United States Government Accountability Office

GAO Testimony 

Before the Committee on Homeland 

Security and Governmental Affairs, 

U.S. Senate

HURRICANE PROTECTION

Statutory and Regulatory 

Framework for Levee 

Maintenance and 

Emergency Response for 

the Lake Pontchartrain 

Project 

Statement for the Record by Anu K. Mittal, Director 

Natural Resources and Environment 

Not to Be Released 

Before 10:00 a.m. EST 

Thursday, December 15, 2005

 

GAO-06-322T 
What GAO Found

United States Government Accountability Office

Why GAO Did This Study

Highlights

Accountability Integrity Reliability

December 15, 2005

HURRICANE PROTECTION 

Statutory and Regulatory Framework for 

Levee Maintenance and Emergency 

Response for the Lake Pontchartrain 

Project 

Highlights of GAO-06-322T, a statement 

for the record to the Committee on

Homeland Security and Governmental 

Affairs, U.S. Senate 

The greatest natural threat posed 

to the New Orleans area is from 

hurricane-induced storm surges, 

waves, and rainfalls. To protect the 

area from this threat, the U.S. Army

Corps of Engineers (Corps) was

authorized by Congress in 1965 to

design and construct a system of 

levees as part of the Lake

Pontchartrain and Vicinity, 

Louisiana Hurricane Protection 

Project. Although federally 

authorized, the project was a joint 

federal, state, and local effort. For 

the levees in the project, the Corps 

was responsible for design and 

construction, with the federal 

government paying 70 percent of

the costs and state and local 

interests paying 30 percent. 

As requested, GAO is providing 

information on the (1) level of 

protection authorized by Congress

for the Lake Pontchartrain project; 

(2) authorities, roles, and 

responsibilities of the Corps and 

local sponsors with respect to the 

operation, maintenance, repair,

replacement, and rehabilitation of 

the levees; (3) procedures in place

to ensure that responsible parties 

maintain the levees in accordance

with the authorized protection 

level; (4) authorities, roles, and 

responsibilities of the Corps and 

local parties when levees fail or are

damaged; and (5) plans, 

capabilities, and activities that have

been developed by the Corps to 

ensure an adequate emergency 

response when levees fail. 

GAO is not making any 

recommendations at this time. 

Congress authorized the Lake Pontchartrain project to protect the New 

Orleans area from flooding caused by storm surge or rainfall associated with 

a hurricane that had the chance of occurring once in 200 years. This was

termed as the “standard project hurricane” and represented the most severe

combination of meteorological conditions considered reasonable for the 

region. As hurricanes are currently characterized, the Corps’ standard 

project hurricane approximately equals a fast-moving category 3 hurricane,

according to the Corps. 

Agreements between the Corps and four New Orleans levee districts—the 

local sponsors for the Lake Pontchartrain project—specify that the local 

sponsors are responsible for operation, maintenance, repair, replacement, 

and rehabilitation of the levees after construction of the project, or a project 

unit, is complete. Pre-Katrina, according to the Corps, most of the levees 

included in the Lake Pontchartrain project had been completed and turned 

over to the local sponsors for operations and maintenance. The Corps has 

authority to repair or rehabilitate completed flood control projects if (1) 

deficiencies are related to the original construction or (2) damage is caused

by a flood and the project is active in the Corps’ Rehabilitation Inspection 

Program. According to internal Corps regulations, federal funds cannot be 

used for regular operations and maintenance activities. 

Both local sponsors and the Corps are required to conduct regular 

inspections to ensure that levees are properly maintained. If the Corps finds 

that local sponsors are not properly maintaining the levees, internal Corps 

regulations outline a series of steps, such as notifying the governor or taking 

legal action, that the Corps can take to bring the local sponsor in to 

compliance. Corps inspection reports for 2001-2004 indicate that the 

completed portions of the Lake Pontchartrain project were maintained at an

acceptable level. 

When levees fail or are damaged, the Corps has authority to provide a variety

of emergency response actions. Specifically, the Corps is authorized to 

undertake emergency operations and rehabilitation activities and, if tasked 

by the Federal Emergency Management Agency, to provide disaster 

response, recovery, and mitigation assistance to state and local 

governments, as needed. In addition, a Department of Defense manual 

assigns responsibilities, prescribes procedures, and provides guidance for 

responding to hazards. State and local roles and responsibilities when 

levees fail are similar to the Corps’ responsibilities and are described in 

federal regulations. 

The Corps is authorized to prepare for emergency response when levees fail 

by undertaking disaster preparedness, advance measures, and hazard 

mitigation activities. The Corps’ New Orleans district has developed an all 

hazards emergency response plan for the New Orleans area. 

www.gao.gov/cgi-bin/getrpt?GAO-06-322T.

To view the full product, including the scope 

and methodology, click on the link above. 

For more information, contact Anu K. Mittal at 

(202) 512-3841 or mittala@gao.gov. 
Madam Chairman and Members of the Committee: 

As you requested, this statement discusses the legislative and statutory 

framework governing levee maintenance and emergency response 

activities for the Lake Pontchartrain and Vicinity, Louisiana Hurricane 

Protection Project. This project, first authorized in 1965, is a joint federal, 

state, and local effort designed to protect the lowlands in the Lake 

Pontchartrain tidal basin within the greater New Orleans area from 

flooding by hurricane-induced sea surges and rainfall. As you know, the 

effects of Hurricane Katrina breached some of the approximately 125 

miles of levees that are part of this project and flooded a large part of New 

Orleans. The breaches raised numerous questions about the design, 

construction, operation, and maintenance of the project levees and flood

walls. In addition, the human suffering and loss of life resulting from 

Hurricane Katrina raised questions about the emergency response 

activities taken before, during, and after the flooding. 

