Child Welfare: Federal Action Needed to Ensure States Have Plans 
to Safeguard Children in the Child Welfare System Displaced by	 
Disasters (28-JUL-06, GAO-06-944).				 
                                                                 
According to the Federal Emergency Management Agency, there were 
48 federally declared disasters in 2005. Two of these		 
disasters--Hurricanes Katrina and Rita--resulted in a prolonged  
interruption of child welfare services and the dispersion of	 
thousands of children in Louisiana's foster care system to 19	 
states. As a result, there has been growing interest in the	 
extent to which states have developed strategies to cope with	 
disasters that could result in the dispersion of children in the 
child welfare system. Congress asked us to conduct a study of the
challenges facing state child welfare systems, including the	 
development of plans for dealing with the dispersion of children 
in the child welfare system due to disasters. This report	 
addresses state child welfare disaster planning. Specifically, we
are providing information on (1) the number of states that have  
statewide child welfare disaster plans and the primary components
of those plans, (2) the extent to which states that experienced  
federally declared disasters in 2005 also had child welfare	 
disaster plans, and (3) how the Department of Health and Human	 
Services (HHS) supports states' efforts to develop child welfare 
disaster plans. 						 
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-06-944 					        
    ACCNO:   A57632						        
  TITLE:     Child Welfare: Federal Action Needed to Ensure States    
Have Plans to Safeguard Children in the Child Welfare System	 
Displaced by Disasters						 
     DATE:   07/28/2006 
  SUBJECT:   Child care programs				 
	     Child welfare					 
	     Disaster planning					 
	     Disaster relief aid				 
	     Federal/state relations				 
	     Hurricane Katrina					 
	     Hurricane Rita					 
	     Policy evaluation					 
	     Strategic planning 				 

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GAO-06-944

     

     * Conclusions
     * Matter for Congressional Consideration
     * Recommendations for Executive Action
     * Comments from the Administration for Children and Families a
     * GAO Contact
     * Staff Acknowledgments
     * GAO's Mission
     * Obtaining Copies of GAO Reports and Testimony
          * Order by Mail or Phone
     * To Report Fraud, Waste, and Abuse in Federal Programs
     * Congressional Relations
     * Public Affairs

Report to the Ranking Minority Member, Subcommittee on Human Resources,
Committee on Ways and Means, House of Representatives

United States Government Accountability Office

GAO

July 2006

CHILD WELFARE

Federal Action Needed to Ensure States Have Plans to Safeguard Children in
the Child Welfare System Displaced by Disasters

GAO-06-944

Contents

Letter 1

Conclusions 3
Matter for Congressional Consideration 3
Recommendations for Executive Action 3
Comments from the Administration for Children and Families and Our
Evaluation 3
Appendix I Child Welfare Disaster Planning Presentation 5
Appendix II Components of State Disaster Plans 34
Appendix III States Experiencing Disasters in 2005 35
Appendix IV Comments from the Department of Health and Human Services 37
Appendix V GAO Contact and Staff Acknowledgments 40
Appendix VI Related GAO Products 41

Tables

Table 1: States Reporting Having Disaster Plans 35
Table 2: States Not Reporting Having Disaster Plans 35

This is a work of the U.S. government and is not subject to copyright
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separately.

United States Government Accountability Office

Washington, DC 20548

July 28, 2006 July 28, 2006

The Honorable Jim McDermott Ranking Minority Member Subcommittee on Human
Resources Committee on Ways and Means House of Representatives The
Honorable Jim McDermott Ranking Minority Member Subcommittee on Human
Resources Committee on Ways and Means House of Representatives

According to the Federal Emergency Management Agency, there were 48
federally declared disasters in 2005. Two of these disasters-Hurricanes
Katrina and Rita-resulted in a prolonged interruption of child welfare
services and the dispersion of thousands of children in Louisiana's foster
care system to 19 states. As a result, there has been growing interest in
the extent to which states have developed strategies to cope with
disasters that could result in the dispersion of children in the child
welfare system. According to the Federal Emergency Management Agency,
there were 48 federally declared disasters in 2005. Two of these
disasters-Hurricanes Katrina and Rita-resulted in a prolonged interruption
of child welfare services and the dispersion of thousands of children in
Louisiana's foster care system to 19 states. As a result, there has been
growing interest in the extent to which states have developed strategies
to cope with disasters that could result in the dispersion of children in
the child welfare system.

