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Testimony: 

Before the Subcommittee on Oversight of Government Management, the 
Federal Workforce, and the District of Columbia, Senate Committee on 
Homeland Security and Governmental Affairs: 

United States Government Accountability Office: 
GAO: 

For Release on Delivery: 
Expected at 10:00 a.m. EDT:
Tuesday, June 16, 2009: 

Influenza Pandemic: 

Greater Agency Accountability Needed to Protect Federal Workers in the 
Event of a Pandemic: 

Statement of Bernice Steinhardt:
Director, Strategic Issues: 

GAO-09-783T: 

GAO Highlights: 

Highlights of GAO-09-783T, a testimony before the Subcommittee on 
Oversight of Government Management, the Federal Workforce, and the 
District of Columbia, Senate Committee on Homeland Security and 
Governmental Affairs. 

Why GAO Did This Study: 

As evidenced by the spring 2009 outbreak of the H1N1 virus, an 
influenza pandemic remains a real threat to the nation and the world 
and has the potential to shut down work critical to the smooth 
functioning of society. This testimony addresses (1) the extent to 
which federal agencies have made pandemic plans to protect workers who 
cannot work remotely and are not first responders; (2) the pandemic 
plans selected agencies have for certain occupations performing 
essential functions other than first response; and (3) the 
opportunities to improve agencies’ workforce pandemic plans. 

The issues discussed in the testimony are based on the GAO report, 
Influenza Pandemic: Increased Agency Accountability Could Help Protect 
Federal Employees Serving the Public in the Event of a Pandemic (GAO-09-
404, June 12, 2009). In this report, GAO recommended that the Homeland 
Security Council (HSC) request that the Department of Homeland Security 
(DHS) monitor and report to the Executive Office of the President on 
the readiness of agencies to continue operations while protecting their 
employees in the event of a pandemic. To help carry out its oversight 
role, the Congress may want to consider requiring a similar report from 
DHS. The HSC noted that it will give serious consideration to the 
findings and recommendations in the report, and DHS said the report 
will contribute to its efforts to ensure government entities are well 
prepared for what may come next. 

What GAO Found: 

GAO surveyed the 24 agencies employing nearly all federal workers to 
gain an overview of governmentwide pandemic influenza preparedness 
efforts and found that a wide range of pandemic planning activities are 
under way. However, as of early 2009, several agencies reported that 
they were still developing their pandemic plans and their measures to 
protect their workforce. For example, several agencies had yet to 
identify essential functions during a pandemic that cannot be performed 
remotely. In addition, although many of the agencies’ pandemic plans 
rely on telework to carry out their functions, five agencies reported 
testing their information technology capability to little or no extent. 

To get a more in-depth picture of agency planning, GAO selected three 
case study agencies that represent essential occupations other than 
first response that cannot be performed remotely. The three case study 
occupations—correctional workers, production staff disbursing federal 
checks, and air traffic controllers—showed differences in the degree to 
which their individual facilities had operational pandemic plans. For 
example, the Bureau of Prisons’ correctional workers had only recently 
been required to develop pandemic plans for their correctional 
facilities. Nevertheless, the Bureau of Prisons has considerable 
experience limiting the spread of infectious disease within its 
correctional facilities and had also made arrangements for antiviral 
medications for a portion of its workers and inmates. The Department of 
the Treasury’s Financial Management Service, which has production staff 
involved in disbursing federal payments such as Social Security checks, 
had pandemic plans for its four regional centers and had stockpiled 
personal protective equipment such as respirators, gloves, and hand 
sanitizers at the centers. Air traffic control management facilities, 
where air traffic controllers work, had not yet developed facility 
pandemic plans or incorporated pandemic plans into their all-hazards 
contingency plans. The Federal Aviation Administration had recently 
completed a study to determine the feasibility of the use of 
respirators by air traffic controllers and concluded that their long-
term use during a pandemic appears to be impractical. 