For this statement, we did not assess the extent to which the U.S. Army 

Corps of Engineers (Corps) and local sponsors have complied with the 

legislative and regulatory requirements. Some aspects of these 

assessments will be part of our larger ongoing review of the federal 

response to the Hurricane Katrina disaster, including the levees, which we 

plan to report on in 2006. Specifically, this statement discusses the (1) 

level of protection authorized by Congress for the Lake Pontchartrain 

project; (2) authorities, roles, and responsibilities of the Corps and local 

sponsors with respect to the operation, maintenance, repair, replacement, 

and rehabilitation (OMRR&R) of the levees; (3) procedures required to 

ensure that responsible parties maintain the levees in accordance with the 

protection level authorized by Congress; (4) authorities, roles, and 

responsibilities of the Corps and local parties when levees fail or are 

damaged; and (5) plans, capabilities, and activities that have been 

developed by the Corps to ensure an adequate emergency response when 

levees fail. To conduct this work, we obtained and reviewed applicable 

laws, regulations, guidance, intergovernmental agreements, and other 

documents. We interviewed Corps personnel from headquarters, the 

Mississippi Valley Division, and the New Orleans District to obtain their 

perspectives on these issues. We performed the work reflected in this 

statement between October and December 2005 in accordance with 

generally accepted government auditing standards. 

Page 1 GAO-06-322T 
In summary: 

• The Lake Pontchartrain project was authorized in 1965 to protect New 

Orleans and the surrounding area from flooding associated with a 

“standard project hurricane.” A standard project hurricane was expected 

to occur once in 200 years and represented the most severe combination 

of meteorological conditions considered characteristic for the region. 

When Congress authorized the Lake Pontchartrain project, the current 

Saffir-Simpson Scale used by the National Weather Service to categorize 

hurricanes by intensity did not exist. According to the Corps, a standard 

project hurricane is roughly equivalent to a fast-moving category 3 

hurricane on the Saffir-Simpson Scale. 

• Agreements between the Corps and local sponsors of the Lake

Pontchartrain project specify that, when a project unit is complete, it will 

be turned over to the local sponsors for operation, maintenance, repair,

replacement, and rehabilitation. According to the Corps, prior to Katrina, 

all but three sections of the project that make up the Lake Pontchartrain 

project had been completed and turned over to the local sponsors for 

operation and maintenance. 

• The Corps has the authority to repair or rehabilitate a flood control project 

if (1) deficiencies are identified that are the result of the original 

construction or (2) damage occurred from a flood and the project is active 

in the Corps’ Rehabilitation Inspection Program. The Lake Pontchartrain 

project was active in the Rehabilitation Inspection Program prior to 

Hurricane Katrina. 

• Corps district and division employees are to oversee the OMRR&R 

activities of the local sponsors through annual inspections. If, in the 

course of these oversight activities, the Corps finds that a local sponsor is 

not properly maintaining the levees, Corps regulations outline a series of 

steps that the Corps can take to bring the local sponsor back into 

compliance. These steps include notifying the local sponsor or state 

governor, or initiating legal action against the local sponsor if other steps 

do not result in compliance. Based on Corps inspection reports from 2001 

through 2004, all completed project units of the Lake Pontchartrain project 

were inspected annually and considered in acceptable condition. 

• In the event that levees fail or are damaged, the Corps has authority to 

provide a variety of emergency response actions. These actions include 

emergency operations, such as providing personnel and materials needed

for flood fighting, and rehabilitation of damaged levees. 

Page 2 GAO-06-322T 
• The Corps is also authorized to take actions in advance of disasters to 

ensure an adequate emergency response if levees fail. These actions are 

(1) disaster preparedness, including developing emergency response plans 

and training personnel to respond to emergencies; (2) advance measures, 

including providing supplies, equipment, and contracting for the 

construction of temporary and permanent flood control projects; and (3) 

hazard mitigation activities, which are intended to help prevent or reduce 

the possibility of a disaster, or reduce its damaging effects by identifying 

lessons learned after the event. Although we have not evaluated the Corps’ 

efforts, Corps officials told us that they employed these authorities in 

preparing for the potential flooding that was predicted from Hurricane 

Katrina. In addition, after the levees were breached, the Corps used its 

response and rehabilitation authorities to provide flood-fighting assistance 

and to begin the repair and restoration of the levees. 

Since its founding in 1718, the city of New Orleans and its surrounding 

areas have been subject to numerous floods from the Mississippi River and 

hurricanes. The greater New Orleans area, composed of Orleans, 

Jefferson, St. Charles, St. Bernard, and St. Tammany Parishes, sits in the 

tidal lowlands of Lake Pontchartrain and is bordered generally on its 

southern side by the Mississippi River. Lake Pontchartrain, a tidal basin of

some 640 square miles, is connected with the Gulf of Mexico through Lake 

Borgne and the Mississippi Sound. 

The greatest natural threat posed to the New Orleans area is from 

hurricane-induced storm surges, waves, and rainfalls. Because of this 

threat, a series of control structures, concrete flood walls, and levees was 

proposed for the area along Lake Pontchartrain in the 1960s. Congress 

first authorized the construction of the Lake Pontchartrain and Vicinity, 

Louisiana Hurricane Protection Project in the Flood Control Act of 19651

to provide hurricane protection to areas around the lake in Orleans, 

Jefferson, St. Bernard, and St. Charles Parishes. Although federally 

authorized, the project was a joint federal, state, and local effort. The 

Corps was responsible for project design and construction of the 

approximately 125 miles of levees, with the federal government paying 70 

percent of the costs, and state and local interests paying 30 percent. Each

of the four parishes protected by the project is associated with a local 

levee district that is generally composed of state-appointed officials and is

Background 

 1

Pub. L. No. 89-298, § 204, 79 Stat. 1073, 1077 (1965). 

Page 3 GAO-06-322T 
considered a state entity. Specifically, Orleans Parish is associated with 

the Orleans Levee District, Jefferson Parish is associated with the East 

Jefferson Levee District, St. Bernard Parish is associated with the Lake

Borgne Levee District, and St. Charles Parish is associated with the 

Pontchartrain Levee District. These levee districts are the local sponsors 

of the project, and their responsibilities include ensuring the integrity of 

the levee system in their districts throughout the year. 

