Department of Homeland Security 

The State of Louisiana’s Management of 

State Homeland Security Program and 

Urban Areas Security Initiative Grants 

Awarded During Fiscal Years 

2007 through 2009 

OIG-12-03 November 2011 
Homeland Homeland

Security Security

Office Offce of o/1nspector Inspector General General

U.S. U.S. Department of Homeland Security Department of Homeland Security

Washington, Washington, DC 20528 DC 20528

NOV ,~ 2011 NOV 7.~ 2011

Preface Preface

The Department of The Department ofHomeland Security (DHS) Office ofInspector General (OIG) was Homeland Security (DHS) Office ofInspector General (OIG) was

established by the Homeland Security Act of2002 (Public Law 107-296) by amendment established by the Homeland Security Act of2002 (Public Law 107-296) by amendment

to the Inspector General Act of 1978. This is one of a series of audit, inspection, and to the Inspector General Act of1978. This is one of a series of audit, inspection, and

special reports prepared as part of our oversight responsibilities to promote economy, special reports prepared as part of our oversight responsibilities to promote economy,

efficiency, and effectiveness within the Department. efficiency, and effectiveness within the Department.

This report addresses the State of This report addresses the State ofLouisiana's management of Louisiana's management ofState Homeland Security State Homeland Security

Program and Urban Areas Security Initiative grants. It is based on interviews with Program and Urban Areas Security Initiative grants. It is based on interviews with

employees and officials of relevant agencies and institutions, direct observations, and a employees and officials ofrelevant agencies and institutions, direct observations, and a

review of applicable documents. review of applicable documents.

The recommendations herein have been developed to the best knowledge available to our The recommendations herein have been developed to the best knowledge available to our

office, and have been discussed in draft with those responsible for implementation. We office, and have been discussed in draft with those responsible for implementation. We

trust this report wil result in more effective, effcient, and economical operations. We trust this report will result in more effective,

