Objective

To determine the extent of implementation of the two recommendations made in our initial audit report, Division of Homeland Security and Emergency Services: Continuity of Operations Planning (Report 2017-S-33).

About the Program

The Division of Homeland Security and Emergency Services (Division) is responsible for coordinating emergency management planning efforts in New York State. The Division encourages and supports State agency efforts to develop agency-specific Continuity of Operations Plans (COOPs), which each State agency should have in place for each of its facilities. Toward this end, the Division has developed a series of guidance documents (Guidance) intended to aid agency planning teams when they prepare COOPs. The Guidance incorporates a blend of best practices based on generally accepted continuity methodologies from both the public and private sectors. Further, the Division has supported agencies’ COOP efforts through workshops, presentations, and hands-on technical planning assistance. COOPs can help government agencies ensure the stability of essential functions through a wide range of emergencies and disasters.

Our initial audit report, issued on March 21, 2018, examined the adequacy of State agencies’ continuity of operations planning for major unexpected events. We tested a sample of 11 State agencies, and found they had incorporated certain essential features of the COOP best practices endorsed by the Division. We also identified some opportunities for improvements to COOP practices that would enable the agencies to handle emergency or disaster situations more effectively.

Key Finding

We found that the Division has implemented both recommendations contained in our original audit report.