Emergency Management: Status of School Districts' Planning and Preparedness
Released: 2007-05-17T00:00:00

Letter

Background

The Homeland Security Act of 2002 created DHS and consolidated most of the federal programs and agencies with responsibilities for emergency management into that agency. DHS serves as a federal partner to state and local governments in emergency management. DHS provides technical assistance and homeland security grant funding to states and local governments to enhance their emergency management efforts. States and local governments have the responsibility for spending DHS grant funds in accordance with DHS guidelines to meet local emergency management needs. In fiscal year 2006, DHS awarded $1.7 billion to states, urban areas, and territories to prepare for and respond to terrorist attacks and other disasters. States and local governments may then provide a portion of this funding to a range of entities, as specified in DHS’s program guidance.

As we have noted in prior reports, emergency management requires coordinated planning and implementation by a variety of participants. Effective emergency management requires identifying the hazards for which it is necessary to be prepared (risk assessments); establishing clear roles and responsibilities that are effectively communicated and well understood; and developing, maintaining, and mobilizing needed capabilities, such as people, skills, and equipment. The plans and capabilities should be tested and assessed through realistic exercises that identify strengths and areas that need improvement, with any needed changes made to both plans and capabilities.

The hazards that school districts may face will vary across the country depending upon the natural hazards to which their particular areas are prone and an assessment of other risks for which they need to be prepared, such as pandemic influenza or the discharge of hazardous substances from nearby chemical or nuclear plants. Similarly, who should be involved in emergency planning and response for schools, and the roles of the various participants will vary by type and size of the emergency incident. For large-scale emergencies, effective response is likely to involve all levels of government—federal, state, and local— nongovernment entities, such as the Red Cross, and the private sector.

Federal and State Governments Provide Resources to School Districts for Emergency Management Planning, While Only States Have Laws that Require School Emergency Management Planning

Although no federal laws exist requiring school districts to have emergency management plans, most states reported having requirements for school emergency management planning; however, the federal government, along with states, provides financial and other resources for such planning. Education, DHS, and state governments provide funding for emergency management planning in schools. However, DHS program guidance does not clearly identify school districts as entities to which states and local governments may disburse grant funds. Not all states receiving DHS funding are aware that such funding could be disbursed to school districts. In addition to providing funding, the federal government assists school districts and schools in emergency management planning by providing other resources such as guidance, training, and equipment.

Although No Federal Laws Exist Requiring School District Emergency Management Planning, the Majority of States Have Requirements

Although there are no federal laws requiring school districts to have emergency management plans, many states reported having laws or other policies that do so. Congress has not enacted any broadly applicable laws requiring all school districts to have emergency management plans. While the No Child Left Behind Act of 2001 provides that local education agencies (LEAs or school districts) applying for subgrants under the Safe and Drug Free Schools and Communities Program include in their grant applications an assurance that either they or their schools have “a plan for keeping schools safe and drug-free that includes...a crisis management plan for responding to violent or traumatic incidents on school grounds”, Education has not issued any regulations imposing such a requirement on all school districts. However, 32 of the states responding to our survey of state administering agencies and state education agencies reported having laws or other policies requiring school districts or schools to have a written emergency management plan (see fig. 1). Several state laws identify a broad range of specific emergencies that schools or districts are required to address in their plans, while many other states do not identify particular kinds of crises or use more general language to refer to the kinds of emergencies that plans must incorporate.

Federal Agencies and States Provide Funding for School Districts’ Emergency Management Planning

Education and DHS provided some funding to school districts for emergency management. Education provides funding to some school districts specifically for emergency management planning through its Emergency Response and Crisis Management (ERCM) Grant Program. Since fiscal year 2003, Education dispersed $130 million in such grants to over 400 of the over 17,000 school districts in the United States. These grant awards ranged from $68,875 to $1,365,087.

DHS provides funding to states and local jurisdictions for emergency management planning, some of which can be provided to school districts or schools for emergency management planning. DHS officials told us that such funds are available through the State Homeland Security Program, Urban Areas Security Initiative, and Citizen Corps grants. Five states— Florida, Hawaii, Michigan, Mississippi, and Wyoming—reported that they provided approximately $14 million in DHS funding directly to school districts in these states during fiscal years 2003–2006. In addition, eight states and the District of Columbia reported that they provided DHS funding to local jurisdictions that then provided a portion of these funds to school districts or schools for emergency management planning.