express our appreciation to all of those who contributed to the preparation of this report. ofthose

~~~

efficient, and economical operations. We

express our appreciation to all who contributed to the preparation ofthis report.

~:;(~ Anne L. Richards Anne L. Richards

Assistant Inspector General for Audits Assistant Inspector General for Audits
 

 

 

 

 

 

 

 

Executive Summary ........................................................................................................... 1 


Background ........................................................................................................................ 2 


Results of Audit ................................................................................................................. 2 


Louisiana’s Management Practices Were Generally Effective, but 


Require Some Improvements..................................................................................... 2 


Establish Measurable Goals and Objectives ................................................................ 3 


Recommendation ......................................................................................................... 4 


Management Comments and OIG Analysis ................................................................ 4 


Enhance Subgrantee Monitoring ................................................................................. 4 


Recommendation ......................................................................................................... 6 


Management Comments and OIG Analysis ................................................................ 6 


Implement Multi-Year Training and Exercise Plan ..................................................... 7 


Recommendation ......................................................................................................... 8 


Management Comments and OIG Analysis .................................................................8 


Appendices 

Appendix A: Purpose, Scope, and Methodology ....................................................... 9 


Appendix B: Management Comments to the Draft Report ..................................... 12 


Appendix C: Homeland Security Grant Program Background ............................... 16 


Appendix D: Louisiana Governor’s Office of Homeland Security and Emergency 


Preparedness Organization Chart........................................................ 17 


Appendix E: Map of Louisiana’s Nine Homeland Security Regions ..................... 18 


Appendix F: Major Contributors to this Report ...................................................... 19 


Appendix G: Report Distribution ............................................................................ 20 


 

Table of Contents/Abbreviations 


Abbreviations 

CFR Code of Federal Regulations 


DHS Department of Homeland Security 


FEMA Federal Emergency Management Agency
 

FY fiscal year
 

OIG Office of Inspector General 


SAA State Administrative Agency 


SHSP State Homeland Security Program 


UASI Urban Areas Security Initiative 

 

OIG
 

Department of Homeland Security 

Office of Inspector General 

Executive Summary 

Public Law 110-53, Implementing Recommendations of the 9/11 

Commission Act of 2007, requires the Department of Homeland 

Security, Office of Inspector General, to audit individual states’ 

management of State Homeland Security Program and Urban 

Areas Security Initiative grants. This report responds to the 

reporting requirement for the State of Louisiana. 

The objectives of the audit were to determine if the State of 

Louisiana distributed and spent State Homeland Security Program 

and Urban Areas Security Initiative grant funds effectively and 

efficiently and in compliance with applicable federal laws and 

regulations. We also assessed the extent to which grant funds 

enhanced Louisiana’s ability to prevent, prepare for, protect 

against, and respond to natural disasters, acts of terrorism, and 

other man-made disasters. The audit included a review of 

approximately $59.2 million in State Homeland Security Program 

and Urban Areas Security Initiative grant funds awarded to 

Louisiana during fiscal years 2007 through 2009. 

Generally, the State of Louisiana administered grant program 

requirements effectively and efficiently and in compliance with 

grant guidance and regulations. Louisiana linked program goals and 

objectives to national priorities and Department of Homeland 

Security mission areas. Grant funds were spent on allowable items 

and activities, and adequate controls existed over the approval of 

expenditures and reimbursement of funds. However, improvements 

are needed in measuring goals and objectives, subgrantee 

monitoring, and multi-year training and exercise plans. 

We made three recommendations to the Federal Emergency 

Management Agency to initiate improvements that, when 

implemented, should strengthen program management, 

performance, and oversight. Written comments to the draft report 

are incorporated as appropriate and included in their entirety in 

appendix B. 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 1
 
 

Background 

The Department of Homeland Security (DHS) provides federal 

funding through the Homeland Security Grant Program to help 

state and local agencies enhance capabilities to prevent, deter, 

respond to, and recover from terrorist attacks, major disasters, and 

other emergencies. Appendix C contains additional details 

regarding the Homeland Security Grant Program. 

In Louisiana, the State Administrative Agency (SAA) is the 

Governor’s Office of Homeland Security and Emergency 

Preparedness, which administers the Homeland Security Grant 

Program. The SAA is responsible for managing the grant 

programs in accordance with established federal guidelines and 

allocating funds to local, regional, and other state government 

