Office of Emergency Management and Homeland Security Performance Audit

Transcription

1 Office of Emergency Management and Homeland Security Performance Audit November 2011 Office of the Auditor Audit Services Division City and County of Denver Dennis J. Gallagher Auditor

2 The Auditor of the City and County of Denver is independently elected by the citizens of Denver. He is responsible for examining and evaluating the operations of City agencies for the purpose of ensuring the proper and efficient use of City resources and providing other audit services and information to City Council, the Mayor and the public to improve all aspects of Denver s government. He also chairs the City s Audit Committee. The Audit Committee is chaired by the Auditor and consists of seven members. The Audit Committee assists the Auditor in his oversight responsibilities of the integrity of the City s finances and operations, including the integrity of the City s financial statements. The Audit Committee is structured in a manner that ensures the independent oversight of City operations, thereby enhancing citizen confidence and avoiding any appearance of a conflict of interest. Audit Committee Dennis Gallagher, Chair Maurice Goodgaine Jeffrey Hart Timothy O Brien Robert Bishop Robert Haddock Bonney Lopez Audit Staff John Carlson, Deputy Director, CIA Sonia Montano, Internal Audit Supervisor, CGAP, CICA Rudy Lopez, Lead Internal Auditor Emily Gibson, Senior Auditor, M.S. You can obtain free copies of this report by contacting us at: Office of the Auditor 201 West Colfax Avenue, Department 705 Denver CO, (720) Fax (720) Or download and view an electronic copy by visiting our website at:

3 City and County of Denver 201 West Colfax Avenue, Department 705 Denver, Colorado FAX Dennis J. Gallagher Auditor Mr. Scott Field, Director Office of Emergency Management and Homeland Security City and County of Denver Dear Mr. Field: November 17, 2011 Attached is the Auditor s Office Audit Services Division s performance audit report of the Office of Emergency Management and Homeland Security. The purpose of the audit was to evaluate the preparedness of the City and County of Denver for emergency situations. We evaluated current policies, procedures, and responses to functional exercises and incidents in We determined whether necessary internal controls are in place and functional under the circumstances. Being prepared for unforeseen situations and emergencies is a major responsibility of government. Recent events across the nation have highlighted what can happen when local communities do not have essential activities identified and when agencies do not communicate well in times of crisis. Our audit determined that the Office of Emergency Management and Homeland Security is committed to emergency preparedness and has built a strong centralized function in terms of developing an Emergency Operations Plan (EOP) for the City and building relationships with stakeholders. However, the ability to execute the EOP is at risk in a few areas. The finding and recommendations presented in this report have identified areas for improvement. If you have any questions, please call Kip Memmott, Director of Audit Services, at Sincerely, Dennis J. Gallagher Auditor DJG/sam cc: Honorable Michael Hancock, Mayor Honorable Members of City Council Members of Audit Committee Ms. Janice Sinden, Chief of Staff Ms. Stephanie O Malley, Deputy Chief of Staff Ms. Cary Kennedy, Chief Financial Officer Mr. Doug Friednash, City Attorney Mr. L. Michael Henry, Staff Director, Board of Ethics Ms. Beth Machann, Controller To promote open, accountable, efficient and effective government by performing impartial reviews and other audit services that provide objective and useful information to improve decision making by management and the people. We will monitor and report on recommendations and progress towards their implementation.

4 City and County of Denver Dennis J. Gallagher Auditor 201 West Colfax Avenue, Department 705 Denver, Colorado FAX AUDITOR S REPORT We have completed a performance audit of the Office of Emergency Management and Homeland Security. The purpose of the audit was to evaluate the preparedness of the City and County of Denver for emergency situations and to identify possible inefficiencies and opportunities for improvement. This performance audit is authorized pursuant to the City and County of Denver Charter, Article V, Part 2, Section 1, General Powers and Duties of Auditor, and was conducted in accordance with generally accepted government auditing standards. Those 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. Effective emergency preparedness, response, and recovery require coordinated planning and actions by various internal and external stakeholders including federal, state, and local government agencies. Understanding these responsibilities and ensuring that best practices are followed is critical for saving lives, protecting infrastructure and property, and minimizing costs from natural or man-made disasters. The audit revealed that the Office of Emergency Management and Homeland Security (OEMHS) is committed to emergency preparedness and has built a strong centralized function in terms of developing an Emergency Operations Plan (EOP) for the City and building relationships with stakeholders. However, our audit determined that the ability to execute the EOP is at risk in the following three areas: how the City prioritizes and understands emergency responsibilities; uncertainty surrounding future OEMHS funding; and unclear structures for tracking resources during emergency situations. The finding and associated recommendations in this report should enhance the ability of OEMHS to execute the EOP and raise awareness of the important function of this agency. We extend our appreciation to the Office of Emergency Management and Homeland Security and other personnel involved in City emergency operations that assisted and cooperated with us during the audit. Audit Services Division Kip Memmott, MA, CGAP, CICA Director of Audit Services To promote open, accountable, efficient and effective government by performing impartial reviews and other audit services that provide objective and useful information to improve decision making by management and the people. We will monitor and report on recommendations and progress towards their implementation.