You asked us to conduct a study of the challenges facing state child
welfare systems, including the development of plans for dealing with the
dispersion of children in the child welfare system due to disasters. This
report addresses state child welfare disaster planning. Specifically, we
are providing information on (1) the number of states that have statewide
child welfare disaster plans and the primary components of those plans,
(2) the extent to which states that experienced federally declared
disasters in 2005 also had child welfare disaster plans, and (3) how the
Department of Health and Human Services (HHS) supports states' efforts to
develop child welfare disaster plans. You asked us to conduct a study of
the challenges facing state child welfare systems, including the
development of plans for dealing with the dispersion of children in the
child welfare system due to disasters. This report addresses state child
welfare disaster planning. Specifically, we are providing information on
(1) the number of states that have statewide child welfare disaster plans
and the primary components of those plans, (2) the extent to which states
that experienced federally declared disasters in 2005 also had child
welfare disaster plans, and (3) how the Department of Health and Human
Services (HHS) supports states' efforts to develop child welfare disaster
plans.

We used multiple data collection methods, as part of the broader study, to
obtain this information. First, we surveyed state child welfare directors
in 50 states, the District of Columbia, and Puerto Rico to obtain
information on the strategies that they developed to cope with disasters
that could result in the dispersion of children. Second, we interviewed
child welfare officials in five states: California, New York, North
Carolina, Texas, and Utah. These states were selected for variance in
program administration (state administered,
state-supervised/county-administered, state and county administered), the
predominance of urban or rural characteristics, the achievement of child
welfare standards on HHS's Child and Family Services Review, changes in
the number of children reported to be in foster care; and geographic
location. In addition, we interviewed federal child welfare officials and
representatives from national child welfare organizations concerning the
strategies that states had developed. Finally, We used multiple data
collection methods, as part of the broader study, to obtain this
information. First, we surveyed state child welfare directors in 50
states, the District of Columbia, and Puerto Rico to obtain information on
the strategies that they developed to cope with disasters that could
result in the dispersion of children. Second, we interviewed child welfare
officials in five states: California, New York, North Carolina, Texas, and
Utah. These states were selected for variance in program administration
(state administered, state-supervised/county-administered, state and
county administered), the predominance of urban or rural characteristics,
the achievement of child welfare standards on HHS's Child and Family
Services Review, changes in the number of children reported to be in
foster care; and geographic location. In addition, we interviewed federal
child welfare officials and representatives from national child welfare
organizations concerning the strategies that states had developed.
Finally, we analyzed agency documentation, legislation, and other material
related to child welfare programs and requirements. We conducted our work
between October 2005 and June 2006 in accordance with generally accepted
government auditing standards.

On June 26, 2006, we briefed your staff on the results of our study of
state child welfare disaster planning. This report formally conveys the
information provided during that briefing. In summary, we found that

           o  Twenty states and the District of Columbia reported that they
           had a written child welfare disaster plan. However, the plans
           varied in the extent to which they included selected child welfare
           program components, such as identifying children under state care
           who may be dispersed. Specifically:

                        o  nineteen state plans addressed preserving child
                        welfare records,
                        o  thirteen state plans addressed identifying
                        children who may be dispersed,
                        o  eleven state plans addressed identifying new child
                        welfare cases and providing services,
                        o  ten state plans addressed coordinating services
                        and sharing information with other states, and
                        o  six state plans addressed placing children from
                        other states.

           o  Of the 29 states and Puerto Rico that experienced a federally
           declared disaster in 2005, 8 reported having a written child
           welfare disaster plan.

           o  While HHS does not have the authority to require states to
           develop child welfare disaster plans, it has assisted states in
           developing child welfare disaster plans by issuing guidance in
           1995 and funding technical assistance on disaster planning through
           its network of national resource centers. The guidance generally
           does not address the potential dispersion of children and families
           in a disaster. In addition, child welfare officials reported that
           additional disaster planning assistance from the federal
           government would be helpful, including information or training on
           how to develop a disaster plan and what to include.

HHS is planning several actions with regard to child welfare disaster
planning. First, the department plans to hold a child welfare disaster
planning conference for states in August 2006. Second, HHS is updating its
1995 disaster planning guidance for release at the conference. Finally,
the department has asked states to voluntarily submit copies of their
disaster plans for review by December 2006. However, it is unclear how
much these efforts will address the potential dispersion of children and
families in a disaster.