agencies. The Louisiana SAA organization is depicted in appendix 

D. 

The SAA subawarded the Homeland Security Grant Program funds 

to Louisiana’s nine homeland security regions and various State 

agencies. The location and parishes within Louisiana’s nine 

regions are illustrated in appendix E. 

During fiscal years (FYs) 2007 through 2009, the Federal 

Emergency Management Agency (FEMA) awarded the State of 

Louisiana approximately $40.4 million in State Homeland Security 

Program (SHSP) funds, and approximately $18.8 million in Urban 

Areas Security Initiative (UASI) grant funds for a total of 

$59.2 million in Homeland Security Grants. Appendix A provides 

details on the purpose, scope, and methodology for this audit. 

Results of Audit 

Louisiana’s Management Practices Were Generally Effective, but 

Require Some Improvements 

Generally, the State of Louisiana distributed and spent SHSP and UASI 

grant funds effectively and efficiently and in compliance with applicable 

federal laws and regulations. It did an effective job of developing its 

Homeland Security Strategic Plan, and allocated and spent funds based on 

national and state priorities. However, Louisiana could improve its 

management by— 

Establishing measurable goals and objectives; 

Enhancing subgrantee monitoring; and 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 2
 
Implementing multiyear training and exercise plans. 

Establish Measurable Goals and Objectives 

Louisiana’s Homeland Security Strategy included goals and objectives 

linked to the National Priorities (see appendix C). The strategy also 

addressed each of the four mission areas (prevention, protection, response, 

and recovery) and was developed using a baseline risk assessment. 

Although the objectives were focused and aligned with the National 

Priorities, they did not include metrics by which to measure performance. 

Only 1 of the 11 goals we reviewed included a time-limited objective. 

For example, the third goal in Louisiana’s 2005 Homeland Security 

Strategy, “To maintain and increase the State, regional and local Terrorism 

Early Warning, Intelligence and Information Sharing program by 

expanding the capabilities of the State Fusion Center and existing 

Homeland Security Information/Intelligence nodes,” does not include 

measurable objectives. Although the goal’s objectives describe how to 

achieve the goal (e.g., “Ensure that the fusion process is fully capable of 

communicating effectively and efficiently with the Federal 

Government...”), the objective is not measurable or quantifiable because it 

does not define what Louisiana deems “effective and efficient.” In 

addition, the goal and objectives do not identify a target date when the 

objectives should be achieved. 

According to the State and Urban Area Homeland Security Strategy, 

Guidance on Aligning Strategies with the National Preparedness Goal, the 

SAA or Urban Area Working Groups should assess the strategy’s 

objectives to determine whether the measures are meaningful, the 

measurement methodology is sound, and the measures can be verified 

with reliable data. 

Louisiana SAA officials acknowledged that they do not have a formal 

overall means of measuring improved capabilities or program 

achievements, and that evaluating trend analysis is difficult owing to 

yearly changes to the measures of specific program elements or priorities. 

Without specific and measurable goals and objectives, neither the SAA 

nor FEMA can determine whether capabilities for preparedness improved 

as a result of Homeland Security Grant funding. 

SAA officials and urban area directors have not implemented performance 

measurement tools, in part because (1) FEMA approved the current 

strategies, including the existing performance measures, and (2) the SAA 

was assured that it would receive FEMA’s assistance in developing useful 

performance measures, but it has yet to receive any such assistance. 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 3
 
 

Recommendation 

We recommend that the Assistant Administrator, Grant Programs 

Directorate, require the Director of the Louisiana State Governor’s 

Office of Homeland Security and Emergency Preparedness to— 

Recommendation #1: Develop Homeland Security strategic goals 

and objectives that are specific, measurable, achievable, resultsoriented, and time-limited, and include associated performance 

measures in its strategic plan. 

Management Comments and OIG Analysis 

FEMA concurs with the intent of recommendation 1. FEMA is 

revising the guidance and the content of the Homeland Security 

strategy, which is anticipated for release in the fall of 2011. The 

Preparedness Grants Division will require the Director of the 

Louisiana State Governor’s Office of Homeland Security and 

Emergency Preparedness to update its strategy and comply with 

revised Homeland Security strategy guidelines within 120 days of 

the release of the revised guidance. 

The Louisiana State Governor’s Office of Homeland Security and 

Emergency Preparedness stated that it will develop specific, 

measurable, achievable, results-oriented, and time-limited 

objectives in its strategy. 

The responses of FEMA and the Louisiana State Governor’s 

Office of Homeland Security and Emergency Preparedness include 

positive steps for implementing the recommendation. However, 

until a firm timetable for implementing the recommendation is 

provided, this recommendation will remain unresolved and open. 

Enhance Subgrantee Monitoring 

Although the SAA provides acceptable financial monitoring for 

expenditures and reimbursements, it does not have adequate oversight to 

ensure that subgrantees comply with all federal requirements. The SAA’s 

monitoring processes are not sufficient to identify subgrantees’ lack of 

compliance with federal financial and equipment-related requirements. 