5 TABLE OF CONTENTS EXECUTIVE SUMMARY 1 Although the City s Centralized Emergency Management Function is Strong, the Ability to Execute the Emergency Operations Plan is at Risk 1 Other Pertinent Information 2 INTRODUCTION & BACKGROUND 4 Office of Emergency Management and Homeland Security Organizational Structure 4 Emergency Management Governance 5 Man-made and Natural Disasters 8 Colorado Disaster Overview and History 8 Office of Emergency Management and Homeland Security Planning, Training, and Exercise Activities 10 Public Outreach and Involvement Initiatives 11 Emergency Management Accreditation Program 12 SCOPE 15 OBJECTIVE 15 METHODOLOGY 15 FINDING 19 Although the City s Centralized Emergency Management Function is Strong, the Ability to Execute the Emergency Operations Plan is at Risk 19 RECOMMENDATIONS 28 OTHER PERTINENT INFORMATION 30 The City and County of Denver is not a Signatory of an Intergovernmental Agreement for Resource Sharing 30 To promote open, accountable, efficient and effective government by performing impartial reviews and other audit services that provide objective and useful information to improve decision making by management and the people. We will monitor and report on recommendations and progress towards their implementation.

6 TABLE OF CONTENTS (cont d) The Office of Emergency Management and Homeland Security has High-Quality Communication with City Agencies and External Stakeholders 31 Social Media is Becoming an Integral Part of Emergency Management 32 APPENDICES 35 Appendix A Office of Emergency Management and Homeland Security Organizational Chart 35 Appendix B List of Colorado Declared Disasters 36 Appendix C U.S. Department of Homeland Security Emergency Supply List 37 Appendix D Colorado s Nine All-Hazard Regions 39 Appendix E 2010 Urban Area Security Initiative Grant Expenditures 40 Appendix F 2011 Urban Area Security Initiative Grant Expenditures 41 AGENCY RESPONSE 42

7 EXECUTIVE SUMMARY The Office of Emergency Management and Homeland Security (OEMHS) has the primary responsibility for ensuring the City and County of Denver (City) is prepared for any type of emergency or disaster. Specifically, OEMHS is responsible for ensuring that the City has a comprehensive Emergency Operations Plan (EOP) and that its staff and City agency personnel are prepared to carry out the EOP. The Office also manages the City s Emergency Operations Center (EOC), which is activated during situations that require cooperation and immediate communication between City agencies as well as with other jurisdictions. The Office has activated the EOC in many instances, including severe floods and winter storms; an Xcel Energy transformer explosion; a plane crash and a sewage spill at Denver International Airport; and special events such as the Democratic National Convention and the USA Pro Cycling Challenge. OEMHS also provides resources and support to other Colorado jurisdictions during emergencies, such as was the case for the 2010 Four Mile Canyon fire in Boulder, CO. In addition, OEMHS provides a wealth of training and exercises on emergency management for City agencies as well as citizens. Although the City s Centralized Emergency Management Function is Strong, the Ability to Execute the Emergency Operations Plan is at Risk Although OEMHS is a small agency, it is a strong centralized function that has fostered good communication between all emergency management stakeholders. In fact, OEMHS is one of the first local governments in the nation to have received conditional accreditation for the Emergency Management Accreditation Program. However, audit work identified three significant risk factors that threaten the ability to execute the EOP. These factors include: how the City prioritizes and understands emergency responsibilities, uncertainty surrounding future OEMHS funding, and unclear structures for tracking resources during emergency situations. More specifically: Some City agencies lack key components to solidify internal emergency processes, and some agency personnel did not fully understand how to use emergency management systems. As a result, the ability of these agencies to effectively carry out their duties as outlined in the EOP is at risk. For example, some City agencies do not require their employees to respond to the EOC as part of their job duties. In addition, the election of a new administration in 2011 means an influx of new personnel and City leaders. It is crucial that new personnel immediately receive adequate training about OEMHS and the EOP and that these duties are prioritized accordingly. OEMHS only receives approximately 15 percent of its funding from the general fund, with the remainder coming from grant funds. The largest grant, the Urban Area Security Initiative (UASI), will decrease by 30 percent this year and could be eliminated entirely over the next few years due to federal funding cuts. The UASI grant primarily funds regional projects, not core operations for the City. While OEMHS will not see any immediate impact to their operations as a result of the decrease, a long-term, sustainable funding plan is needed to ensure that OEMHS P a g e 1 Office of the Auditor