There is no mechanism in place to monitor and report on agencies’ 
progress in developing workforce pandemic plans. Under the National 
Strategy for Pandemic Influenza Implementation Plan, DHS was required 
to monitor and report on the readiness of departments and agencies to 
continue operations while protecting their employees during an 
influenza pandemic. The HSC, however, informed DHS in late 2006 or 
early 2007 that no specific reports on this were required to be 
submitted. Rather, the HSC requested that agencies certify to the 
council that they were addressing in their plans the applicable 
elements of a pandemic checklist in 2006 and again in 2008. This 
process did not include any assessment or reporting on the status of 
agency plans. Given agencies’ uneven progress in developing their 
pandemic plans, monitoring and reporting would enhance agencies’ 
accountability for protecting their employees in the event of a 
pandemic. 

View [hyperlink, http://www.gao.gov/products/GAO-09-783T] or key 
components. For more information, contact Bernice Steinhardt, (202) 512-
6543 or steinhardtb@gao.gov. 

[End of section] 

Mr. Chairman and Members of the Subcommittee: 

I am pleased to be here today to discuss our recent study of federal 
agencies' plans to protect their workers in the event of an influenza 
pandemic.[Footnote 1] Our report focused on the protection of federal 
employees, not classified as emergency first responders, yet necessary 
for ensuring the continuity of the country's critical operations. 
Although some of these employees will be able to perform their 
agencies' essential functions remotely through arrangements such as 
telework, others, such as federal correctional workers, production 
staff involved in disbursing federal payments such as Social Security 
checks, and air traffic controllers, will have to work at assigned 
locations where there will be an increased chance of infection due to 
proximity to others. As we were recently reminded by the spring 2009 
outbreak of the H1N1 virus, an influenza pandemic remains a real threat 
to our nation and the world and has the potential to shut down work 
critical to the smooth functioning of our society. Given the important 
role that the federal government will play in the national response to 
a pandemic, planning to ensure the safety and well-being of federal 
employees is vital to the success of government operations. 

This statement is based on our June 12, 2009 report and focuses on (1) 
the extent to which agencies have made pandemic plans to protect 
workers who cannot work remotely and are not first responders; (2) the 
pandemic plans selected agencies have for certain occupations 
performing essential functions other than first response; and (3) the 
opportunities to improve agencies' workforce pandemic plans. 

To address our objectives, we surveyed the pandemic coordinators from 
the 24 agencies covered by the Chief Financial Officers Act of 1990, 
[Footnote 2] which we supplemented with a case study approach. We used 
the survey to get an overview of governmentwide pandemic influenza 
preparedness efforts. The survey questions asked about pandemic plans; 
essential functions other than first response that employees cannot 
perform remotely; protective measures, such as procuring pharmaceutical 
interventions; social distancing strategies;[Footnote 3] information 
technology (IT) testing; and communication of human capital pandemic 
policies. The survey was conducted from May through July 2008, and the 
results were confirmed or updated in early 2009. To get a more in-depth 
picture of agency planning, we selected for case studies three 
occupations that represent essential functions (other than first 
responders): correctional workers employed by the Department of 
Justice's (DOJ) Bureau of Prisons (BOP); production staff responsible 
for disbursing federal payments in the Department of the Treasury's 
(Treasury) Financial Management Service (FMS); and air traffic 
controllers employed by the Department of Transportation's (DOT) 
Federal Aviation Administration (FAA). We undertook this performance 
audit in accordance with generally accepted government auditing 
standards. The standards require that we plan and perform the audit to 
obtain sufficient, appropriate evidence to provide a reasonable basis 
for our findings and conclusions based on our audit objectives. We 
believe that the evidence obtained provides a reasonable basis for our 
findings and conclusions based on our audit objectives. 

In summary, our report found the following: 

* Agency progress in pandemic planning is uneven. Although all of the 
24 CFO Act agencies reported being engaged in planning for pandemic 
influenza to some degree, several agencies reported that they were 
still developing their pandemic plans and their measures to protect 
their workforce. 

