Report Contents
What OIG Audited
The Department of State’s (Department) Domestic Emergency Management Program assists domestic facilities in developing a facility emergency action plan (FEAP), which guides occupants in carrying out evacuation or shelter-in-place procedures designed to prevent or minimize injury, loss of life, and property damage. The Office of Emergency Management (OEM) administers the Department’s Domestic Emergency Management Program.
The Office of Inspector General (OIG) conducted this audit to determine whether the Department is prepared to respond to and recover from foreseeable emergencies at selected domestic facilities. To perform the audit, OIG conducted audit fieldwork at six domestic facilities. OIG tested the accuracy and executability of the six facilities’ FEAPs, personnel’s awareness of details in their FEAPs, and their participation in emergency training and drills. OIG also reviewed 63 FEAPs to assess whether they met federal and Department requirements and 98 FEAPs to determine whether each was certified annually.
What OIG Recommends
OIG offered 20 recommendations to address the deficiencies identified in this report. On the basis of the Department’s response to a draft of this report, OIG considers 1 recommendation closed and 19 recommendations resolved, pending further action. A synopsis of the Department’s responses to the recommendations offered and OIG’s reply follow each recommendation in the Audit Results section of this report. Responses from the Bureau of Administration and the Bureau of Diplomatic Security to a draft of this report are included in their entirety in Appendices B and C, respectively.
What OIG Found
The Department was principally prepared to respond to and recover from emergencies at the six selected domestic facilities reviewed for this audit, located in California, Texas, Kentucky, Florida, and Washington. Specifically, OIG found that the majority of Department personnel interviewed at these facilities knew the procedures to follow during an evacuation and a shelter-in-place emergency. In addition, OIG found that four of six facilities had conducted required fire drills. However, only 35 percent of the individuals interviewed were sufficiently familiar with procedures to follow for an active shooter situation. OIG also found that FEAPs were not always certified in a timely manner and did not always contain complete, accurate, and executable information. For example, none of the FEAPs for the six selected facilities had accurate information regarding the Occupant Emergency Organization, four did not have executable procedures for individuals requiring assistance, and three did not contain complete information on the number of Department personnel by bureau and floor.
One reason for the deficiencies identified was that information on available training was not always effectively communicated to personnel. Furthermore, officials responsible for emergency planning at the domestic facilities stated they were not aware of some requirements. Specifically, the FEAP template and instructions developed by OEM did not address all federal and Department requirements and were unclear regarding requirements for personnel who require assistance during emergencies. OIG also found that OEM did not sufficiently oversee the FEAP process. Furthermore, OEM requires FEAPs for all facilities that house Department personnel, even if the Department is not the primary occupant agency. The FEAP effort at those facilities duplicates the work performed by other federal agencies and OEM should determine whether continuing to require FEAPs for all facilities is a good use of limited resources. OIG concludes that when these deficiencies are fully addressed, domestic Department personnel will be better prepared to execute all emergency procedures that are meant to prevent injury, loss of life, and property damage.
Report Terms
Report Recommendations
OIG recommends that the Bureau of Administration revise the orientation guidance in the written facility emergency action plan (FEAP) template instructions to include guidance on informing personnel about the availability of training resources for general emergency preparedness and for specific scenarios, such as active shooter incidents.
OIG recommends that the Bureau of Administration (a) direct Department of State domestic facilities that did not conduct a fire drill in either 2020 or 2021 to conduct the required fire drill in 2022 and (b) verify their compliance.
OIG recommends that the Bureau of Administration revise the written facility emergency action plan (FEAP) template to include language promoting the implementation of the best practice identified during this audit that involves small group emergency procedure training sessions. Specifically, this involves implementing partial evacuation sessions during which an official walks personnel through the evacuation procedures.
OIG recommends that the Bureau of Administration revise its standard operating procedures to comply with the federal requirement that agencies review plans annually.
OIG recommends that the Bureau of Administration develop and implement a quality control process to ensure the accuracy of reported facility emergency action plan (FEAP) certification data.
OIG recommends that the Bureau of Diplomatic Security (DS) issue guidance to its domestic bureau offices stating that, when they are not the primary bureau in a facility, they must participate in the primary bureau’s facility emergency action plan (FEAP) development process.
OIG recommends that the Bureau of Administration revise the written facility emergency action plan template and template instructions to require that facility emergency action plans (FEAP) address general procedures for individuals requiring assistance due to a medical condition, injury, or existing disability during an emergency.
OIG recommends that the Bureau of Administration, in coordination with the Kentucky Consular Center, evaluate possible shelter-in-place locations at the Kentucky Consular Center that can accommodate all personnel at the facility.
OIG recommends that the Bureau of Administration, in coordination with the San Diego Passport Agency, evaluate possible shelter-in-place locations at the San Diego Passport Agency that are accessible to all personnel at the facility.
OIG recommends that the Bureau of Administration (a) reconcile the facility emergency action plan (FEAP) template and template instructions with all applicable federal and Department requirements, (b) identify all applicable differences, and (c) revise the FEAP template and template instructions accordingly.
OIG recommends that the Bureau of Administration revise the written facility emergency action plan (FEAP) template and template instructions to state that the facility emergency action plans should be updated to ensure accuracy whenever conditions or situations change.
OIG recommends that the Bureau of Administration (a) determine the appropriate frequency of emergency response meetings that Designated Officials are required to conduct, (b) retain or revise the current frequency, and (c) revise the written facility emergency action plan template and template instructions to alert officials.
OIG recommends that the Bureau of Administration revise the written facility emergency action plan (FEAP) template to require facilities to develop self-identification procedures for individuals who need assistance during an evacuation or shelter-in-place event.
OIG recommends that the Bureau of Administration revise the written facility emergency action plan (FEAP) template and template instructions to state that facilities must indicate in the FEAP whether there are individuals who need assistance during an evacuation or shelter-in-place event regardless of whether the individuals complete Form DS-4126.
OIG recommends that the Bureau of Administration replace the nonworking hyperlink for Form DS-4126, Emergency Planning Assistance Request, with an accessible hyperlink in the written facility emergency action plan (FEAP) template.
OIG recommends that the Bureau of Administration revise the written facility emergency action plan (FEAP) template and template instructions to provide alternative methods for obtaining critical occupant information from all Department of State bureaus and offices present in a facility.
OIG recommends that the Bureau of Administration revise the Facility Emergency Action Plan (FEAP) Standard Operating Procedures to include, at a minimum, federal requirements as the elements that should be specifically reviewed by the Office of Emergency Management, Policy and Planning Division, Facility Emergency Action Plan Coordinator.
OIG recommends that the Bureau of Administration design and implement procedures to ensure that the Office of Emergency Management (OEM), Policy and Planning Division, Facility Emergency Action Plan (FEAP) Coordinator considers federal requirements when reviewing written facility emergency action plans.
OIG recommends that the Bureau of Administration direct the Office of Emergency Management (OEM) to (a) contact facility emergency action plan (FEAP) points of contact at least 2 months prior to expiration of the FEAP as required by its standard operating procedures and (b) implement a tracking process showing the date contacted and the expiration date of each FEAP.
OIG recommends that the Bureau of Administration (a) conduct a review to determine whether requiring facility emergency action plans (FEAP) for facilities where the Department of State is not the primary occupant agency is necessary and, (b) if it is determined that these plans are not necessary, revise its internal guidance accordingly and notify domestic facilities about the policy change.