Three pandemic coordinators did not know  whether their employees had been notified. Only One Agency Reported Testing Its Information Technology Capabilities to a Great Extent

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. However, 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. Pandemic Planning for Air Traffic Controllers

DOT and FAA pandemic plans and guidance provide the basis for the air  traffic management facility pandemic plans. The Air Traffic Organization (ATO), FAA’s line of business responsible for  the air traffic management services that air traffic controllers provide, had  not yet 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. 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. The HSC, as noted earlier,  had requested that agencies certify that they were addressing the  applicable elements of a pandemic checklist in their plans in late 2006 and  again in late 2008. We have previously reported on the importance of internal control  monitoring to assess the quality of performance over time. Without  appropriately designed monitoring and reporting, the President and the  Congress cannot fully assess the ability of the agencies to continue their  operations while protecting federal employees in the event of a pandemic. Although the council had  asked agencies to certify that they were addressing the applicable  elements of a pandemic planning checklist, the process did not include  any assessment of, or reporting on, agencies’ progress as was the case for  the action items in the plan. Having DHS  monitor and report on the status of agencies’ pandemic plans to protect  the safety and health of their employees while maintaining essential  operations could enhance agencies’ accountability for this responsibility  and serve as an effective way of tracking agencies’ progress in making  their pandemic plans operational by planning for the protection of their  workforce. Recommendation for Executive Action

To ensure agencies’ greater accountability in developing operational plans  that will protect their workforce in the event of a pandemic, we  recommend 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. GAO staff who made major contributions to  this report are listed in appendix V.

Appendix I: Chief Financial Officers Act Agencies

Appendix II: Objectives, Scope, and Methodology

Our objectives were to determine (1) the extent to which federal agencies  have reported plans under way to protect their workforce should an  influenza pandemic occur and have reported identifying essential  functions, other than first response, that cannot be accomplished remotely  in the event of pandemic influenza; (2) the plans selected agencies have  established for certain occupations performing essential functions other  than first response; and (3) the opportunities to improve federal agencies’  planning enabling them to protect their workforce while maintaining their  essential functions in the event of a pandemic. Our case studies included correctional workers from the  Department of Justice’s Bureau of Prisons (BOP); production staff  responsible for disbursing federal payments from the Department of the  Treasury’s Financial Management Service (FMS); and air traffic controllers  from the Department of Transportation’s Federal Aviation Administration  (FAA).
Why GAO Did This Study

Protecting federal workers essential to ensuring the continuity of the country's critical operations will involve new challenges in the event of a pandemic influenza outbreak. This requested report discusses (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. GAO surveyed pandemic coordinators from 24 agencies and selected three case study occupations for review: federal correctional workers, staff disbursing Treasury checks, and air traffic controllers.

What GAO Found

The Homeland Security Council's (HSC) 2006 National Strategy for Pandemic Influenza Implementation Plan required federal agencies to develop operational pandemic plans, and responses from the pandemic coordinators of the 24 agencies GAO surveyed indicate that a wide range of pandemic planning activities are under way. However, the responses also showed that 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, several agencies reported testing their information technology capability to little or no extent. GAO's three case study agencies also showed differences in the degree to which their individual facilities had operational pandemic plans. 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' workforce pandemic plans. Under the National Strategy for Pandemic Influenza Implementation Plan, the Department of Homeland Security (DHS) was required to monitor and report on the readiness of 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 to protect their employees in the event of a pandemic. GAO has previously reported on the importance of internal control monitoring to assess the quality of performance over time. Without appropriately designed monitoring and reporting, the President and the Congress cannot fully assess the ability of the agencies to continue their operations while protecting their federal employees in the event of a pandemic.