* The three case study agencies also showed differences in the degree 
to which their individual facilities had operational pandemic plans. 
BOP's correctional workers had only recently been required to develop 
pandemic plans for their correctional facilities. Treasury's FMS had 
pandemic plans for its four regional centers and had stockpiled 
personal protective equipment. By contrast, air traffic control 
management facilities, where air traffic controllers work, had not yet 
developed facility pandemic plans or incorporated pandemic plans into 
their all-hazards contingency plans. 

* There is no mechanism in place to monitor and report on agencies' 
progress in developing workforce pandemic plans. Instead of having the 
Department of Homeland Security (DHS) monitor agency readiness to 
continue operations while protecting their employees during an 
influenza pandemic, as originally envisioned under the National 
Strategy for Pandemic Influenza Implementation Plan (Implementation 
Plan), the Homeland Security Council (HSC)[Footnote 4] requested that 
agencies certify to the council that they were addressing in their 
plans the applicable elements of a pandemic checklist without including 
any provisions to assess the progress agencies were making. 

Background: 

Approximately 2.6 million federal employees throughout the United 
States and abroad execute the responsibilities of the federal 
government. Federal employees work in every state, with about 90 
percent outside the Washington, D.C., metropolitan area. They perform 
functions across a multitude of sectors, from those vital to the long- 
term well-being of the country--such as environmental protection, 
intelligence, social work, and financial services--to those directly 
charged with aspects of public safety--including corrections, airport 
and aviation safety, medical services, border protection, and 
agricultural safety. 

Worker protection strategies are crucial to sustain an adequate 
workforce during a pandemic. During the peak of an outbreak of a severe 
influenza pandemic in the United States, an estimated 40 percent of the 
workforce could be unable to work because of illness, the need to care 
for ill family members, or fear of infection. Under the Implementation 
Plan, all federal agencies are expected to develop their own pandemic 
plans that along with other requirements, describe how each agency will 
provide for the safety and health of its employees and support the 
federal government's efforts to prepare for, respond to, and recover 
from a pandemic. Because the dynamic nature of pandemic influenza 
requires that the scope of federal government continuity of operations 
(COOP) planning[Footnote 5] includes preparing for a catastrophic event 
that is not geographically or temporally bounded, the Federal Emergency 
Management Agency concluded that planning for a pandemic requires a 
state of preparedness that is beyond traditional federal government 
COOP planning. For example, for pandemic planning purposes, essential 
functions may be more inclusive and extend longer than the 30-day 
traditional COOP-essential functions. 

Agencies Report Being in Various Stages of Planning for the Protection 
of Their Employees in the Event of a Pandemic: 

Our survey questions for the 24 agencies were drawn from pandemic 
planning checklists and federal guidance[Footnote 6] to help agencies 
plan for protecting their employees during a pandemic. The 24 agencies 
we surveyed reported being in various stages of formulating their 
pandemic plans. While most of the agencies had developed plans, several 
reported that they were still formulating their plans. For example, in 
February 2009, the Small Business Administration (SBA) reported that it 
had begun to draft a more complete pandemic influenza annex to its COOP 
plan with an estimated completion date of spring 2009. The Department 
of Defense (DOD) had completed its overarching departmentwide plan, and 
DOD reported that its installations were tailoring their Force Health 
Protection Plans to include pandemic influenza considerations. 

Identifying essential functions and enumerating the employees who would 
perform them is the first step in training those employees, 
communicating the risks and expectations of working during a pandemic, 
and planning and budgeting for measures that would mitigate those 
risks. Nineteen agencies reported that they had identified essential 
functions at both the department and component levels that cannot be 
continued through telework in the event of pandemic influenza or, in 
the case of the Office of Personnel Management (OPM), the U.S. Agency 
for International Development (USAID), and the National Science 
Foundation (NSF), determined that all of their essential or important 
government functions could be performed remotely. Of the remaining 5 
agencies, DOJ reported identifying essential functions at the component 
level but noted that it was revising its department-level plan. At the 
time of our survey, the General Services Administration (GSA) reported 
not identifying its essential functions in the event of a pandemic 
while three agencies--DOD, SBA, and the Department of Housing and Urban 
Development (HUD)--were in the process of either identifying essential 
functions or determining which functions could be continued through 
telework. The pandemic coordinators in three agencies did not know 
whether the employees who performed essential functions in their 
agencies had been notified that they might be expected to continue 
operations during a pandemic. 

