Is FEMA Ready for Katrina?
Jim Kouri, CPP
August 28, 2005
As the dangerous and devastating Hurricane Katrina approachs New Orleans and other areas of the US south, many people are wondering if emergency services, especially essential government services will continue.
The federal agencies required to function during any man-made or natural disaster must continue with minimal interruption or cannot be interrupted for more than 12 hours without compromising the organization's ability to perform its mission and functions assigned to the agency by federal law or by order of the President.
To ensure that essential government services are available in emergencies, federal agencies are required to develop continuity of operations plans. According to guidance from the Federal Emergency Management Agency (FEMA), which is responsible for providing guidance for and assessing agency continuity plan, a key element of a viable capability is the proper identification of essential functions. The congressional oversight agency, the General Accounting Office, previously reported on agency continuity plan compliance, and determined that a number of agencies and their subsidiaries did not have continuity plans in place on October 1, 2002, and those that were in place did not generally comply with FEMA's guidance plan.
GAO was asked to determine, among other things, to what extent major federal agencies used sound practices to identify and validate their essential functions, and if these agencies had made progress since 2002 in improving compliance with FEMA guidance.
Many of the 23 agencies that GAO reviewed reported using sound practices for identifying and validating essential functions, but few provided documentation sufficient for GAO to confirm their responses. This indicates that agencies--although aware of the practices--may not have followed them thoroughly or effectively. Further, the essential functions identified by agencies varied widely: the number of functions identified in each plan ranged from 3 to 538 and included ones that appeared to be of secondary importance.
A major factor contributing to these shortcomings was that FEMA's guidance did not provide specific criteria for identifying essential functions. Subsequent guidance from FEMA and the Bush Administration significantly addresses the sound practices GAO identified. In addition, the White House plans further actions to improve continuity planning. If this guidance and these follow-up actions are implemented effectively, they could lead to improved identification of essential functions in the executive branch.
As of May 1, 2004, agencies had made progress in improving compliance with FEMA guidance, but significant weaknesses remained. Agencies that had plans in place in both years showed significant improvement in the area of tests, training, and exercises. However, although some improvement occurred for other planning areas, important weaknesses remained: for example, 31 of 45 plans did not fully identify mission-critical systems and data necessary to conduct essential functions.
Inadequate oversight by FEMA contributed to the level of weaknesses in agency continuity plans. FEMA plans to improve oversight using an online readiness reporting system, which it plans to have fully operational later this year, and it has already taken other steps to help agencies improve their plans, such as conducting an interagency exercise.
Sources: Federal Emergency Management Agency, Government Accounting Office, American Federation of Police and Concerned Citizens
The federal agencies required to function during any man-made or natural disaster must continue with minimal interruption or cannot be interrupted for more than 12 hours without compromising the organization's ability to perform its mission and functions assigned to the agency by federal law or by order of the President.
To ensure that essential government services are available in emergencies, federal agencies are required to develop continuity of operations plans. According to guidance from the Federal Emergency Management Agency (FEMA), which is responsible for providing guidance for and assessing agency continuity plan, a key element of a viable capability is the proper identification of essential functions. The congressional oversight agency, the General Accounting Office, previously reported on agency continuity plan compliance, and determined that a number of agencies and their subsidiaries did not have continuity plans in place on October 1, 2002, and those that were in place did not generally comply with FEMA's guidance plan.
GAO was asked to determine, among other things, to what extent major federal agencies used sound practices to identify and validate their essential functions, and if these agencies had made progress since 2002 in improving compliance with FEMA guidance.
Many of the 23 agencies that GAO reviewed reported using sound practices for identifying and validating essential functions, but few provided documentation sufficient for GAO to confirm their responses. This indicates that agencies--although aware of the practices--may not have followed them thoroughly or effectively. Further, the essential functions identified by agencies varied widely: the number of functions identified in each plan ranged from 3 to 538 and included ones that appeared to be of secondary importance.
A major factor contributing to these shortcomings was that FEMA's guidance did not provide specific criteria for identifying essential functions. Subsequent guidance from FEMA and the Bush Administration significantly addresses the sound practices GAO identified. In addition, the White House plans further actions to improve continuity planning. If this guidance and these follow-up actions are implemented effectively, they could lead to improved identification of essential functions in the executive branch.
As of May 1, 2004, agencies had made progress in improving compliance with FEMA guidance, but significant weaknesses remained. Agencies that had plans in place in both years showed significant improvement in the area of tests, training, and exercises. However, although some improvement occurred for other planning areas, important weaknesses remained: for example, 31 of 45 plans did not fully identify mission-critical systems and data necessary to conduct essential functions.
Inadequate oversight by FEMA contributed to the level of weaknesses in agency continuity plans. FEMA plans to improve oversight using an online readiness reporting system, which it plans to have fully operational later this year, and it has already taken other steps to help agencies improve their plans, such as conducting an interagency exercise.
Sources: Federal Emergency Management Agency, Government Accounting Office, American Federation of Police and Concerned Citizens