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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 GAOOIG 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 Executive Summary............................................................................................................. 1 Background ......................................................................................................................... 2 Results of Audit ................................................................................................................... 3 DHS Interoperable Communications ............................................................................ 4 Authority and Responsibility for Interoperability ......................................................... 6 Conclusion ..................................................................................................................... 8 Recommendations ........................................................................................................ 8 Management Comments and OIG Analysis .................................................................. 8 Appendices Appendix A: Appendix B: Appendix C: Appendix D: Objectives, Scope, and Methodology ................................................. 10 Management Comments to the Draft Report .................................... 11 Major Contributors to This Report ..................................................... 13 Report Distribution ............................................................................. 14 Abbreviations DHS GAO JWPMO MOA OIG S&T Department of Homeland Security U.S Government Accountability Office Joint Wireless Program Management Office Memorandum of Agreement Office of Inspector General Science &Technology OFFICE OF INSPECTOR GENERAL Department of Homeland Security Executive Summary The Department of Homeland Security (DHS) includes an amalgamation of organizations that work together to prevent and respond to terrorist attacks, natural disasters, and other threats. Such collaboration requires that components establish effective communication among external and internal partners during operations. DHS established an internal goal of developing interoperable radio communications and identified common channels, and its components invested about $430 million in equipment, infrastructure, and maintenance to meet communication requirements. We performed this audit to determine whether DHS’ oversight ensured achievement of Department-wide interoperable radio communications. 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. Without a governing structure, DHS had limited interoperability policies and procedures, and component personnel did not have interoperable radio communications. As a result, only 1 of 479 radio users tested could access and communicate using the specified common channel. Further, of the 382 radios tested, only 20 percent (78) contained all the correct program settings for the common channel. Until DHS develops an effective governing structure and makes a concerted effort to attain Department-wide interoperability, overall progress will remain limited. We made two recommendations to improve DHS’ oversight of interoperable radio communications. DHS did not concur with the first recommendation and concurred with the second and is taking action to implement the recommendation. www.oig.dhs.gov 1 OIG-13-06 OFFICE OF INSPECTOR GENERAL Department of Homeland Security Background The establishment of DHS in 2003 brought together the functions of 22 Federal departments and agencies. As a result, the Department today includes a network of organizations that work together to prevent and respond to terrorist attacks, natural disasters, and other threats. Such collaboration requires that components establish effective communication among external and internal partners during operations. DHS components perform daily operations to protect the United States from attack and illegal entry, enforce Federal immigration and customs laws, and respond to disasters. During their daily operations and emergency responses, component personnel depend on secure, reliable, and timely access to critical information to carry out their missions. DHS’ priority was to assist State and local first responders with attaining interoperable communications. DHS created policies, guidance, and templates to aid in achieving interoperability for first responders and provided assistance to State and local agencies. Since 2003, it has provided about $18.5 billion in Federal Homeland Security grants to State and local governments to improve emergency communications. These grants allowed State and local governments to enhance interoperability of their emergency response systems. According to the U.S. Government Accountability Office (GAO), these systems have improved, but full interoperability remains a distant goal. 1 During this same time, DHS components invested about $430 million in equipment, infrastructure, and resources to meet their communication needs. Radio systems allow personnel to receive or share information that is critical for operational awareness and personnel safety. DHS’ radio systems include handheld or mobile radios and supporting infrastructure and services, and serve about 123,000 radio field users. Figure 1 shows the approximate number of radio users for each component as of December 2011. 1 GAO-12-343, Emergency Communications —Various Challenges Likely to Slow Implementation of a Public Safety Broadband Network; February 2012 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 45,000 CBP - Customs and Border Protection TSA – Transportation Security Administration USCG – United States Coast Guard ICE – Immigration and Customs and Enforcement USSS – United States Secret Service FPS – Federal Protective Service FEMA – Federal Emergency Management Agency FLETC – Federal Law Enforcement Training Center 40,000 30,000 30,000 20,000 20,000 13,500 10,000 5,100 5,000 4,000 250 0 CBP TSA USCG ICE USSS FPS FEMA FLETC Source: DHS Interoperable Radio Communications DHS personnel require interoperability to communicate both with other DHS components and external partners, including Federal, State, and local entities. DHS established a goal that all components would be able to communicate using interoperable radio systems, and it planned to achieve that goal by establishing a common radio channel and purchasing standardized equipment. Results of Audit DHS did not provide effective oversight to ensure that its components achieved Department-wide interoperable communications. It established a goal for internal interoperability and established common radio channels. However, only 1 of 479 radio users we reviewed could access and communicate using the specified common channel. Further, of the 382 radios we tested, only 20 percent (78) contained all the correct program settings, including the name, for the common DHS channel. DHS did not establish an effective governing structure that had the authority and enforcement responsibility to oversee its goal of achieving Department-wide interoperability. Since it did not have an authoritative governing structure, DHS had limited interoperability policies and procedures, and the components did not inform radio users of the guidance that DHS developed. Internal interoperability was not a priority for DHS components, and they did not exploit opportunities to achieve Department-wide interoperable communications. As a result, DHS personnel do not have reliable interoperable communications for daily operations, planned events, and emergencies. www.oig.dhs.gov 