethathadtheauthorityandenforcement
responsibilitytooverseeitsgoalofachievingDepartmentwideinteroperability.Sinceit
didnothaveanauthoritativegoverningstructure,DHShadlimitedinteroperability
policiesandprocedures,andthecomponentsdidnotinformradiousersoftheguidance
thatDHSdeveloped. InternalinteroperabilitywasnotapriorityforDHScomponents,
andtheydidnotexploitopportunitiestoachieveDepartmentwideinteroperable
communications.Asaresult,DHSpersonneldonothavereliableinteroperable
communicationsfordailyoperations,plannedevents,andemergencies.
www.oig.dhs.gov
3
OIG-13-06
• 345(72percent)didnot
knowaboutthechannel.
OFFICE OF INSPECTOR GENERAL
Department of Homeland Security
DHS Interoperable Communications
Radio Users
ComponentpersonneleitherdidnotknowoforcouldnotfindtheDHScommon
channelbecausethecomponentsdidnoteffectivelyinformthemofthecorrect
channel. Weselected479radiouserstodeterminewhethertheycould
communicateusingacommonchannel.
2
Weexaminedinteroperabilityinthe
simplestform—radiotoradiousingthespecifiedcommonchannel. Onlyone
radiousercouldaccessandcommunicateacrossthechannel. Theremaining
478(99.8percent)radiouserswerenotawareofthechannel(345),couldnot
findit(118),orfoundalegacycommonchannel(15)thathadbeentransferred
fromtheDepartmentofTreasurywhenDHSformedin2003. Figure2showsthe
resultsofouranalysisofradiousers.
Figure 2: Reasons Why Radio Users Could Not Communicate Using the
Specified Common Channel
• 118(25percent)knew
ofthechannel,but
couldnotfinditintheir
radios.
• 15(3percent)
founda
legacycommonchannel,
butnotthespecifie
d
channel.
Source:DHSOIG
Radio Programming
DHSdidnotexploitopportunitiestoachieveDepartmentwideinteroperable
communications.DHS’NationalInteroperabilityFieldOperationsGuide
identified18Federalinteroperablechannelsandencouragedcomponent
personneltoprogramradioswiththechannels.Wereviewedradiofrequencies
2
DHSidentifiedtwochannelsforinteroperability.Weselectedthechannelthatpersonnelcoulduse
withoutsupportinginfrastructure.
www.oig.dhs.gov
4 OIG-13-06
OFFICE OF INSPECTOR GENERAL
Department of Homeland Security
todeterminewhethercomponentpersonnelprogrammedtheradioswithboth
theDHScommonchannelandaFederalinteroperablechannel.
Ofthe479radiouserstested,wedownloadedinformationfrom382oftheir
radios.
3
Weanalyzedabout96,000channelsprogrammedintotheradiosto
determinewhetherthecomponentsprogrammedspecifiedinformation,
includingchannelnameandfrequency.Ouranalysisshowedthatallofthe
radioswerecapableofinteroperability;however,componentpersonneldidnot
programamajorityofradioswiththecorrectinteroperablechannelsettings.In
somecases,componentpersonneldidnotprogramthefrequenciesintothe
radios. Inothercases,componentpersonnelprogrammedthecorrect
frequency,butoneormoreprogramsettingswerenotconsistentwithguidance.
Thefollowingshowstheresultsofourradioprogramminganalysisofthe
interoperablechannels.
DHS Common Channel
• 205(54percent)didnotcontainthecommonfrequency;
• 99(26percent)containedthecommonfrequency;however,oneormoreof
theprogramsettingswerenotinaccordancewiththedefined
interoperabilitysettings;and
• 78(20percent)containedallthecorrectprogramsettings,includingthe
name.
Federal Interoperability Channel
• 111(29percent)didnotcontaintheFederalfrequency;
• 170(45percent)containedtheFederalfrequency;however,oneormoreof
theprogramsettingswerenotinaccordancewiththedefined
interoperabilitysettings;and
• 101(26percent)containedallthecorrectprogramsettings,includingthe
name.
