1. Audit of COVID-19 Response: Pandemic Preparedness ABSTRACT
The City generally has appropriate plans in place to
respond to disaster situations — including a
Pandemic Influenza Preparedness Plan; however,
most of these plans should be updated to
incorporate pandemic-specific considerations like
social distancing and teleworking.
Internal Audit Department
City Auditor
Madison Rorschach, CIA, CGAP
AUDIT OF COVI D-19 Audit Staff
Neeraj Sama, MBA
RESPONSE
Pandemic Preparedness
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The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
Table of Contents
Auditat a Glance .................................................................................................................................3
Introduction.........................................................................................................................................4
ManagementResponsibility.....................................................................................................................4
Audit Objectives, Scope, and Methodology..............................................................................................4
Background ...............................................................................................................................................5
Findings&Analysis..............................................................................................................................6
Emergency Management Planning Activities Adequately Consider Pandemics ......................................6
Standard EOC Procedures may be Insufficient for Pandemics.................................................................8
Emergency Management Training Requirements are not Well Defined or Tracked ...............................9
The Business Continuity Plan Needs to Include Planning for Pandemics...............................................11
Financial Reserves are Maintained for Unexpected Situations..............................................................12
Appendix A: Management Response Summary.................................................................................. 14
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The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
Audit at a Glance
Why we did this Audit: What we Found:
On March 13,the City declared a local The City has established and implemented several
disaster in response to the COVID-19 disaster management plans — including a Pandemic
Pandemic. During a pandemic, public Influenza Preparedness Plan. Still, additional
health and safety is of primary considerations in these plans would ensure the City is
importance for local governments, more prepared for potential future pandemics. The
which must be equipped with following discusses our findings:
adequate plans and resources to
respond effectively. This audit was Planning. Generally, the City's disaster management
included as part of the COVID-19 plans comply with relevant laws and are well defined;
Response Audit Series, which was however, they should be updated to include the
included on the City's amended the following pandemic-related considerations:
fiscal year 2019-20 Audit Plan as • Non-congregate sheltering and mass care;
approved by the City Council. • Socially distant Emergency Operations Center
What we Recommend: (EOC) procedures;
• Teleworking and virtual meetings; and
Recommendations 1, 2, 7, 8 & 9 • Prolonged, unanticipated financial impacts.
Fire, Tech. Services, Public Affairs,
and Finance should update their Training & Exercises. While the EOC Manual
relevant plans to include pandemic establishes appropriate training and exercise
considerations for non-congregate requirements, it is difficult to tell if these
sheltering, a socially distant requirements are being met. Clarifying who must
emergency operations center, complete training requirements and centralizing the
telework & virtual meetings, and responsibility for managing training and exercise
prolonged financial impacts. documentation would further ensure the City is
prepared for future disasters—including pandemics.
Recommendation 3
Fire should create and maintain COVID-19 EOC Documentation. The City partially
records for operating and activated its EOC in response to the COVID-19
deactivating the emergency Pandemic on March 13. Despite the Pandemic
operations center for the current continuing into Aug. 2020, no operational records for
COVID-19 Pandemic. the EOC after April 30 were found. In addition, there
is no record that the EOC was deactivated.
Recommendation 4
Fire should clarify which City staff are Without proper maintenance of EOC records it is
required to complete disaster difficult to tell what emergency management
management training. activities have occurred,which may potentially hinder
communication and reporting to federal, state, and
Recommendations 5 & 6 local agencies as well as to the public.
Fire should create a central
repository and retain documentation
for disaster management training and
IFY
emergency operations exercises. `(H
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The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
Introduction
The Internal Audit Department is responsible for providing: (a) an independent appraisal' of City
operations to ensure policies and procedures are in place and complied with, inclusive of
purchasing and contracting; (b) information that is accurate and reliable; (c) assurance that assets
are properly recorded and safeguarded; (d) assurance that risks are identified and minimized; and
(e) assurance that resources are used economically and efficiently and that the City's objectives
are being achieved.
The Internal Audit Department has completed a performance audit of pandemic preparedness
processes. We conducted this performance audit 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.