3 OIG-13-06 OFFICE OF INSPECTOR GENERAL Department of Homeland Security DHS Interoperable Communications Radio Users Component personnel either did not know of or could not find the DHS common channel because the components did not effectively inform them of the correct channel. We selected 479 radio users to determine whether they could communicate using a common channel.2 We examined interoperability in the simplest form—radio to radio using the specified common channel. Only one radio user could access and communicate across the channel. The remaining 478 (99.8 percent) radio users were not aware of the channel (345), could not find it (118), or found a legacy common channel (15) that had been transferred from the Department of Treasury when DHS formed in 2003. Figure 2 shows the results of our analysis of radio users. Figure 2: Reasons Why Radio Users Could Not Communicate Using the Specified Common Channel • 345 (72 percent) did not know about the channel. • 118 (25 percent) knew of the channel, but could not find it in their radios. • 15 (3 percent) found a legacy common channel, but not the specified channel. Source: DHS OIG Radio Programming DHS did not exploit opportunities to achieve Department-wide interoperable communications. DHS’ National Interoperability Field Operations Guide identified 18 Federal interoperable channels and encouraged component personnel to program radios with the channels. We reviewed radio frequencies 2 DHS identified two channels for interoperability. We selected the channel that personnel could use without supporting infrastructure. www.oig.dhs.gov 4 OIG-13-06 OFFICE OF INSPECTOR GENERAL Department of Homeland Security to determine whether component personnel programmed the radios with both the DHS common channel and a Federal interoperable channel. Of the 479 radio users tested, we downloaded information from 382 of their radios. 3 We analyzed about 96,000 channels programmed into the radios to determine whether the components programmed specified information, including channel name and frequency. Our analysis showed that all of the radios were capable of interoperability; however, component personnel did not program a majority of radios with the correct interoperable channel settings. In some cases, component personnel did not program the frequencies into the radios. In other cases, component personnel programmed the correct frequency, but one or more program settings were not consistent with guidance. The following shows the results of our radio programming analysis of the interoperable channels. DHS Common Channel • 205 (54 percent) did not contain the common frequency; • 99 (26 percent) contained the common frequency; however, one or more of the program settings were not in accordance with the defined interoperability settings; and • 78 (20 percent) contained all the correct program settings, including the name. Federal Interoperability Channel • 111 (29 percent) did not contain the Federal frequency; • 170 (45 percent) contained the Federal frequency; however, one or more of the program settings were not in accordance with the defined interoperability settings; and 101 (26 percent) contained all the correct program settings, including the name. • Our analysis also showed that component personnel did not program channel names according to guidance or did not define channel names. For example, we identified 99 radios that contained the DHS common frequency and determined 3 We were unable to obtain information for 97 radios for various reasons, such as the fact that our software was unable to read the radios. www.oig.dhs.gov 5 OIG-13-06 OFFICE OF INSPECTOR GENERAL Department of Homeland Security that the components used 23 name variations for the frequency. According to GAO, consistent naming conventions are necessary to achieve interoperability. 4 GAO found little uniformity in the naming of radio channels used by first responders—this same requirement applies to internal DHS interoperability. Authority and Responsibility for Interoperability DHS Structure DHS did not establish an effective governing structure that had the authority and responsibility to oversee its goal of achieving Department-wide interoperability. According to the Office of Management and Budget, an effective governing structure includes clearly defined areas of responsibility, appropriately delegated authority, and a suitable hierarchy for reporting. DHS created working groups, committees, and offices to explore Department-wide communication issues, including interoperability. However, none had the authority to implement and enforce their recommendations. To manage radio communication issues, DHS— • In 2003, established the National Wireless Management Office to develop policies for Department-wide interoperability; • In 2006, transformed the National Wireless Management Office into the Wireless Services Branch, which established the Wireless Working Group to ensure that DHS-wide approaches to wireless communications were developed and implemented in an integrated manner; • In 2009, established the One DHS Emergency Communications Committee to coordinate Department-wide emergency communications; and • In 2011, directed the Executive Steering Committee to create the Joint Wireless Program Management Office (JWPMO) to coordinate wireless communication activities and develop solutions for new technology. The multiple management and organizational changes hindered DHS’ ability to provide effective oversight. Components independently developed and managed their own radio programs with no formal coordination from DHS. In October 2011, the One DHS Emergency Communications Committee prepared a Department-wide mission needs statement, which said that DHS radio users require interoperability to communicate with other DHS components and with 4 GAO 09-604, Emergency Communications—Vulnerabilities Remain and Limited Collaboration and Monitoring Hamper Federal Effort, June 2009. www.oig.dhs.gov 6 OIG-13-06 OFFICE OF INSPECTOR GENERAL Department of Homeland Security Federal, State, local, and tribal entities. DHS’ Executive Steering Committee developed a draft charter to create the JWPMO. According to the JWPMO’s draft charter, the JWPMO will coordinate Department-wide radio activities and execute the One DHS Emergency Communications Committee’s strategies, plans, and policies. It will be composed of dedicated Department resources and, as appropriate, representatives from other Federal agencies. Each of the components will contribute resources in accordance with a Memorandum of Agreement (MOA). Components will tailor their own agreements that define their level of participation. At the time of our review, the components had not prepared their agreements. Effectively, the JWPMO has no authority to implement and enforce standardized policies and procedures to take advantage of interoperability opportunities. Figure 3 shows DHS’ current organizational structure. Figure 3: Current DHS Communications Structure One DHS Emergency Communications Committee: Develops DHS strategy and policy for interoperability and emergency communications. Executive Steering Committee and JWPMO: Coordinate communication program activities. Components: Manage their communication programs. Source: DHS Policies and Procedures Because it did not have an authoritative governing structure, DHS had limited policies and procedures related to interoperability. In March 2003, DHS issued Management Directive 4100, Wireless Management Office, which stated that the National Wireless Management Office would ensure interoperability for DHS www.oig.dhs.gov 7 OIG-13-06