Hurricane Protection
Statutory and Regulatory Framework for Levee Maintenance and Emergency Response for the Lake Pontchartrain Project Gao ID: GAO-06-322T December 15, 2005The 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.
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.
GAO-06-322T, Hurricane Protection: Statutory and Regulatory Framework for Levee Maintenance and Emergency Response for the Lake Pontchartrain Project
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Testimony:
Before the Committee on Homeland Security and Governmental Affairs,
U.S. Senate:
United States Government Accountability Office:
GAO:
Not to Be Released Before 10:00 a.m. EST:
Thursday, December 15, 2005:
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:
GAO-06-322T:
GAO Highlights:
Highlights of GAO-06-322T, a statement for the record to the Committee
on Homeland Security and Governmental Affairs, U.S. Senate:
Why GAO Did This Study:
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.
What GAO Found:
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.
[End of section]
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.
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.
* 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.
Background:
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[Footnote 1] 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.
Level of Protection Authorized by Congress:
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.[Footnote
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.[Footnote 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.
Table 1: Comparison of Standard Project Hurricane Parameters for
Coastal Louisiana with Category 2, 3, and 4 Hurricane Parameters:
Central pressure[A];
Standard project hurricane for coastal Louisiana: 27.6 Hg;
Saffir-Simpson category 2 hurricane: 28.50-28.91 Hg;
Saffir- Simpson category 3 hurricane: 27.91-8.47 Hg;
Saffir-Simpson category 4 hurricane: 27.17-27.88 Hg.
Wind speed[B];
Standard project hurricane for coastal Louisiana: 100 mph;
Saffir-Simpson category 2 hurricane: 96-110 mph;
Saffir-Simpson category 3 hurricane: 111-130 mph;
Saffir-Simpson category 4 hurricane: 131-155 mph.
Radius of maximum winds[C];
Standard project hurricane for coastal Louisiana: 30 miles;
Saffir-Simpson category 2 hurricane: N/A;
Saffir- Simpson category 3 hurricane: N/A;
Saffir-Simpson category 4 hurricane: N/A.
Average forward speed[C];
Standard project hurricane for coastal Louisiana: 6 knots;
Saffir-Simpson category 2 hurricane: N/A;
Saffir- Simpson category 3 hurricane: N/A;
Saffir-Simpson category 4 hurricane: N/A.
Storm surge;
Standard project hurricane for coastal Louisiana: 11.2-13 feet[D];
Saffir-Simpson category 2 hurricane: 6-8 feet;
Saffir-Simpson category 3 hurricane: 9-12 feet;
Saffir-Simpson category 4 hurricane: 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.
[End of table]
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.
Authorities, Roles, and Responsibilities for Operating and Maintaining
the Levees:
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.[Footnote 4] However, the Corps has authority
to (1) repair the project if deficiencies are the result of the
original construction[Footnote 5] and (2) rehabilitate the project, if
damage resulted from a flood and the project is active in the Corps'
Rehabilitation Inspection Program.[Footnote 6] 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.
Figure 1: Status of Completion and Turnover for Project Units in the
Lake Pontchartrain and Vicinity Project:
[See PDF for image]
[End of figure]
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.[Footnote 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.[Footnote 8] If the Corps
determines that unsatisfactory conditions have developed as a result of
the original levee construction, the Corps may undertake corrective
action.[Footnote 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
federal regulations.[Footnote 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.[Footnote 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 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).[Footnote 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.[Footnote 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.
Procedures to Ensure That Levees Are Properly Maintained:
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.
Local Sponsors' Oversight Activities:
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.[Footnote
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.
The Corps' Oversight Activities:
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.[Footnote 15] According to the Corps,
these inspections are to cover the following items:
* 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 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[Footnote 16] 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.
Authorities, Roles, and Responsibilities When Levees Fail:
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.[Footnote 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.[Footnote 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.[Footnote 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.[Footnote 20]
Public Law 84-99:
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.[Footnote 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.[Footnote
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.[Footnote 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:
* 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.[Footnote 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).[Footnote 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.[Footnote 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 cost share, under emergency
authority provided in statute.[Footnote 27] 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.
Stafford Act:
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.[Footnote 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.[Footnote
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:
* 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 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.
Department of Defense Manual for Civil Emergencies:
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.
Planned Emergency Response Activities:
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.
Disaster Preparedness:
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.
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.[Footnote 30] 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.[Footnote 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:
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.[Footnote 32]
New Orleans District's Hurricane Preparedness Plan:
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.[Footnote 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 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.
GAO Contact and Staff Acknowledgments:
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.
FOOTNOTES
[1] Pub. L. No. 89-298, § 204, 79 Stat. 1073, 1077 (1965).
[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.
[4] 33 U.S.C. § 2213(j).
[5] Corps Regulation No. ER 1165-2-119.
[6] Corps Regulation No. ER 500-1-1.
[7] Corps Regulation No. ER 1150-2-301.
[8] Corps Regulation No. ER 1150-2-301.
[9] Corps Regulation No. ER 1165-2-119.
[10] 33 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.
[11] Corps Regulation No. ER 1130-2-530.
[12] Locally 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).
[13] For 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.
[14] 33 C.F.R. § 208.10(a)(2).
[15] According 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.
[16] Corps Regulation No. ER 1130-2-530.
[17] 33 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.
[18] 42 U.S.C. § 5121 et seq.
[19] DOD 3025.1-M (June 1994).
[20] 33 C.F.R. § 203.14.
[21] 33 C.F.R. § 203.32. The regulations also specify that the Corps is
not authorized to provide assistance to individual homeowners and
businesses.
[22] 33 C.F.R. § 203.14.
[23] 33 C.F.R. § 203.32.
[24] 33 C.F.R. § 203.41.
[25] Corps Regulation No. ER 500-1-1.
[26] Corps Regulation No. ER 500-1-1.
[27] 33 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.
[28] 42 U.S.C. § 5170.
[29] The Department of Homeland Security developed the National
Response Plan in response to a presidential directive, HSPD-5.
[30] Corps Regulation Nos. ER 500-1-1 and EP 500-1-1.
[31] Corps Regulation Nos. ER 500-1-1 and EP 500-1-1.
[32] Corps Regulation No. ER 500-1-1.
[33] The 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.