Although DHS officials told us that these three grant programs allow for the use of funds at the district or school level, the department’s program guidance does not clearly specify that school districts are among the entities to which state and local governments may disburse funds. As a result, some states may not be aware of their availability.

State governments also provide state funds to school districts. Eleven of the 49 states responding to surveys we sent to state education and state administering agencies reported providing state funding to school districts for emergency management planning.

Federal Agencies and States Provide Guidance, Training, and Equipment for Emergency Management in School Districts

The federal government also provides guidance, training, and equipment to school districts to assist in emergency management planning (see table 1).

Education, DHS, and HHS have collaborated and developed recommended practices to assist in preparing for emergencies that can be applied to school districts. Some of these practices are shown in table 2.

The type of guidance available from the federal government on topics related to these recommended practices varies significantly; in some instances, federal agencies provide detailed instructions on how to implement recommended practices while, in other instances, guidance is less detailed.

We have also recognized the importance of certain of these practices in our prior reports on emergency management. We have noted the importance of realistic training exercises followed by a careful assessment of those exercises. Those with whom the school districts should coordinate and train will vary by the type and size of the emergency. For example, for a potential pandemic flu or other major infectious outbreak, planning and working with local health authorities is critical.

In addition to the federal government, states provide guidance and training to school districts. Based on our survey of state administrative agencies and state education agencies, 47 states reported providing guidance and 37 states reported providing training. Some states also reported providing online resources that include guidance and training.

Most Districts Have Taken Steps to Prepare for Emergencies, but Some Plans and Activities Do Not Address Recommended Practices

Almost all school districts have taken steps to prepare for emergencies, including developing written plans, but some plans do not address federally recommended practices such as establishing procedures for special needs students and procedures for continued student education in the event of an extended closure. Additionally, many school districts do not have procedures for training regularly with first responders and community partners.

Most School Districts Have Undertaken Some Emergency Management Activities

Many school districts, those with and without emergency management plans, have undertaken activities to prepare for emergencies. Based on our survey of school districts, we estimate that 93 percent of all school districts conduct inspections of their school buildings and grounds to identify possible vulnerabilities in accordance with recommended practices. Of those school districts, 87 percent made security enhancements to their school facilities and grounds as a result of these inspections. Security enhancements included adding or enhancing equipment to communicate with school employees, strengthening the perimeter security of the school, and enhancing access controls.

In addition to conducting vulnerability assessments, many school districts carry out a number of other activities to prepare for emergencies such as conducting some type of school drill or exercise and maintaining a storage location for and replenishing emergency supplies such as food, water, and first-aid supplies, as recommended. Additionally, school districts took responsibility for a number of activities to prepare for emergencies at the district level such as negotiating the use of school buildings as community shelters and identifying security needs in schools. These activities can vary by locality depending on community needs and include oversight, coordination with other entities, and training.

Most Districts Have Emergency Management Plans That Address Multiple Hazards, but the Content of Plans Varies Significantly

Most school districts have developed written emergency management plans that address multiple hazards. Based on our survey of school districts, we estimate that 95 percent of all school districts have written emergency management plans with no statistical difference between urban and rural districts. Of those school districts that have written emergency plans, nearly all (99.6 percent) address multiple hazards in accordance with recommended practices to prepare for emergencies. However, the specific hazards addressed by plans vary. (See fig. 2.) In some instances, the hazards included in emergency plans are specific to local conditions, which is to be expected.

The extent to which school districts’ emergency management plans and planning activities are consistent with other recommended practices varies: Develop Roles and Responsibilities for School Community Members. Based on our survey of school districts, most districts have written roles and responsibilities in their plans for staff such as superintendents, building engineers or custodians, principals, teachers, and nurses.

Develop Roles and Responsibilities for First Responders and Community Partners. Based on our survey, we estimate that 43 percent of school districts use the Incident Command System (ICS)—established by DHS as part of the National Incident Management System (NIMS)— to establish the roles and responsibilities of school district officials, local first responders, and community partners during an emergency, in accordance with recommended practices.

Develop Procedures for Communicating with Key Stakeholders. Central to district emergency plans is the inclusion of procedures for communicating with key stakeholders such as staff, parents, and students, including those who are Limited-English Proficient. Our survey finds that roughly three-quarters of all school districts have not included written procedures in their plans for communicating with Limited-English Proficient parents and students, in accordance with federally recommended practices.

