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United States Government Accountability Office: 
GAO:  

Testimony: 

Before the Subcommittee on Emerging Threats, Cybersecurity, and Science 
and Technology, Committee on Homeland Security, House of 
Representatives: 

For Release on Delivery: 
Expected at 10:00 a.m. EDT:
Wednesday, September 26, 2007: 

Influenza Pandemic: 
Opportunities Exist to Clarify Federal Leadership Roles and Improve 
Pandemic Planning:  

Statement of Bernice Steinhardt: 
Director: 
Strategic Issues: 

GAO-07-1257T: 

GAO Highlights: 

Highlights of GAO-07-1257T, a testimony to the Subcommittee on Emerging 
Threats, Cybersecurity, and Science and Technology, Committee on 
Homeland Security, House of Representatives.  

Why GAO Did This Study: 

An influenza pandemic is a real and significant potential threat facing 
the United States and the world. Pandemics are unlike other emergencies 
because they are not a singular event nor discretely bounded in space 
and time.  

This testimony addresses (1) federal leadership roles and 
responsibilities for preparing for and responding to a pandemic, (2) 
our assessment of the Strategy and Plan, and (3) opportunities to 
increase clarity of federal leadership roles and responsibilities and 
improve pandemic planning. GAO used its characteristics of an effective 
national strategy to assess the Strategy and Plan.  

The issues discussed in the testimony are based primarily on the GAO 
report, Influenza Pandemic: Further Efforts Are Needed to Ensure 
Clearer Federal Leadership Roles and an Effective National Strategy 
(GAO-07-781). In this report, GAO recommended that (1) The Secretaries 
of Homeland Security and Health and Human Services develop rigorous 
testing, training, and exercises for pandemic influenza to ensure that 
federal leadership roles and responsibilities are clearly defined, 
understood and work effectively and (2) HSC set a time frame to update 
the Plan, involve key stakeholders, and more fully address the 
characteristics of an effective national strategy. The Departments of 
Homeland Security and Health and Human Services concurred. The HSC did 
not comment.  

What GAO Found: 

The administration has taken an active approach to this potential 
disaster by, among other things, issuing a National Strategy for 
Pandemic Influenza (Strategy) in November 2005, and a National Strategy 
for Pandemic Influenza Implementation Plan (Plan) in May 2006. However, 
much more needs to be done to ensure that the Strategy and Plan are 
viable and can be effectively implemented in the event of an influenza 
pandemic. 

Key federal leadership roles and responsibilities for preparing for and 
responding to a pandemic continue to evolve and will require further 
clarification and testing before the relationships of the many 
leadership positions are well understood. Most of these leadership 
roles involve shared responsibilities and it is unclear how they will 
work in practice. Because initial actions may help limit the spread of 
an influenza virus, the effective exercise of shared leadership roles 
and responsibilities could have substantial consequences. However, only 
one national, multi-sector pandemic-related exercise has been held, and 
that was prior to issuance of the Plan. 

The Strategy and Plan do not fully address the characteristics of an 
effective national strategy and contain gaps that could hinder the 
ability of key stakeholders to effectively execute their 
responsibilities. Specifically, some of the gaps include: 

& The Strategy and Plan do not address resources, investments, and risk 
management and consequently do not provide a picture of priorities or 
how adjustments might be made in view of limited resources.
* State and local jurisdictions were not directly involved in 
developing the Plan, even though they would be on the front lines in a 
pandemic.
* Relationships and priorities among action items are not always clear.
* Performance measures are focused on activities that are not always 
linked to results.
* The linkage of the Strategy and Plan with other key plans is unclear.
* The Plan does not contain a process for monitoring and reporting on 
progress.
* The Plan does not describe an overall framework for accountability 
and oversight and does not clarify how responsible officials would 
share leadership responsibilities.
* Procedures and time frames for updating and revising the Plan were 
not established. 

These gaps can affect the usefulness of these planning documents for 
those with key roles to play. Also, the lack of mechanisms for future 
updates or progress assessments limit opportunities for congressional 
decision makers and the public to assess the extent of progress being 
made or to consider what areas or actions may be need additional 
attention. Although the Homeland Security Council (HSC) publicly 
reported on the status of action items in December 2006 and July 2007, 
it is unclear when the next report will be issued or how much 
information will be released. 