                                  Conclusions

In the absence of federal requirements that states develop child welfare
disaster plans, many states have not done so. In addition, states that
have developed disaster plans do not always address the dispersion of
children and families. The lack of plans for dealing with the dispersion
of children may result in confusion at a time when families are under
strain and need services most. Without minimum requirements on what states
should include in their child welfare disaster plans, some states may be
unable to ensure the continuity of services within and across state lines
for the children under their care.

                     Matter for Congressional Consideration

To ensure continuity of services within or across state lines for the
children under state care, Congress should consider requiring that states
develop and submit child welfare disaster plans for HHS review.

                      Recommendations for Executive Action

To better assist states in developing child welfare disaster plans, we are
recommending that the Secretary of Health and Human Services ensure that
the department's child welfare disaster planning guidance address the
dispersion of children and families within and across state lines. This
guidance should include information on

           o  preserving child welfare records,
           o  identifying children who may be dispersed,
           o  identifying new child welfare cases and providing services,
           o  coordinating services and sharing information with other
           states, and
           o  placing children from other states.

Finally, we are recommending that the Secretary develop and provide
training on child welfare disaster planning to all states.

 Comments from the Administration for Children and Families and Our Evaluation

HHS's Administration for Children and Families provided written comments
on a draft of this report; these comments appear in appendix IV. Regarding
our recommendations that HHS ensure that the department's guidance and
training to states on child welfare disaster planning address the
dispersion of children and families, ACF stated that it has taken action
to update the guidance and provide training to states and will encourage
them to develop and submit disaster plans for review. ACF also requested
that the report be modified to clarify that the focus of this report is on
programmatic Disaster Recovery Plans (DRP) rather than on information
technology DRPs. ACF stated that states have information
technology-related DRPs for their automated systems and those plans
address the need for preserving essential information recorded in the
electronic case records. We clarified this point in the report.

We are sending copies of this report to the Secretary of Health and Human
Services, relevant congressional committees, and other interested parties
and will make copies available to others upon request. In addition, the
report will be available at no charge on GAO's Web site at
http://www.gao.gov . If you or your staff have any questions about this
report, please contact me at (202) 512-7215. Key contributors may be found
on the last page of the report.

Cornelia M. Ashby Director, Education, Workforce, and Income Security
Issues

Appendix I: Child Welfare Disaster Planning Presentation

Appendix II: Components of State Disaster Plans

                                              State Plan Components
                                 Continue                                                               
                                 services                                                               
           Identify                 to                                        Place            Identify 
           children   Identify   children   Preserve   Coordinate Coordinate children Provide    new    
            who may  caseworkers  who may   essential   services   services    from   in-home   child   
              be     who may be     be        case       within    outside    other    family  welfare
State      dispersed  dispersed  dispersed information   state      state     states  services  cases
Alabama                                                                                        
Arkansas                                        X                                              
District                  X          X          X          X                                   
of                                                                                             
Columbia                                                                                       
Georgia        X          X          X          X          X          X                           X     
Iowa           X          X          X          X                                                 X     
Idaho          X          X          X          X          X                                      X     
Illinois       X          X          X          X          X          X         X        X        X     
Kansas                                          X          X          X                        
Montana        X          X          X          X          X          X         X        X        X     
Nevada                    X          X          X                                              
North          X                     X          X          X          X         X                 X     
Carolina                                                                                       
North          X          X                     X                     X                           X     
Dakota                                                                                         
Oregon         X          X          X          X          X                                      X     
Rhode                                           X          X          X                        
Island                                                                                         
South          X                     X          X          X                                   
Carolina                                                                                       
Tennessee                                                                                      
Texas          X          X          X          X          X          X         X        X     
Utah           X                     X          X          X                                      X     
Virginia       X          X          X          X          X          X         X        X        X     
Washington     X          X          X          X          X          X         X        X        X     
Wisconsin                                       X                                              

Source: Analysis of GAO national survey of state child welfare systems
challenges.