We also asked the pandemic coordinators from the 24 agencies whether 
they had planned or budgeted for any of seven potential measures to 
protect workers whose duties require their on-site presence during a 
pandemic. The measures included in our survey included procurement of 
personal protective equipment such as masks and gloves; supplemental 
cleaning programs for common areas; distribution of hygiene supplies 
(hand sanitizers, trash receptacles with hands-free lids, etc.); 
obtaining antiviral medications; arrangements to obtain pandemic 
vaccines to the extent available; prioritization of employees for 
vaccinations; and prioritization of employees for antiviral 
medications. Federal pandemic guidance recommends the measures 
according to risk assessments for employees, and therefore, based on 
the agencies' mission and activities, not all measures are equally 
appropriate for all agencies. The most frequently reported measure was 
procurement of personal protective equipment with 19 agencies reporting 
that they had planned or budgeted for this measure. For example, DHS 
reported that it had done fit testing of employees for N95 respirators 
[Footnote 7] and training on the proper use of other personal 
protective equipment and had pre-positioned stockpiles of the equipment 
for employees in 52 locations. Prioritization of employees for 
vaccinations was the measure least frequently reported with 11 agencies 
reporting that they had taken this measure. 

The survey showed that agencies' most frequently cited social 
distancing strategies involved using telework and flexible schedules 
for their workforces. Restrictions on meetings and gatherings and 
avoiding unnecessary travel were also part of 18 agencies' plans. 
Although many of the agencies' pandemic influenza plans rely on social 
distancing strategies, primarily telework, to carry out the functions 
of the federal government in the event of a pandemic outbreak, only one 
agency, NSF stated that it tested its IT infrastructure to a great 
extent. The agency reported assessing its telework system formally 
several times each year and each day through various means. On the 
other hand, five agencies reported testing their IT systems to little 
or not extent. Table 1 shows the survey responses. 

Table 1: Agencies' Responses on the Extent to Which They Have Tested IT 
Infrastructure to Ensure That It Is Capable of Handling Telework or 
Work-at-Home Arrangements during a Pandemic Influenza Outbreak: 

Extent: To a great extent; 
Agencies: NSF. 

Extent: To a moderate extent; 
Agencies: DOC, DOE, DOI, DOL, DOS, DOT, Education, EPA, OPM, NRC, SSA. 

Extent: To some extent; 
Agencies: DOJ, HHS, HUD, DOD, Treasury, USAID, VA. 

Extent: To little or no extent; 
Agencies: DHS, GSA, NASA, SBA, USDA. 

Legend: 
DOC = Department of Commerce, 
DOE = Department of Energy, 
DOI = Department of the Interior, 
DOL = Department of Labor, 
DOS = Department of State, 
EPA = Environmental Protection Agency, 
HHS = Department of Health and Human Services, 
NASA = National Aeronautics and Space Administration, 
SSA = Social Security Administration, 
USDA = Department of Agriculture, 
VA = Department of Veterans Affairs. 

Source: GAO analysis of agency responses. 

[End of table] 

Given the potential severity of a pandemic, it is important that 
employees understand the policies and requirements of their agencies 
and the alternatives, such as telework, that may be available to them. 
Many employees and their supervisors will have questions about their 
rights, entitlements, alternative work arrangements, benefits, leave 
and pay flexibilities, and hiring flexibilities available during the 
turmoil created by a pandemic. Therefore, it is important that each 
agency implement a process to communicate its human capital guidance 
for emergencies to managers and make staff aware of that guidance. 
Twenty-one of the 24 pandemic coordinators surveyed reported making 
information available to their employees on how human capital policies 
and flexibilities will change in the event of a pandemic outbreak. 
Three agencies--DOC, GSA, and SSA--reported that they have not. Of the 
agencies that reported making information available, two had done so 
indirectly. HUD stated that it shared information with unions, and 
Treasury reported that it briefed its human capital officers on the 
human capital policies and flexibilities available to address pandemic 
issues. 