To view the full product, including the scope and methodology, click on 
[hyperlink, http://GAO-07-1257T]. For more information, contact Bernice 
Steinhardt at (202) 512-6806 or steinhardtb@gao.gov.  

[End of section] 

Mr. Chairman and Members of the Subcommittee: 

I am pleased to appear here today to discuss the federal government's 
efforts to prepare for and respond to a possible influenza pandemic. An 
influenza pandemic is a real and significant threat facing the United 
States and the world. Although the timing and severity of the next 
pandemic is unpredictable, there is widespread agreement that a 
pandemic will occur at some point. Unlike incidents that are discretely 
bounded in space or time (such as a storm or a terrorist attack), a 
pandemic is not a singular event, but is likely to come in waves, each 
lasting weeks or months, and could pass through communities of all 
sizes across the nation and the world simultaneously. 

Today, I will discuss (1) federal leadership roles and responsibilities 
for preparing for and responding to a pandemic, (2) our assessment of 
the National Strategy for a Pandemic Influenza (Strategy) and the 
Implementation Plan for the National Strategy for a Pandemic Influenza 
(Plan), and (3) opportunities to increase the clarity of federal 
leadership roles and responsibilities and improve pandemic planning. 

This statement is based on our August 14, 2007, report, requested by 
the Ranking Member, Senate Budget Committee; the Chairman and Ranking 
Member, House Committee on Oversight and Government Reform; and the 
Chairman, House Committee on Homeland Security.[Footnote 1] Our 
objectives in that report were to address the extent to which (1) 
federal leadership roles and responsibilities for preparing for and 
responding to a pandemic are clearly defined and documented and (2) the 
Strategy and the Plan address the characteristics of an effective 
national strategy; we conducted our work in accordance with generally 
accepted government auditing standards. We analyzed relevant documents, 
interviewed cognizant federal officials, and assessed the Strategy and 
Plan to determine the extent to which they jointly addressed the six 
desirable characteristics of an effective national strategy that we 
developed and used in previous work.[Footnote 2] While national 
strategies necessarily vary in content, the six characteristics we 
identified apply to all such planning documents and can help ensure 
that they are effective management tools. 

In summary, although the administration has taken an active approach to 
this potential disaster by developing a Strategy and Plan, and has 
undertaken a number of other efforts, much more needs to be done to 
ensure that the Plan is more viable and can be effectively implemented 
in the event of an influenza pandemic. 

* Key federal leadership roles and responsibilities for preparing for 
and responding to a pandemic continue to evolve and will require 
further clarification and testing before the relationships of the many 
leadership positions are well understood. Most of these leadership 
roles involve shared responsibilities, and it is not clear how these 
would work in practice. Because initial actions may help limit the 
spread of an influenza virus, the effective exercise of shared 
leadership roles and responsibilities could have substantial 
consequences. However, only one national, multisector pandemic-related 
exercise has been held, and that was prior to issuance of the Plan. 

* The Strategy and Plan do not fully address the characteristics of an 
effective national strategy and contain gaps that could hinder the 
ability of key stakeholders to effectively execute their 
responsibilities. In addition to the fact that the Strategy and Plan do 
not clarify how responsible officials will share leadership 
responsibilities, they do not include a description of the resources 
required to implement the Plan, and consequently do not provide a 
picture of priorities or how adjustments might be made in view of 
resource constraints. Additionally, state and local jurisdictions that 
will play crucial roles in preparing for and responding to a pandemic 
were not directly involved in developing the Plan, and the linkage of 
the Strategy and Plan with other key plans is unclear. 

The gaps in the Strategy and Plan are particularly troubling because 
they can affect the usefulness of these planning documents for those 
with key roles to play and, with no mechanisms for future updates or 
progress assessments, limit opportunities for congressional decision 
makers and the public to assess the extent of progress being made or to 
consider what areas or actions may need additional attention. 

We made two recommendations in our August 2007 report to address these 
concerns. 

* We recommended that the Secretaries of Homeland Security and Health 
and Human Services work together to develop and conduct rigorous 
testing, training, and exercises for pandemic influenza to ensure that 
the federal leadership roles are clearly defined and understood and 
that leaders are able to effectively execute shared responsibilities to 
address emerging challenges. Once the leadership roles have been 
clarified through testing, training and exercising, the Secretaries of 
Homeland Security and Health and Human Services should ensure that 
these roles and responsibilities are clearly understood by nonfederal 
partners. 