Management Responsibility
City management is responsible for ensuring that resources are managed properly and used in
compliance with laws and regulations; programs are achieving their objectives; and services are
being provided efficiently, effectively, and economically.
Audit Objectives, Scope, and Methodology
The Internal Audit Department has completed an audit of pandemic preparedness processes. This
audit's scope is specifically focused on assessing the pandemic readiness of the City of Denton. This
report is intended to provide assurance that City administration has established adequate plans,
procedures, and controls to respond to pandemics.
Audit fieldwork was conducted during June, July, and August of 2020. The scope of review varied
depending on the procedure being performed. The following list summarizes major procedures
performed during this time:
• Reviewed documentation to develop criteria including industry standards, best practices,
policies, and procedures;
• Reviewed various disaster and emergency management plans and procedures adopted by the
City to verify their applicability and adequacy to deal with pandemics;
• Reviewed financial reserves policies to evaluate the City's financial preparedness for
pandemics;
• Verified compliance with disaster management provisions of the Texas Government Code;
• Reviewed the Emergency Operations Center (EOC) Manual along with EOC activities and logs
maintained during the COVID-19 Pandemic to verify compliance;
• Reviewed disaster management training requirements and verified compliance; and �
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'The City of Denton Internal Auditor's Office is considered structurally independent as defined by generally accepted government auditing
standard 3.56.
The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
• Interviewed Technology Services, Finance, and Fire department staff and Denton County
Emergency Management officials.
Background
According to the World Health Organization,a pandemic is the worldwide spread of a new disease.
On Jan.30,the World Health Organization declared an outbreak of a novel coronavirus—commonly
known as COVID-19. On March 11,the COVID-19 outbreak was declared a pandemic.Just two days
later,the United States President declared the COVID-19 Pandemic a national emergency.The City
of Denton's Mayor issued a Local Disaster Ordinance that same day.
The City's Disaster Declaration was issued with the intention to reduce or stop the spread of COVID-
19 and to mitigate the economic impact of the COVID-19 Pandemic in the City of Denton. This
declaration has since been extended through Sept. 30.
Based on the ongoing COVID-19 disaster, during a pandemic, public health and safety is of primary
importance for local governments,which must be equipped with adequate plans and resources to
respond effectively. Pandemic preparedness is critical for local governments to curb the impact of
a new disease on its community and residents.
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The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
Findings & Analysis
The National Incident Management System (NIMS) 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 incident response."
Figure 1: NIMS Preparedness Cycle
LOrganize
Exercise
This audit evaluated the pandemic preparedness of the City of Denton, considering the
preparedness cycle as defined by NIMS (see Figure 1).Z The auditors identified various emergency
and disaster-related plans and procedures adopted by the City and compared them with the
industry's pandemic-specific best practices.
Emergency Management Planning Activities Adequately Consider Pandemics
Texas Government Code Section 418.106 requires each local government to prepare and
implement an emergency management plan providing for disaster mitigation, preparedness,
response, and recovery in its jurisdiction.The Emergency Management Plan must include planning
activities for pandemic situations. In June 2020, the Federal Emergency Management Agency also
issued guidance for mass care, emergency assistance functions, and unique planning
considerations during pandemics.
What We Found
• The City has a well-defined Emergency Management Plan in place to deal with disasters,
including pandemics. It also contains a hazard and vulnerability assessment for epidemics.The
Plan conforms with the Emergency and Disaster Planning and Response policy implemented
under Chapter Nine of the City's Code of Ordinances.
• The City's Emergency Management Plan complies with Chapter 418 of the Texas Government
Code in terms of its contents and operational requirements. It provides general guidance for
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2 This audit did not evaluate the availability of pandemic-response equipment(i.e.personal protective equipment).
The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
emergency management activities including methods of mitigation, preparedness, response,
and recovery.
o The City has adopted the National Incident Management System (NIMS) framework
under its Emergency Management Plan following the applicable Presidential
Homeland Security Directives.
o The Plan specifies provisions for activating and operating the Emergency Operations
Center.
o The "Shelter and Mass Care" provisions of the Emergency Management Plan do not
include social distancing and non-congregate sheltering arrangement guidelines to be
administered during pandemics.
