Lawmakers, GAO call for better continuity of operations planning

Lawmakers and government auditors expressed significant doubts Thursday about whether federal agencies are prepared to keep the government operating in the event of a terrorist attack or catastrophic event.

"There is no assurance that they are prepared for an emergency," said Linda Koontz, the director of information management issues at the General Accounting Office. She presented a GAO report on federal planning for continuity of operations during a hearing before the House Government Reform Committee.

"The committee is concerned about the seeming lack of progress we have made in the area of federal continuity of operations," said Committee Chairman Tom Davis, R-Va. "If 9/11 was the wake-up call, then we haven't fully heeded the message."

For its report, the GAO reviewed 34 Continuity of Operations plans from federal agencies and departments and compared them to guidance from the Federal Emergency Management Agency. GAO investigators also reviewed lists of essential functions identified by agencies. According to Koontz, prioritizing which functions were the most important to keep running after a disaster or attack was the most critical step.

"If you don't do that right, then it probably doesn't matter what you do after that," she said. The GAO report found, however, that the agency plans were inconsistent and sometimes incomplete.

The number of essential functions identified by agencies ranged from 3 to 399. Different agencies also appeared to have diverse views of what is 'essential.' One agency included "protecting critical facilities, systems, equipment and records" on its list, while another included "provide speeches and articles for the secretary and deputy secretary."

"Without better oversight, agencies are likely to continue to base their COOP plans on ill-defined assumptions," the report said.

The GAO would not reveal which agency believed speechwriting was fundamental to continuity. Koontz said, however, that the disparity reveals the need for stronger leadership.

"First and foremost, FEMA needs to improve its guidance and make it more specific," she told Government Executive. "Define better what essential functions are."

A senior official from the Homeland Security Department told lawmakers, however, that every federal agency has a "very robust" COOP plan. The primary task ahead is to "fine tune" those plans, according to Michael Brown, undersecretary for emergency preparedness and response at DHS.

Brown cited Operation Quiet Strength, held late last year, which tested FEMA's headquarters in an emergency continuity situation. He said also that 45 federal departments and agencies will take part in Operation Forward Challenge next month, in which personnel will be required to operate from an alternate site.

Davis applauded FEMA and DHS for their work on continuity issues, but he echoed GAO's assessment that agencies should accurately determine which functions must be kept running in an emergency.

"Continuity of operations," he said, "means more than keeping your Web site up and running."