Appendix III: States Experiencing Disasters in 2005 

Table 1: States Reporting Having Disaster Plans

State          Type of disaster                                 Month     
Alabama        Hurricane Dennis                                 July      
                                                                             
                  Hurricane Katrina                                August    
Idaho          Heavy rains, flooding                            July      
Kansas         Severe winter storms, heavy rains, flooding      February  
                                                                             
                  Severe storms, flooding                          August    
                                                                             
                  Severe storms, flooding                          November  
Nevada         Heavy rains, flooding                            March     
North Carolina Hurricane Ophelia                                October   
North Dakota   Severe storms, flooding, ground saturation       July      
                                                                             
                  Severe winter storms and record/near-record snow November  
Texas          Hurricane Rita                                   September 
Utah           Severe storms, flooding                          February  
                                                                             
                  Flood, landslide                                 August    

Source: GAO analysis of Federal Emergency Management Agency 2005 federally
declared disaster data at
http://www.fema.gov/news/disasters.fema?year=2005

Table 2: States Not Reporting Having Disaster Plans

State         Type of disaster                                   Month     
Alaska        Severe winter storm                                March     
                                                                              
                 Severe fall storm, tidal surges, flooding          December  
Arizona       Severe storms, flooding                            February  
                                                                              
                 Severe storms, flooding                            April     
California    Severe storms, flooding, debris flows, mudslides   February  
                                                                              
                 Severe storms, flooding, landslides, mud and       April     
                 debris flows                                       
Connecticut   Severe storms, flooding                            December  
Florida       Hurricane Dennis                                   July      
                                                                              
                 Hurricane Katrina                                  August    
                                                                              
                 Hurricane Wilma                                    October   
Hawaii        Severe storms, flash flooding                      February  
Indiana       Severe winter storms, flooding                     January   
                                                                              
                 Tornado, severe storms                             November  
Kentucky      Severe winter storm, record snow                   February  
                                                                              
                 Severe storms, tornadoes                           December  
Louisiana     Tropical storm Cindy                               August    
                                                                              
                 Hurricane Katrina                                  August    
                                                                              
                 Hurricane Rita                                     September 
Maine         Severe storms, flooding, snow jams, ice melts      June      
Massachusetts Severe storms, flooding                            November  
Mississippi   Hurricane Dennis                                   July      
                                                                              
                 Hurricane Katrina                                  August    
New Hampshire Severe storms, flooding                            October   
Nebraska      Severe storms, flooding                            June      
New Jersey    Severe storms, flooding                            April     
New York      Severe storms, flooding                            April     
Ohio          Severe winter storms, flooding, mudslides          February  
Pennsylvania  Severe storms, flooding                            April     
Puerto Rico   Severe storms, flooding, landslides, mudslides     November  
South Dakota  Severe storm                                       July      
                                                                              
                 Severe winter storm                                December  
West Virginia Severe storms, flooding, landslides                February  
Wyoming       Tornado                                            August    

Source: GAO analysis of Federal Emergency Management Agency 2005 federally
declared disaster data at
http://www.fema.gov/news/disasters.fema?year=2005 .

Appendix IV: Comments from the Department of Health and Human Services


Appendix V: GAO Contact and Staff Acknowledgments

GAO Contact

Cornelia M. Ashby, (202)512-7215, [email protected]

Staff Acknowledgments

Cindy Ayers (Assistant Director) and Arthur T. Merriam Jr.
(Analyst-in-Charge) managed all aspects of the assignment. Wayne Sylvia,
Mark E. Ward, Christopher T. Langford, and Kathleen Boggs made significant
contributions to this report, in all aspects of the work. In addition,
Carolyn Boyce provided technical support, James Rebbe provided legal
support, and Charles Willson assisted in the message and report
development.

Appendix VI: Related GAO Products Appendix VI: Related GAO Products

Lessons Learned for Protecting and Educating Children after the Gulf Coast
Hurricanes, GAO-06-680R , Washington, D.C.: May 11, 2006.

Hurricanes Katrina: GAO's Preliminary Observations Regarding Preparedness,
Response, and Recovery, GAO-06-442T , Washington, D.C.: March 8, 2006.

Hurricanes Katrina and Rita: Provisions of Charitable Assistance,
GAO-06-297T , Washington, D.C.: December 13, 2005.

September 11: More Effective Collaboration Could Enhance Charitable
Organizations' Contributions in Disasters, GAO-03-259 , Washington, D.C.:
December 19, 2002.

Disaster Management: Improving the Nation's Response to Catastrophic
Disasters, RCED-93-186, Washington, D.C.: July 23, 1993.

(130589)

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