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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