New Approaches to Analyzing Congressional Oversight of Homeland Security
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Calhoun: The NPS Institutional Archive Theses and Dissertations Thesis Collection 2015-03 Beyond measure: new approaches to analyzing congressional oversight of homeland security þÿO Leary, David P. Monterey, California: Naval Postgraduate School http://hdl.handle.net/10945/45235 NAVAL POSTGRADUATE SCHOOL MONTEREY, CALIFORNIA THESIS BEYOND MEASURE: NEW APPROACHES TO ANALYZING CONGRESSIONAL OVERSIGHT OF HOMELAND SECURITY by David P. O’Leary March 2015 Thesis Advisor: John Rollins Second Reader: Erik Dahl Approved for public release; distribution is unlimited THIS PAGE INTENTIONALLY LEFT BLANK REPORT DOCUMENTATION PAGE Form Approved OMB No. 0704– 0188 Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instruction, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Washington headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork Reduction Project (0704-0188) Washington, DC 20503. 1. AGENCY USE ONLY (Leave blank) 2. REPORT DATE 3. REPORT TYPE AND DATES March 2015 COVERED Master’s Thesis 4. TITLE AND SUBTITLE 5. FUNDING NUMBERS BEYOND MEASURE: NEW APPROACHES TO ANALYZING CONGRESSIONAL OVERSIGHT OF HOMELAND SECURITY 6. AUTHOR(S) David P. O’Leary 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING Naval Postgraduate School ORGANIZATION REPORT Monterey, CA 93943-5000 NUMBER 9. SPONSORING /MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSORING/MONITORING N/A AGENCY REPORT NUMBER 11. SUPPLEMENTARY NOTES The views expressed in this thesis are those of the author and do not reflect the official policy or position of the Department of Defense or the U.S. Government. IRB protocol number ____N/A____. 12a. DISTRIBUTION / AVAILABILITY STATEMENT 12b. DISTRIBUTION CODE Approved for public release; distribution is unlimited A 13. ABSTRACT (maximum 200 words) This paper will explore the implications of congressional oversight of homeland security, specifically the Department of Homeland Security (DHS). Oversight of DHS has been extensively researched since the 9/11 Commission recommended that it be reformed. This thesis argues that much of the previous research into this topic relied on a limited view of oversight and used a limited set of tools to measure it. This thesis reviews the existing literature on homeland security oversight and offers alternative ways of measuring oversight. It conducts two case studies to establish a more complete view of homeland security oversight. Then, it quantitatively analyzes legislative data and offers a new approach to using agency interactions to provide a more meaningful picture of homeland security oversight. Finally, the thesis offers recommendations based on the conclusions of the research to achieve optimal congressional oversight of homeland security. 14. SUBJECT TERMS 15. NUMBER OF homeland security, Department of Homeland Security, oversight, congressional oversight, Congress, PAGES 9/11 Commission, policy recommendations, social network analysis, legislation 139 16. PRICE CODE 17. SECURITY 18. SECURITY 19. SECURITY 20. LIMITATION CLASSIFICATION OF CLASSIFICATION OF THIS CLASSIFICATION OF OF ABSTRACT REPORT PAGE ABSTRACT Unclassified Unclassified Unclassified UU NSN 7540–01-280-5500 Standard Form 298 (Rev. 2–89) Prescribed by ANSI Std. 239–18 i THIS PAGE INTENTIONALLY LEFT BLANK ii Approved for public release; distribution is unlimited BEYOND MEASURE: NEW APPROACHES TO ANALYZING CONGRESSIONAL OVERSIGHT OF HOMELAND SECURITY David P. O’Leary Associate Director, Office of Legislative Affairs, U.S. Department of Homeland Security B.A., Yale University, 2006 Submitted in partial fulfillment of the requirements for the degree of MASTER OF ARTS IN SECURITY STUDIES (HOMELAND SECURITY AND DEFENSE) from the NAVAL POSTGRADUATE SCHOOL March 2015 Author: David P. O’Leary Approved by: John Rollins Thesis Advisor Erik Dahl Second Reader Mohammed Hafez Chair, Department of National Security Affairs iii THIS PAGE INTENTIONALLY LEFT BLANK iv ABSTRACT This paper will explore the implications of congressional oversight of homeland security, specifically the Department of Homeland Security (DHS). Oversight of DHS has been extensively researched since the 9/11 Commission recommended that it be reformed. This thesis argues that much of the previous research into this topic relied on a limited view of oversight and used a limited set of tools to measure it. This thesis reviews the existing literature on homeland security oversight and offers alternative ways of measuring oversight. It conducts two case studies to establish a more complete view of homeland security oversight. Then, it quantitatively analyzes legislative data and offers a new approach to using agency interactions to provide a more meaningful picture of homeland security oversight. Finally, the thesis offers recommendations based on the conclusions of the research to achieve optimal congressional oversight of homeland security. v THIS PAGE INTENTIONALLY LEFT BLANK vi TABLE OF CONTENTS I. INTRODUCTION........................................................................................................1 II. LITERATURE REVIEW ...........................................................................................7 A. PRIMARY LITERATURE RESOURCES ...................................................8 1. Commissions Addressing “Homeland Security” Prior to 9/11 ........9 2. Think Tank Reviews ..........................................................................10 3. Data and Analysis from DHS and Media Coverage .......................13 4. Academic Research ............................................................................15 B. SECONDARY SOURCES ............................................................................18 III. HOMELAND SECURITY OVERSIGHT BACKGROUND ................................21 A. CONCEPT OF OVERSIGHT ......................................................................21 B. METHODS OF MEASURING OVERSIGHT ...........................................23 1. Agency Interaction .............................................................................24 2. Explicit Jurisdiction ...........................................................................27 3. Bill Referral Precedent ......................................................................29 IV. CASE STUDY REVIEWS ........................................................................................33 A. UNITED STATES FIRE ADMINISTRATION ..........................................33 1. Agency Interaction .............................................................................34 2. Explicit Jurisdiction ...........................................................................35 3. Bill Referrals .......................................................................................36 B. HURRICANE KATRINA OVERSIGHT ....................................................40 1. Agency Interaction .............................................................................40 2. Explicit Jurisdiction ...........................................................................45 3. Bill Referrals .......................................................................................54 V. QUANTITATIVE DATA ..........................................................................................61 A. THE IMPACT OF MULTIPLE REFERRALS ON HOMELAND SECURITY .....................................................................................................61 B. A NEW APPROACH TO VISUALIZING HOMELAND SECURITY OVERSIGHT .................................................................................................65 VI. RECOMMENDATIONS AND IMPLEMENTATION ..........................................79 A. RECOMMENDATIONS TO CHANGE CONGRESSIONAL RULES ...79 1. Issue 1 ..................................................................................................79 2. Issue 2 ..................................................................................................80 3. Issue 3 ..................................................................................................81 4. Issue 4 ..................................................................................................82 5. Issue 5 ..................................................................................................83 B. RECOMMENDATIONS WITHOUT RULE CHANGES .........................84 1. Issue 6 ..................................................................................................85 2. Issue 7 ..................................................................................................86 C. RECOMMENDATIONS TO REDUCE DUPLICATION .........................86 1. Issue 8 ..................................................................................................87 vii 2. Issue 9 ..................................................................................................89 3. Issue 10 ................................................................................................90 4. Issue 11 ................................................................................................91