Ouranalysisalsoshowedthatcomponentpersonneldidnotprogramchannel
namesaccordingtoguidanceordidnotdefinechannelnames.Forexample,we
identified99radiosthatcontainedtheDHScommonfrequencyanddetermined
3
Wewereunabletoobtaininformationfor97radiosforvariousreasons,suchasthefactthatour
softwarewasunabletoreadtheradios.
www.oig.dhs.gov
5 OIG-13-06
OFFICE OF INSPECTOR GENERAL
Department of Homeland Security
thatthecomponentsused23namevariationsforthefrequency.Accordingto
GAO,consistentnamingconventionsarenecessarytoachieveinteroperability.
4
GAOfoundlittleuniformityinthenamingofradiochannelsusedbyfirst
responders—thissamerequirementappliestointernalDHSinteroperability.
Authority and Responsibility for Interoperability
DHS Structure
DHSdidnotestablishaneffectivegoverningstructurethathadtheauthorityand
responsibilitytooverseeitsgoalofachievingDepartmentwideinteroperability.
AccordingtotheOfficeofManagementandBudget,aneffectivegoverning
structureincludesclearlydefinedareasofresponsibility,appropriatelydelegated
authority,andasuitablehierarchyforreporting. DHScreatedworkinggroups,
committees,andofficestoexploreDepartmentwidecommunicationissues,
includinginteroperability. However,nonehadtheauthoritytoimplementand
enforcetheirrecommendations.Tomanageradiocommunicationissues,DHS—
• In2003,establishedtheNationalWirelessManagementOfficetodevelop
policiesforDepartmentwideinteroperability;
• In2006,transformedtheNationalWirelessManagementOfficeintothe
WirelessServicesBranch,whichestablishedtheWirelessWorkingGroupto
ensurethatDHSwideapproachestowirelesscommunicationswere
developedandimplementedinanintegratedmanner;
• In2009,establishedtheOneDHSEmergencyCommunicationsCommitteeto
coordinateDepartmentwideemergencycommunications;and
• In2011,directedtheExecutiveSteeringCommitteetocreatetheJoint
WirelessProgramManagementOffice(JWPMO)tocoordinatewireless
communicationactivitiesanddevelopsolutionsfornewtechnology.
ThemultiplemanagementandorganizationalchangeshinderedDHS’abilityto
provideeffectiveoversight. Componentsindependentlydevelopedand
managedtheirownradioprogramswithnoformalcoordinationfromDHS.In
October2011,theOneDHSEmergencyCommunicationsCommitteeprepareda
Departmentwidemissionneedsstatement,whichsaidthatDHSradiousers
requireinteroperabilitytocommunicatewithotherDHScomponentsandwith
4
GAO09604,Emergency Communications—Vulnerabilities Remain and Limited Collaboration and
Monitoring Hamper Federal Effort, June2009.
www.oig.dhs.gov
6 OIG-13-06
OFFICE OF INSPECTOR GENERAL
Department of Homeland Security
Federal,State,local,andtribalentities.DHS’ExecutiveSteeringCommittee
developedadraftchartertocreatetheJWPMO.
AccordingtotheJWPMO’sdraftcharter,theJWPMOwillcoordinate
DepartmentwideradioactivitiesandexecutetheOneDHSEmergency
CommunicationsCommittee’sstrategies,plans,andpolicies. Itwillbecomposed
ofdedicatedDepartmentresourcesand,asappropriate,representativesfrom
otherFederalagencies.Eachofthecomponentswillcontributeresourcesin
accordancewithaMemorandumofAgreement(MOA).Componentswilltailor
theirownagreementsthatdefinetheirlevelofparticipation.Atthetimeofour
review,thecomponentshadnotpreparedtheiragreements.Effectively,the
JWPMOhasnoauthoritytoimplementandenforcestandardizedpoliciesand
procedurestotakeadvantageofinteroperabilityopportunities.Figure3shows
DHS’currentorganizationalstructure.
Figure 3: Current DHS Communications Structure
One DHS Emergency
Communications Committee:
DevelopsDHSstrategyand
policyforinteroperabilityand
emergencycommunications
.
Executive Steering
Committee and JWPMO:
Coordinatecommunication
programactivities.
Components: Manage
theircommunication
programs.
