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Running head: ANALYZING AND QUANTIFYING RISK 1

ANALYZING AND QUANTIFYING RISK 2

Analyzing and Quantifying Risk

John Doe

Colorado Technical University Online

Abstract

Following the attacks on September 11, 2001 (9/11), the United States (U.S.) found itself in an unprecedented situation, even perhaps questioning the nation’s vulnerability to future attacks. As the United States continues to seek better ways to improve security and adapt to the everchanging threats domestically and internationally. In doing so, the United States merged a combination of government entities known as the Department of Homeland Security (DHS). Tasked with the security of the United States, cyberspace, border security and management, immigration, and disaster relief missions, the U.S. government has granted authoritative privileges to DHS to ensure the safety of the United States and the public. To achieve this, DHS uses a combination of review process to ensure that they identify goals strategically, and agencies remain consistent in their support of DHS operations. Thereafter, DHS will provide a list of recommendations for any operational misalignments to provide direction and ensure overall effectiveness.

Analyzing and Quantifying Risk

Tasked with the overall security of the United States (U.S.), the Department of Homeland Security (DHS) is responsible for the unique utilization of laws that allow the branch to protect the U.S. and its people. While DHS has a scope of entities collaboratively working together to achieve operational objectives, each entity is responsible for conducting reviews to include the following: homeland security quadrennial review (HSQR), bottom-up review (BUR), strategic plan (StratPlan), and budget-in-brief review processes (BIB). To ensure DHS is continuously improving and adapting the ever-changing threat, in this paper, I analyze each of the previously mentioned documents and provide a synopsis of key findings. Thereafter, I provide recommendations for the identified entity and operational misalignments.

Purpose Statement

The purpose in reviewing DHS documents is to ensure that each entity is strategically directed, aligned, and supporting the overall goals of DHS. They do this by using a unique combination of civil and criminal laws to prevent terrorist entries into the United States (U.S.), securing cyberspace, managing the U.S. borders, and enforcing civil/criminal laws and disaster resiliency. For the same reason, the DHS (2016) identifies its missions as “developing security by preventing terrorism, management of national borders, apply immigrational laws, secure and sustain cyberspace, and safeguard disaster resilience” (para. 5). By applying these four core objectives, DHS ensures the security of the nation and its people. Simultaneously, by using a combination of review processes, the agency identifies, sustains, and adapts to the ever-changing threats both domestically and internationally.

Background Discussion

The purpose of this report is to provide an evaluation of the current DHS and the organizational review processes. In this evaluation, I analyze DHS HSQR, BUR, 2014-2018 StratPlan, and the DHS 2015 BIB. Additionally, this report identifies a specific agency and any priority misalignments. Thereafter, any proposed recommendations improve priority alignment to support the DHS StratPlan.

Analysis Methodology Dialogue

In analyzing these reports, I seek to develop a more in-depth understanding into the previous and current DHS review findings. Consequently, this enables me to analyze any misalignments and offer justifiable recommendations. Secondly, I identify if current review processes support the DHS in its overall objectives. By doing so, I ensure that each agency operates parallel HSQR-identified objectives and supports the overall DHS mission.

Reviewing Each Document

Homeland security quadrennial review (HSQR). Tasked with the security of the United States and the public, the DHS uses a unique combination of civil and criminal authorities to achieve operational objectives and daily tasks. Simultaneously, DHS uses a combination of strategic review processes to analyze and review the effectiveness of the organization. One of three review processes is a HSQR; this report offers strategies to improve the agency’s effectiveness and offers information to assist in achieving operational objectives as times change. For the same reason, DHS (2018) identifies this process as “a multiple year-long review of the organization which provides a summary of strategic recommendations for future threats” (para. 1). The HSQR is a thorough analysis review of the agency to ensure the entity remains consistent and supports the overall core objectives of DHS in preventing future threats and managing future hazards.

Bottom-up review (BUR). Like the HSQR, the purpose of the BUR process is to ensure the entity aligns with mission goals identified in the HSQR. An interchangeable process, the BUR offers strategic solutions to improve the agency, analyzes operational gaps, and identifies an effective method of utilization for allocations resourced to the entity; thus, supporting the overall organizational objectives and goals presented in the HSQR. Furthermore, DHS (2015) describes this review process as “an organizational assessment encompassing a series of questions to align the organization with missions and goals identified in the HSQR” (para. 1). The BUR is a method used by DHS as a direction for the agency in preventing terrorism, and ensuring the security of the United States.