• The City adopted a Pandemic Influenza Preparedness Plan in 2009, which was further updated
in March 2020 to include guidance for the COVID-19 Pandemic.
o This plan does include some pandemic-specific considerations such as social distancing
for City employees, environmental cleaning and disinfection guidelines, and
operational guidelines. That being said, it does not provide guidance on establishing
non-congregate shelters.
Why It Matters
Public health officials generally agree that implementation of social distancing is critical to slow and
mitigate the outbreak of a virus. During a pandemic, the City may need to arrange sheltering and
mass care for residents to curb the spread of an infectious disease. Updating the "Shelter and Mass
Care" provision in the Emergency Management Plan and the Pandemic Influenza Preparedness
Plan to include social distancing and non-congregate sheltering arrangement considerations would
provide guidance to City administration and Emergency Management staff to act quickly and
strategically during pandemics.
Recommendation:
1. Review and update the City's Emergency Management Plan and the Pandemic Influenza
Preparedness Plan to include specific guidelines for non-congregate sheltering and socially
distant mass care during pandemics.
Fire Department Comments: The Fire Department is planning on having an outside consultant
evaluate the entire Emergency Management Program by the end of the calendar year. Once
the evaluation is complete we will have the proper language to insert for this item. The expected
completion is 0310112021.
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The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
Standard EOC Procedures may be Insufficient for Pandemics
The Emergency Operations Center (EOC) plays a vital role in the City's response to disaster
situations as it centralizes emergency management, allowing decision makers to gather and all be
supplied with the most current information—helping better decisions be made.
What We Found
• The City has a well-defined EOC Manual which provides guidance for activation, deactivation,
and operations during emergencies. The EOC Manual describes potential incidents, initial
actions, and typical EOC staffing needs for different activation levels of the EOC during
weather-related incidents. The Manual does not:
o Provide direction for activating and operating a socially distanced EOC, which may be
required during a pandemic; or
o Provide guidance on how the activation level categories should apply to pandemics.
• The EOC Manual requires staff to maintain accurate logs recording disaster response and
recovery activities, including EOC activation and deactivation times and dates.
o Documentation was found indicating that the EOC was partially activated in response
to the COVID-19 Pandemic on March 13.
o No operational records of the EOC were found after April 30 and no documentation
was found clarifying when the EOC was deactivated during the ongoing COVID-19
Pandemic. For this reason, it is unclear at what level the EOC is still operating, if at all.
Why It Matters
The EOC functions as a centralized emergency response hub during disasters and facilitates a
coordinated response to public health emergencies. Guidelines for the activation and operation of
a socially distant EOC would facilitate emergency management activities during potential future
pandemics.
In addition, the EOC plays an important role in public health activities. Consistent data collection,
tracking, and reporting in emergency situations is critical for this operation. Without proper
maintenance of EOC records it is difficult to tell what emergency management activities have
occurred. This could potential hinder communication and reporting to federal, state, and local
agencies as well as to the public.
Recommendation:
2. Revise the Emergency Operations Center Manual to include procedures for activating and
operating a socially distant emergency operations center during pandemics.
Fire Department Comments: The Fire Department is planning on having an outside consultant
evaluate the entire Emergency Management Program by the end of the calendar year. Once
the evaluation is complete, we will have the proper language to insert for this item. The
expected completion is 0310112021. 00
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The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
3. Create and maintain appropriate records for operating and deactivating the Emergency
Operations Center for the current COVID-19 Pandemic.
Fire Department Comments: The Fire Department is planning on having an outside consultant
evaluate the entire Emergency Management Program by the end of the calendar year. Once
the evaluation is complete, we will have the proper language to insert for this item. The
expected completion is 0310112021. During this evaluation period we will also be researching
the best electronic software for emergency management functions so we can keep all of the
files neatly sorted electronically. The Fire Department will also determine when the last virtual
EOC meeting was with the former EMC around late April or early May. We will then document
that the EOC operations for COVID were ended on that date.
