Information Security: Department of Homeland Security Needs to Fully Implement Its Security Program
Published: 2005-06-17T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: The Homeland Security Act of 2002 mandated the merging of 22 federal agencies and organizations to create the Department of Homeland Security (DHS), whose mission, in part, is to protect our homeland from threats and attacks. DHS relies on a variety of computerized information systems to support its operations. GAO was asked to review DHS's information security program. In response, GAO determined whether DHS had developed, documented, and implemented a comprehensive, departmentwide information security program.
section_title: What GAO Found
paragraphs: DHS has not fully implemented a comprehensive, departmentwide information security program to protect the information and information systems that support its operations and assets. It has developed and documented departmental policies and procedures that could provide a framework for implementing such a program; however, certain departmental components have not yet fully implemented key information security practices and controls. For example, risk assessments--needed to determine what controls are necessary and what level of resources should be expended on them--were incomplete. Elements required for information system security plans--which would provide a full understanding of existing and planned information security requirements--were missing. Testing and evaluation of security controls--which are needed to determine the effectiveness of information security policies and procedures--were incomplete or not performed. Elements required for remedial action plans--which would identify the resources needed to correct or mitigate known information security weaknesses--were missing, as were elements required for continuity of operations plans to restore critical systems in case of unexpected events. In addition, DHS had not yet fully developed a complete and accurate systems inventory. Shortfalls in executing responsibilities for ensuring compliance with the information security program allowed these weaknesses to occur. Although DHS has an organization that is responsible for overseeing the component implementation of key information security practices and controls, its primary means for doing so--an enterprisewide tool--has not been reliable. Until DHS addresses weaknesses with using the tool and implements a comprehensive, departmentwide information security program, its ability to protect its information and information systems will be limited.

section_title: Letter
paragraphs: Information security is a critical consideration for any organization that  depends on information systems and computer networks to carry out its  mission. It is especially important for government agencies, where  maintaining the public’s trust is essential. Federal agencies face increasing  security risks from viruses, hackers, and others who seek to disrupt federal  operations or obtain sensitive information that is stored in federal  computers. In our reports to Congress since 1997—most recently in  January 2005—we have identified information security as a  governmentwide high-risk issue.
Responding to current and potential threats to homeland security is one of  the federal government’s most significant challenges. To address this  challenge, the Homeland Security Act of 2002 (Pub. L. No. 107-296)  mandated the merger of 22 federal agencies and organizations with  homeland security-related missions to create the Department of Homeland  Security (DHS). Since it became operational in March 2003, DHS has not  only faced the challenge of protecting the homeland, but also with  transforming this collection of diverse entities into a single new cabinet- level department. In order to meet this challenge, it is crucial that DHS  establish an effective information security program to protect the  information and information systems that support its operations and  assets.
In response to your request, our objective was to determine whether DHS  had developed, documented, and implemented a comprehensive,  departmentwide information security program. To accomplish this  objective, we reviewed pertinent information security policies, procedures  and practices in place at the department and its component organizations  from information system security managers and other key officials. Our  review of DHS’s information security program was based in part, on the  requirements of the Federal Information Security Management Act of 2002  (FISMA) and relevant Office of Management and Budget (OMB) policies  and National Institute of Standards and Technology (NIST) guidance  related to performing risk assessments, developing information security  plans, testing and evaluating security controls, documenting remedial  action plans, and documenting and testing continuity of operations plans.  Details on our scope and methodology are included in appendix I.
We performed our review at DHS facilities in the Washington, D.C.,  metropolitan area, Denver, Colorado, and at our headquarters in  Washington, D.C., from July 2004 through May 2005, in accordance with  generally accepted government auditing standards.
subsections: section_title: Background
paragraphs: To address the challenge of responding to current and potential threats to  homeland security—one of the federal government’s most significant  challenges—Congress passed, and the President signed, the Homeland  Security Act of 2002. This act mandated the merger of 22 federal agencies  and organizations into DHS. Not since the creation of the Department of  Defense in 1947 has the federal government undertaken a transformation of  this magnitude. In March 2003, DHS assumed operational control of about  209,000 civilian and military positions from these 22 federal agencies and  organizations. Each of these agencies and organizations brought with it  management challenges, distinct missions, unique information technology  infrastructures and systems, and its own policies and procedures. Because  of the importance of the department’s operations and the challenges  associated with creating the federal government’s third largest department,  we designated the implementation and transformation of DHS as a high-  risk area in January 2003.