Congress authorized the Lake Pontchartrain project in 1965, substantially 

in accordance with a Chief of Engineers report, to protect the areas 

around the lake from flooding caused by storm surge or rainfall associated 

with a standard project hurricane. For the coastal region of Louisiana, a 

standard project hurricane was expected to have a frequency of 

occurrence of once in about 200 years, and represented the most severe 

combination of meteorological conditions considered reasonably 

characteristic for the region. According to the Chief of Engineers report, a 

standard project hurricane was selected as the design hurricane because

of the urban nature of the area.2

When Congress authorized the Lake Pontchartrain project, the 1 through 5 

scale—known as the Saffir-Simpson Scale—that is currently used by the 

National Weather Service to categorize hurricanes from lowest to highest 

intensity did not yet exist. According to the Corps, the standard project 

hurricane used for the Lake Pontchartrain project would roughly equal a 

fast-moving category 3 hurricane on the Saffir-Simpson Scale. In fact, the 

standard project hurricane for coastal Louisiana approximates the storm 

surge of a category 3 hurricane, the wind speed of a category 2 hurricane, 

and the barometric pressure at the center of a category 4 hurricane.3

 Table 

1 compares the coastal Louisiana standard project hurricane parameters 

to which the Lake Pontchartrain project was designed with the parameters

for category 2, 3, and 4 hurricanes on the Saffir-Simpson Scale. 

Level of Protection 

Authorized by 

Congress 

 2

H.R. Doc. No. 231, 89th Cong., 1st Sess. (1965). 

3

Barometric pressure is a key indicator of a hurricane’s intensity. The lower a hurricane’s

barometric pressure, the greater the wind speed and, therefore, the storm surge. 

Page 4 GAO-06-322T 
Table 1: Comparison of Standard Project Hurricane Parameters for Coastal Louisiana with Category 2, 3, and 4 Hurricane

Parameters 

Standard project 

hurricane for coastal 

Louisiana

Saffir-Simpson 

category 2 hurricane 

Saffir-Simpson 

category 3 hurricane 

Saffir-Simpson 

category 4 hurricane 

Central pressurea 27.6 Hg 28.50–28.91 Hg 27.91–8.47 Hg 27.17–27.88 Hg

Wind speedb100 mph 96-110 mph 111-130 mph 131-155 mph 

Radius of maximum 

windsc

30 miles N/A N/A N/A

Average forward speedc 6 knots N/A N/A N/A

Storm surge 11.2–13 feetd6-8 feet 9-12 feet 13-18 feet 

Source: GAO analysis of Corps and National Oceanic and Atmospheric Administration data. 

Notes: The shaded areas indicate those parameters on the Saffir-Simpson Scale that are most 

closely aligned with those for the standard project hurricane. 

a

Central pressure is measured in inches of mercury (Hg) or millibars.

b

Wind speed for the standard project hurricane was measured as the maximum 5-minute average 

wind speed. The Saffir-Simpson Scale uses the maximum 1-minute average wind speed, a lower 

threshold. 

c

The Corps estimated the radius of maximum winds and the average forward speed for a standard 

project hurricane, and the Saffir-Simpson Scale does not take either of these parameters into 

account. 

d

The standard project hurricane calculated maximum surge heights for different geographic areas 

within the Lake Pontchartrain area. The maximum surge height for the South Shore of Lake 

Pontchartrain—where the 17th Street, London, and Industrial Canals are located—was estimated at 

11.2 feet. 

At landfall, which was approximately 60 miles southeast of New Orleans, 

Hurricane Katrina had a central pressure of 27.17 Hg and a wind speed of 

140 mph. Wind speeds in New Orleans, which was west of the eye of

Hurricane Katrina, reached just over 100 mph. According to the National 

Oceanic and Atmospheric Administration’s National Climatic Data Center,

data on other Hurricane Katrina parameters are not readily available for 

several reasons, including the destruction of certain buildings and 

monitoring equipment and would have been used to measure storm surge. 

Page 5 GAO-06-322T 
Consistent with federal law, agreements between the Corps and local

sponsors of the Lake Pontchartrain project specify that local sponsors are 

responsible for operation, maintenance, repair, replacement, and 

rehabilitation of the levees when the construction of the project, or a 

project unit, is complete.4

 However, the Corps has authority to (1) repair 

the project if deficiencies are the result of the original construction5

 and 

(2) rehabilitate the project, if damage resulted from a flood and the project

is active in the Corps’ Rehabilitation Inspection Program.6

 Corps district 

and division employees are to oversee OMRR&R activities performed by 

the local sponsors on an annual basis. 

Authorities, Roles, 

and Responsibilities 

for Operating and 

Maintaining the 

Levees 

Once construction of Lake Pontchartrain project units were completed, 

the Corps was to transfer these project units to the local sponsors for 

OMRR&R. These sponsors include the Orleans, East Jefferson, Lake 

Borgne, and Pontchartrain levee districts. Although the Corps has not yet 

provided us with dates on when the project units for the Lake 

Pontchartrain project were completed, after Hurricane Katrina, the Corps’

New Orleans District and the Department of Defense’s Task Force 

Guardian determined, based on three criteria, that almost the entire Lake

Pontchartrain hurricane project had been turned over to local sponsors for 

ongoing OMRR&R responsibilities. The criteria used to make this 

determination were (1) if the project unit was completed in accordance 

with the designed level of protection specified in the project decision 

document, (2) if the project unit was being operated and maintained by the 

local sponsor, and (3) if the project unit had passed the annual Inspection 

of Completed Works in accordance with Corps regulations. Based on this

evaluation, the task force determined that only three project units—a 

bridge over the 17th Street canal, a project unit in Jefferson Parish, and a 

project unit in St. Charles Parish—had not yet been completed and turned

over to the local sponsors. Figure 1 shows the three project units that have 

not been completed and turned over to the local sponsors. 

 4

33 U.S.C. § 2213(j). 

5

Corps Regulation No. ER 1165-2-119. 

6

Corps Regulation No. ER 500-1-1. 