Emergency Management Training Requirements are not Well Defined or Tracked
Texas Government Code Section 418.005 requires the City's Emergency Management Coordinator
(as the Mayor's designee), the Police Chief, and the Fire Chief to complete at least three hours of
disaster management training within 180 days of taking office.' In addition, the Emergency
Operations Center (EOC) Manual requires EOC staff to complete specific disaster management
training classes; ECO Command staff is required to complete additional, advanced disaster
management training classes.
What We Found
• Per training records, all three required City officers have completed at least three hours of
emergency management training—this fulfills the state law requirement.
o All three officers have completed the trainings required by the EOC Manual for EOC
Command staff.
Table 1: City Officers Disaster Training Completion
NIMS Course Fire Chief Emergency Mgmt.Coor. Police Chief4
IS-100 Completed Completed Completed
IS-200 Completed Completed Completed
IS-700 Completed Completed Completed
IS-800 Completed Completed Completed
ICS-300 Completed Completed Completed
ICS-400 Completed Completed Completed
• The EOC Manual does not clearly specify which City employees are required to complete
disaster management training. In addition, there is no guidance specifying by when and how
frequently this training must be completed. Based on the current EOC Manual, there is reason
to believe that many City staff across departments are required to obtain this training.
• That being said, there are no processes or procedures for tracking EOC training requirements.
Additionally, there is no central repository that stores training completion certificates for all
relevant EOC staff.
3 These requirements are based on a legal opinion received from the City Attorney's Office.
4 In 2013,the Police Chief took a 40-hour position specific training course for the Operations Section Chief.Based on a review of FEMA's
websit ,this training course appears to include all of the courses required by the City's EOC Manual.
The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
• Similarly, the EOC Manual requires the Emergency Management Coordinator to organize
periodic discussion- and operations-based disaster exercises. Per Emergency Management
staff, the City holds an annual operations-based exercise in May and an annual discussion-
based exercise in the fall.
o According to Fire Department management,several discussion-and operations-based
exercises have been conducted in previous years that would include personal
protective equipment training relevant to a pandemic response. Nevertheless,
documentation of who attended these events and what training activities were
covered was not available.
Why It Matters
Clear emergency management training requirements in the City's EOC manual and proper
maintenance of training records would facilitate effective administration of disaster management
training. Without tracking training completions, the City's emergency plans and procedures may
not be properly followed in the event of a real emergency or disaster situations, including
pandemics.
Similarly, disaster exercises ensure staff receive periodic reminders about different emergency
response activities; However,without adequate documentation, it is difficult to tell if all necessary
staff have taken part in these activities. In addition, documentation of what activities have been
covered would help emergency management determine what emergency response activities
should be covered in future exercises.
Recommendation:
4. Update the EOC Manual to clarify which City staff are required to complete disaster
management training, including how often and by when these training requirements should
be complete. The EOC manual should also delegate responsibility for communicating these
training requirements to the necessary individuals.
Fire Department Comments: We will be developing a matrix to better clarify which courses are
required and by who. This item should be completed by the end of this calendar year. BC Lahart
talked with the former EMC and he stated that the had a meeting this calendar year with NIMS
compliance members of most City departments that were responsible for their employees
(some compliance members oversee a few departments). We still believe that the ultimate fix
will be to house a copy of these certificates electronically so that the EM office can easily access
the records. This can either be an EM type of software program or maybe some type of software
that HR houses.
5. Create a central repository for the required disaster management training certificates and
centralize the responsibility for ensuring these trainings are completed appropriately.
Fire Department Comments: We will establish a temporary repository for training certificates
by the end of the calendar year.A permanent solution will occur when we can find and
implement an Emergency Management Software Program. 0
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The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
6. Document disaster exercises including who attended and what emergency response activities
were tested.
Fire Department Comments: The exercises are well documented and meet all of the criteria
set forth by the state. They also include sign-in sheets, etc. Unfortunately they are currently all
in paper form for the past 7 years.All of the folders are located in the filing cabinet in the
Emergency Manager's Office.A better process will be investigated including an Emergency
Management Software Program to manage these huge files and better organize the contents.