Pandemic Preparations for Correctional Workers, Production Staff 
Responsible for Disbursing Federal Payments, and Air Traffic 
Controllers Are in Various Stages of Development: 

BOP Has Taken Steps to Protect Correctional Workers in the Event of a 
Pandemic: 

BOP, a component of DOJ, has the mission of protecting society by 
confining offenders in the controlled environments of prisons and 
community-based facilities that are safe, humane, cost-efficient, and 
appropriately secure and that provide work and other self-improvement 
opportunities to assist offenders in becoming law-abiding citizens. 
Approximately 35,000 federal employees ensure the security of federal 
prisons and provide inmates with programs and services. 

BOP's pandemic influenza plan was developed through its Office of 
Emergency Preparedness and was disseminated to its central office and 
six regional offices in May 2008. BOP's pandemic plan addresses the 
need for infection control measures to mitigate influenza transmission 
and calls for education of correctional workers and the inmate 
population. Accordingly, all facilities are instructed that they should 
have readily available and ample supplies of bar soap and liquid soap 
in the restrooms, alcohol-based wipes throughout the facility, and hand 
sanitizers if approved by the warden. Based on a historical review of 
the 1918 pandemic influenza and HHS' pandemic planning assumptions, BOP 
intends to supply antiviral medication to 15 percent of correctional 
workers and inmates in each facility if the influenza outbreak is 
geographically spread throughout the United States. 

BOP has some challenges in preparing for pandemic influenza. For 
example, social distancing measures to protect correctional workers are 
difficult to implement at the facility level. BOP officials said that 
there are many situations in which close contact is inevitable between 
correctional workers and inmates and where personal protective 
equipment, such as gloves and masks, would not be feasible. A unique 
pandemic planning challenge facing federal correctional workers is the 
maintenance of an effective custodial relationship between them and the 
inmates in federal prisons. According to BOP officials, this 
relationship depends on communication and mutual trust, as correctional 
workers in federal prisons do not carry weapons or batons inside the 
cellblocks. Rather, they use verbal methods of communication to keep 
order. BOP officials at United States Penitentiary Leavenworth said 
that they would not allow a situation where correctional workers wear 
N95 respirators or surgical masks but the inmates do not. 

Despite the challenges BOP faces with pandemic influenza planning, the 
bureau has advantages, which are unique to its facilities. Every 
correctional facility is a closed and self-contained system, and each 
facility is somewhat self-sufficient, maintaining a 30-day supply of 
food, water, and other necessities for any type of contingency. 
Correctional facilities also have well-tested experience in emergency 
and health hazard planning and management and infection control, which 
provides them with a solid foundation to build on for pandemic 
influenza preparedness. Additionally, correctional facilities generally 
have strong ties with their local communities, important because 
pandemic influenza will be largely addressed by the resources available 
to each community it affects. 

FMS Has Operational Pandemic Plans for Production Staff Responsible for 
Disbursing Federal Payments: 

FMS, a component of Treasury, provides central payment services to 
federal agencies, operates the federal government's collections and 
deposit systems, provides governmentwide accounting and reporting 
services, and manages the collection of delinquent debt owed to the 
government. FMS has four regional financial centers that are production 
facilities that rely heavily on integrated computer and 
telecommunications systems to perform their mission. However, they also 
rely on light manufacturing operations to print and enclose checks for 
releasing at specific times of the month. Nearly 206 million of FMS's 
payments were disbursed by check in fiscal year 2008. 