Page 6 GAO-06-322T 
Figure 1: Status of Completion and Turnover for Project Units in the Lake Pontchartrain and Vicinity Project 

Pontchartrain Levee District

Board of Commissioners of

East Jefferson Levee District

Board of Commissioners of

Orleans Levee District

St. Bernard Parish Council 

and Lake Borgne Basin 

Levee District

Legend

Lake Pontchartrain project units turned over

Mississippi River tributaries and levees

Project unit

not turned over Project units

not turned over

Lake 

Pontchartrain

Levee district boundaries

Sources: GAO; U.S. Army Corps of Engineers.

While the assurances signed by local sponsors do not define project 

completion, internal Corps regulations provide that completed projects or 

completed project units will normally be turned over when all 

construction, cleanup work, and testing of mechanical, electrical, and 

other equipment are complete and the project is in proper condition for 

Page 7 GAO-06-322T 
the assumption of operation and maintenance by the local sponsors.7

Transfer is to be accomplished through a formal notice from the Corps to 

the local sponsor that includes a transfer date determined by the Corps’ 

district engineers. According to Corps officials, the formal notice generally

is in the form of a letter to the local sponsor. 

According to internal Corps regulations, upon transfer of a completed 

project to the local sponsors, the Corps may no longer expend federal 

funds on construction or project improvements.8

 If the Corps determines 

that unsatisfactory conditions have developed as a result of the original 

levee construction, the Corps may undertake corrective action.9

 For 

example, a Corps district official responsible for operations and 

maintenance oversight told us that if settlement of a completed levee 

occurs, this is not considered a design or construction flaw. Instead, this is

considered a condition that should be addressed by the local sponsors as 

part of their normal operations and maintenance responsibilities. 

Local sponsors’ responsibilities for OMRR&R of the completed portions of 

the Lake Pontchartrain project were established through local assurances 

signed by the levee districts and the Corps. For the Lake Pontchartrain 

hurricane project as constructed, these assurances were signed, and 

subsequently accepted by the federal government for the Orleans Levee 

District on June 21, 1985; the Pontchartrain Levee District on August 7, 

1987; the East Jefferson Levee District on December 21, 1987; and the Lake

Borgne Basin Levee District on December 7, 1977. The formal assurances 

commit the local sponsors to, among other things, operate and maintain all 

features of the project in accordance with Corps regulations. Also, in 

accordance with internal Corps regulations, the Corps is required to 

provide local sponsors with an operations and maintenance manual at the 

time of, or at the earliest practicable date after, the transfer of OMRR&R 

responsibilities from the Corps to local sponsors for a completed project 

or project unit. The manual is intended to assist the responsible local

authorities in carrying out their operation and maintenance obligations. 

According to Corps officials, the OMRR&R responsibilities for levees are 

straightforward, and the manual that the Corps provides local sponsors is 

a one-page document that outlines the requirements as described by 

 7

Corps Regulation No. ER 1150-2-301. 

8

Corps Regulation No. ER 1150-2-301. 

9

Corps Regulation No. ER 1165-2-119. 

Page 8 GAO-06-322T 
federal regulations.10 Specifically, federal regulations require local 

sponsors to ensure that the structure is operating as intended and to 

continuously patrol the structure during flood periods to ensure that no 

conditions exist that might endanger the structure and to take immediate 

steps to control any condition that might endanger it. For maintenance, 

the regulations require local sponsors to ensure at all times that the 

structure is serviceable in times of flood. The regulations also require 

periodic inspections and maintenance measures, including the following: 

• promoting the growth of sod, including routine mowing of the grass and 

weeds; 

• exterminating burrowing animals; 

• removing drift material or wild growth from the levee (such as brush and 

trees); and 

• repairing any damage to the levee caused by erosion. 

Repair, replacement, and rehabilitation are also considered part of the 

local sponsors’ maintenance responsibilities, as outlined in internal Corps 

regulations. Repair refers to routine activities that maintain the project in 

well-kept condition; replacement refers to replacing worn-out elements; 

and rehabilitation refers to activities necessary to bring a deteriorated 

project back to its original condition. According to internal Corps’ 

regulations, local sponsors’ maintenance is considered to be deficient 

when these requirements have not fulfilled.11

Corps employees are to oversee local sponsors’ OMRR&R activities to 

ensure compliance and project integrity. Corps employees are required to

work directly with local sponsors to conduct annual compliance 

inspections; review local sponsors’ semiannual compliance reports; and 

respond to engineering concerns, maintenance questions, and reports of 

problems. A Corps district official responsible for operations and 

maintenance oversight told us that generally the Lake Pontchartrain 

project’s local sponsors have performed their operations and maintenance 

 1033 C.F.R. § 208.10. According to Corps officials, the Corps has provided local sponsors 

with specific operations and maintenance manuals for the Bienvenue and Dupre floodgate 

structures in the Lake Pontchartrain project. 

11Corps Regulation No. ER 1130-2-530. 

Page 9 GAO-06-322T 
responsibilities as required and have been responsive to the Corps’ 

concerns. Because the New Orleans district is part of the Mississippi 

Valley Division of the Corps, the division also has responsibility for 

managing and overseeing the periodic inspections conducted by district 

engineers; reviewing and approving district engineers’ inspection reports; 

maintaining a database of information on inspections and remedial 

measures taken; and receiving annual OMRR&R summary reports from the 

districts under its command, aggregating these reports, and sending them

to Corps headquarters. 

Federally authorized flood control projects, such as the Lake

Pontchartrain project, are eligible for 100 percent federal rehabilitation if 

damaged by a flood as long as these projects are active in the Corps’ 

Rehabilitation Inspection Program (rehabilitation program).12 To maintain 

active status in this program, the Lake Pontchartrain project’s levees are 

required to pass an annual OMRR&R inspection conducted jointly by the 

Corps, the local sponsor, the state Department of Transportation and 

Development, and other stakeholders, as appropriate.13 According to the 

Corps’ inspection reports from 2001 through 2004, all completed project 

units of the Lake Pontchartrain project were inspected each year and had 

received an acceptable rating. 

Both local sponsors and the Corps are required to conduct oversight 

activities to ensure that levees are properly maintained. If, in the course of

these oversight activities, the Corps finds that the local sponsors are not 

properly maintaining the levees, internal Corps regulations outline a series

of steps that the Corps can take until the local sponsor comes into 

compliance.