We are hoping to have a new software program to track several emergency management
functions going forward.
The Business Continuity Plan Needs to Include Planning for Pandemics
Business continuity planning guides local governments' critical functions and systems during
emergencies. During pandemics,the Business Continuity Plan should help smooth the transition to
teleworking and virtual meetings caused by increased absenteeism and social distancing.
What We Found
• The City has a comprehensive Business Continuity Plan, which includes provisions for the
continuity of City operations and systems under various disaster situations such as a fire,
tornadoes, loss of technology services, severe weather, violence, and other artificial and
natural disasters.The Business Continuity Plan contains guidance and procedures for response,
recovery, and communication during disasters.
o The Plan does not include business continuity planning for pandemics and does not
include criteria for activation if a pandemic occurs.
• The Business Continuity Plan has a well-defined communication procedure for disaster
situations.
o During the COVID-19 Pandemic, the Technology Services Department effectively
communicated with other departments and the City Manager's Office to provide
teleworking infrastructure and technical support.
• The Business Continuity Plan has not been activated during the COVID-19 Pandemic.
o That being said,Technology Services implemented a Temporary Remote Working Plan
on March 18 to provide telecommuting guidance and support to City employees as
they continued operations remotely. Additionally, the City implemented virtual
meetings for the City Council, City Boards and Commissions, and staff meetings.
Why It Matters
During pandemics,the City's operations would be most affected by employees' general inability to
be physically present at City facilities. Prioritizing teleworking functions would help manage the
increased workloads caused by mass teleworking helping to minimize business activity disruption
during pandemics. Additionally, including virtual meeting guidelines in the Business Continuity Plan
would aid Technology Services and other City departments when transitioning to virtual
government meetings during potential future pandemics. to
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The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
Recommendation:
7. Incorporate planning for telework during pandemics into the existing Business Continuity Plan.
Teleworking resources should be prioritized based on critical and non-critical functions.
Technology Services Comments: Technology Services partially concurs. Technology Services
agrees that very specific and unusual department needs for remote work should be included in
the business continuity plan (BCP). For example,providing Engineering access to their desktops
to run applications too powerful for their laptops was outside of normal operations and should
be included. Remote work technology (work from home) is considered a normal day to day
technology function/service and not something utilized just in an emergency situation. For
instance we've always provided corporate Wi-Fi and corporate VPN prior to the pandemic.
During the beginning stages of the pandemic, Technology Services was busier than normal, but
did not provide services beyond normal operations. As a result, Technology Services did not
activate the Technology Services BCP plan.
8. Incorporate planning for virtual meeting activities during pandemics into the existing Business
Continuity Plan. Public Affairs should consult with Technology Services and the City Attorney's
Office to ensure applicable state laws are considered when planning for virtual meetings.
Customer Service and Public Affairs Comments: Customer Service and Public Affairs concurs
with this recommendation. Virtual meeting protocols and guidelines will enable Technology
Services, the City Attorney's Office, Customer Service and Public Affairs, and the City Manager's
Office to more rapidly and reliably consider and, pending Council approval, deploy virtual
meetings in a future pandemic or disaster, if needed.
Financial Reserves are Maintained for Unexpected Situations
Financial preparedness is an important aspect when dealing with unanticipated situations such as
disasters and pandemics. The Government Finance Officers Association's best practices
recommend that local governments have resiliency-based capital planning to have minimum
impact on the local communities. Apart from maintaining financial reserves, the financial
preparedness framework generally involves performing cost mitigation activities, identifying
potential sources of funding, and assessing liquidity needs.
What We Found
• The City has a resiliency-based Fund Balance Policy in place to mitigate financial risk and
unforeseen revenue fluctuations forthe General Fund.Additionally,the City's Utilities Financial
Strategies policy establishes requirements for maintaining utility fund operating reserves to
deal with unexpected situations.