We reviewed 17 subgrantee financial records and determined that 5 of the 

17 did not include required information such as records of expenditures, 

obligations, unobligated balances, and liabilities. 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 4
 
We also reviewed the equipment property records of 16 subgrantees and 

determined that 7 did not include pertinent information such as acquisition 

dates, serial numbers, cost, or location. (One regional subgrantee did not 

maintain equipment inventory records for constituent parishes, so its 

compliance with equipment requirements was not tested.) 

Grantees and subgrantees receiving SHSP and UASI grant funds are 

required to comply with all applicable laws, regulations, and program 

guidance. The Code of Federal Regulations (CFR), Title 44 §13.20, 

requires grantees and subgrantees to maintain records that adequately 

identify the source and application of funds provided for financially 

assisted activities. These records must include grant or subgrant awards 

and authorizations, obligations, unobligated balances, assets, liabilities, 

outlays or expenditures, and income. 

Grantees and subgrantees must maintain equipment records sufficient to 

detail significant procurement history. According to 44 CFR 13.32(d)(1), 

property inventory records must include the following 11 data elements 

for each item: unit cost, description, source, acquisition date, 

identification number, location, title holder, use and condition, percentage 

purchased with federal funds, ultimate disposition date, and sales price. In 

addition, a control system must ensure adequate safeguards to prevent 

loss, damage, or theft of the property; and any loss, damage, or theft must 

be investigated according to 44 CFR 13.32(d)(3). 

Inaccurate, incomplete, and missing records impede subgrantees’ ability to 

make sound management decisions regarding future equipment needs and 

duplicate purchases. In addition, the SAA does not have reasonable 

assurances that assets procured with federal funds are adequately 

safeguarded to prevent loss, damage, theft, or abuse. 

Before August 2010, the SAA relied solely on regional coordinators to 

conduct site visits to verify compliance with federal requirements for SHSP 

and UASI grants. In 2009, the regional coordinators conducted site visits 

for only 25 of the 63 State Homeland Security Program subgrantees—fewer 

than 50% of subgrantees. When conducting the monitoring site visits, the 

coordinator used a checklist of general questions to evaluate compliance. 

However, the checklist did not specifically address standards for financial 

management systems in 44 CFR 13.20 and equipment in 44 CFR 13.32. 

Therefore, the number of site visits and the criteria used for evaluation were 

not sufficient to identify noncompliance. 

In August 2010, the SAA transferred subgrantee site monitoring 

responsibilities to the Governor’s Office of Homeland Security and 

Emergency Preparedness Management, Finance, and Interoperability 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 5
 
division. The transfer improved verification of subgrantee compliance 

with equipment property records in 44 CFR 13.32, but the division’s 

monitoring plan does not include steps to validate compliance with all the 

standards for financial management in 44 CFR 13.20. 

Monitoring assesses the quality of program performance over time and 

ensures that grant activities comply with federal regulations. If 

monitoring is not improved, the SAA is at increased risk that it will not 

detect fraud at the subgrantee level and has no assurance that subgrantees 

are following federal guidelines. 

Recommendation 

We recommend that the Assistant Administrator, Grant Programs 

Directorate, require the Director of the Louisiana State Governor’s 

Office of Homeland Security and Emergency Preparedness to— 

Recommendation #2: Review the effectiveness of its current 

subgrantee monitoring processes and implement additional 

procedures to ensure compliance with all federal and grant 

requirements. 

Management Comments and OIG Analysis 

FEMA concurs with recommendation 2. FEMA requests that the 

Louisiana State Governor’s Office of Homeland Security and 

Emergency Preparedness revise its Homeland Security Grant 

Program monitoring policy to include requirements associated with 

financial management and equipment/property records. The State 

must submit the revised policy to the Grants Program Directorate 

within 90 days of the receipt of the final report. In addition, the 

revised policy should ensure that the criteria for determining 

compliance with the program’s applicable federal rules and 

regulations are clearly communicated and can be assessed 

accordingly. FEMA also requests that the revised monitoring plan 

incorporate any applicable findings from past financial monitoring 

reviews conducted by FEMA Region VI Grants Management 

Branch to ensure that all necessary areas are covered. 

The Louisiana State Governor’s Office of Homeland Security and 

Emergency Preparedness stated that it will implement additional 

procedures to enhance the monitoring system currently in place 

and ensure subgrantee compliance with all federal and grant 

requirements. 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 6
 
The actions proposed by both FEMA and the Louisiana State 

Governor’s Office of Homeland Security and Emergency 

Preparedness meet the intent of the recommendation. If properly 

implemented, the actions identified in the responses should address 

the conditions identified during the audit. This recommendation is 

considered resolved and open, pending final implementation of the 

proposed corrective actions. 

Implement Multi-Year Training and Exercise Plan 

Although the training of first responders and emergency operations 