section_title: Department of Homeland Security’s Mission and Organization
paragraphs: DHS’s mission, in part, is to prevent and deter terrorist attacks within the  United States, reduce the vulnerability of the United States to terrorism,  and to minimize the damage, and assist in the recovery, from terrorist  attacks that do occur. This is an exceedingly complex mission that  requires coordinated and focused effort from the federal government, state  and local governments, the private sector, and the American people. The  Department of Homeland Security Appropriations Act of 2005, provided  $28.9 billion in net discretionary spending for DHS to carry out its mission.
To accomplish its mission, the Homeland Security Act of 2002 established  five under secretaries with responsibilities over directorates for  management, science and technology, information analysis and  infrastructure protection, border and transportation security, and  emergency preparedness. Each directorate is responsible for its specific  homeland security mission area. DHS aligned the 22 federal agencies and organizations into 13 major agency components (see fig. 1). The 13  components and their missions:  Office of Management—responsible for such things as the budget,  appropriations, expenditure of funds, accounting and finance,  procurement, and information technology.
Science and Technology—serve as the primary research and  development arm of DHS with a focus on catastrophic terrorism— threats to the security of our homeland that could result in large-scale  loss of life and major economic impact.
Transportation Security Administration—protect the nation’s  transportation systems by ensuring the freedom of movement for people  and commerce.
Customs and Border Protection—manage, control, and protect the  nation’s borders at and between the official ports of entry.
Immigration and Customs Enforcement—prevent acts of terrorism by  targeting the people, money, and materials that support terrorist and  criminal activities. It is the largest investigative arm of DHS.
Federal Law Enforcement Training Center—prepare federal, state,  local, and international law enforcement professionals to fulfill their  responsibilities safely and proficiently, ensuring that training is  accomplished in the most cost-effective manner.
Emergency Preparedness and Response—ensure that our nation is  prepared for incidents—whether natural disasters or terrorist  assaults—and oversees the federal government’s national response and  recovery strategy.
Information Analysis and Infrastructure Protection—help deter,  prevent, and mitigate acts of terrorism by assessing vulnerabilities in the  context of continuously changing threats.
Citizen and Immigration Services—promote national security,  eliminate immigration case backlogs, improves customer services, and  provide administrative services such as immigrant and nonimmigrant  sponsorship, work authorization and other permits, and naturalization  of qualified applicants for U.S. citizenship.
Office of the Inspector General (OIG)—serve as an independent and  objective inspection, audit, and investigative body to promote  effectiveness, efficiency, and economy in the DHS’s programs and  operations, and to prevent and detect fraud, abuse, mismanagement,  and waste in such programs and operations.
U.S. Coast Guard—protect the public, the environment, and U.S.  economic interests in the nation’s ports and waterways, along the coast,  on international waters, or in any maritime region, as required to  support national security.
U.S. Secret Service—protect the President and our nation’s leaders, as  well as our country’s financial and critical infrastructures.
United States Visitor and Immigrant Status Indicator Technology  (US-VISIT)— a DHS program intended to collect, maintain, and share  information on foreign nationals through Immigration and Customs  Enforcement and Customs and Border Protection systems in order to  expedite the arrival and departure of legitimate travelers, while making  it more difficult for those intending to do harm to our nation.
Within the Office of the Under Secretary Management is the Office of the  Chief Information Officer (CIO). Under the authorities of the Clinger-Cohen  Act of 1996, FISMA, and DHS management directives, the DHS CIO is  responsible for ensuring compliance with federal information security  requirements and reporting annually to the DHS Secretary on the  effectiveness of the department’s information security program. The CIO  designated the CISO, under the authorities of FISMA, to carry out specific  information security responsibilities that include  developing and maintaining a departmentwide information security  program, as required by FISMA;   developing departmental information security policies and procedures  to address the requirements of FISMA;  providing the direction and guidance necessary to ensure that  information security throughout the department is compliant with  federal information security requirements and policies; and  advising the CIO on the status and issues involving security aspects of  the departmentwide information security program.
In addition, the CISO is responsible for oversight functions such as those  required to ensure that DHS has departmentwide, repeatable, and robust  processes for meeting federal information security requirements and that  the components accurately assess their security postures.