Table 2 on the next page compares the City's reserves policies' requirements with the reserves
maintained during the last three fiscal years. Based on this, City administration is duly
maintaining General Fund reserves and utility operating reserves per the established
requirements.
o The City's Fund Policy and Utilities Financial Strategies policy do not consider CV
pandemics, which may have prolonged financial impacts on the City's revenue and
operations. to
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The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
Table 2: Reserves Requirements Comparisons
City's Fund Policy FY 2016-17 FY2017-18 FY2018-19
Requirements (Reported) (Reported) (Reported)
General Fund 20-25% 23.8% 25.5% 24.1%
Electric 8-12% 33.5% 23.9% 11.8%
Water 25-42% 33.5% 41.9% 30.4%
Wastewater 20-31% 30.9% 48.5% 25.6%
Solid Waste 6-10% 15.3% 16.9% 10.4%
• Based on the Finance Department's projections, the City is expected to face a combined $20
to $30 million reduction in General Fund and utilities funds' revenues due to the COVID-19
Pandemic.
o The City's administration adopted various cost mitigation measures such as a
Voluntary Separation Program for employees, a hiring freeze, project changes, ceased
discretionary travel and training, suspended merit increases, and increased electric
fund transfer. These measures should help the City to cope with the COVID-19
Pandemic's financial impacts.
o The City has also secured approximately$7 million in Coronavirus Relief Funding from
Denton County distributed by the federal government under the Coronavirus Aid,
Relief, and Economic Security Act.
Why It Matters
Pandemics may have prolonged and unanticipated effects on the City's revenues and expenses due
to lockdowns and social distancing guidelines, which is evident from the ongoing COVID-19
Pandemic. Financial plans and maintenance of emergency reserves should consider these
prolonged financial impacts to help mitigate a pandemic's economic effect on City operations.
Pandemic-based considerations in the City's Fund Policy will help strengthen the City's fiscal
capacity to sustain financial losses caused by pandemics. It will also help City to preserve financial
stability and recover quickly in long-lasting, unanticipated situations.
Recommendation:
9. Review and potentially update the City's Fund Balance Policy and Utilities Financial Strategies
to account for the prolonged financial impacts caused by pandemics.
Finance Department Comments: The Finance Department concurs with this recommendation.
The City currently has reserve targets for all the utility Funds, General Fund and several of the
Special Revenue Funds. In the coming months, the Finance Department will complete an in-
depth fund balance analysis to determine if the City's reserve targets are sufficient to sustain a
revenue shortfall, major infrastructure failures or prolonged financial impact (i.e. pandemic).
This analysis will provide guidance regarding optimal reserve targets to minimize the financial
impact to citizens and rate payers. Once completed, recommendations will be presented to the
Public Utilities Board(PUB) and Council for consideration.
5 As a percentage of budgeted expenditures
The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
Appendix A: Management Response Summary
The following summarizes the recommendations issued throughout this report. The auditors found that
staff and the Department were receptive and willing to make improvements to controls where needed.
Management has provided their response to each recommendation.
Review and update the City's Emergency Management Plan Expected
1 and the Pandemic Influenza Preparedness Plan to include Concur Completion:
specific guidelines for non-congregate sheltering and socially 03/01/2021
distant mass care during pandemics.
Fire Department Comments:The Fire Department is planning on having an outside Responsibility:
consultant evaluate the entire Emergency Management Program by the end of the
calendar year. Once the evaluation is complete we will have the proper language to
insert for this item.
Revise the Emergency Operations Center Manual to include Expected
2 procedures for activating and operating a socially distant Concur Completion:
emergency operations center during pandemics. 03/01/2021
Fire Department Comments:The Fire Department is planning on having an outside Responsibility:
consultant evaluate the entire Emergency Management Program by the end of the
calendar year. Once the evaluation is complete, we will have the proper language to
insert for this item.