* Our report also recommended that the Homeland Security Council (HSC) 
establish a specific process and time frame for updating the Plan. This 
process should involve key nonfederal stakeholders and incorporate 
lessons learned from exercises and other sources. The next update of 
the Plan could be improved by addressing the gaps we identified. 

The Department of Health and Human Services (HHS) and the Department of 
Homeland Security (DHS) concurred with the first recommendation. The 
HSC did not comment on the draft report or our recommendation. 

Background: 

To address the potential threat of an influenza pandemic, the President 
and his HSC issued two planning documents. The Strategy was issued in 
November 2005 and is intended to provide a high-level overview of the 
approach that the federal government will take to prepare for and 
respond to an influenza pandemic. It also articulates expectations for 
nonfederal entities--including state, local, and tribal governments; 
the private sector; international partners; and individuals--to prepare 
themselves and their communities. 

The Plan was issued in May 2006 and is intended to lay out broad 
implementation requirements and responsibilities among the appropriate 
federal agencies and clearly define expectations for nonfederal 
entities. The Plan includes 324 action items related to these 
requirements, responsibilities, and expectations and most of them are 
to be completed before or by May 2009. It is intended to support the 
broad framework and goals articulated in the Strategy by outlining 
specific steps that federal departments and agencies should take to 
achieve these goals. It also describes expectations regarding 
preparedness and response efforts of state and local governments, 
tribal entities, the private sector, global partners, and individuals. 
The Plan's chapters cover categories of actions that are intended to 
address major considerations raised by a pandemic, including protecting 
human and animal health; transportation and borders; and international, 
security, and institutional considerations. 

Federal Leadership Roles Are Unclear, Evolving, and Untested: 

Several federal leadership roles involve shared responsibilities for 
preparing for and responding to an influenza pandemic, including the 
Secretaries of Health and Human Services and Homeland Security, the 
Administrator of the Federal Emergency Management Agency (FEMA), a 
national Principal Federal Official (PFO), and regional PFOs and 
Federal Coordinating Officers (FCO). Many of these leadership roles and 
responsibilities have not been tested under pandemic scenarios, leaving 
unclear how all of these new and developing relationships would work. 

Federal Leadership Roles and Responsibilities Are Unclear and Evolving: 

The Strategy and Plan do not clarify the specific leadership roles and 
responsibilities for a pandemic. Instead, they restate the existing 
leadership roles and responsibilities, particularly for the Secretaries 
of Homeland Security and Health and Human Services, prescribed in the 
National Response Plan (NRP)--an all-hazards plan for emergencies 
ranging from hurricanes to wildfires to terrorist attacks. However, the 
leadership roles and responsibilities prescribed under the NRP need to 
operate somewhat differently because of the characteristics of a 
pandemic that distinguish it from other emergency incidents. For 
example, because a pandemic influenza is likely to occur in successive 
waves, planning has to consider how to sustain response mechanisms for 
several months to over a year--issues that are not clearly addressed in 
the Plan. 

In addition, the distributed nature of a pandemic, as well as the sheer 
burden of disease across the nation, means that the support states, 
localities, and tribal entities can expect from the federal government 
would be limited in comparison to the aid it mobilizes for 
geographically and temporarily bounded disasters like earthquakes and 
hurricanes. Consequently, legal authorities, roles and 
responsibilities, and lines of authority at all levels of government 
must be clearly defined, effectively communicated, and well understood 
to facilitate rapid and effective decision making. This is also 
important for public and private sector organizations and international 
partners so everyone can better understand what is expected of them 
before and during a pandemic. 

The Strategy and Plan state that the Secretary of Health and Human 
Services is responsible for leading the medical response in a pandemic, 
while the Secretary of Homeland Security is responsible for overall 
domestic incident management and federal coordination. However, since a 
pandemic extends well beyond health and medical boundaries, to include 
sustaining critical infrastructure, private sector activities, the 
movement of goods and services across the nation and the globe, and 
economic and security considerations, it is not clear when, in a 
pandemic, the Secretary of Health and Human Services would be in the 
lead and when the Secretary of Homeland Security would lead. 