Information system security managers at each of the components are  expected to assist the CISO in carrying out its oversight functions. Security  managers have the role of maintaining the confidentiality, integrity, and  availability of the DHS programs and systems that support the department’s  missions and operations. They are responsible for providing the link  between the departmentwide information security program and the  components. Security managers are also responsible for ensuring that the  information system security officers and program officials at their  respective components are in compliance with federal information security  requirements and policies.
Information system security officers serve as the focal point for  information security activities at the system level in each DHS component.  Among other things, security officers have the responsibility for ensuring  that appropriate steps are taken to implement information security  requirements for information systems throughout their life cycle. Security  managers directly report to the CIO at their respective component and  security officers directly report to their program officials, who directly  report to their respective component heads. Program officials are required  to implement information security controls and manage risk for  information assets pertaining to their business need.
subsections: section_title: DHS Uses a Variety of Systems to Support Its Mission Operations
paragraphs: The department uses a variety of major applications and general support  systems to support its operations. A major application is one that requires  special attention due to the risk and magnitude of harm resulting from the  loss, misuse, or unauthorized access to or modification of the information  in the application. A general support system is an interconnected set of  information resources under the same direct management control that  shares common functionality. It normally includes hardware, software,  information, data, applications, communications and people and can be, for  example, a local area network or communications network.
Many of these applications and systems serve specific requirements unique  to individual component’s missions and result in interoperability issues,  data management concerns, and incompatible environments or  duplicative/inefficient processes. As noted in DHS’s March 2004  Information Resource Management Strategic Plan, DHS’s CIO has  established the goal of forming one network and one information  technology infrastructure to facilitate information sharing within the  department and among DHS and external federal, state, and local agencies.
section_title: Information Security is Critical for Agencies to Effectively Accomplish Their Missions
paragraphs: Information security is a critical consideration for any organization that  depends on information systems and computer networks to carry out its  mission. It is especially important for government agencies, where  maintaining the public’s trust is essential. The dramatic expansion in  computer interconnectivity and the rapid increase in the use of the Internet  are changing the way our government, the nation, and much of the world  communicate and conduct business. Without proper safeguards, they also  pose enormous risks that make it easier for individuals and groups with  malicious intent to intrude into inadequately protected systems and use  such access to obtain sensitive information, commit fraud, disrupt  operations, or launch attacks against other computer systems and  networks.
Protecting the computer systems that support critical operations and  infrastructures has never been more important because of the concern  about attacks from individuals and groups, including terrorists. These  concerns are well-founded for a number of reasons, including the dramatic  increase in reports of security incidents, the ease of obtaining and using  hacking tools, the steady advance in the sophistication and effectiveness of  attack technologies, and the dire warnings of new and more destructive  attacks to come.
Computer-supported federal operations are likewise at risk. Our previous  reports, and those of agency inspectors general, describe persistent  information security weaknesses that place a variety of critical federal  operations, including DHS, at risk of disruption, fraud, and inappropriate  disclosure.
section_title: FISMA Authorized and Strengthened Information Security Requirements
paragraphs: Enacted into law on December 17, 2002, as Title III of the E-Government  Act of 2002, FISMA authorized and strengthened information security  program, evaluation, and reporting requirements. FISMA assigns specific  responsibilities to agency heads, chief information officers, and Inspectors  General (IG). It assigns responsibilities to the OMB as well; these include  developing and overseeing the implementation of policies, principles,  standards, and guidelines for information security; reviewing agency  information security programs at least annually; and approving or  disapproving these programs.
FISMA requires each agency to develop, document, and implement a  departmentwide information security program. This program should  establish security measures for the information and information systems  that support the operations and assets of the agency—including those  provided or managed by another agency, a contractor, or another source.  This program is to include  periodic assessments of the risk and magnitude of harm that could  result from the unauthorized access, use, disclosure, modification,  disruption, or destruction of information or information systems;  risk-based policies and procedures that cost effectively reduce  information security risks to an acceptable level and ensure that  information security is addressed throughout the life cycle of each  information system;  subordinate plans for providing adequate information security for  networks, facilities, and systems or groups of information systems;  periodic testing and evaluation of the effectiveness of the agency’s  information security policies, procedures, and practices;  a process for planning, implementing, evaluating, and documenting  remedial actions that are taken to address any deficiencies in the  agency’s information security policies, procedures, and practices; and  plans and procedures to ensure continuity of operations for information  systems that support the operations and assets of the agency.