Create and maintain appropriate records for operating and Expected
3 deactivating the Emergency Operations Center for the current Concur Completion:
COVID-19 Pandemic. 03/01/2021
Fire Department Comments:The Fire Department is planning on having an outside Responsibility:
consultant evaluate the entire Emergency Management Program by the end of the
calendar year. Once the evaluation is complete, we will have the proper language to
insert for this item. During this evaluation period we will also be researching the best
electronic software for emergency management functions so we can keep all of the files
neatly sorted electronically.The Fire Department will also determine when the last
virtual EOC meeting was with the former EMC around later April or early May. We will
then document that the EOC operations for COVID were ended on that date.
Update the EOC Manual to clarify which City staff are required Expected
to complete disaster management training, including how Completion:
4 Partially Concur
often and by when these training requirements should be 12/31/2020
complete.
Fire Department Comments: We will be developing a matrix to better clarify which Responsibility:
courses are required and by who. BC Lahart talked with the former EMC and he stated
that he had a meeting this calendar year with NIMS compliance members of most City
Departments that were responsible for tracking and keeping the certificates for their
employees (some compliance members oversee a few departments). We still believe
that the ultimate fix will be to house a copy of these certificates electronically so that
the EM office can easily access the records.This can either be an EM type of software
program or maybe some type of software that HR houses.
Create a central repository for the required disaster Expected IZZI-
5 Concur Completion:
management training certificates and centralize the 12/31/2020
The City of Denton Internal Audit Report September 2020
Audit of COVID-19 Response: Pandemic Preparedness
responsibility for ensuring these trainings are completed
appropriately.
Fire Department Comments: We will establish a temporary repository for training Responsibility:
certificates by the end of the calendar year. A permanent solution will occur when we
can find and implement an Emergency Management Software Program.
6 Document emergency operations exercises including who partially Concur Expected
attended and what activities were tested. Completion:
Fire Department Comments:The exercises are well documented and meet all of the Responsibility:
criteria set forth by the state.They also include sign-in sheets, etc. Unfortunately they
are currently all in paper form for the past 7 years. All of the folders are located in the
filing cabinet in the Emergency Manager's Office. A better process will be investigated
including an Emergency Management Software Program to manage these huge files
and better organize the contents. We are hoping to have a new software program to
track several emergency management functions going forward.
7 Incorporate planning for telework during pandemics into the partially Concur Expected
existing Business Continuity Plan. Completion:
Technology Services Comments: Technology Services partially concurs. Technology Responsibility:
Services agrees that very specific and unusual department needs for remote work should
be included in the business continuity plan (BCP). For example, providing Engineering
access to their desktops to run applications too powerful for their laptops was outside of
normal operations and should be included. Remote work technology (work from home)
is considered a normal day to day technology function/service and not something utilized
just in an emergency situation. For instance we've always provided corporate Wi-Fi and
corporate VPN prior to the pandemic. During the beginning stages of the pandemic,
Technology Services was busier than normal, but did not provide services beyond normal
operations.As a result,Technology Services did not activate the Technology Services BCP
plan.
8 Incorporate planning for virtual meeting activities during Concur Expected
pandemics into the existing Business Continuity Plan. Completion:
Customer Service and Public Affairs Comments: Customer Service and Public Affairs
concurs with this recommendation. Virtual meeting protocols and guidelines will enable
Technology Services, the City Attorney's Office, Customer Service and Public Affairs, and
the City Manager's Office to more rapidly and reliably consider and, pending Council
approval, deploy virtual meetings in a future pandemic or disaster, if needed.
Review and potentially update the City's Fund Balance Policy Expected
9 and Utilities Financial Strategies to account for the prolonged Concur Completion:
financial impacts caused by pandemics.
Finance Department Comments: The Finance Department concurs with this Responsibility:
recommendation.The City currently has reserve targets for all the utility Funds, General
Fund and several of the Special Revenue Funds. In the coming months,the Finance
Department will complete an in-depth fund balance analysis to determine if the City's
reserve targets are sufficient to sustain a revenue shortfall, major infrastructure failures
or prolonged financial impact(i.e. pandemic).This analysis will provide guidance
regarding optimal reserve targets to minimize the financial impact to citizens and rate L()
payers. Once completed, recommendations will be presented to the Public Utilities
v
Board (PUB) and Council for consideration. �°