8 has the resources required to carry out the EOP and related duties. There is also an opportunity to reduce grant costs in the next year by restructuring grant staffing agreements. OEMHS currently does not have detailed standard operating procedures (SOP) related to logistics, which causes confusion of roles and responsibilities related to acquiring resources during an emergency situation. The ability to acquire resources in a short time frame is a major component of emergency management and the EOP. It is also important that emergency resource costs are documented and comply with federal reimbursement requirements. Other Pertinent Information The City and County of Denver is not a Signatory of an Intergovernmental Agreement for Resource Sharing Intergovernmental Agreements (IGA), are commonly utilized to outline resource sharing roles and responsibilities between neighboring jurisdictions to ensure effective response to emergency incidents when response needs exceed the capability of the local jurisdiction. An IGA is in place between some jurisdictions in Colorado but, the City and County of Denver City Attorney s Office has advised against entering the IGA due to gaps and contradictions between the IGA, State of Colorado Emergency Resource Mobilization Plan, and the Colorado Procedures for Emergency Management Assistance Compact. Despite the fact that Denver is not a party to the IGA, if an emergency situation was to arise that required receiving or providing assistance to other jurisdictions, assistance would be provided in accordance to the State of Colorado Emergency Resource Mobilization Plan. In addition, if applicable, Denver could utilize one of the mutual agreements already in place. Further, OEMHS could send a request to the Colorado Department of Emergency Management if immediate assistance was needed in Denver. Understanding the importance of having an IGA in place, OEMHS has taken the initiative to provide suggested revisions to address gaps and contradictions between the IGA and other governing documents. However, OEMHS has no control as to how, if, or when the revisions will be made; it is up to the State of Colorado Division of Emergency Management to address the issue further. Nevertheless, by not having a mutual aid agreement in place, the associated risks with resource sharing increase. The Office of Emergency Management and Homeland Security has High- Quality Communication with City Agencies and External Stakeholders Audit work determined that OEMHS exhibits high-quality communication with internal and external stakeholders, which is central to any life saving operations, preparations, and recovery efforts that follow an emergency or disaster. More specifically, it was acknowledged by various internal and external stakeholders that OEMHS communication efforts have improved dramatically over the past several years, and that current efforts were outstanding. Moreover, 90 percent of respondents to our internal City and County of Denver P a g e 2

9 survey indicated that OEMHS provides proper oversight and follow-up regarding various internal issues or concerns. Social Media is Becoming an Integral Part of Emergency Management At the beginning of the audit, OEMHS stated that social media was minimally used in public outreach and other emergency management efforts but, during the course of the audit, OEMHS made progress towards developing its use of social media. Social media offers a new and innovative way to share information, both during an emergency and to enhance citizen preparedness activities and public awareness. Recent emergency incidents, such as the August 2011 Virginia earthquake, and various studies show that social media is growing as an information source during emergencies. Thus, in order for OEMHS to maintain and continue building a strong central function, the use of social media should be continually developed and incorporated into Denver s emergency management activities. P a g e 3 Office of the Auditor

10 INTRODUCTION & BACKGROUND Natural and man-made disasters affect thousands of lives each year. These disasters have significant financial repercussions that not only impact people, but private and public property and infrastructure as well. Additionally, the events of September 11, 2001 awoke our nation to the real threat of international terrorism and highlighted the importance and need for emergency management programs. Terrorism was no longer a crisis that happened across oceans, but a tragedy that unfolded on U.S. soil, clearly pointing out vulnerabilities at national, state and local levels. Federal, state, and local governments have a crucial role and responsibility in planning, preparing, and responding to such disasters. The Office of Emergency Management and Homeland Security (OEMHS) plays a vital role in protecting the citizens of Denver and surrounding jurisdictions. OEMHS is responsible for ensuring that the City and County of Denver (City) is prepared by properly planning for emergencies, training essential personnel, and ensuring optimal communication between the various stakeholders in order to effectively address any type of emergency or disaster situation. Originally, OEMHS was known as the Office of Emergency Preparedness and was under the Department of Safety. OEMHS was formally established by City ordinance in July 1996 with a mission to protect and better prepare the City for emergency and disaster situations. OEMHS is responsible for various aspects related to natural and man-made disasters. In order to accomplish this mission, OEMHS plays a key role in developing and maintaining the City s Emergency Operations Plan (EOP) and managing the Emergency Operations Center (EOC). Additionally, OEMHS provides planning, training, exercises, and educational outreach programs that educate Denver residents on how to plan and prepare for emergency or disaster situations. OEMHS coordinates these activities with various City agencies and departments, as well as with local, state, and federal, and private and public sector stakeholders. Office of Emergency Management and Homeland Security Organizational Structure OEMHS is a small agency comprising a Director, appointed by the Mayor, and thirteen full time employees who are either assigned to work for OEMHS from other City agencies or who are employed by OEMHS directly. OEMHS has two general functions, which include core emergency management operations funded by general fund dollars and various grant funded activities. 1 The amount of funding from grant sources greatly exceeds general fund contributions. Specifically, OEMHS was appropriated 1 See Appendix A, Office of Emergency Management & Homeland Security Organizational Chart. City and County of Denver P a g e 4