FISMA also establishes a requirement that each agency develops,  maintains, and annually updates an inventory of major information systems  that the agency operates or that are under its control. Among other things,  this inventory is to identify the interfaces between each system and all  other systems or networks with which it communicates, including those  that are not operated by, or under the control of, the agency.
Each agency is also required to undergo an annual, independent evaluation  of its information security program and practices, including control testing  and compliance assessment. Evaluations of nonnational security systems  are to be performed by the agency’s IG or by an independent external  auditor; evaluations related to national security systems are to be  performed only by an entity designated by the agency head. Agencies are to  report annually to OMB on the results of their independent evaluations.  OMB then summarizes the results of the evaluations in a report to selected  congressional committees.
Other major provisions require NIST to develop, for systems other than  national security systems, (1) standards to be used by all agencies to  categorize their information and information systems based on the  objectives of providing appropriate levels of information security  according to a range of risk levels, (2) guidelines recommending the types  of information and information systems to be included in each category,  and (3) minimum information security requirements for information and  information systems in each category. NIST must also develop (1) a  definition of and guidelines concerning the detection and handling of  information security incidents and (2) guidelines developed in coordination  with the National Security Agency for identifying an information system as  a national security system.
section_title: DHS Has Developed and Documented an Information Security Program, but Weaknesses in Implementation Remain
paragraphs: Since DHS became operational in March 2003, the CISO has developed and  documented departmental policies and procedures that could provide a  framework for implementing an agencywide information security program;  however, certain DHS components had not yet fully implemented key  information security practices and controls, as required by the program.  The CISO has taken several actions to develop and document a  departmentwide information security program. These actions include  development, documentation, and dissemination of DHS information  security policies and procedures, strategic program plans, risk  management plans, and a management directive and handbook for the  components’ use in implementing the requirements of the program;  establishment of Information System Security Managers and  Information System Security Officers positions to implement DHS’s  information security program departmentwide;  documentation and issuance of specific guides to assist security  managers and security officers in aligning their individual components’  information security programs with the department’s program;  development of Trusted Agent FISMA and a digital dashboard as tools to  aggregate and report component and department level data for  enterprise management and oversight of the departmentwide  information security program; Trusted Agent FISMA is an enterprise  compliance and oversight tool that manages the collection and reporting  of the components’ information associated with key information  security practices and controls, and the digital dashboard aggregates the  data collected in Trusted Agent FISMA and is used as a visual tool using  a traffic light display to gauge the progress of the departmentwide  information security program; and  development and documentation of a departmentwide systems  inventory methodology that is designed to be used to develop, maintain,  and annually update an inventory of information systems operated by  the department or under its control.
In addition, as part of the department’s efforts to develop and document a  departmentwide information security program, the CISO finalized the  Information Security Program Strategic Plan in April 2004, which  provides a framework for establishing a unified, departmentwide  information security program.
subsections: section_title: Implementation Weaknesses Place DHS’s Operations and Assets at Risk
paragraphs: Although the CISO has made significant progress in developing and  documenting a departmentwide information security program, certain DHS  components have not yet fully implemented key information security  practices and controls as required by the program. We identified  weaknesses in information security documentation for the three major  applications and three general support systems that we selected for review  that place DHS’s operations and assets at risk. Among other things, DHS’s  program requires the components to maintain information security  documentation in accordance with FISMA requirements, OMB policies, and  applicable NIST guidance. However, we identified that risk assessments  were not complete, security plans lacked required elements, test and  evaluation of security controls were either not comprehensive or not  performed, plans of action and milestones lacked required elements, and  continuity of operations plans were not complete, lacked required  elements, or had not been tested. In addition, DHS had not yet fully  developed a complete and accurate information systems inventory. As a  result of these weaknesses, DHS’s ability to protect the confidentiality,  integrity, and availability of its information and information systems was  limited.
Table 1 indicates with an “X” where we found weaknesses in selected  components’ information security practices and controls.