A regional center Deputy Director said that the organization is aware 
that the basis of part of the U.S. economy rests on the regional 
financial centers and that they will need to issue payments even during 
a pandemic. For the most part, the regional financial centers are 
planning that in the event of a pandemic, the nature of their business 
will be unchanged, but there will be issues with sickness, absenteeism, 
communication, and hygiene that they must address. Employees whose 
positions require, on a daily basis, direct handling of materials or on-
site activity that cannot be handled remotely or at an alternative 
worksite are not eligible for telework. According to an FMS official, 
even with a minimum crew on-site to produce paper checks, there will be 
instances when employees will need to be within 3 feet of other 
employees. 

As part of the regional center pandemic plans, officials researched the 
types of supplies they would need based on the risks faced in their 
facilities. For example, in the Kansas City regional financial center 
the janitorial staff now routinely wipes off door handles, tabletops, 
and other high-traffic areas. As another part of the Kansas City 
regional plan, the center stocks such items as N95 respirators, gloves, 
hand sanitizers, disinfectants, and fanny packs that include items such 
as ready to eat meals, hand-cranked flashlights, small first-aid kits, 
and emergency blankets. 

The FMS regional financial centers face some unique pandemic planning 
challenges. Since the centers are production facilities with large open 
spaces as well as enclosed office areas, pandemic planning requires 
different responses for different areas. An FMS official noted that 
employees' response and diligence in following disease containment 
measures in the different areas would be what determines the success of 
those measures. Scheduling of production personnel is also a challenge. 
Since the production of the checks must be done according to a deadline 
and internal controls must be maintained, schedules are not flexible. 
FMS officials had not made any arrangements for pandemic pharmaceutical 
interventions for the regional financial centers in part because the 
relatively small number of essential employees required to be on-site, 
as well as the large open spaces in the regional facilities, make 
social distancing measures more feasible. 

FAA Pandemic Plans to Protect Air Traffic Controllers Are Not Ready for 
Implementation: 

FAA, a component of DOT, expects the National Airspace System to 
function throughout an influenza pandemic, in accordance with the 
preparedness and response goal of sustaining infrastructure and 
mitigating impact to the economy and the functioning of society. 
Maintaining the functioning of the National Airspace System will 
require that FAA's air traffic controllers, who ensure that aircraft 
remain safely separated from other aircraft, vehicles, and terrain, 
continue to work on-site. While FAA expects the demand for air traffic 
control, which manages cargo as well as passenger travel, to be reduced 
in the event of a severe pandemic outbreak, its contingency plans 
assume full air traffic levels as a starting baseline. According to an 
FAA official, although passenger travel may be diminished, the shipping 
of cargo may increase. 

The Air Traffic Organization, FAA's line of business responsible for 
the air traffic management services that air traffic controllers 
provide, had not directed facilities, such as its air route traffic 
control centers, to develop pandemic-specific plans or incorporate 
these pandemic plans into their all-hazards contingency plans. FAA 
officials said that all-hazards contingency and continuity plans are 
adapted to the facility level and are regularly implemented during 
natural disasters such as hurricanes. Although these plans are not 
specific to a pandemic, FAA officials reported that the all-hazards 
plans allow the Air Traffic Organization to mitigate the impact of 
adverse events, including reduced staffing levels on National Airspace 
Systems operations. The Air Traffic Organization plans to direct its 
facilities to develop pandemic-specific plans or enhance their 
preexisting all-hazards contingency plans at the local field facility 
level after a number of actions, such as the development of an FAA 
workforce protection policy, are completed. 

Protecting air traffic controllers in the event of a pandemic outbreak 
is particularly challenging for several reasons. Air traffic 
controllers work in proximity to one another; the 6 feet of separation 
recommended for social distancing during a pandemic by the Centers for 
Disease Control and Prevention and the Occupational Safety and Health 
Administration is not possible for them. In addition, air traffic 
controllers cannot use personal protective equipment such as N95 
respirators or surgical masks, as these impede the clear verbal 
communication necessary to maintain aviation safety. FAA recently 
completed a study examining the feasibility of air traffic controllers 
using powered air purifying respirators.[Footnote 8] Because of a 
number of concerns with using the respirators, such as noise, 
visibility, and comfort, FAA officials concluded that their long-term 
use during a pandemic appears to be impractical. Moreover, cross- 
certification of air traffic controllers is problematic. Attaining full 
performance levels for the controllers takes up to 3 years, and air 
traffic controllers proficient in one area of airspace cannot replace 
controllers proficient in another airspace without training and 
certification. Finally, FAA regulations on medication for air traffic 
controllers are strict because certain medications may impair an air 
traffic controller's performance. The Office of Aviation Medicine's 
policy on the use of antiviral medication for prophylactic use by on- 
duty controllers was still in draft as of early 2009. 