11 approximately $600,000 in general fund dollars for 2011 as compared to the $3.3 million in anticipated grant funded expenditures for Core Operations Core emergency management operations for the City are supported by five OEMHS employees, one Denver Police Department (DPD) liaison, and one Denver Fire Department (DFD) liaison. Responsibilities of these employees include writing and updating the EOP, conducting hazard identification and risk assessments, maintaining and activating tornado sirens, performing public awareness and preparedness activities, and conducting various preparedness exercises and training activities. Additional responsibilities include rotating on-call duties, gathering and maintaining situational information on emergency and disaster situations, receiving support requests and providing assistance when possible. Further, OEMHS employees are responsible for advising the Director of OEMHS on the need to activate the EOC and assist in managing it. Grant Activities OEMHS is currently the recipient of three grants. The largest grant is the federal Department of Homeland Security s Urban Area Security Initiative (UASI) grant totaling approximately $2.6 million of the Office s anticipated total grant fund expenditures for There are five employees who support the management of the UASI grant and its related projects, one of whom is a DPD Captain assigned to perform duties for OEMHS grant projects. The UASI grant funds many projects throughout the Colorado North Central Region, a ten-county region including Adams, Arapahoe, Boulder, Broomfield, Clear Creek, Denver, Douglas, Elbert, Jefferson, and Gilpin counties as defined by the Department of Homeland Security. Denver performs grant administration functions including fund distribution and reporting for the UASI grant. Emergency Management Governance In accordance with Executive Orders 85, 85A, and 85B, and the Denver Revised Municipal Code (D.R.M.C.), OEMHS is responsible for managing and coordinating efforts that help prepare for, respond to, and recover from various man-made and natural disasters within the City and County of Denver. 4 The mission of OEMHS is to create a safer city and region by effectively collaborating with our stakeholders to increase the city s and the region s all-hazard protection, preparedness, mitigation, response, and recovery capabilities. 5 These guiding policies and mission statement lay the foundation for OEMHS to be better prepared for a disaster or emergency situation, which in turn minimizes damages and saves lives. Executive Order 85 Defines the mission, organizational structure, and responsibilities of OEMHS. The Order provides that governments have responsibility for ensuring the public s health and safety, and indicates that the Director of OEMHS shall advise and 2 Source: City and County of Denver Mayor s 2011 Budget. Please note that the anticipated grant fund expenditures may differ from the actual grant amounts awarded to the City for 2011 since grants are awarded for multi-year periods. 3 Other grant awards include the Emergency Management Performance Grant and All-Hazards Incident Management Team Pilot Program. 4 D.R.M.C., (2011). 5 Mission of OEMHS, Office of Emergency Management and Homeland Security, 2010 Recap Report, accessed October 11, 2011, P a g e 5 Office of the Auditor

12 assist the Mayor in determining City emergency preparedness, prevention, protection, mitigation, response, and recovery goals and policies for the performance of functions. Executive Order 85 also formally adopts the National Incident Management System (NIMS) and establishes the Critical Infrastructure Protection Program. 6 Executive Order 85A Establishes the EOP for the City and County of Denver. The EOP establishes Emergency Support Function (ESF) roles and responsibilities that require City agencies to prepare for, respond to, and recover from emergency and disaster incidents. The EOP contains fifteen ESF annexes, which detail all City departments that provide emergency support functions in the case of an emergency response. There are also six support annexes and four incident annexes in the EOP. 7 Within the EOP, the ESF annexes identify primary and support departments and agencies responsible for delivering critical resources during emergencies and disasters. The ESF annexes group common capabilities and resource functions, and describes the purpose, concept of operations and emergency planning, response, and recovery responsibilities. The annexes provide the administrative resources that are necessary to support emergency or disaster planning, response operations, and recovery activities. These support annexes address planning, logistics, operations, financial management, community relations, and health and safety. The incident annexes define situations, concepts of operations, and responsibilities that are pertinent to specific types of emergency or disaster incident response and recovery. Executive Order 85B Contains the City s portion of the Denver Regional Natural Hazard Mitigation Plan. This is a five-year plan approved by Federal Emergency Management Agency (FEMA) in November The purpose of this plan is to: Identify natural hazards and the people and places at risk at a regional scale and then identify actions and measures to reduce or eliminate longterm risk. These mitigation measures are developed and implemented locally in order to protect people, structures and natural resources from natural hazards and their effects. The plan involves several cities and counties in the Denver region, and state and federal agencies. Thus, this plan identifies goals, background information, and measures for hazard mitigation and risk reduction in order to make communities more disaster resistant and sustainable. Some natural hazards identified within this plan include avalanche, drought, earthquakes, flood, hail, heat wave, and landslides. D.R.M.C. Chapter 16 Establishes the creation of OEMHS under the Mayor and explains the Director's powers and duties. Specifically, it states that OEMHS shall be responsible for 6 According to Federal Emergency Management Agency (FEMA), NIMS provides a systematic, proactive approach to guide departments and agencies at all levels of government, nongovernmental organizations, and the private sector to work seamlessly to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity, in order to reduce the loss of life and property and harm to the environment. 7 Within the EOP annexes provide additional information in the following Support categories: Policy, Planning, Operations, Logistics, Finance & Administration, and Safety & Health. The Incident annexes include: Denver International Airport, Natural Hazards, Terrorism, and Pandemic response. City and County of Denver P a g e 6