Develop Procedures for Special Needs Students. Although the number of special needs students in the schools is growing, our survey finds that an estimated 28 percent of school districts with emergency management plans do not have specific provisions for them in their emergency management plans. Education officials told us that because there is no agreement among disability groups on what the best practices are for special needs students in an emergency, districts usually devise their own procedures. According to these officials, some of these procedures such as keeping special needs students in their classrooms during some emergencies may not ensure the students’ safety in an emergency.

Develop Procedures for Recovering from an Incident. Over half of all school districts with written emergency plans include procedures in their plans to assist with recovering from an incident, in accordance with recommended practices. School districts’ plans include such procedures as providing on-site trauma teams, restoring district administrative functions, and conducting assessments of damage to school buildings and grounds.

Develop Procedures for the Continuation of Student Education. Few school districts’ emergency plans contain procedures for continuing student education in the event of an extended school closure, such as a pandemic outbreak, although it is a federally recommended practice. Based on our survey, we estimate that 56 percent of school districts do not include any of the following procedures (see table 3) in their plans for the continuation of student education during an extended school closure. Without such procedures school districts may not be able to educate students during a school closure that could last from several days to a year or longer.

Determine Lessons Learned. Based on our survey of school districts, we estimate that 38 percent of districts have emergency management plans that contain procedures for reviewing lessons learned to analyze how well the plans worked in responding to a drill or emergency. Of the remaining school districts, 53 percent indicated they have procedures but those procedures are not included in their plans and 7 percent have no such procedures.

Develop Multi-Purpose Manuals. Some school districts have multi- purpose manuals that contain various types of information such as roles and responsibilities for staff, descriptions of how to respond to different types of emergencies, as well as site specific information for individual schools to complete in order to tailor their plan. In contrast, other districts provide less information. For example, one district’s plan consisted of a flipchart with contact information on whom to call during an emergency.

Involve Local Government and Public Heath Agencies in Developing and Updating Plans. School districts differed in the extent to which they involve community partners in the development and updating of their plans. Fewer than half of school districts with emergency management plans involve community partners such as the local head of government (43 percent) or the local public health agency (42 percent) when developing and updating their emergency management plans, as recommended by HHS. According to written guidance provided by Education, those school districts that do not include community partners in the development and updating of their plans may limit their opportunity to exchange information with local officials, take advantage of local resources, and identify gaps in their plan. More than half (52 percent) of all school districts with emergency management plans report regularly (i.e., at least once a year) updating their emergency management plans in accordance with recommended practices. However, 10 percent of all school districts had never updated their plans.

Train with First Responders. Based on our survey, we estimate that 27 percent of all school districts with emergency management plans have never trained with any first responders on how to implement the plans, in accordance with federally recommended practices. The reasons why school districts are not training with first responders are not readily apparent. As we have previously reported, involving first responder groups in training and exercise programs can better familiarize first responders with and prepare first responders for their roles in an emergency as well as assess the effectiveness of a school or district emergency plan.

Train with Community Partners. School districts report training with community partners—such as local government and local public health entities—on activities to prepare for an emergency with similar frequency. Specifically, we estimate that 29 percent of all school districts train with community partners. As with first responders, the reasons for the lack of training with community partners are not readily apparent. In our work on Hurricane Katrina, we reported that involving local community partners in exercise programs and training could help prepare community partners and enhance their understanding of their roles in an emergency as well as help assess the effectiveness of a school district’s emergency plan. Without such training, school districts and their community partners may not fully understand their roles and responsibilities and could be at risk of not responding effectively during a school emergency.

School Districts Report Challenges in Planning for Emergencies and Difficulties in Communicating with First Responders and Parents

In planning for emergencies, many school districts face challenges resulting from competing priorities, a lack of equipment, and limited expertise; some school districts experience difficulties in communicating and coordinating with first responders and parents, but most do not have such challenges with students.

Competing Priorities, Lack of Equipment, and Limited Expertise Are Obstacles to Incorporating Recommended Practices in Emergency Management Planning

School district officials who responded to our survey reported difficulty in following the recommended practice of allocating time to emergency management planning, given the higher priority and competing demand on their time for educating students and carrying out other administrative responsibilities. Based on our survey of school districts, we estimate that in 70 percent of all districts, officials consider competing priorities to be a challenge to planning for emergencies.