Identifying and assessing information security risks are essential steps in  determining what controls are required and what level of resources should  be expended on controls. Moreover, by increasing awareness of risks, these  assessments generate support for the policies and controls that have been  adopted, which helps ensure that these policies and controls operate as  intended. FISMA requires agency’s information security programs to  include periodic assessments of the risk and magnitude of the harm that  could result from the unauthorized access, use, disclosure, disruption,  modification, or destruction of information and information systems that  support the operations and assets of the agency.
Risk assessments for three of the five systems were not complete. For  example, two general support systems—one at Transportation Security  Administration and one at Immigration and Customs Enforcement—had  risk assessment reports that were in draft and incomplete. In addition to  the weaknesses we identified, the OIG, as part of its fiscal year 2004 FISMA  evaluation, identified that risk assessments for selected DHS systems that  they reviewed were not current. Unless DHS performs periodic risk  assessments of its information systems, it will not have assurance that  appropriate controls over potential threats have been identified to reduce  or eliminate the associated risk.
subsections: section_title: Security Plans
paragraphs: The purpose of an information system security plan is to provide an  overview of the security requirements of the system and describe the  controls that are in place or planned for meeting those requirements. The  information security plan also delineates the responsibilities and expected  behavior of all individuals who access the system. The information security  plan can be viewed as documentation of the structured process of planning  adequate, cost-effective security protection for a system and should form  the basis for the system authorization, supplemented by more specific  studies as needed. According to NIST guidance, security plans should  include all interconnected systems (including the Internet) and interaction  among systems in regard to the authorization for the connection to other  systems or the sharing of information. Also according to NIST guidance,  security plans should include rules of behavior and reflect input from  various individuals who have responsibility for the system, including  information system owners. In addition, the security plans require periodic  reviews, modifications, and milestone or completion dates for planned  controls.
The information security plans for two of the six systems we reviewed  lacked required elements. Specifically, the information security plan for a  US-VISIT major application did not include authorizations for  interconnected systems or the sharing of information for primary and  secondary systems and for other infrastructures. In addition, the Internet  was not included in the list of interconnected systems. Further, rules of  behavior, another required element for security plans, did not cover all  pertinent elements such as work at home, dial-in access, connection to the  Internet, use of copyrighted works, unofficial use of government  equipment, the assignment and limitation of system privileges, and  individual accountability. The information security plan for the general  support system at the Emergency Preparedness and Response directorate  did not identify a designated information system owner or procedures for  reviewing the information security plan and following up on planned  controls. The OIG, as part of its fiscal year 2004 FISMA evaluation, found  that security plans for the DHS systems that it had selected for review had  either not been updated or not approved. As a result of these weaknesses,  DHS does not have assurance that its information systems are adequately  protected.
section_title: Testing and Evaluation
paragraphs: Another key element of an information security program is periodic testing  and evaluation of the effectiveness of information security policies,  procedures, and practices. FISMA requires that the frequency with which  an organization should conduct testing and evaluation will depend on the  level of risk. This testing and evaluation should be conducted at least  annually and include testing of management, operational, and technical  controls of every system identified in the agency’s information systems  inventory. Management control testing, for example, includes integration  testing, which occurs in the program’s actual operating environment and  tests such things as connectivity with other systems and networks.  Periodically testing and evaluating the effectiveness of security policies  and controls is a fundamental activity that allows an agency to manage its  information security risks cost-effectively, rather than reacting to  individual problems ad hoc only after a violation has been detected or an  audit finding has been reported. Such testing and evaluation helps provide  a more complete picture of agencies’ security postures.
DHS did not fully test and evaluate the security controls of four of the five  major systems we reviewed. For example, the Transportation Security  Administration did not test and evaluate security controls and policies for a  major application and general support system. Further, Immigration and  Customs Enforcement did not have final test and evaluation reports for a  major application and general support system. Although we did not obtain  the test and evaluation report for US-VISIT, the information security plan  identified that comprehensive testing had not occurred for one major  application. Specifically, the application owner did not conduct systems  integration testing in the program’s actual operating environment to test  such things as connectivity with other systems and networks. In its fiscal  year 2004 FISMA report, DHS identified that 24 percent of its systems had  not undergone test and evaluation. Without adequately testing and  evaluating systems, the department cannot be assured that security  controls are in place and functioning correctly to protect its information  and information systems.