Source: DHS
Policies and Procedures
Becauseitdidnothaveanauthoritativegoverningstructure,DHShadlimited
policiesandproceduresrelatedtointeroperability. InMarch2003, DHSissued
ManagementDirective4100,Wireless Management Office, whichstatedthatthe
NationalWirelessManagementOfficewouldensureinteroperabilityforDHS
www.oig.dhs.gov
7
OIG-13-06
[...]... 13 OIG-13-06 OFFICE OF INSPECTOR GENERAL Department of Homeland Security Appendix D Report Distribution Department of Homeland Security Secretary Deputy Secretary Chief of Staff Deputy Chief of Staff General Counsel Executive Secretary Director, GAO/OIG Liaison Office Assistant Secretary for Office of Policy Assistant Secretary for Office of Public Affairs Assistant Secretary for Office of Legislative... General Act of 1978 This is one of a series of audit, inspection, and special reports prepared as part of our oversight responsibilities to promote economy, efficiency, and effectiveness within the Department This report provides the results of our work to determine whether DHS’ oversight ensured Department-wide interoperable radio communications To achieve our objectives, we— • Interviewed DHS officials... IG l.iaison Office Interoperable Com munications" Thank you for the opportunity to rev iew and comment on this draft report The U.S, Department of lI omeland Security (O l-IS) apprec ia tes the Office of Inspcc L General's (DIG's) work in planning and or conducting its review and issuing this report The Secretary and Deputy Secretary made a priori ty of advanci ng interoperable emergency communications. .. provides a copy of the Departmental interoperability plan and its policy and procedures to standardize department-wide radio activities www.oig.dhs.gov 9 OIG-13-06 OFFICE OF INSPECTOR GENERAL Department of Homeland Security Appendix A Objectives, Scope, and Methodology The Department of Homeland Security (DHS) Office of Inspector General (OIG) was established by the Homeland Security Act of 2002 (Public... Privacy Officer Office of Management and Budget Chief, Homeland Security Branch DHS OIG Budget Examiner Congress Congressional Oversight and Appropriations Committees, as appropriate www.oig.dhs.gov 14 OIG-13-06 ADDITIONAL INFORMATION AND COPIES To obtain additional copies of this document, please call us at (202) 254-4100, fax your request to (202) 254-4305, or e-mail your request to our Office of Inspector... on the draft report from DHS’ Departmental GAO-OIG Liaison Office We reviewed the comments and, where appropriate, made changes to the report According to its response to the draft report, DHS did not concur with recommendation #1 and concurred with recommendation www.oig.dhs.gov 8 OIG-13-06 OFFICE OF INSPECTOR GENERAL Department of Homeland Security #2 We included a copy of the management comments... them to enlmncc the in teropcrability of their eme rgency response systems While significant progress has been made in assis ting OIlS 's external pon.ncrs in attaining interoperable communications, the Department acknowlcdges it has had some challenges in achiev ing Department~w i de interoperable communications goals The Department learned from th e weaknesses ofthe initial management efforts and... Office of Inspector General (OIG) Office of Public Affairs at: DHS-OIG.OfficePublicAffairs@oig.dhs.gov For additional information, visit our website at: www.oig.dhs.gov, or follow us on Twitter at: @dhsoig OIG HOTLINE To expedite the reporting of alleged fraud, waste, abuse or mismanagement, or any other kinds of criminal or noncriminal misconduct relative to Department of Homeland Security (DHS) programs... did not inform their radio users of the common channels and did not program the radios consistent with the guidance Conclusion DHS did not provide effective oversight to ensure that its components achieved Department-wide interoperable radio communications It did not establish an effective governing structure that had the authority and responsibility to oversee its goal of achieving Department-wide interoperability...OFFICE OF INSPECTOR GENERAL Department of Homeland Security components However, it did not provide policy to components to standardize Department-wide radio activities In 2009, the Wireless Working Group identified and recommended that the components use the common channels for seamless interoperable communications In response, the Wireless Services . Department of Homeland Security
DHS’ Oversight of Interoperable Communications
OIG-13-06
November 2012
OFFICE
OF
INSPECTOR GENERAL
Department
of.
DHS' Oversight
of
Interoperable Communications
Attached
for
your action
is
our final report,
DHS'
Oversight
of
Interoperable
Communications.
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