personnel is a critical factor of preparedness, the New Orleans Urban Area 

does not yet have a multi-year training and exercise plan for its region. 

According to the FY 2007 Department of Homeland Security grant 

guidance, which is based on the September 2007 Department of Homeland 

Security National Preparedness Guidelines, urban areas were each 

required to develop a multi-year training and exercise plan. For FYs 2008 

and 2009, the grant guidance was updated to require all urban areas to 

submit their multi-year training and exercise plans to FEMA annually. 

The New Orleans Urban Area explained that it did not have a multi-year 

training plan because it relied on a University of New Orleans consortium 

to develop a plan. However, the consortium was abolished in 2009 

because of budget shortfalls. The New Orleans Urban Area has not been 

able to obtain its training records and training and exercise plan from the 

University of New Orleans. 

As a result of FEMA’s August 2010 UASI Programmatic Monitoring 

visit, FEMA required the New Orleans Urban Area to develop a multiyear training and exercise plan by April 2011. Subsequently, in December 

2010, the New Orleans UASI was selected by the Texas A&M University 

System’s Texas Engineering Extension Service as a pilot site for its 

Training Needs Assistance Project. The project staff intends to conduct 

needs assessments of functional skills required by first responders, identify 

DHS-approved training courses that meet their needs, and develop a 

3-year training schedule to deliver the courses to regional first responders. 

The pilot should result in a fully developed multi-year training plan. In 

addition, UASI officials stated that the SAA is actively assisting them in 

identifying and integrating local, regional, state, and federal exercises into 

a single document that will become its exercise plan. 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 7
 
Recommendation 

We recommend that the Assistant Administrator, Grant Programs 

Directorate, require the Director of the Louisiana State Governor’s 

Office of Homeland Security and Emergency Preparedness to— 

Recommendation #3: Require the SAA to follow up on progress 

made by Texas A&M University and ensure that the New Orleans 

Urban Area implements its multi-year training and exercise plan 

once it is completed. 

Management Comments and OIG Analysis 

FEMA concurs with recommendation 3. FEMA requests that the 

Louisiana State Governor’s Office of Homeland Security and 

Emergency Preparedness submit an implementation plan and 

timeline of Texas A&M University’s development and completion 

of New Orleans Urban Area’s multi-year training and exercise plan 

within 30 days of the receipt of the final report via the grantee 

notification. Further, the Louisiana State Governor’s Office of 

Homeland Security and Emergency Preparedness should submit 

the plan to FEMA immediately following its completion or within 

90 days of receiving the final report, whichever comes first. 

The Louisiana State Governor’s Office of Homeland Security and 

Emergency Preparedness stated that it has and will continue to 

support the New Orleans Urban Area in its development of its 

multi-year training and exercise plan. The office stated that, to 

date, the project is well underway and the Region 1 working group 

and Texas A&M University have held numerous regional, 

individual, and stakeholder planning meetings that included state 

representatives. The Louisiana State Governor’s Office of 

Homeland Security and Emergency Preparedness stated that it will 

ensure that the New Orleans Urban Area develops and implements 

its multi-year plan accordingly. 

The actions proposed by both FEMA and Louisiana State 

Governor’s Office of Homeland Security and Emergency 

Preparedness meet the intent of the recommendation. If properly 

implemented, the actions identified in the responses should address 

the conditions identified during the audit. This recommendation is 

considered resolved and open, pending final implementation of the 

proposed corrective actions. 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 8
 
 

 

Appendix A 

Purpose, Scope, and Methodology 

The purpose of the audit was to determine whether the State of 

Louisiana distributed and spent State Homeland Security Program 

and Urban Areas Security Initiative grant funds effectively and 

efficiently and in compliance with laws, regulations, and guidance. 

In addition, we assessed the extent to which the State measured 

improvements in its ability to prevent, prepare for, protect against, 

and respond to natural disasters, acts of terrorism, and other manmade disasters. 

The entire Homeland Security Grant Program and its five 

interrelated grant programs fund a range of preparedness activities, 

including planning, organization, equipment purchase, training, 

exercises, and management and administration costs. Because of 

the interrelationship of these grant programs, all were considered 

when evaluating the planning cycle and the effectiveness of the 

overall grant program. However, only SHSP and UASI funding 

equipment and programs supported by the grant funding were 

reviewed for compliance. Additional information on these grant 

programs is provided in appendix C. 

The scope of the audit included the following: 

Homeland Security Grant Program Awards 

FYs 2007 through 2009 

Program FY 2007 FY 2008 FY 2009 

State Homeland 

Security $9,460,000 $16,110,000 $14,815,500 

Urban Areas Security 

Initiative $4,380,000 $6,035,000 $8,402,350 

Subtotal $13,840,000 $22,145,000 $23,217,850 

Law Enforcement 

Terrorism Prevention $6,760,000 N/A N/A 

Citizen Corps $240,451 $232,993 $231,965 

Metropolitan Medical 

Response System $1,032,581 $1,284,884 $1,284,884 

Total $21,873,032 $23,662,877 $24,734,699 

Total 