section_title: Remedial Action Plans
paragraphs: FISMA requires each agency to develop a process for planning,  implementing, evaluating, and documenting remedial action plans, referred  to as plans of action and milestones by OMB, to address any deficiencies in  the information security policies, procedures, and practices. The CIO is to  manage the process for the agencies and be regularly updated by program  officials on their progress in implementing remedial actions. This process  allows both the CIO and the OIG to monitor departmentwide progress,  identify problems, and provide accurate reporting. In its guidance for  annual reporting, OMB asks the agency IGs to report on the status of the  plans of action and milestones at their agencies. IGs were asked to evaluate  the process based on several criteria, including whether systems plans are  tied directly to the system budget request through the information  technology business case, as required by OMB.
For four of the five systems that we reviewed, program officials either did  not identify any resources in their plans of action and milestones  submissions, as required by OMB, to correct or mitigate identified  information security weaknesses or had not prepared plans of action and  milestones. As part of its fiscal year 2004 FISMA evaluation, the OIG  reported that DHS’s plans of action and milestones process was not  adequate. Specifically, the estimated funding necessary to correct or  mitigate information security weaknesses was not identified in the  components’ plans of action and milestones submissions, system-level  plans of action and milestones were not linked to individual components’  budget submissions, and not all of the components were capturing  information security weaknesses from all sources for reporting on their  plans of action and milestones. We found that a major application at  Immigration and Customs Enforcement and a general support system at  Emergency Preparedness and Response had not allocated any funds to  correct specifically identified weaknesses. Although some actions did not  have an associated cost, there were instances where it was apparent that  costs would be incurred for the corrective action. Further, the  Transportation Security Administration did not prepare plans of action and  milestones for information security weaknesses associated with a major  application and general support system. As a result, DHS does not have  assurance that all information security weaknesses have been reported and  that corrective actions will appropriately be taken to address the  weaknesses.
section_title: Continuity of Operations
paragraphs: Continuity of operations plans provide specific instructions for restoring  critical systems, including such elements as arrangement for alternative  processing facilities in case the usual facilities are significantly damaged or  cannot be accessed due to unexpected events. These events may include  such things as temporary power failure, accidental loss of files, or a major  disaster. It is important that these plans be clearly documented,  communicated to potentially affected staff, and updated to reflect current  operations. According to NIST guidance, continuity planning includes  establishing thorough plans, procedures, and technical measures that can  enable a system to be recovered quickly and effectively following a service  disruption or disaster. Further, the testing of continuity of operations plans  is essential to determining whether plans will function as intended in an  emergency situation.
For all five of the continuity of operations plans reviewed, program  officials either did not include all information necessary to restore  operations in the event of a disaster or have a documented plan. For  example, the continuity of operations plans for an Immigration and  Customs Enforcement general support system and a major application  lacked critical information such as the activities necessary to return to  normal operations, personnel contact information, locations of associated  telecommunications infrastructure, location of off-site storage for backup  media, and vendor contact information. Further, program officials did not  have continuity of operations plans for a Transportation Security  Administration major application and general support system. The OIG  also reported deficiencies in DHS’s continuity of operations plans.  Specifically, the OIG performed a quality review of selected certification  and accreditation packages and found instances where continuity of  operations plans did not meet all of the applicable requirements. Further,  the OIG identified instances in which systems were accredited even though  continuity of operations plans had not been developed or tested. Moreover,  in its FISMA report to OMB for fiscal year 2004, DHS had reported that 79  percent of its systems did not have a tested continuity of operations plan.  As a result, the department has limited assurance that it will be able to  protect its critical and sensitive information and information systems and  resume operations promptly when unexpected events or unplanned  interruptions occur.
section_title: DHS Does Not Have a Complete and Accurate Information Systems Inventory
paragraphs: FISMA requires agencies to develop, maintain, and annually update an  inventory of information systems that are either operated by the agency or  under its control. The inventory is to identify the interfaces between each  system and all the other systems or networks with which it communicates,  including those that are not operated by or under the control of DHS.
In December 2004, the DHS CISO approved a departmentwide information  systems inventory methodology that its contractor developed and has  begun implementing it across the department. Our assessment of the  methodology determined that it is appropriately based on the requirements  of FISMA, OMB policies, and applicable NIST guidance and standards and,  if fully implemented, could provide the department with a comprehensive  inventory of its information systems.