Federal regulations require that local levee districts are to appoint a 

permanent committee, headed by a superintendent, that will be 

responsible for all levee operation and maintenance activities and 

Procedures to Ensure 

That Levees Are 

Properly Maintained 

Local Sponsors’ Oversight 

Activities

 12Locally authorized flood control projects can also participate in the rehabilitation 

program. If active, locally authorized projects are damaged in a flood emergency, the cost 

of rehabilitation is shared between the local authority and the federal government—20

percent and 80 percent, respectively. 33 C.F.R. § 203.82(f). 

13For projects other than levees that have mechanical or electrical parts, such as locks,

floodgates, drainage structures, and pumping stations, periodic engineering inspections are

also performed. 

Page 10 GAO-06-322T 
inspections of federally constructed flood control projects.14 The

superintendent of the levee district is responsible for performing periodic 

inspections of the levee to ensure that routine maintenance 

responsibilities have been effectively completed and that no hazards to the 

levee exist. Typically, these inspections take place prior to the flood or 

hurricane season, immediately following a high-water period, and at other 

intermediate periods throughout the year. During an inspection, the 

superintendent is required to examine and be certain, among other things, 

that 

• drainage systems are in good working condition and not becoming 

clogged; 

• no unusual settlement or material loss of grade or levee cross section has 

taken place;

• cattle guards and gates are in good condition; 

• the protective walls surrounding the levee have not been washed out or 

removed; 

• the levee crown is shaped to drain readily; 

• no unauthorized vehicular traffic or cattle grazing has occurred; 

• no water seepage or saturated areas are occurring; and 

• levee access roads are being properly maintained. 

If, during these inspections, the superintendent discovers any levee 

portion to be in substandard condition, it is the levee district’s

responsibility to take immediate actions to correct the inadequacy. The 

superintendent is required to submit a report twice a year to the Corps 

District Engineer covering inspection, maintenance, and operation 

activities of the levee district. At this time, we have not examined the 

extent to which these steps were taken by the local sponsors, and the 

Corps has not provided us any documentation of such activities. 

 1433 C.F.R. § 208.10(a)(2). 

Page 11 GAO-06-322T 
The Corps is responsible for overseeing the OMRR&R activities of the 

Lake Pontchartrain project’s local sponsors through an annual compliance 

inspection program—known as the Inspection of Completed Works 

program—and reviewing the local sponsors’ semiannual reports on 

OMRR&R activities submitted to the district office. According to internal 

Corps regulations, the primary purposes of the Inspection of Completed 

Works program are to prevent loss of life and catastrophic damages, 

preserve the value of the federal investment, and encourage local sponsors 

to bear responsibility for their own protection. According to Corps 

officials, for the Lake Pontchartrain project, the New Orleans District 

typically completes this annual compliance inspection prior to the 

hurricane season, in mid-May to early-June of each year. Our review of 

Corps inspection reports for 2001 through 2004 indicate that while 

inspections of the Lake Pontchartrain hurricane protection levees in the 

Orleans and St. Bernard Parishes were generally conducted in May of each 

year, the inspections of the levees in Jefferson and St. Charles Parishes 

were generally conducted in the September to November timeframe.15

According to the Corps, these inspections are to cover the following items: 

The Corps’ Oversight 

Activities

• level of protection, 

• erosion control, 

• slope stability, 

• animal control, 

• unwanted vegetative growth, 

• concrete surfaces, and 

• structural foundations. 

Based on the results of these inspections, the district and division are to 

characterize the inspected units on a scale from 1 to 3, where 1 means that

the project units have been maintained in accordance with the agreement 

between the Corps and the local sponsors and are expected to perform as 

 15According to Corps officials, the majority of the protection in the Jefferson and St. 

Charles Parishes is flood protection along the Mississippi River as opposed to hurricane

protection. Therefore, inspections are done prior to the high-water period on the

Mississippi River.

Page 12 GAO-06-322T 
designed, and 3 means that the project units have maintenance 

deficiencies such that the project would probably fail during floods of 

project design or lesser magnitudes. Within 120 days of an inspection, the 

district is expected to prepare an inspection report and provide it to its 

commanding unit. For example, the New Orleans District should prepare 

an inspection report for the Lake Pontchartrain project and forward it to 

the Mississippi Valley Division for review and approval. Reports that 

indicate maintenance deficiencies are also to be submitted annually to 

headquarters. All of the completed units of the Lake Pontchartrain 

hurricane levees passed with an acceptable rating for the period 2001 

through 2004. 

If a project receives a rating of 3 as a result of an inspection, internal 

Corps regulations16 outline a progression of steps that the Corps can take 

to ensure that local sponsors fulfill their OMRR&R responsibilities and 

bring the levees back up to the designed level of protection. The steps are 

as follows: 

• Notify the sponsor orally of the deficiencies. 

• Notify the sponsor in writing. 

• Write a letter to the governor and the appropriate state agencies—which, 

in the case of the Lake Pontchartrain project, is the Department of 

Transportation and Development in Louisiana—to enlist state 

participation to resolve the problem. 

• Notify the Federal Emergency Management Agency (FEMA) of the 

condition of the project.

• If acceptable actions are not taken by the nonfederal sponsor, take actions

to remove the project from eligibility for federal emergency rehabilitation. 

• Initiate legal action against the local sponsor to enforce OMRR&R 

obligations as outlined in local assurances. 

• Transmit a report to the Congress recommending authorization of a new 

sponsor or reauthorization of the project along with measures to eliminate 

hazards. 

 16Corps Regulation No. ER 1130-2-530. 

Page 13 GAO-06-322T 
Although not documented in the annual inspection reports, according to 

Corps officials, almost all past Lake Pontchartrain project deficiencies 

have been resolved upon oral notification of the local levee district. The 

official responsible for the Inspection of Completed Works program in 

New Orleans only could recall one or two instances when the Corps wrote 

a letter to a local sponsor requesting that the sponsor commit resources to 

repair a deficiency, which resulted in full compliance by the local sponsor. 