A pandemic could threaten our critical infrastructure, such as the 
capability to deliver electricity or food, by removing essential 
personnel from the workplace for weeks or months. The extent to which 
this would be considered a medical response with the Secretary of 
Health and Human Services in the lead, or when it would be under the 
Secretary of Homeland Security's leadership as part of his/her 
responsibility for ensuring that critical infrastructure is protected, 
is unclear. According to HHS officials we interviewed, resolving this 
ambiguity will depend on several factors, including how the outbreak 
occurs and the severity of the pandemic. Although DHS and HHS officials 
emphasize that they are working together on a frequent basis, these 
roles and responsibilities have not been thoroughly tested and 
exercised. 

Moreover, under the Post-Katrina Emergency Management Reform Act of 
2006 (referred to as the Post-Katrina Reform Act in this testimony), 
the FEMA Administrator was designated the principal domestic emergency 
management advisor to the President, the HSC, and the Secretary of 
Homeland Security, adding further complexity to the leadership 
structure in the case of a pandemic.[Footnote 3] The act also gives the 
Administrator responsibility for carrying out a national exercise 
program to test and evaluate national preparedness for responding to 
all-hazards, including an influenza pandemic. 

Other evolving federal leadership roles include those of PFOs and FCOs. 
To assist in planning and coordinating efforts to respond to a 
pandemic, in December 2006 the Secretary of Homeland Security 
predesignated a national PFO and established five pandemic regions each 
with a regional PFO and FCO. PFOs are responsible for facilitating 
federal domestic incident planning and coordination, and FCOs are 
responsible for coordinating federal resources support in a 
presidentially declared major disaster or emergency. However, the 
relationship of these roles to each other as well as with other 
leadership roles in a pandemic is unclear. 

U.S. Coast Guard and FEMA officials we met with recognized that 
planning for and responding to a pandemic would require different 
operational leadership roles and responsibilities than for most other 
emergencies. For example, a FEMA official said that given the number of 
people who would be involved in responding to a pandemic, collaboration 
between HHS, DHS, and FEMA would need to be greater than for any other 
past emergencies. Officials are starting to build on these 
relationships. For example, some of the federal officials with 
leadership roles for an influenza pandemic met during the week of March 
19, 2007, to continue to identify issues and begin developing 
solutions. One of the participants told us that although additional 
coordination meetings are needed, it may be challenging since there is 
no dedicated funding for the staff working on pandemic issues to 
participate in these and other related meetings. 

It is also unclear whether the newly established national and regional 
positions for a pandemic will further clarify leadership roles in light 
of existing and newly emerging plans and issues. For example, in 2006, 
DHS made revisions to the NRP and released a Supplement to the 
Catastrophic Incident Annex--both designed to further clarify federal 
roles and responsibilities and relationships among federal, state, and 
local governments and responders. However, we reported in February 2007 
that these revisions had not been tested and there was little 
information available on the extent to which these and other actions 
DHS was taking to improve readiness were operational.[Footnote 4] We 
also reported in May 2007 that FEMA has predesignated five teams of 
FCOs and PFOs in the Gulf Coast and eastern seaboard states at risk of 
hurricanes. However, there is still some question among state and local 
first responders about the need for both positions and how they will 
work together in disaster response.[Footnote 5] 

More recently, DHS reviewed the NRP and its supplemental documents. One 
of the issues this review intended to address was clarifying roles and 
responsibilities of key structures, positions, and levels of 
government, including the role of the PFO and that position's current 
lack of operational authority over the FCO during an emergency. On 
September 10, 2007, DHS released a draft National Response Framework to 
replace the NRP, for public comment. Comments on the framework are due 
October 11, 2007, and comments on the supplemental documents, such as 
revised Emergency Support Function specifications, are due by November 
9, 2007. 

Exercising and Testing of Plans Is Crucial in Ensuring Capacity: 

Disaster planning, including for a pandemic influenza, needs to be 
tested and refined with a rigorous and robust exercise program to 
expose weaknesses in plans and allow planners to refine them. 
Exercises--particularly for the type and magnitude of emergency 
incidents such as a severe influenza pandemic for which there is little 
actual experience--are essential for developing skills and identifying 
what works well and what needs further improvement. Our prior work 
examining the preparation for and response to Hurricane Katrina 
highlighted the importance of realistic exercises to test and refine 
assumptions, capabilities, and operational procedures, and build upon 
strengths.[Footnote 6] 

While pandemic influenza scenarios have been used to exercise specific 
response elements, such as the distribution of stockpiled medications 
at specific locations or jurisdictions, no national exercises have 
tested the new federal leadership structure for pandemic 
influenza.[Footnote 7] The only national multisector pandemic exercise 
to date was a tabletop simulation conducted by members of the cabinet 
in December 2005. This tabletop exercise was prior to the release of 
the Plan in May 2006, the establishment of a national PFO and regional 
PFO and FCO positions for a pandemic, and enactment of the Post-Katrina 
Reform Act. 

