DHS' Roles in Food in Defense and Critical Infrastructure Protection
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DEPARTMENT OF HOMELAND SECURITY Office of Inspector General The Department of Homeland Security’s Role in Food Defense and Critical Infrastructure Protection OIG-07-33 February 2007 Office of Inspector General U.S. Department of Homeland Security Washington, DC 20528 February 23, 2007 Preface The Department of Homeland Security (DHS) Office of Inspector General (OIG) was established by the Homeland Security Act of 2002 (Public Law 107-296) by amendment to the Inspector General Act of 1978. This is one of a series of audit, inspection, and special reports prepared as part of our oversight responsibilities to promote economy, effectiveness, and efficiency within the department. This report assesses actions taken by DHS in support of food defense and critical infrastructure protection. It is based on interviews with employees and officials of relevant agencies and institutions, direct observations, and a review of applicable documents. 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. It is our hope that this report will result in more effective, efficient, and economical operations. We express our appreciation to all those who contributed to this report. Richard L. Skinner Inspector General Contents Executive Summary ..................................................................................................................... 1 Background..................................................................................................................................... 2 Overview of the Food Sector ................................................................................................... 2 Hazards to the Food Sector...................................................................................................... 3 Potential Impacts of Food Sector Hazards............................................................................... 6 A Historical Perspective on Federal Food Defense and Critical Infrastructure Protection Responsibilities........................................................................................................................ 8 DHS Food Sector Responsibilities ........................................................................................ 12 Challenges Intrinsic to the Fulfillment of DHS’ Mandate..................................................... 14 Results of Review ........................................................................................................................ 17 DHS’ Internal Coordination of Food Sector Activities ......................................................... 17 Distribution of DHS Food Sector Activities.............................................................. 17 Management of DHS Food Sector Activities ............................................................ 20 Need for Consolidated DHS Food Sector Leadership ............................................... 27 Public and Private Partners .................................................................................................... 28 Sector Governance and Information Sharing............................................................. 29 Charting and Protecting the Food Sector................................................................... 44 Coordination of Research and Development, Education and Training Initiatives .... 50 Prioritization Challenges........................................................................................................ 59 DHS Fulfillment of its Responsibilities................................................................................. 68 Opportunities for Additional Work........................................................................................ 74 Conclusion ..................................................................................................................................... 87 Management Comments and OIG Analysis...................................................................... 88 Appendices Appendix A Purpose, Scope, and Methodology................................................................. 98 Appendix B Recommendations.......................................................................................... 99 Appendix C Management Comments on the Draft Report ............................................... 101 Appendix D Farm-to-Table Continuum ............................................................................ 120 Appendix E Federal Food Sector Regulatory Oversight................................................... 121 Appendix F Critical Infrastructure Sectors and Designated Sector-Specific Agencies.... 124 Appendix G DHS Food Sector Responsibilities ............................................................... 125 Appendix H DHS Food-Sector-Related Programs and Initiatives .................................... 128 Appendix I The Food Sector in Frameworks for Infrastructure Protection, National Preparedness, and Incident Management....................................... 136 Appendix J Chronology of Significant Events................................................................. 144 Appendix K Major Contributors to This Report ............................................................... 147 Appendix L Report Distribution ....................................................................................... 148 DHS’ Role in Food Defense and Critical Infrastructure Protection Contents Tables Table 1 DHS Food Defense and Critical Infrastructure Protection Activities and Initiatives ................................................................................ 19 Table 2 Areas of Shared DHS Food Defense and Critical Infrastructure Protection Program Thrust .............................................................................................. 24 Table 3 DHS Execution of Food-Related Responsibilities......................................... 68 Table 4 Critical Infrastructure Sectors and Sector-Specific Agencies....................... 124 Table 5 DHS Food Sector Responsibilities and Their Origins .................................. 125 Figures Figure 1 Review Focus Along Incident Timeline ........................................................ 13 Figure 2 Farm-to-Table Continuum ............................................................................ 120 Figure 3 Regulatory Oversight of Sample Foods........................................................ 123 Figure 4 Food Sector Elements of Homeland Security Frameworks.......................... 141 Abbreviations CBP Customs and Border Protection, Department of Homeland Security CDC Centers for Disease Control and Prevention, Department of Health and Human Services DHS Department of Homeland Security FBI Federal Bureau of Investigation, Department of Justice FDA Food and Drug Administration, Department of Health and Human Services GAO Government Accountability Office HHS Department of Health and Human Services ISAC Information Sharing and Analysis Center NCFPD National Center for Food Protection and Defense NIPP National Infrastructure Protection Plan S&T Science and Technology Directorate, Department of Homeland Security UC Davis University of California, Davis U.S. United States U.S.C. United States Code USDA United States Department of Agriculture DHS’ Role in Food Defense and Critical Infrastructure Protection OIG Department of Homeland Security Office of Inspector General Executive Summary The federal government is charged with defending the food supply from intentional attacks and natural hazards. While the Department of Homeland Security (DHS) is not the designated lead for a number of key activities in this area, Congress and the President have assigned DHS many important food defense and critical infrastructure protection responsibilities. This report examines DHS activities relating to post-harvest food, and focuses on prevention, protection, preparedness, and detection efforts. There are four main limitations in DHS’ related efforts. First, DHS must improve internal coordination. DHS food sector activities are distributed across multiple organizational units, and similar program thrusts have emerged. Consolidated management attention is required to reduce the risk of duplication and promote collaboration. Second, DHS needs to engage its public and private food sector partners more effectively. Food sector partners were frustrated by the quality and extent of DHS external coordination in sector governance and information sharing; mapping; and research, development, education, and training. Third, DHS could do more to prioritize resources and activities based on risk. DHS units have used different approaches to prioritizing food sector activities in the context of their larger missions, and have not developed a common perspective on food sector risk. There is little consensus on how any of the elements of risk apply to the food sector, and staff in key positions expressed misinformed views about food sector risk. Finally, DHS must fully discharge its food sector responsibilities. DHS has satisfied basic requirements in most, but not all, areas of responsibility. The department has not submitted an integrated federal food defense budget plan or clearly established assessment standards for use in the food sector. Our report contains 16 recommendations to enhance DHS’ performance and improve the security posture of the food supply. DHS concurred with 12 of these recommendations.