Internal Corps regulations specifically prohibit the use of federal funds to

correct problems caused by a lack of adequate local maintenance. 

The Corps has authority to provide a variety of emergency response 

actions when levees fail or are damaged. Section 5 of the Flood Control 

Act of 1941, as amended, commonly referred to as Public Law 84-99, 

authorizes the Corps to conduct emergency operations and rehabilitation 

activities when levees fail or are damaged.17 In addition, under the Robert 

T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act), 

as amended, the Corps and other federal agencies may be tasked by FEMA 

to provide disaster response, recovery, and mitigation assistance to state 

and local governments.18 Furthermore, a Department of Defense Manual 

for Civil Emergencies assigns responsibilities, prescribes procedures, and 

provides guidance by which the Department of Defense responds to all 

hazards in accordance with the Stafford Act.19 Although we have not 

evaluated the Corps’ efforts, Corps officials told us that after the levees 

were breached the Corps used its response and rehabilitation authorities 

to provide flood-fighting assistance and to begin the repair and restoration 

of the levees. State and local roles and responsibilities when levees fail are 

similar to the Corps’ responsibilities and are also described in federal 

regulations.20

Public Law 84-99 authorizes the Corps to conduct emergency operations

and rehabilitation activities when levees fail or are damaged during storms 

Authorities, Roles, 

and Responsibilities 

When Levees Fail 

Public Law 84-99 

 1733 U.S.C. § 701n. The Corps’ administrative policies, guidance, and operating procedures

for natural disaster preparedness, response, and recovery activities are set out in 33 C.F.R.

part 203.

1842 U.S.C. § 5121 et seq.

19DOD 3025.1-M (June 1994). 

2033 C.F.R. § 203.14. 

Page 14 GAO-06-322T 
or other events. Federal regulations specify that assistance is limited to 

providing emergency assistance to save lives and protect property, such as 

public facilities/services and residential, commercial, or industrial 

developments.21 This emergency assistance may be provided during and 

following a flood or coastal storm. However, under federal regulations, 

nonfederal interests must fully utilize their own resources, including 

manpower, supplies, equipment, and funds before Corps assistance may 

be provided.22 The National Guard, as part of the state’s resources when it 

is under state control, must be fully utilized as part of the nonfederal 

response. According to federal regulations, the Corps is not to use funds to 

reimburse local authorities for the costs of these emergency activities.23

To implement flood response operation authorities under Public Law 84-

99, internal Corps regulations specify that Corps district commanders 

must issue a Declaration of Emergency. The Declaration of Emergency 

may initially be verbal, but must be made in writing and reported in the 

district’s situation report within 24 hours. Authority to issue a Declaration

of Emergency has been delegated to deputy district engineers and includes 

all supervisors in the chain of command, from the district commander to 

the chief of emergency management. 

Emergency operations include flood response and postflood response 

activities. 

• Flood response includes activities such as flood fighting and rescue 

operations. These activities include providing technical assistance, such as

review and recommendations in support of state and local efforts and help

determining feasible solutions to uncommon situations, and direct 

assistance by 

• issuing supplies; 

• conducting rescue operations; 

• directing flood-fighting operations; and 

 2133 C.F.R. § 203.32. The regulations also specify that the Corps is not authorized to provide 

assistance to individual homeowners and businesses. 

2233 C.F.R. § 203.14. 

2333 C.F.R. § 203.32. 

Page 15 GAO-06-322T 
• contingency contracting for emergency operations. 

Corps assistance during flood-fighting operations is to be temporary to 

meet the immediate threat and to supplement state and local efforts. This 

assistance is not intended to provide permanent solutions to flood 

problems and should be terminated when the emergency is over—for 

example, when flood waters have receded sufficiently. 

• Postflood response includes emergency debris removal, temporary 

restoration of critical transportation routes and public services and 

utilities, and after action review and reporting. 

Rehabilitation activities include the repair and restoration of eligible flood 

control projects and federally constructed hurricane or shore protection 

projects. Rehabilitation assistance is limited to federal and nonfederal 

flood control works that are in active status—those found to be properly 

maintained during inspections—in the Corps’ Rehabilitation Inspection 

Program at the time of the hurricane, storm, or flood event.

24

Rehabilitation assistance is limited to repair or restoration of a flood 

control work to its predisaster condition and level of protection (e.g., the 

actual elevation of the levee, allowing for normal settlement).25 Any 

damage to federally constructed levees are repaired with 100 percent of 

the cost borne by the federal government; and damage to nonfederally 

constructed levees are repaired with 80 percent of the cost borne by the 

federal government and 20 percent by the local sponsor.26 Because the 

Lake Pontchartrain project is federally constructed and was active in the 

Corps’ Rehabilitation Inspection Program, the Corps is authorized to 

rehabilitate any levees that failed or were damaged as a result of Hurricane 

Katrina, using this authority. Additionally, in the aftermath of Hurricane 

Katrina, the Assistant Secretary of the Army for Civil Works agreed to 

rehabilitate all of the damaged Lake Pontchartrain and other hurricane 

and flood control structures in the New Orleans area without any local

 2433 C.F.R. § 203.41. 

25Corps Regulation No. ER 500-1-1. 

26Corps Regulation No. ER 500-1-1. 

Page 16 GAO-06-322T 
cost share, under emergency authority provided in statute.27 Further, the 

federal government will fund the acquisition of lands, easements, rights-ofway, and disposal or borrow areas not owned or under control of the 

nonfederal sponsor, as well as the performance of relocations, that are 

needed for the rehabilitation and that are normally local responsibilities. 

The Corps estimates that funding these activities for the Lake 

Pontchartrain project will cost the federal government an additional $10 

million and over $248 million in total for all damaged levee systems in the 

New Orleans area. 

The Stafford Act, as amended, authorizes federal agencies, including the

Corps, to take emergency response actions when the President has issued 

a major disaster declaration. Under the act, a presidential declaration may

be made after receiving a request from the governor of the affected state.

