Hurricane Protection: Statutory and Regulatory Framework for Levee Maintenance and Emergency Response for the Lake Pontchartrain Project
Published: 2005-12-15T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: 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. 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.
section_title: What GAO Found
paragraphs: 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.

section_title: Letter
paragraphs: 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.
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.
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.
subsections: section_title: Background
paragraphs: 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 1965  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  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.
section_title: Level of Protection Authorized by Congress
paragraphs: 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.
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. 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.
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.
section_title: Authorities, Roles, and Responsibilities for Operating and Maintaining the Levees
paragraphs: 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. However, the Corps has authority to (1) repair  the project if deficiencies are the result of the original construction and  (2) rehabilitate the project, if damage resulted from a flood and the project  is active in the Corps’ Rehabilitation Inspection Program. Corps district  and division employees are to oversee OMRR&R activities performed by  the local sponsors on an annual basis.
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.
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  the assumption of operation and maintenance by the local sponsors.  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. If the Corps determines  that unsatisfactory conditions have developed as a result of the original  levee construction, the Corps may undertake corrective action. 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  federal regulations. 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  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.
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  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). 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. 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.
section_title: Procedures to Ensure That Levees Are Properly Maintained
paragraphs: 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.
subsections: section_title: Local Sponsors’ Oversight Activities
paragraphs: 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  inspections of federally constructed flood control projects. 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    no unusual settlement or material loss of grade or levee cross section has    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.
section_title: The Corps’ Oversight Activities
paragraphs: 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.  According to the Corps, these inspections are to cover the following items:    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  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 regulations 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.
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.
section_title: Authorities, Roles, and Responsibilities When Levees Fail
paragraphs: 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. 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. 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. 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.
subsections: section_title: Public Law 84-99
paragraphs: Public Law 84-99 authorizes the Corps to conduct emergency operations  and rehabilitation activities when levees fail or are damaged during storms  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. 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. 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.
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   directing flood-fighting operations; and    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.  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). 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. 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  cost share, under emergency authority provided in statute. Further, the  federal government will fund the acquisition of lands, easements, rights-of- way, 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.
section_title: Stafford Act
paragraphs: 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.  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. 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:    coordination and support of infrastructure risk and vulnerability    participation in preincident activities, such as prepositioning assessment    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 life- sustaining 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 re- establishment 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.
section_title: Department of Defense Manual for Civil Emergencies
paragraphs: 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  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.
section_title: Planned Emergency Response Activities
paragraphs: 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.
subsections: section_title: Disaster Preparedness
paragraphs: 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:  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  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.
section_title: Advance Measures
paragraphs: 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. In the case of imminent danger of levee failure or overtopping,  the Corps can also take corrective actions to ensure the stability, integrity,  and safety of the levee. 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.
section_title: Hazard Mitigation
paragraphs: 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  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.
section_title: New Orleans District’s Hurricane Preparedness Plan
paragraphs: 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. 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 slow- moving category 3 or higher hurricane is approaching the area, the team  should be activated and deployed at the direction of the commander. The  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.
section_title: GAO Contact and Staff Acknowledgments
paragraphs: 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.
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