$40,385,500 

$18,817,350 

$59,202,850 

$6,760,000 

$705,409 

$3,602,349 

$70,270,608 

Source: Federal Emergency Management Agency. 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 9
 
Appendix A 

Purpose, Scope, and Methodology 

The audit methodology included interviews with FEMA 

representatives as well as workers at the SAA, the New Orleans 

and Baton Rouge urban areas, and various subgrantee locations. 

To achieve our audit objective, we analyzed data, reviewed 

documentation, and interviewed key State and local officials 

directly involved in the management and administration of the 

State of Louisiana’s Homeland Security Grant Programs. We 

conducted site visits and held discussions with appropriate officials 

from selected State agencies, regional task forces, urban areas, and 

local jurisdictions to determine whether program grant funds were 

expended in accordance with grant requirements and Stateestablished priorities. 

We contacted the following subgrantee organizations: 

Regional Areas g 

Region 1 


Region 2 


Region 3 


Region 8 


Urban Areas Security Initiative Recipients 

New Orleans 


Baton Rouge 


State Agencies 

Department of Agriculture and Forestry 

Department of Social Services 

Governor’s Office of Homeland Security and Emergency 

Preparedness 

Louisiana Sheriff’s Association 

Louisiana State Police 

Louisiana State University 


Office of Administration 


State Military Department/Louisiana National Guard 

Parishes 

Ascension 

East Baton Rouge 

Jefferson 

Lincoln 

Livingston 

Orleans 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 10
 
St. Bernard 

St. Tammany 

First Responders 

Baton Rouge Police Department 

Jefferson Parish Fire Department and Emergency Medical 

Services 

Lincoln Parish Sheriff’s Office 


New Orleans Fire Department 


New Orleans Police Department 


St. Bernard Parish Fire Department 


St. Tammany Parish Sheriff’s Office 


Terrebonne Parish Sheriff’s Office 


We interviewed responsible officials, reviewed documentation 

supporting SAA and subgrantee management of the awarded grant 

funds (including expenditures for equipment, training, and 

exercises), and physically inspected judgmentally selected samples 

of equipment procured with the grant funds. 

The team reviewed a judgmental sample of the grants expenditures 

representing approximately 59% of the dollar value expended for 

the FYs 2007–2009 grants to determine whether the expenditures 

were supported and allowable under the grants. The team 

judgmentally chose specific equipment items to observe at the 

local sites where they reside. 

We conducted this performance audit between October 2010 and 

March 2011 pursuant to the Inspector General Act of 1978, as 

amended, and according to generally accepted government 

auditing standards. Those standards require that we plan and 

perform the audit to obtain sufficient, appropriate evidence to 

provide a reasonable basis for our findings and conclusions based 

upon our audit objectives. We believe that the evidence obtained 

provides a reasonable basis for our findings and conclusions based 

upon our audit objectives. 

Appendix A 

Purpose, Scope, and Methodology 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 11
 
 

Appendix B 

Management Comments to the Draft Report 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 12
 

u.S.l)~Jl:lrllll~rll orll",n~13nd S~curil,·

S(K) C Sm"cl, SW

Wa,hmglOn. DC 20~72

SEP 07 2011

MEMORANDUM FOR: Anne L. Richards

Assistant Inspector General for Audits

Office of Inspector General

FROM: David J. Kaufman

Director

Office of Policy and

I£--

Program Analysis

SUBJECT: Response to Draft Report OIG: Tile State a/Louisiana's

Management a/Stale Homelalld Security Program (SHSP) (llld

Vrban Areas Securiry Initiatives (VAS!) Grallts Awarded during

Fiscal Years 2007 through 2009

Thank you for thc opportunity to comment on the subject draft report. The findings in the report

will be used to strengthen the effectiveness and efficiency of how we execute and measure our

programs. We recognize the need to continue to improve the process, including addressing the

recommendations raised in this report. Our responses to your three recommendations are as

follows:

OIG Recommendation #1: We recommend that the Assistant Administrator, Grant Programs

Directorate (GPO), require the Director of tile Louisiana State Governor's Office of Homeland

Security and Emergency Preparedness to develop Homeland Security stmtegic goals and

objectives that are specific, measurable, achievable, results oriellted, and time-limited, and

include associated performance measures in its strategic plan.

FEMA Response to Recommendation #1: FEMA concurs with the intent of this

recommendation. The National Preparedness Directorate (NPD), the Federal Emergency

Management Agency (FEMA) entity responsible for the homeland security strategy (HSS) and

its guidance, is revising the guidance and the content orthe HSS which is anticipated for release

in fall 2011 in advance of the FY 2012 Homeland Security Grant Progmm (HSGP) application

cycle. Within 120 days of the release of the revised guidance, thc Louisiana Governor's Office

of Homeland Security and Emergency Preparedness (GOHSEP) is required to update their HSS

\\"11\1·.fl'lII:I.:.:01'
2

and comply with revised guidelines developed by NPD. FEMA believes this satisfies the intent

ofthe recommendation and requests that this recommendation remain resolved and open.

DIG RecommendatioD #2: We recommend that the Assistant Administrator, GPO, require the

Director ofthe Louisiana State Governor's Office of Homeland Security and Emergency

Preparedness to review the effectiveness ofits current subgrantee monitoring processes and

implement additional procedures to ensure compliance with all Federal and grant requirements.