28

FEMA, within the Department of Homeland Security, is responsible for 

administering the major provisions of the Stafford Act. Actions taken 

under this authority include disaster response, recovery, and mitigation 

assistance to supplement state and local efforts.

To meet its obligations for emergency response, the Department of 

Homeland Security developed a National Response Plan, which describes

the roles and responsibilities of various federal agencies.29 Within the 

National Response Plan, the Department of Defense has responsibility for 

Emergency Support Function #3—Public Works and Engineering. The plan 

designates the Corps as the operating agent for this function, to include 

planning, preparedness, and response, with assistance to be provided by 

other branches of the Department of Defense, as needed. 

The National Response Plan lists the following activities for the Corps: 

Stafford Act 

 2733 U.S.C. § 701n. According to the Corps, local sponsors requested that the Corps

undertake this work at full federal expense due to the unprecedented damage and impacts

to local governments and the inability of the local sponsors to finance their share of the

costs. According to the Corps, the Assistant Secretary of the Army for Civil Works

approved the request with the concurrence of the Office of Management and Budget and

notified the House and Senate Appropriations Subcommittees on Energy and Water 

Development. 

2842 U.S.C. § 5170. 

29The Department of Homeland Security developed the National Response Plan in response

to a presidential directive, HSPD-5. 

Page 17 GAO-06-322T 
• coordination and support of infrastructure risk and vulnerability 

assessments;

• participation in preincident activities, such as prepositioning assessment 

teams and contractors; 

• participation in postincident assessments of public works and 

infrastructure to help determine critical needs and potential work loads; 

• implementation of structural and nonstructural mitigation measures to 

minimize adverse effects or fully protect resources prior to an incident; 

• execution of emergency contracting support for life-saving and lifesustaining services, to include providing potable water, ice, emergency 

power, and other emergency commodities and services; 

• providing assistance in monitoring and stabilizing damaged structures, and 

demolishing structures designated as immediate hazards to public health 

and safety, and providing structural specialist expertise to support 

inspection of mass care facilities and urban search and rescue operations; 

• providing emergency repair of damaged infrastructure and critical public

facilities, and supporting the restoration of critical navigation, flood 

control, and other water infrastructure systems; 

• managing, monitoring, and providing technical advice in the clearance, 

removal, and disposal of debris from public property and the reestablishment of ground and water routes into impacted areas; and 

• implementing and managing FEMA’s Public Assistance Program and other 

recovery programs involving federal, state, and tribal officials, including 

efforts to permanently repair, replace, or relocate damaged or destroyed 

public facilities and infrastructure. 

A Department of Defense Manual For Civil Emergencies assigns 

responsibilities, prescribes procedures, and provides guidance by which 

the Department of Defense responds to all hazards in accordance with the 

Stafford Act. The policy states that commanders may conduct disaster 

relief operations when a serious emergency or disaster is so imminent that 

waiting for instructions from higher authority would preclude effective 

response. According to the policy, commanders may do what is required 

and justified to save human life, prevent immediate human suffering, or 

lessen major property damage or destruction. Action taken in accordance 

Department of Defense 

Manual for Civil 

Emergencies 

Page 18 GAO-06-322T 
with the policy is limited to 10 days. A Corps commander providing 

assistance to civil authorities under this guidance is not required to obtain 

an agreement for reimbursement from the requesting agency before 

providing assistance. 

The Corps is authorized by Public Law 84-99 to prepare for emergency 

response when levees fail by undertaking disaster preparedness, advance 

measures, and hazard mitigation activities. Although we have not 

evaluated the Corps’ efforts, Corps officials told us that they took action in

advance of Hurricane Katrina to prepare for the potential flooding that 

was predicted. As part of this effort, according to Corps officials, the 

Corps’ New Orleans district used a draft hurricane preparedness plan for 

the New Orleans area. 

Corps division and district commanders are responsible for providing 

immediate and effective response and assistance prior to, during, and after 

emergencies and disasters. Although we have not reviewed the extent to

which the Corps undertook these initiatives during the Katrina disaster, 

the Corps is responsible for the following: 

Planned Emergency 

Response Activities 

Disaster Preparedness 

1. Creating an emergency management organization. Division and 

district commanders are expected to provide adequate staffing for a 

readiness/emergency management organization to accomplish the 

preparedness mission. In addition, divisions and districts should have 

teams readily available to provide assistance under the Corps’ 

authorities for flood emergencies and other natural disasters; execute 

responsibilities and missions under the Stafford Act and the National 

Response Plan; staff a Crisis Management Team, consisting of an 

Emergency Manager and senior representatives from technical and

functional areas to provide guidance and direction during emergency

situations; and staff a Crisis Action Team, consisting of the personnel 

necessary to operate an emergency operations center. 

2. Establishing and maintaining plans and procedures. Corps 

headquarters, divisions, and districts are expected to prepare and 

maintain plans for emergencies and disasters, establishing an alternate 

emergency operations center, and reconstituting the district. These 

operation plans should cover emergency/disaster assistance 

procedures under all applicable authorities and potential mission 

assignments. Each division and district should have, at a minimum, an 

operation plan that provides procedures for generic disasters within 

the division and district. The plan should include general topics, such 

Page 19 GAO-06-322T 
as activating, staffing, and operating the emergency operations center; 

reporting requirements; notification and alert rosters; and organizing 

for response to disasters. The plan should also have one or more 

appendixes that specifically address the disasters most likely to impact 

the division and district. Operation plans are reviewed and updated 

annually to reflect administrative changes. The division/district’s 

generic or principal disaster operation plan is supposed to be

reviewed, revised, and republished biennially. 

3. Training personnel for response. Divisions and districts are expected

to ensure that personnel who are assigned emergency assistance 

responsibilities have been properly trained. 

4. Conducting exercises. Exercises are to be conducted at least once 

every two years, consistent with available funding. This requirement 

may be waived if an actual emergency response was conducted during 

the two-year period that was of sufficient magnitude to have 

adequately trained emergency team members and other personnel. 

5. Establishing adequate command and control facilities. Divisions, 

districts, and other Corps groups should provide a dedicated facility 

for an emergency operations center that will be able to provide 

command and control for emergency/disaster response and recovery 

activities. 