13 coordinating preparedness and management activities related to disasters and major emergencies within the City and must: Develop, revise, and exercise Denver's emergency plan and its annexes in coordination with other City agencies Manage the EOC to provide a coordinated response by the City to disasters and other emergencies Coordinate the activities of municipal and private agencies cooperating in the emergency management program Sponsor and carry out instruction and training of City personnel and privately owned or operated logistic support groups At the direction of the Mayor provide City and County of Denver resources to neighboring jurisdictions in time of crises for the prevention of injury or loss of life OEMHS manages the City s EOC during a major emergency or disaster and is responsible for maintaining the EOP. The EOC is the central location where the various internal and external stakeholders come together during an emergency or disaster to coordinate response and recovery activities, which includes sharing of information and resources. The EOC is designed to optimize communication and coordination between the various stakeholders. Two essential positions that help facilitate communication and coordination are the DPD and DFD liaisons. For example, the DPD liaison provides law enforcement input on various issues that assist OEMHS develop policies and strategic plans, and helps ensure DPD is compliant with the related Executive Orders. These liaison positions also provide the policy linkage to their departments in order to ensure that proper support and resources are available. During an emergency or disaster the DPD liaison communicates in various ways depending on the situation, including: Performing the role of Duty Officer on a rotational basis, which involves disseminating alerts, entering current situational information into a collaborative stakeholder database, WebEOC, and providing situational awareness and status reports to the OEMHS Director May act as the Police Emergency Support Function lead at the EOC Is available to support OEMHS on the operational side, if the EOC is activated, by assisting with planning and reaching out to other cities for law enforcement resources The primary program used to manage, communicate, and coordinate information among the various stakeholders is WebEOC. WebEOC is a web-based computer program designed to facilitate communication and other interaction across agencies in the event of an emergency. Information can be shared with individuals from various P a g e 7 Office of the Auditor

14 internal and external agencies including state representatives. In general, WebEOC is an information-sharing, resource-requesting, and tracking program that is utilized by all Colorado counties, the State of Colorado, and FEMA. Man-made and Natural Disasters There are various types of man-made and natural disasters that occur daily throughout the world and that result in significant physical damage and loss of life. Disasters can strike anywhere and anytime without warning. Man-made disasters are disasters resulting from human intent, negligence, or error. Some examples of man-made disasters include hazardous material spills, nuclear power plant melt-downs, and acts of terrorism. Conversely, natural disasters occur without human involvement. Some examples are earthquakes, wildfires, hurricanes, tornados, winter storms, and floods. Both can lead to severe financial and environmental impacts, which include loss of lives. Federal, state, and local government agencies work together to help prepare, respond, and recover from man-made and natural disasters. According to FEMA, the Congressional Act of 1803 was the earliest effort to provide disaster relief on a federal level after a fire devastated a New Hampshire town. In 1979, FEMA was established by an executive order, which merged many of the separate disaster-related responsibilities into a single agency. 8 FEMA is headquartered in Washington, DC and has ten regional offices located throughout the U.S. including Denver (Region VIII). These regional offices work with federal agencies, strategic partners, and tribal, state, and local government officials to support and assist emergency management efforts. FEMA s mission is to support our citizens and first responders to ensure that as a nation we work together to build, sustain, and improve our capability to prepare for, protect against, respond to, recover from, and mitigate all hazards. 9 Colorado Disaster Overview and History Since 1955, Colorado has declared sixteen Major Disaster Declarations and four Emergency Declarations. 10 Also, from 2003 to present Colorado has declared Fire Management Assistance on twenty occasions. 11 Only through the Governor s request to the applicable FEMA Regional Office can a disaster declaration be made. Federal, state, and local government officials conduct a Preliminary Damage Assessment to determine the extent of the disaster and its impact on individuals and public facilities. This assessment is submitted to the Regional Office in order to show that the severity and 8 FEMA B-653, FEMA (July 2008), accessed August 31, 2011, 9 FEMA Mission, FEMA, accessed August 31, 2011, 10 Colorado Disaster History, FEMA, accessed August 31, 2011, 11 Ibid. City and County of Denver P a g e 8