FEMA Response to Recommendation #2: FEMA concur.; with this recommendation. FEMA

requests that GOHSEP revise the state's HSGP monitoring policy to include requirements

associated with: (1) financial records management (44 CFR §13.20); and (2) equipmenVproperty

records (44 CFR § 13.32). These additional elements are intended to meet the areas this report

has identified as needing improvement. The revised policy will ensure that the criteria for

detennining compliance with the program's applicable federal rules and regulations are clearly

communicated and can be assessed accordingly. Additionally, FEMA requests that GOHSEP

incorporate any applicable findings from past financial monitoring reviews conducted by FEMA

Region VI Grants Management Branch to ensure all necessary areas are covered in the revised

monitoring plan. The revised state monitoring policy must be submitted to the GPD Program

Analyst within 90 days ofthe receipt ofthe final report via the grantee notification. FEMA

believes this satisfies the intent ofthe recommendation and requests that it be resolved and open.

OIG Recommendation #3: We recommend that the Assistant Administrator, Grant Programs

Directorate, require the Director of GOHSEP to require the State Administrative Agency to

follow up on progress made by Texas A&M University and ensure that the New Orleans Urban

Area implements its multi-year training and exercise plans once they are completed.

FEMA Response to Recommendation #3: FEMA concurs with the recommendation. FEMA

requests that GOHSEP submit an implementation plan and timeline ofTexas A&M University's

development and completion of New Orleans Urban Area's Multi-Year Training & Exercise

Plan within 30 days ofthe receipt ofthe final report via the grantee notification. The timeline

must include: (1) action item and anticipated outcome; (2) timeline for completing action

item/outcome; (3) responsible entity for action item; and (4) anticipated completion date.

Fwther, per the requirements ofthe FY 2009 HSGP Guidance, GOHSEP is required to submit

the New Orleans Urban Area Multi-Year Training and Exercise Plan immediately following its

completion or within 90 days ofreceiving the final report, whichever comes first. FEMA

believes this satisfies the intent ofthe recommendation and requests that it be resolved and open.

Again. we thank you for the opportunity to provide comments concerning this report. Please

contact Brad Sheiks, Chie~ Audit Liaison at 202-646-1308 regarding further questions or

concerns.

Appendix B 

Management Comments to the Draft Report 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 13
 
Appendix B 

Management Comments to the Draft Report 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 14
 

BOBBY JINDAL ~tate of JLoui£)tana PAT SANTOS

GOVERNOR Governor's Office of Homeland Security INTERIM DIREcroR

and

Emergency Preparedness

August 22, 2011

Anne L. Richards

Assistant Inspector General for Audits

Office of Inspector General

U.S. Department of Homeland Security

Washington, DC 20528

Dear Ms. Richards,

Please accept this letter as official response to your Draft Report: The State of Lou;s;ana's

Management of Homeland Security Program and Urban Areas Security Initiative Grants

Awarded During F;scal Years 2007 through 2009. We have reviewed the report and have no

reservation in publicly releasing this document upon inclusion of the following response to the

fisted recommendations:

Recommendation #1:

• The Louisiana State Governor's Office of Homeland Security and Emergency

Preparedness concurs with this recommendation. The State of Louisiana employs

performance measuring within the state general fund budget process. Whereas the

Homeland Security Grant Program currently does not require performance measuring,

and FEMA has not set forth guidance, the state will develop objectives that are specific,

measurable, achievable, results-oriented, and time·limited in our strategic plan.

Recommendation #2:

• The Louisiana State Governor's Office of Homeland Security and Emergency

Preparedness concurs with this recommendation. As SM, subgrantee monitoring is

vital in assuring compliance with federal requirements, as well as with additional state

imposed special conditions. In 2008, during a change in the administration of state

government, the SM. began the process of creating the current Compliance Section

within the agency to address the monitoring shortfall. This review and subsequent

recommendation addresses our transformation. The SAA will implement additional

7667 Independence Boulevard • Balon Rouge, Louisiana 70806 • (225) 925-7500 • Fax (225) 925-7501
procedures to address our Compliance Section's monitoring processes to enhance the

monitoring system currently in place and to ensure subgrantee compliance with all

Federal and grant requirements. The Compliance Section completed 45 site visits in

calendar year 2010, and anticipates completing approximately 40 site visits in calendar

year 2011. The site visits are prompted by a Risk Assessment that is completed after

each fiscal year end. The information in the Risk Assessment is a compilation of data

received from grant programs that the SM oversees.

Recommendation #3:

• The louisiana State Governor's Office of Homeland Security and Emergency

Preparedness concurs with this recommendation. The SAA works closely with the New

Orleans Urban Area that comprises the four Parishes within Region 1. The SM through

the Governor's Office of Homeland Security and Emergency Preparedness,

Preparedness Section, has supported the Urban Area in the development of their multiyear training and exercise plans. The SM. will continue to support this activity and

ensure that the Urban Area develops and implements its multi-year training and exercise

plans accordingly. To date, the project is well underway and the Region 1 working group