6. Maintaining supplies, tools, and equipment. Divisions and districts 

are expected to maintain equipment and supplies that can be readily 

available for use by the emergency operations center, disaster field 

offices, disaster field teams, planning response teams, and similar 

entities. Equipment should be stockpiled for use during emergency 

operations and exercises.

7. Managing inspections of flood control projects. The Corps is 

responsible for ensuring that the levees are properly maintained to 

perform as designed during flood events. 

Advance Measures The Corps may take advance measures prior to a flooding event to protect 

against loss of life and significant damages to urban areas and public 

facilities.30 In the case of imminent danger of levee failure or overtopping,

 30Corps Regulation Nos. ER 500-1-1 and EP 500-1-1. 

Page 20 GAO-06-322T 
the Corps can also take corrective actions to ensure the stability, integrity,

and safety of the levee.31 Advance measures include the following: 

1. Technical assistance: providing technical review, advice, and

recommendations to state and local agencies before an anticipated 

flood event. For example, the Corps may provide personnel to inspect 

existing flood control works to identify potential problems and 

solutions, evaluate conditions to determine the requirements for 

additional flood control protection, and recommend the most 

expedient construction methods; provide hydraulic, hydrologic, and 

geotechnical analysis; and provide information readily available at 

Corps districts to local entities for use in the preparation of local 

evacuation and contingency flood plans. 

2. Direct assistance: providing supplies, equipment, and contracting for 

the construction of temporary and permanent flood control projects. 

Examples of emergency contracting work include the construction of 

temporary levees; the repair, strengthening, or temporary raising of 

levees or other flood control works; shore protection projects; and 

removal of stream obstructions, including channel dredging of federal 

projects to restore the design flow. 

Advance measures taken by the Corps are intended to supplement ongoing 

or planned state and local efforts, and are designed to deal with a specific

threat. To implement advanced measures, the governor should make a 

written request to the Corps. The local sponsor for the advance measure 

assistance must agree to execute a cooperative agreement and, at no cost 

to the Corps, when the operation is over, remove all temporary work 

constructed by the Corps or agree to upgrade the work to standards 

acceptable to the Corps. In addition, the local sponsor is responsible for 

providing traditional items of local cooperation, such as lands, easements, 

rights-of-way, and disposal areas necessary for the work. Advance

measures assistance is temporary and must be terminated no later than 

when the flood threat ends. 

Hazard mitigation activities are intended to help prevent or reduce the 

possibility of a disaster or reduce its damaging effects. The Corps is 

required to participate on a FEMA-led hazard mitigation team to identify 

postdisaster mitigation opportunities and establish a framework for 

Hazard Mitigation 

 31Corps Regulation Nos. ER 500-1-1 and EP 500-1-1. 

Page 21 GAO-06-322T 
recovery. According to the Corps’ hazard mitigation policy, division 

commanders are to appoint primary and alternate representatives to serve 

on the hazard mitigation team; establish procedures for quick and effective 

response to the requirements of the team; ensure essential information 

and data necessary to assess mitigation opportunities are available or 

capable of being obtained quickly; ensure division hazard mitigation team 

representatives are trained in flood hazard mitigation concepts and 

techniques; and provide reports to FEMA and Corps headquarters. 

Recommendations of the hazard mitigation team are intended to reduce or

avoid federal expenditures resulting from flood situations.32

The Corps’ New Orleans District has a draft hurricane preparedness plan 

that defines the district’s role and responsibilities in the event of an 

emergency due to a hurricane.33 The plan outlines the essential functions 

of the district before, during, and after a hurricane. These functions 

include pre-event planning, organization, response, and recovery in order 

to minimize the potential hazards to life and property. As part of this plan,

the district defines emergency organizational staffing to support 

emergency operations. Selected personnel are assigned to specific teams 

or offices that, in the event of a disaster, are to provide the necessary 

liaison with federal, state, or local emergency management agencies; make 

decisions relative to Corps’ capabilities and assignments; perform 

preliminary damage assessments; or accomplish specific missions. 

According to the plan, a New Orleans District Emergency Operations 

Center should be staffed to respond to an emergency, and the center is to 

become the focal point for collecting data, analyzing situations, allocating 

resources, furnishing reports to higher headquarters, and providing overall 

management and control of all district activities. With the activation of the

emergency operations center, a crisis management team becomes 

responsible for coordinating and directing district activities in the crisis 

situation. A crisis action team is responsible for executing the activities as 

directed by the crisis management team. According to the plan, if a slowmoving category 3 or higher hurricane is approaching the area, the team 

should be activated and deployed at the direction of the commander. The 

New Orleans District’s

Hurricane Preparedness 

Plan 

 32Corps Regulation No. ER 500-1-1. 

33The district’s hurricane preparedness plan is in draft form. According Corps officials,

however, the draft plan was used to prepare and respond to Hurricane Katrina. Corps 

District Regulation No. DR 500-1-3. 

Page 22 GAO-06-322T 
plan does not contain any specific guidance on how the district would 

respond to a levee failure. 

In closing, Madam Chairman, the legislative and regulatory framework 

guiding the operations and maintenance of the levees divides this 

responsibility among a number of partners, depending upon specific 

circumstances. Similarly, the responsibilities for emergency preparedness

and response are dependent on a variety of laws and regulations. As a 

result, the regulatory framework for these activities is complex and 

oftentimes unclear. Whether these responsibilities were appropriately 

fulfilled or played a role in the flooding of New Orleans in the wake of 

Hurricane Katrina in August 2005 is still to be determined. 

For further information on this testimony, please contact Anu Mittal at 

(202) 512-3841 or mittala@gao.gov. Individuals making contributions to 

this testimony included Ed Zadjura, Assistant Director; Allison Bawden; 

Kevin Bray; Kisha Clark; John Delicath; Doreen Feldman; Jessica Marfurt; 

Barbara Patterson; and Barbara Timmerman. 

GAO Contact and 

Staff 

Acknowledgments 

Page 23 GAO-06-322T (360646) 
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