Strategic plan (StratPlan). A DHS StratPlan is a road map on how DHS will executive operational objectives with HSQR. In this situation, if the agency employed an additional 20,000 officers for border security, the agency must implement such resources and how the entity will strategically acquire resources to support the overall DHS mission. Moreover, DHS (2015) states “the strategic plan places an emphasis on how the organization will implement goals described in the HSQR by illustrating objectives, the method in which those goals are achieved, and the way the entity measures accomplishments” (p. 5). Developing a StratPlan enables the agency to set the direction of the organization and understand operational goals to achieve.

Budget in brief (BIB). As the name portrays, a BIB is a financial process that supports the vision of the DHS StratPlan. Moreover, an economical vision provides insight on allocating funds for each entity within the DHS in their approach to national security, border security, and infrastructures. In fact, article “Budget-in-Brief Fiscal Year 2017,” (2016) published by the DHS, states that “consistent with the Secretary’s planned objectives, the budget created for FY 2017 sustains operations executed by DHS, while allocating critical funds to border security and infrastructure” (p. 1). The BIB review process identifies primary financial component funding operations by identifying the areas of allocation of funds to ensure the effective use of financial resources.

Key Findings

After analyzing the HSQR, BUR, StratPlan, and BIB documents for DHS, I identified an agency and provided recommendations for operational misalignments. In analyzing the United States Customs and Border Protection (CBP) stratplan, there is a misalignment in goal 1: the management of America’s borders. When I analyze this operational objective, the division offers a method for preventing, managing, dismantling, and expanding awareness, however does not clearly illustrate how the agency will identify potential risks through port of entries (POE).

In any case, article “2012-2016 Border Patrol strategic plan,” (2014) aligns the CBP stratplan with HSQR by indicating “objectives to prevent terrorist’s entries, managing borders through risk, dismantling criminal enterprises by placing an emphasis on priority threats and expanding organizational awareness at point of entries” (p. 8). By not identifying how CBP will identify criminal targets, the division will not effectively prioritize their threats; thus, increasing the likelihood of overlooking a potentially high-risk threat that poses a greater threat to the public.

Closing Dialogue

I recommend that the CBP develop a plan consistent with the DHS StratPlan to identify criminal targets to sustain an up-to-date list of threats. Consequently, I recommend that the division develops a reporting enterprise at local levels to use, as an additional resource for collecting intelligence, identifying risks, and prioritizing threats based on levels of priority. For the same reason, article “The 2014 Quadrennial Homeland Security Review,” when using strategic methods to secure and manage borders, DHS “remains vigilant in countering threats by utilizing public campaigns to report suspicious activity” (p. 6). Establishing reporting initiatives may assist in prioritizing risks, thus, placing emphasis on those targets posing a greater risk to the United States.

Conclusion

In conclusion, the purpose of the DHS is to prevent entries of terrorist organizations, manage border security, secure cyberspace, enforce immigration laws, and develop resilient disaster relief efforts. To achieve this end, DHS uses a combination of the HSQR, BUR, StratPlan, and BIB review processes to achieve its core missions. Following this activity, the DHS reviews the document for CBP and determines if “Goal 1: Management of America’s Borders,” addresses if the organization has identified threats for prioritization. Finally, because the United States must continuously adapt to changing threats, I recommend that CBP develop an incentive-reporting program to collect intelligence and identify potential risks to ensure public security and threat prioritization.

References

Customs and Border Protection. (2014, February 12). 2012-2016 U.S. border patrol strategic plan. Retrieved from https://www.cbp.gov/border-security/along-us-borders/strategic-plan

Department of Homeland Security. (2015, September 23). Bottom-up review. Retrieved from https://www.dhs.gov/publication/bottom-review

Department of Homeland Security. (2015, September 30). Fiscal years 2014-2018 strategic plan. Retrieved from https://www.dhs.gov/sites/default/files/publications/FY14-18%20Strategic%20Plan.PDF

Department of Homeland Security. (2016, February 16). FY 2017 budget-in-brief. Retrieved from https://www.dhs.gov/sites/default/files/publications/FY2017_BIB-MASTER.pdf

Department of Homeland Security. (2016, May 11). Our mission. Retrieved from https://www.dhs.gov/our-mission

Department of Homeland Security. (2018, January 3). Quadrennial Homeland Security Review (QHSR). Retrieved from https://www.dhs.gov/quadrennial-homeland-security-review