Monitoring and Reporting on Agencies' Pandemic Workforce Protection 
Plans Could Improve Efforts to Protect Employees in the Event of a 
Pandemic: 

The survey results from the 24 CFO Act agency pandemic coordinators, as 
well as information from the case study agencies, indicate that a wide 
range of pandemic planning activities are under way and that all of the 
agencies are taking steps to some degree to protect their workers in 
the event of a pandemic. However, agencies' progress is uneven, and 
while we recognize that the pandemic planning process is evolving and 
is characterized by uncertainty and constrained resources, some 
agencies are clearly in the earlier stages of developing their pandemic 
plans and being able to provide the health protection related to the 
risk of exposure their essential employees may experience. 

Under the HSC's Implementation Plan, DHS was charged with, among other 
things, monitoring and reporting to the Executive Office of the 
President on the readiness of departments and agencies to continue 
their operations while protecting their workers during an influenza 
pandemic. DHS officials reported that in late 2006 or early 2007 they 
asked HSC representatives with direct responsibility for the 
Implementation Plan for clarification on the issue of reporting 
agencies' ability to continue their operations while protecting their 
workers during a pandemic. DHS officials said they were informed that 
they did not have to prepare a report. Instead, according to White 
House counsel representatives, the HSC planned to take on the 
monitoring role through its agency pandemic plan certification process. 

In November 2006, the HSC issued Key Elements of Departmental Pandemic 
Influenza Operational Plan (Key Elements), which covered areas such as 
dealing with the safety and health of department employees and 
essential functions and services and how agencies will maintain them in 
the event of significant and sustained absenteeism during a pandemic. 
The Key Elements document stated that to ensure uniform preparedness 
across the U.S. government, the HSC was including a request that by 
December 2006 the agencies certify in writing to the HSC that they were 
addressing applicable elements of the checklist. Subsequently, in 
August 2008, the HSC revised the Key Elements to reflect current 
federal government guidance on pandemic planning and included a request 
for recertification. 

However, the HSC's certification process, as implemented, did not 
provide for monitoring and reporting as envisioned in the 
Implementation Plan regarding agencies' abilities to continue 
operations in the event of a pandemic while protecting their employees. 
In addition, as originally envisioned in the Implementation Plan, the 
report was to be directed to the Executive Office of the President, 
with no provision in the plan for the report to be made available to 
the Congress. 

Concluding Observations and Prior Recommendations: 

The spring 2009 outbreak of H1N1 influenza accentuates the 
responsibility of agencies to have pandemic plans that ensure their 
ability to continue operations while protecting their workers who serve 
the American public. As evidenced by our survey results and case 
studies, some agencies are not close to having operational pandemic 
plans, particularly at the facility level. In addition, there is no 
real monitoring mechanism in place to ensure that agencies' workforce 
pandemic plans are complete. A monitoring process should be in place 
that would ensure that federal agencies are making progress in 
developing their plans to protect their workforce in the event of a 
pandemic and that agencies have the information and guidance they need 
to develop operational pandemic plans. 

To address this issue, our report recommended that the HSC request that 
the Secretary of Homeland Security monitor and report to the Executive 
Office of the President on the readiness of agencies to continue their 
operations while protecting their workers during an influenza pandemic. 
The reporting should include an assessment of the agencies' progress in 
developing their plans including any key challenges and gaps in the 
plans. The request should also establish a specific time frame for 
reporting on these efforts. We also suggested that to help support its 
oversight responsibilities, the Congress may want to consider requiring 
DHS to report to it on agencies' progress in developing and 
implementing their pandemic plans, including any key challenges and 
gaps in the plans. The HSC commented that the report makes useful 
points regarding opportunities for enhanced monitoring and reporting 
within the executive branch concerning agencies' progress in developing 
plans to protect their workforce. DHS commented that our 
recommendations would contribute to its future efforts to ensure that 
government entities are well prepared for what may come next. 