Gaps in the National Strategy and Plan Limit Their Usefulness: 

Our work found that the Strategy and Plan do not address all of the 
characteristics of an effective national strategy as identified in our 
prior work. While national strategies necessarily vary in content, the 
six characteristics we identified apply to all such planning documents 
and can help ensure that they are effective management tools. Gaps and 
deficiencies in these documents are particularly troubling in that a 
pandemic represents a complex challenge that will require the full 
understanding and collaboration of a multitude of entities and 
individuals. The extent to which these documents, that are to provide 
an overall framework to ensure preparedness and response to a pandemic 
influenza, fail to adequately address key areas could have critical 
impact on whether the public and key stakeholders have a clear 
understanding and can effectively execute their roles and 
responsibilities. 

Specifically, we found that the documents fully address only one of the 
six characteristics of an effective national strategy--problem 
definition and risk assessment--because they identified the potential 
problems associated with a pandemic as well as potential threats, 
challenges, and vulnerabilities. The Strategy and Plan did not address 
one characteristic--resources, investments, and risk management-- 
because they did not discuss the financial resources and investments 
needed to implement the actions called for and therefore, do not 
provide a picture of priorities or how adjustments might be made in 
view of resource constraints. They partially addressed the four 
remaining characteristics, as shown in table 1. 

Table 1: Extent to Which the Strategy and Plan Address GAO's Desirable 
Characteristics of an Effective National Strategy: 

Desirable characteristic: Clear purpose, scope, and methodology; 
Addresses: [Empty]; 
Partially addresses: [Check]; 
Does not address: [Empty]. 

Desirable characteristic: Problem definition and risk assessment; 
Addresses: [Check]; 
Partially addresses: [Empty]; 
Does not address: [Empty]. 

Desirable characteristic: Goals, subordinate objectives, activities, 
and performance measures; 
Addresses: [Empty]; 
Partially addresses: [Check]; 
Does not address: [Empty]. 

Desirable characteristic: Resources, investments, and risk management; 
Addresses: [Empty]; 
Partially addresses: [Empty]; 
Does not address: [Check]. 

Desirable characteristic: Organizational roles, responsibilities, and 
coordination; 
Addresses: [Empty]; 
Partially addresses: [Check]; 
Does not address: [Empty]. 

Desirable characteristic: Integration and implementation; 
Addresses: [Empty]; 
Partially addresses: [Check]; 
Does not address: [Empty]. 

Source: GAO analysis of the National Strategy for Pandemic Influenza 
and Implementation Plan for the National Strategy for Pandemic 
Influenza.  

[End of table] 

More specifically, the following are highlights of some of the gaps in 
the Strategy and Plan. 

* The Strategy and Plan do not address resources, investments, and risk 
management. Developing and sustaining the capabilities stipulated in 
the Plan would require the effective use of federal, state, and local 
funds. Given that funding needs may not be readily addressed through 
existing mechanisms and could stress existing government and private 
resources, it is critical for the Plan to lay out funding requirements. 
For example, one of the primary objectives of domestic vaccine 
production capacity is for manufacturers to produce enough vaccine for 
the entire U.S. population within 6 months. However, the Plan states 
that production capacity would depend on the availability of future 
appropriations. Despite the fact that the production of enough vaccine 
for the population would be critical if a pandemic were to occur, the 
Plan does not provide even a rough estimate of how much the vaccine 
could cost for consideration in future appropriations. 

* State and local jurisdictions were not directly involved in 
developing the Strategy and Plan. Neither the Strategy nor Plan 
described the involvement of key stakeholders, such as state, local, 
and tribal entities, in their development, even though these 
stakeholders would be on the front lines in a pandemic and the Plan 
identifies actions they should complete. Officials told us that state, 
local, and tribal entities were not directly involved in reviewing and 
commenting on the Plan, but the drafters of the Plan were generally 
aware of their concerns. 