In an estimated 62 percent of districts, officials cited a lack of equipment and expertise as impediments to emergency planning. For example, officials in one Massachusetts school district we visited reported that they do not have adequate locks on some of the doors to school buildings to implement a lockdown procedure. In a North Carolina district we visited, officials said a lack of two-way radios for staff in the elementary schools hinders their ability to communicate with one another and with first responders during an emergency. As demonstrated in these school districts, the lack of equipment would prevent districts from implementing the procedures in their plans and hinder communication among district staff and with first responders during emergencies. In addition to not having sufficient equipment, school district officials we spoke with described a shortage of expertise in both planning for and managing emergencies. These officials said their districts lacked specialized personnel and training with which to develop needed expertise. For example, district officials in 5 of the 27 districts we interviewed noted that they do not have sufficient funding to hire full-time emergency management staff to provide such training or take responsibility for updating their district plans. These officials noted that the lack of expertise makes it difficult to adequately plan for responding to emergencies.

Some School Districts Reported Difficulty in Communicating and Coordinating with First Responders

Based on our survey of school districts, an estimated 39 percent of districts with emergency plans experience challenges in communicating and coordinating with local first responders. Specifically, these school districts experience a lack of partnerships with all or specific first responders, limited time or funding to collaborate with first responders on plans for emergencies, or a lack of interoperability between the equipment used by the school district and equipment used by first responders. For example, the superintendent of a Washington school district we visited said that law enforcement has not been responsive to the district’s requests to participate in emergency drills, and, in addition to never having had a districtwide drill with first responders, competition among city, county, and private first responders has made it difficult for the school district to know with which first responder entity it should coordinate. According to guidance provided by Education, the lack of partnerships, as demonstrated in these school districts, can lead to an absence of training that prevents schools and first responders from understanding their roles and responsibilities during emergencies. Additionally, in 8 of the 27 districts we interviewed, officials said that the two-way radios or other equipment used in their school districts lacked interoperability with the radios used by first responders.

School Districts Have Methods to Communicate With Parents, but Face Challenges in Ensuring Parents Receive Consistent Information during Incidents

In keeping with recommended practices that call for school districts to have a way to contact parents of students enrolled in the district, all of the 27 school districts we interviewed had ways of communicating emergency procedures to parents prior to (e.g., newsletters), during (e.g., media, telephone), and after an incident (e.g., letters). Eleven of these districts have a system that can send instant electronic and telephone messages to parents of students in the district. Despite having these methods, 16 of the 27 districts we interviewed experience difficulties in implementing the recommended practice that school districts communicate clear, consistent, and appropriate information to parents regarding an emergency. For example, officials in a Florida school district said that with students’ increased access to cellular telephones, parents often arrive on school grounds during an incident to pick up their children before the district has an opportunity to provide parents with information. Thus, according to these officials, the district experiences challenges in simultaneously maintaining control of both the emergency situation and access to school grounds by parents and others. Representatives of three education associations also noted that school districts have much to do to ensure that their emergency management efforts diffuse confusion during emergencies and provide parents with consistent information.

Based on our survey of school districts, an estimated 39 percent of all school districts provide translators to communicate with Limited-English Proficient parents during emergencies, but fewer—an estimated 23 percent of all districts—provide translations of emergency management materials. Officials in eight of the 27 districts we interviewed discussed challenges in retaining bilingual staff to conduct translations of the districts’ messages or in reaching parents who do not speak the languages or dialects the district translates. Our findings, are consistent with the observations of some national education groups that have indicated that districts, in part due to limited funding, struggle to effectively communicate emergency-related information to this population of parents.

Officials in all but one of the districts in which we conducted interviews said that the district did not have problems communicating emergency procedures to students. While some of these officials did not provide reasons; as we previously discussed, most districts regularly practice their emergency management plans with their students and staff.

Concluding Observations

The federal government plays a critical role in assisting school districts to prepare for emergencies by providing funding, giving states flexibility to target federal funding for emergency management to areas of greatest need, disseminating information on best practices and other guidance, and providing training and equipment. School districts have taken a number of important steps to plan for a range of emergencies, most notably developing emergency management plans; however, in many districts these plans or their implementation do not align with federally recommended practices. Given the challenges many school districts face due to a lack of necessary equipment and expertise, they do not have the tools to support the plans they have in place and, therefore, school districts are left with gaps in their ability to fully prepare for emergencies. Additional clarity regarding access to federal resources and improved guidance may enhance the ability of school districts to plan and prepare for emergencies. We are currently considering recommendations to address these issues.

GAO Contacts

For further information regarding this testimony, please contact me on (202) 512-8403 or William O. Jenkins, Jr. on (202) 512-8757. Individuals making contributions to this testimony include Kathryn Larin, Debra Sebastian, Tahra Nichols, and Kris Trueblood.

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