15 damage is beyond the capabilities of the state and local government. 12 However, not all disasters rise to the level of a declaration if local and state governments are able to manage the situation. There are two types of disaster declarations that can be provided according to the Robert T. Stafford Disaster Relief and Emergency Assistance Act, which includes the Major Disaster Declaration and Emergency Declaration. 13 FEMA explains the declarations as follows: Major Declaration: If the President of the United States believes damages from any natural event which includes tornados, snowstorms, earthquakes, etc. is beyond the capabilities of state and local governments a major declaration may be declared, which allows for various federal assistance for individuals and public infrastructure. 14 Emergency Declaration: The President of the United States can declare an emergency declaration for any occasion or instance where federal assistance is needed to help protect lives, property, public health, etc. The total amount of assistance for a single emergency may not exceed $5 million dollars. If this amount is exceeded, the President shall report to Congress. 15 Furthermore, the Fire Management Assistance Grant Program requires the Governor of the State to submit a request to the Regional Director requesting fire management assistance while the fire is uncontrolled. The approval is based on the current condition at the time of the request and whether or not the fire would amount to a major disaster. 16 Fire Management Assistance Grant Program: Provides a 75 percent federal cost share to assist state, local, and tribal governments for mitigation, management, and control of fires on public or privately owned forest or grasslands in order to prevent such damages that would amount to a major disaster. 17 Examples of how OEMHS has interacted with various stakeholders to address a disaster include the 2010 Four Mile Canyon fire and the 2010 Xcel Energy transformer explosion. On September 6, 2010 FEMA authorized funds to fight the Four Mile Canyon Fire in Boulder County. According to FEMA at the time of the request, the fire burned more than 2,500 acres and threatened more than 250 homes, forcing approximately 1,000 residents to evacuate. The funding did not provide assistance to individual homes or business owners and did not cover other infrastructure damage 12 See Appendix B, List of Colorado Declared Disasters. 13 The Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C (2007). 14 Disaster Declarations, FEMA, accessed August 31, 2011, 15 Ibid. 16 Declaration Process, FEMA, accessed August 31, 2011, 17 Fire Management Assistance Grant Program, FEMA, accessed August 31, 2011, P a g e 9 Office of the Auditor

16 caused by the fire, rather funding was used to help reimburse the state for their firefighting costs. 18 Denver s OEMHS sent staff members to assist at the Boulder s EOC. Additionally, on June 7, 2010 an Xcel Energy transformer explosion and power outage affected approximately 30,000 residents in central and east Denver including National Jewish Health and Rose Medical Center. During the incident Rose Medical Center backup generators were not working. The EOC was activated by OEMHS and within one hour the EOC was staffed by representatives from OEMHS, DFD, DPD, the Department of Public Works, the Department of Environmental Health, Emergency Medical Services, and the Red Cross. 19 As a result, the EOC was able to successfully coordinate resources and share information with various agencies including Denver International Airport (DIA), which supplied a generator that restored power to Rose Medical Center. Also, air and water samples were taken for analysis to ensure there was no oil leakage in the storm sewers or air. The Red Cross opened a shelter for those who were impacted by the power outage and coordinated clean-up activities. In all, no lives were lost and the incident was stabilized within a few hours. These two examples demonstrate how crucial the roles and responsibilities of OEMHS are. In both examples OEMHS assisted in minimizing damage and helped to save lives. Office of Emergency Management and Homeland Security Planning, Training, and Exercise Activities In order to respond in emergency situations OEMHS personnel need to be properly prepared and trained. FEMA defines preparedness as a continuous cycle of planning, organizing training, equipping, exercising, evaluating, and taking corrective action in an effort to ensure effective coordination during an incident response. 20 In fact, OEMHS makes great efforts through various planning, training, and exercise activities with various internal and external stakeholders to help ensure that the City and County of Denver is well prepared for an emergency situation. Initially, OEMHS conducts a risk assessment analysis that identifies the various natural and man-made disasters relevant to Colorado and the City and County of Denver. Identifying risks include conducting research of historical hazards, pulling census data, utilizing committees and volunteer groups. The information obtained is used to help plan, prepare, and reduce potential threats and disasters. Furthermore, the risk assessment provides a statistical summary of risks based on the probability and severity of potential disasters that 18 FEMA Authorizes Funds to Help Fight Four Mile Canyon Fire in Boulder County. FEMA (September 2010), accessed August 31, 2011, 19 The Emergency Medical Services function is comprised of Denver Health Paramedics. 20 Preparedness, FEMA, accessed August 31, 2011, City and County of Denver P a g e 10