* Relationships and priorities among action items are not always clear. 
While some action items depend on other action items, these linkages 
are not always apparent in the Plan. An HHS official who helped draft 
the Plan acknowledged that while an effort was made to ensure linkages 
among action items, there may be gaps in the linkages among 
interdependent action items within and across the Plan's chapters that 
focused on such issues as human health, animal health, and 
transportation and borders considerations. 

In addition, we found that the Plan does not establish priorities among 
its 324 action items, which becomes especially important as agencies 
and other parties strive to effectively manage scarce resources and 
ensure that the most important steps are accomplished. 

* Performance measures are focused on activities that are not always 
linked to results. Most of the Plan's performance measures are focused 
on activities such as disseminating guidance, but the measures are not 
always clearly linked with intended results. This lack of linkages to 
outcomes and results makes it difficult to ascertain whether progress 
has in fact been made toward achieving the national goals and 
objectives described in the Strategy and Plan. 

* The linkage of the Strategy and Plan with other key plans is unclear. 
Although the Strategy states that it is consistent with the National 
Security Strategy and the National Strategy for Homeland Security, it 
does not state how it is consistent or describe the relationships with 
these two strategies. In addition, the Plan does not specifically 
address how the Strategy, Plan, or other related pandemic plans should 
be integrated with the goals, objectives, and activities of the 
national initiatives already in place, such as the interim National 
Preparedness Goal. 

Further, the Strategy and Plan do not provide sufficient detail about 
how the Strategy, action items in the Plan, and a proposed set of 
agency plans are to be integrated with other national strategies and 
frameworks. For example, the Plan contains 39 action items that are 
response related (i.e., specific actions are to be taken within a 
prescribed number of hours or days after an outbreak). However, these 
action items are interspersed among the 324 action items, and the Plan 
does not describe the linkages of these response-related action items 
with the NRP or other response related plans. 

* The Plan does not contain a process for monitoring and reporting on 
progress. While most of the action items have deadlines for completion, 
ranging from 3 months to 3 years, the Plan does not identify a process 
to monitor and report on the progress of the action items nor does it 
include a schedule for reporting progress. According to agency 
officials, the HSC is monitoring executive branch agencies' efforts to 
complete the action items. However, there is no specific documentation 
describing this process or institutionalizing it. This is important 
since some of the action items are not expected to be completed during 
this administration. Also, a similar monitoring process for those 
actions items for which nonfederal entities have the lead 
responsibility does not appear to exist. Additionally, there is no 
explicit timeline for the HSC to report on the overall progress and 
thus, when progress is reported is left to the HSC's discretion. 

* The Plan does not describe an overall framework for accountability 
and oversight. While the plan contains broad information on roles and 
responsibilities and describes coordination mechanisms for responding 
to a pandemic, it does not, as noted earlier, clarify how responsible 
officials would share leadership responsibilities. In addition, it does 
not describe an overall accountability and oversight framework. Agency 
officials told us that they had identified individuals to act as 
overall coordinators to monitor the action items for which their 
agencies have lead responsibility and provide periodic progress reports 
to the HSC. However, we could not identify a similar oversight 
mechanism for the action items that fall to state and local governments 
or the private sector. This is a concern since some action items, 
particularly those that are to be completed by state, local, and tribal 
governments or the private sector, do not identify an entity 
accountable for carrying out the action. 

* Procedures and time frames for updating and revising the Plan were 
not established. The Plan does not describe a mechanism for updating it 
to reflect policy decisions, such as clarifications in leadership roles 
and responsibilities and other lessons learned from exercises, or to 
incorporate other needed changes. Although the Plan was developed as 
initial guidance and was intended to be updated and expanded over time, 
officials in several agencies told us that specific processes or time 
frames for updating and revising it have not been established. 

Opportunities Exist To Clarify Federal Leadership Roles and Improve 
Pandemic Planning: 

A pandemic poses some unique challenges and would be unlike other 
emergencies given the likelihood of its duration and geographic 
coverage. Initial actions may help limit the spread of an influenza 
virus, reflecting the importance of a swift and effective response. 
Therefore, the effective exercise of shared leadership roles and 
implementation of pandemic plans could have substantial consequences, 
both in the short and long term. 