As of March 2005, DHS has completed the information systems inventory  for the OIG and the Transportation Security Administration and is  completing its efforts to implement the methodology at the Immigration  and Customs Enforcement. In response to the OIG’s fiscal year 2004 FISMA  report, which reiterated its prior year recommendation that DHS develop a  complete and accurate systems inventory, DHS acknowledged that it needs  a complete and accurate systems inventory for all of its components in  order to effectively manage its program and ensure departmentwide  implementation. Subsequent to that report, DHS established a milestone of  August 5, 2005, for developing a complete DHS systems inventory. Until  DHS has a complete and accurate systems inventory, DHS will be inhibited  in its ability to oversee and manage the information and information  systems that support the operations and assets of the agency.
section_title: Management Oversight Needs Improvement
paragraphs: Shortfalls in executing the responsibilities for ensuring compliance with  the departmentwide information security program allowed the weaknesses  that we identified to occur. The CISO has responsibility for overseeing DHS  components’ compliance with key information security practices and  controls. To fulfill this responsibility, the CISO developed and implemented  Trusted Agent FISMA in order to aggregate the component’s reported  performance data that arise from annual self-assessments and OMB  metrics for key information security activities, such as number of  significant deficiencies and whether remedial action plans to address the  deficiencies had been developed, and the number of system continuity of  operations plans documented and tested. Security officers at the  components are responsible for updating the tool with data that arise from  annual self-assessments, as well as from other system-level security  metrics. The security managers have the responsibility for ensuring that all  required metrics data are updated. These data are aggregated in the digital  dashboard and reported to OMB for the department as a whole.
However, the OIG identified that DHS could not rely on the accuracy and  completeness of the data contained in Trusted Agent FISMA, which  contributed to the OIG’s overall recommendation that DHS continue to  consider its information security program a significant deficiency for fiscal  year 2004. Examples of the weaknesses that they identified include  significant weaknesses were not consistently reported or linked to plans  of action and milestones;  plans of action and milestones that have been identified and  documented included some that were neither current nor updated  periodically;  some data fields, such as the “Scheduled Completion Date,” for plans of  action and milestones that could be arbitrarily revised by the  components with no audit trail to monitor such activity; and  information entered by the components was not verified.
Unless the data being collected and tracked from the components are  reliable, the CISO has no assurance that the components’ metrics  accurately reflect the status of their implementation of key information  security activities. Having reliable metrics on key activities such as those  we identified as having weaknesses—risk assessments, security plans,  security test and evaluation, remedial action plans, and continuity of  operations plans—is critical. According to DHS’s information security  policies and procedures, the CISO is to use these metrics to validate the  efficacy of the program, identify gaps between reported and actual  performance data, and help focus attention on presidential, congressional,  or department priorities. In response to the OIG’s FISMA evaluation, the  CIO stated that the department had recently initiated a project to review  and verify the metrics data. However, the CIO has not established a  milestone for completing this project. Implementing a process for verifying  the reported data could help improve the quality of the information used by  the CISO to oversee the components’ compliance with the departmentwide  information security program.
section_title: Conclusions
paragraphs: DHS has not fully implemented a comprehensive, departmentwide  information security program, thereby jeopardizing the confidentiality,  integrity, and availability of the information and information systems that it  relies on to accomplish its mission. DHS’s efforts to date in developing and  documenting such a program has merit. However, ensuring that the  components implement key information security practices and controls,  especially with a department as diverse as DHS, requires effective  management oversight and monitoring. Having a complete and accurate  information systems inventory and a process in place to verify the  components’ data on their implementation of the key information security  practices and controls is needed for DHS to effectively implement its  information security program. However, until it does so, DHS will have  limited assurance that its operations and assets are adequately protected.
section_title: Recommendations for Executive Action
paragraphs: To help fully implement DHS’s departmentwide information security  program, we recommend that the Secretary of DHS direct the Chief  Information Officer to  instruct the CISO and component agencies to fully implement the  following key information security practices and controls by  developing complete risk assessments;   documenting comprehensive security plans;   fully performing testing and evaluation of security controls;   reporting complete remedial action plans; and  developing, documenting, and testing continuity of operations plans.  establish milestones for completing verification of the components’  reported performance data in Trusted Agent FISMA.