and Texas A&M University have held numerous regional, individual and stakeholder

planning meetings that included state representatives.

I would also like to thank you and your staff for all that you do for the states and can image that

the audit process at times can be thankless; however, your hard work does not go unrecognized

by me and my staff as we understand the importance of your mission. Moreover, the individuals

that you sent to louisiana were both professional and helpful during this audit process and I

commend them for their hard work.

Should you have any questions, or need additional information please do not hesitate contacting

me, or your staff may contact Clay Rives, Deputy Director of Homeland Security, at (225) 925-

7500.

'ff;Gpf~tos

PS/cr

Appendix B 

Management Comments to the Draft Report 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 15
 
Appendix C 

Homeland Security Grant Program Background 

The Homeland Security Grant Program provides federal funding to 

help state and local agencies enhance their capabilities to prevent, 

deter, respond to, and recover from terrorist attacks, major 

disasters, and other emergencies. The program encompasses 

several interrelated federal grant programs that fund a range of 

preparedness activities, including planning, organization, 

equipment purchase, training, and exercises, as well as 

management and administration costs. Programs include the— 

State Homeland Security Program, which provides financial 

assistance directly to each state and territory to prevent, 

respond to, and recover from acts of terrorism and other 

catastrophic events. The program supports the implementation 

of the State Homeland Security Strategy to address planning, 

equipment, training, and exercise needs. 

 

Urban Areas Security Initiative, which provides financial 

assistance to address the unique planning, equipment, training, 

and exercise needs of high-risk urban areas, and to assist in 

building an enhanced and sustainable capacity to prevent, 

respond to, and recover from threats or acts of terrorism and 

other disasters. Allowable costs for the urban areas are 

consistent with the State Homeland Security Program. 

Funding is expended based on the Urban Area Homeland 

Security Strategies. 

The Homeland Security Grant Program also includes other 

interrelated grant programs with similar purposes. Depending on 

the fiscal year, these include the Metropolitan Medical Response 

System, the Citizen Corps Program, and the Law Enforcement 

Terrorism Prevention Program. The Homeland Security Grant 

Program is aligned with the National Priorities, as established in 

FEMA’s National Preparedness Guidelines, September 2007: 

National Priorities 

Expand Regional Collaboration Implement the National Incident 

Management System and National 

Response Plan 

Implement the National Infrastructure 

Protection Plan 

Strengthen Information Sharing and 

Collaboration Capabilities 

Strengthen Interoperable and 

Operable Communications Capabilities 

Strengthen CBRNE Detection, Response, 

and Decontamination Capabilities 

Strengthen Medical Surge and Mass 

Prophylaxis Capabilities 

Strengthen Planning and Citizen 

Preparedness Capabilities 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 16
 
 

Appendix D 

Louisiana Governor’s Office of Homeland Security and 

Emergency Preparedness Organization Chart 

Source: Governor’s Office of Homeland Security and Emergency Preparedness. 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 17
 
 

Appendix E 

Map of Louisiana’s Nine Homeland Security Regions 

Source: Louisiana’s Governor’s Office of Homeland Security and Emergency 

Preparedness. 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 18
 
 

Appendix F 

Major Contributors to this Report 

Jewel Butler, Director 

Yesi Starinsky, Audit Manager 

Cecilia Carroll, Audit Manager 

J. Eric Barnett, Auditor-in-Charge 

David Porter, Auditor 

Victor Leung, Program Analyst 

Mark S. Phillips, Referencer 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 19
 
 

Appendix G 

Report Distribution 

Department of Homeland Security 

Secretary 

Deputy Secretary 

Chief of Staff 

Deputy Chief of Staff 

General Counsel 

Executive Secretariat 

Director, GAO/OIG Liaison Office 

Assistant Secretary for Office of Policy 

Assistant Secretary for Office of Public Affairs 

Assistant Secretary for Office of Legislative Affairs 

Federal Emergency Management Agency 

Administrator 

Assistant Administrator, Grant Programs Directorate 

Federal Emergency Management Agency Audit Liaison 

Grant Programs Directorate Audit Liaison 

Office of Management and Budget 

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress 

Congressional oversight and appropriations committees, as 

appropriate 

The State of Louisiana’s Management of State Homeland Security Program and 


Urban Areas Security Initiative Grants Awarded During Fiscal Years 2007 through 2009
 

Page 20
 
 

 

ADDITIONAL INFORMATION AND COPIES 

To obtain additional copies of this report, please call the Office of Inspector General 

(OIG) at (202)254-4100, fax your request to (202)254-4305, e-mail your request to our 

OIG Office of Public Affairs at DHS-OIG.OfficePublicAffairs@dhs.gov, or visit our OIG 

websites at www.dhs.gov/oig or www.oig.dhs.gov. 

OIG HOTLINE 

To report alleged fraud, waste, abuse or mismanagement, or any other kind of criminal 

or noncriminal misconduct relative to Department of Homeland Security programs and 

operations: 

• Call our Hotline at 1-800-323-8603 

• Fax the complaint directly to us at (202)254-4292 

• E-mail us at DHSOIGHOTLINE@dhs.gov; or 

• Write to us at: 

DHS Office of Inspector General/MAIL STOP 2600, 

Attention: Office of Investigation - Hotline, 

245 Murray Drive SW, Building 410 

Washington, DC 20528 

The OIG seeks to protect the identity of each writer and caller.