Mr. Chairman and Members of the Subcommittee, this completes my 
statement. I would be pleased to respond to any questions that you 
might have. 

Contacts and Acknowledgments: 

For further information on this testimony, please contact Bernice 
Steinhardt, Director, Strategic Issues, at (202) 512-6543 or 
steinhardtb@gao.gov. Contact points for our Offices of Congressional 
Relations and Public Affairs may be found on the last page of this 
testimony. Individuals making key contributions to this testimony 
include William J. Doherty, Assistant Director, Judith C. Kordahl, 
Senior Analyst, and Karin Fangman, Deputy Assistant General Counsel. 

[End of section] 

Appendix I: Chief Financial Officers Act Agencies: 

Department of Agriculture: 
Department of Commerce: 
Department of Defense: 
Department of Education: 
Department of Energy: 
Department of Health and Human Services: 
Department of Homeland Security: 
Department of Housing and Urban Development: 
Department of the Interior: 
Department of Justice: 
Department of Labor: 
Department of State: 
Department of Transportation: 
Department of the Treasury: 
Department of Veterans Affairs: 
U.S. Agency for International Development: 
Environmental Protection Agency: 
General Services Administration: 
National Aeronautics and Space Administration: 
National Science Foundation: 
Nuclear Regulatory Commission: 
Office of Personnel Management: 
Small Business Administration: 
Social Security Administration: 

[End of section] 

Footnotes: 

[1] GAO, Influenza Pandemic: Increased Agency Accountability Could Help 
Protect Federal Employees Serving the Public in the Event of a 
Pandemic, [hyperlink, http://www.gao.gov/products/GAO-09-404]  
(Washington, D.C.: June 12, 2009). 

[2] 31 U.S.C. § 901. A list of the 24 CFO Act agencies appears in app. 
I. The CFO Act agencies employ nearly all federal employees. 

[3] Social distancing is a technique used to minimize close contact 
among persons in public places, such as work sites and public areas. 

[4] The HSC was established pursuant to Executive Order 13228, on 
October 8, 2001, for purposes of advising and assisting the President 
with respect to all aspects of homeland security and to serve as a 
mechanism for ensuring (1) coordination of homeland security-related 
activities of executive departments and agencies and (2) effective 
development and implementation of homeland security policies. The 
Congress subsequently established the HSC for the purpose of more 
effectively coordinating the policies and functions of the federal 
government relating to homeland security. See Homeland Security Act of 
2002, Pub. L. No. 107-296 (Nov. 25, 2002), 6 U.S.C. § 491 and § 494. On 
May 26, 2009, President Obama issued a statement outlining his decision 
to integrate White House staff supporting national security and 
homeland security. The HSC will be maintained as the principal venue 
for interagency deliberations on issues that affect the security of the 
homeland, such as terrorism, weapons of mass destruction, natural 
disasters, and pandemic influenza. 

[5] COOP planning is an effort conducted by agencies to ensure that the 
capability exists to continue essential agency functions across a wide 
range of potential emergencies. 

[6] The Web site, [hyperlink, http://www.pandemicflu.gov], provides 
access to U.S. government avian and pandemic influenza information and 
guidance. 

[7] An N95 respirator is designed to protect an individual from 
breathing in very small particles, which might contain viruses. This 
type of respirator fits tightly to the face so that most air is inhaled 
through the filter material. To work most effectively, N95 respirators 
must be specially fitted for each person who wears one. 

[8] Powered air purifying respirators use a powered blower to force air 
through a filter. They typically have a hood connected by a flexible 
hose to a blower unit that is equipped with a filter and powered by a 
battery. 

[End of section] 

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