17 could impact the City and County of Denver. Once all potential disasters have been identified, they are ranked based on their probability of occurrence and an assessment of their impact on vulnerable populations, critical infrastructure, life and property. Once OEMHS identifies and ranks potential risks, OEMHS will develop specific training and exercise activities that assist the various internal and external stakeholders plan, prepare, and respond to various disasters. Depending on the type of training activity, which includes drills, tabletop exercises, functional exercises, and full-scale exercises, it may take anywhere from six months to a year to develop. Additionally, there are many training opportunities offered at the national, state, and regional levels that must be coordinated by OEMHS for targeted groups of participants. OEMHS is also responsible for designing and managing exercises, which includes developing an After Action Report (AAR). Following each exercise, an AAR is completed by evaluators and facilitators. The report is completed in order to ensure the objectives of the exercise were met and to identify strengths and weaknesses of the exercise so that OEMHS can make improvements to the centralized emergency management function. As a result of the AAR, OEMHS creates a plan to address the issues by developing a corrective action matrix. The matrix includes the responsible party, the root cause, and next steps. The City conducted a recent functional exercise on May 17, The purpose of the exercise was to simulate post-disaster response and the transition of EOC staff between shifts. The exercise simulated a tornado disaster that caused major structural damage and mass casualties within the City and County of Denver. Details of the scenario included a seven-thousand-gallon spill of diesel fuel, missing jail inmates, damage to I-70 and Peoria, and damage to the south-east terminal windows at DIA. Participants included, but were not limited to, various stakeholders from 311, CenturyLink (formally Qwest Communications), Denver Water, Red Cross, State of Colorado, DIA, Denver Health Paramedics, Department of Environmental Health, DFD, DPD, Department of Parks and Recreation, Denver Public Health Inspections Division, the City s Purchasing Division, and media relations within the EOC. Overall, OEMHS was able to identify several strengths and areas for improvement. Public Outreach and Involvement Initiatives A core function of OEMHS is performing public outreach to help the general public prepare for emergency situations. OEMHS utilizes many methods in their public outreach efforts, such as through their website, the use of flyers and brochures, and citizen preparedness trainings, most of which are organized by the OEMHS Community Relations Coordinator. More recently, OEMHS has begun to explore utilizing social media in outreach efforts, which is quickly becoming a necessity in the field of emergency management. The most significant of these activities is the Denver Citizen Emergency Response Training (CERT) program also referred to as the Community Emergency Response Team. These free training courses aim to educate citizens about disaster preparedness and basic disaster response skills. The courses cover a wide range of topics from fire safety and P a g e 11 Office of the Auditor

18 disaster medical operations to disaster psychology and terrorism. Auditors had the opportunity to attend one of these trainings and found it to be very informative with good participation from the citizenry and private sector. During the course of 2010, OEMHS hosted 15 CERT classes, educating over 330 people. 21 The Office conducts another type of outreach through publicly held meetings, such as Local Emergency Planning Committee (LEPC) meetings. The LEPC is required by the Emergency Planning and Community Right-To-Know Act, enacted by the United States Congress in The LEPC provides community stakeholders, such as business representatives, with the opportunity to receive information regarding local hazards and provide input on emergency plans. Auditors attended a recent LEPC meeting, which had strong representation from the private sector, City agencies, and other emergency response personnel. Emergency Management Accreditation Program The Emergency Management Accreditation Program (EMAP) is the voluntary national accreditation process for state, territorial, tribal, and local emergency management programs. Using collaboratively developed, recognized standards and independent assessment, EMAP provides a means for strategic improvement of emergency management programs, culminating in accreditation. An emergency management program is defined as a jurisdiction s (state, territory, county, or city) system for management and coordination of prevention, mitigation, preparedness, response, and recovery activities for all hazards. In addition to the emergency management department or agency, the program encompasses all organizations, agencies, and individuals responsible for emergency management functions. There are multiple steps to attaining emergency management accreditation, which include: Self-assessment and documentation On-site assessment by an EMAP assessor team Assessment report Committee review and recommendation Accreditation decision by the EMAP Commission Annual Compliance Reports Reaccreditation (every five years) 21 See Appendix C, U.S. Department of Homeland Security Emergency Supply List. 22 The Emergency Planning and Community Right-To-Know Act (EPCRA), U.S.C. Title 42, Chapter 116 (1986). City and County of Denver P a g e 12