Since no national pandemic exercises of federal leadership roles and 
responsibilities have been conducted since the release of the Plan in 
May 2006, and key leadership roles continue to evolve, rigorous 
testing, training, and exercising is needed. Exercises test whether 
leadership roles and responsibilities, as well as procedures and 
processes, are clear and well-understood by key stakeholders. 
Additionally, they help identify weaknesses and allow for corrective 
action to be taken before an actual emergency occurs. Consequently, in 
our August 2007 report, we recommended that the Secretaries of Homeland 
Security and Health and Human Services work together to develop and 
conduct rigorous testing, training, and exercises for pandemic 
influenza to ensure that the federal leadership roles are clearly 
defined and understood and that leaders are able to effectively execute 
shared responsibilities to address emerging challenges. Once the 
leadership roles have been clarified through testing, training, and 
exercising, the Secretaries of Homeland Security and Health and Human 
Services should ensure that these roles and responsibilities are 
clearly understood by state, local, and tribal governments; the private 
and nonprofit sectors; and the international community. DHS and HHS 
concurred with the recommendation, and DHS stated that it is taking 
action on many of the shortfalls identified in the report. 

The Strategy and Plan are important because they broadly describe the 
federal government's approach and planned actions to prepare for and 
respond to a pandemic and also set expectations for states and 
communities, the private sector, and global partners. The extent to 
which the Strategy and Plan fail to adequately address key areas could 
have a critical impact on whether key stakeholders and the public have 
a clear understanding of their roles and responsibilities. However, 
gaps in the Strategy and Plan limit their usefulness as a management 
tool for ensuring accountability and achieving results. The plan is 
silent on when information will be reported or when it will be updated. 
Although the HSC publicly reported on the status of action items in 
December 2006 and July 2007, it is unclear when the next report will be 
issued or how much information will be released. This lack of 
transparency makes it difficult to inform a national dialogue on the 
progress made to date or what further steps are needed. It also 
inhibits congressional oversight of strategies, funding priorities, and 
critical efforts to enhance the nation's level of preparedness. 

Therefore, in our August 2007 report we recommended that the HSC 
establish a specific process and time frame for updating the Plan. We 
stated that this process should involve key nonfederal stakeholders and 
incorporate lessons learned from exercises and other sources. Further, 
we stated that the Plan could be improved by including the following 
information in the next update: (1) resources and investments needed to 
complete the action items and where they should be targeted, (2) a 
process and schedule for monitoring and publicly reporting on progress 
made on completing the action items, (3) clearer linkages with other 
strategies and plans, and (4) clearer descriptions of relationships or 
priorities among actions items and greater use of outcome-focused 
performance measures. The HSC did not comment on the draft report. 

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) 512-6806 or 
steinhardtb@gao.gov. Individuals making key contributions to this 
testimony include Susan Ragland, Allen Lomax, Catherine Myrick, Susan 
Sato, and Jordan Wicker. 

[End of section] 

Footnotes: 

[1] GAO, Influenza Pandemic: Further Efforts Are Needed to Ensure 
Clearer Leadership Roles and an Effective National Strategy, GAO-07-781 
(Washington, D.C.: Aug. 14, 2007).  

[2] See GAO, Combating Terrorism: Evaluation of Selected 
Characteristics in National Strategies Related to Terrorism, GAO-04-
408T (Washington, D.C.: Feb. 3, 2004); Rebuilding Iraq: More 
Comprehensive National Strategy Needed to Help Achieve U.S. Goals, GAO-
06-788 (Washington, D.C.: July 11, 2006); and Financial Literacy and 
Education Commission: Further Progress Needed to Ensure an Effective 
National Strategy, GAO-07-100 (Washington, D.C.: Dec. 4, 2006).  

[3] Pub. L. No. 109-295, Title VI. 

[4] GAO, Homeland Security: Management and Programmatic Challenges 
Facing the Department of Homeland Security, GAO-07-398T (Washington, 
D.C.: Feb. 6, 2007).  

[5] GAO, Homeland Security: Observations on DHS and FEMA Efforts to 
Prepare for and Respond to Major and Catastrophic Disasters and Address 
Related Recommendations and Legislation, GAO-07-835T (Washington, D.C.: 
May 15, 2007).  

[6] GAO, Hurricane Katrina: GAO's Preliminary Observations Regarding 
Preparedness, Response, and Recovery, GAO-06-442T (Washington, D.C.: 
Mar. 8, 2006). 

[7] Congressional Research Service, Pandemic Influenza: Domestic 
Preparedness Efforts, RL 33145 (Washington, D.C.: Feb. 20, 2007). 

[End of section] 

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