section_title: Agency Comments
paragraphs: In providing written comments on a draft of this report, DHS’s Chief  Information Security Officer generally agreed with the contents of the  report and described recently completed, ongoing or planned efforts to  implement the department’s information security program. For example,  the Chief Information Security Officer stated that the agency has efforts  under way to improve processes for developing complete risk assessments;  documenting and updating security plans; verifying the results of annual  testing and evaluation of security controls; reporting complete remedial  action plans; and developing, documenting, and testing continuity of  operations plans. The Chief Information Security Officer also stated that  enhancements have been made to the Trusted Agent FISMA tool in order to  improve the reliability of the components’ reported performance data.  DHS’s comments are reprinted in appendix II of this report.
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If you have any questions about this report, please contact me at (202) 512- 6244 or via e-mail at wilshuseng@gao.gov. Contact points for our Offices of  Congressional Relations and Public Affairs may be found on the last page  of this report. Key contributors to this report are acknowledged in  appendix III.
section_title: Scope and Methodology
paragraphs: To determine whether the Department of Homeland Security (DHS) had  developed and documented a departmentwide information security  program, we reviewed departmental information security plans, policies,  procedures, and handbooks; agencywide tools for aggregating the  components’ performance data on their assessment of meeting the  requirements of the Federal Information Security Management Act of 2002  (FISMA); and DHS’s information systems inventory methodology. We  assessed whether DHS’s departmentwide information security program  was consistent with the requirements of FISMA and applicable Office of  Management and Budget (OMB) policies and NIST guidance related to  performing risk assessments, developing information security plans,  testing and evaluating security controls, documenting remedial action  plans, and documenting and testing continuity of operations plans.
To determine whether DHS had implemented its departmentwide  information security program, we focused our review on the components’  alignment with key information security practices and controls. To  accomplish this, we selected seven DHS components—five of which DHS  categorize as major agency components due to their size and mission. The  five components selected were: Customs and Border Protection,  Transportation Security Administration, Immigration and Customs  Enforcement, U.S. Coast Guard, and Emergency Preparedness and  Response. We also selected these five components because they had been  in existence prior to the transformation of DHS and, from an evaluation  standpoint, focused on determining their progress in aligning with and  implementing the departmentwide information security program given  these components had their own information technology management  structures, information security policies and practices, and infrastructures.  As a comparison, we selected one component—Science and Technology— that had not existed prior to the transformation to evaluate its alignment  with and implementation of the departmentwide information security  program. We also selected the United States Visitor and Immigrant Status  Indicator Technology (US-VISIT) program due to its significant mission in  providing security to our nation’s borders.
Based on their criticality to DHS’s mission operations, we selected for  review three major applications and three general support systems and  obtained documentation contained in the certification and accreditation  packages for the selected systems to assess the extent to which the  components implemented key information security practices and controls.  Certification is a comprehensive process of assessing the level of security  risk, identifying security controls needed to reduce risk and maintain it at  an acceptable level, documenting security controls in a security plan, and  testing controls to ensure they operate as intended. Accreditation is a  written decision by an agency management official authorizing operation of  a particular information system or group of systems. Specifically, we  reviewed and analyzed information security plans, risk assessments,  information security test and evaluation reports, remedial action plans, and  continuity of operations plans for the selected systems. We compared the  components’ documented practices and controls for these information  security areas with applicable FISMA requirements, OMB guidance, and  applicable NIST guidance.
To supplement our documentation reviews and analysis, we reviewed and  considered various audit reports from the CIO and OIG evaluations of  DHS’s information security program, including DHS’s and OIG’s annual  FISMA reports from 2003 and 2004.
We performed our review at DHS headquarters, the offices of the seven  components, and at our headquarters in the Washington, D.C., metropolitan  area; and at DHS’s network and security operations center in Denver,  Colorado, from July 2004 through May 2005. Our review was performed in  accordance with generally accepted government auditing standards.
section_title: Comments from the Department of Homeland Security
section_title: GAO Contact and Staff Acknowledgments
subsections: section_title: GAO Contact
section_title: Staff Acknowledgments
paragraphs: In addition to the individual named above, Jenniffer Wilson, Assistant  Director; Joanne Fiorino; Kenneth A. Johnson; Lori Martinez; Leena  Mathew; and Altony Rice made key contributions to this report.