19 In order to obtain EMAP accreditation, applicants must meet certain criteria. The EMAP Emergency Management Standard defines a quality emergency management program. The program also can be a tool for strategic planning and improvement efforts. EMAP began as a concept presented at the 1997 Annual Conference of the National Emergency Management Association (NEMA). 23 Numerous organizations were involved in the creation of EMAP, including NEMA, FEMA, the International Association of Emergency Managers (IAEM), the Council of State Governments, the National Governors Association (NGA), the U.S. Department of Justice Office of Justice Programs, and the U.S. Department of Transportation. EMAP is a non-profit organization and is governed by an independent ten-member governing board, known as the EMAP Commission. Appointments to the Commission are made by NEMA and IAEM, based on criteria to ensure broad stakeholder input into the accreditation program. The Emergency Management Standard established by EMAP is designed as a tool for continuous improvement as part of a voluntary accreditation process for local and state emergency management programs. EMAP makes no representation or guarantee as to the efficacy of any program as a result of use of or compliance with the standards. The Emergency Management Standard is subject to review every three years. 24 Additionally, EMAP has identified best practices related to emergency management, which have been utilized by other emergency managers. 25 EMAP's Best Practices program was created to allow emergency management programs involved in the EMAP assessment and accreditation program the ability to share, promote, and utilize those practices and documents found to be outstanding and of benefit to the field of public safety and emergency preparedness. Two of these best practices include working with all departments to develop a standardized template and guidance for continuity of operations planning by an emergency management office. City and County of Denver s Involvement with EMAP In 2010 OEMHS initiated the process to become accredited by EMAP. OEMHS noted that receiving national certification from EMAP as a strategic initiative, serving to assess the office's performance standards against national standards. At the conclusion of an onsite assessment, the assessor team provides its findings to the Program Review Committee in an assessment report that includes summaries of compliance issues for the program for each of the 63 EMAP standards. The report outlines key documentation that supported the assessors findings of compliance or non-compliance. 23 NEMA is a nonpartisan, nonprofit association dedicated to enhancing public safety by improving the nation s ability to prepare for, respond to, and recover from all emergencies, disasters, and threats to our nation s security. See for more information. 24 Emergency Management Standard, Emergency Management Accreditation Program (September 2010), accessed August 31, 2011, 25 Best Practices, Emergency Management Accreditation Program (April 2011), accessed August 31, 2011, P a g e 13 Office of the Auditor

20 As a result of the on-site assessment, EMAP noted 32 compliance issues and OEMHS received conditional accreditation. OEMHS prepared an action plan to focus on the issues that need to be addressed in order to obtain accreditation status and has until January 15, 2012 to do so. If successful, OEMHS will join a group of 32 programs in the United States that are accredited by EMAP which includes the State of Colorado. The City would join a group of only five other cities or counties that have been accredited nationally Other cities and counties with EMAP accreditation include: Orange County, FL, Pierce County, WA, County of San Diego, CA, Consolidated City/County of Jacksonville/Duval, FL, and City of Providence, RI. City and County of Denver P a g e 14

21 SCOPE This audit evaluated the preparedness of the City and County of Denver for emergency or disaster situations. We examined various aspects of the Office of Emergency Management and Homeland Security (OEMHS) and also considered the roles and responsibilities of other Denver City departments as well as those of federal and state agencies. 27 OBJECTIVE The objectives for this audit included: Determining if the Office of Emergency Management and Homeland Security (OEMHS) structure, governance, and oversight capacity is effective and efficient Determining if OEMHS has properly planned for various emergencies and disasters Evaluating if the various OEMHS information systems provide the necessary support for emergency and disaster situations Determining if resources are immediately available during emergency and disaster situations Establishing if public awareness activities are reaching the majority of the pubic, especially in high-risk areas Verifying if training and exercise activities are conducted on a regular basis and involve all stakeholders Determining if communication between OEMHS and other stakeholders is adequate to ensure preparedness for emergencies and disasters METHODOLOGY We utilized several methodologies to achieve the audit objectives. These evidence gathering techniques included, but were not limited to: Interviews with: o Director and Deputy Director of the Office of Emergency Management and Homeland Security (OEMHS) 27 Grant program effectiveness was not included in the scope of the audit as grant funds are routinely subject to several audits. P a g e 15 Office of the Auditor

22 o OEMHS Urban Area Security Initiative Grant Administrator, Community Relations Coordinator, Planning Section Coordinator, and Exercise and Training Coordinator o Various City agency representatives responsible for emergency management efforts including Denver International Airport, the Budget and Management Office, the Division of Real Estate, the Denver Police Department, and the Denver Fire Department o State representatives responsible for emergency management coordination and assistance Reviewing and analyzing: o o o o o o o o o o o o o Federal and state regulations related to emergency management City and County of Denver Executive Orders Denver Revised Municipal Code The City and County of Denver Budget Book Internal and external audit reports OEMHS grant funding and support details Denver s Emergency Operations Plan Emergency Management Accreditations Program requirements and results of the on-site assessment 28 Internal agency emergency policy and procedure manuals After Action Plans Social media and public awareness activities Current Emergency Operations Center location and alternatives OEMHS staffing and funding levels Attending and observing: o o o Functional tornado exercise at the Emergency Operations Center Citizens Emergency Response Training activity Local Emergency Planning Committee meeting Conducting benchmarking analysis activities: Effective emergency preparedness, response, and recovery require coordinated planning and actions by various internal and external stakeholders including federal, state, and local government agencies. Understanding these responsibilities and ensuring that best practices are followed is critical for saving 28 Auditors considered compliance issues identified from the EMAP on-site assessment during the planning phase of the audit to avoid duplicate efforts. City and County of Denver P a g e 16