    Hurricane Protection: Statutory and Regulatory Framework for
    Levee Maintenance and Emergency Response for the Lake
    Pontchartrain Project (15-DEC-05, GAO-06-322T).

    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.
    -------------------------Indexing Terms-------------------------
    REPORTNUM:   GAO-06-322T
        ACCNO:   A43279
      TITLE:     Hurricane Protection: Statutory and Regulatory Framework
    for Levee Maintenance and Emergency Response for the Lake
    Pontchartrain Project
         DATE:   12/15/2005
      SUBJECT:   Disaster relief aid
    	     Emergency preparedness
    	     Emergency response
    	     Federal regulations
    	     Flood control
    	     Hurricanes
    	     Inspection
    	     Intergovernmental relations
    	     Hurricane Katrina
    	     Lake Pontchartrain Hurricane Protection
    	     Project

    	     New Orleans (LA)

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    GAO-06-322T

    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

    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:

               o  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.

               o  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.

               o  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.

               o  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.

               o  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.

               o  The Corps is also authorized to take actions in advance of
               disasters to ensure an adequate emergency response if levees fail.
               These actions are (1) disaster preparedness, including developing
               emergency response plans and training personnel to respond to
               emergencies; (2) advance measures, including providing supplies,
               equipment, and contracting for the construction of temporary and
               permanent flood control projects; and (3) hazard mitigation
               activities, which are intended to help prevent or reduce the
               possibility of a disaster, or reduce its damaging effects by
               identifying lessons learned after the event. Although we have not
               evaluated the Corps' efforts, Corps officials told us that they
               employed these authorities in preparing for the potential flooding
               that was predicted from Hurricane Katrina. In addition, after the
               levees were breached, the Corps used its response and
               rehabilitation authorities to provide flood-fighting assistance
               and to begin the repair and restoration of the levees.

               Since its founding in 1718, the city of New Orleans and its
               surrounding areas have been subject to numerous floods from the
               Mississippi River and hurricanes. The greater New Orleans area,
               composed of Orleans, Jefferson, St. Charles, St. Bernard, and St.
               Tammany Parishes, sits in the tidal lowlands of Lake Pontchartrain
               and is bordered generally on its southern side by the Mississippi
               River. Lake Pontchartrain, a tidal basin of some 640 square miles,
               is connected with the Gulf of Mexico through Lake Borgne and the
               Mississippi Sound.

               The greatest natural threat posed to the New Orleans area is from
               hurricane-induced storm surges, waves, and rainfalls. Because of
               this threat, a series of control structures, concrete flood walls,
               and levees was proposed for the area along Lake Pontchartrain in
               the 1960s. Congress first authorized the construction of the Lake
               Pontchartrain and Vicinity, Louisiana Hurricane Protection Project
               in the Flood Control Act of 19651 to provide hurricane protection
               to areas around the lake in Orleans, Jefferson, St. Bernard, and
               St. Charles Parishes. Although federally authorized, the project
               was a joint federal, state, and local effort. The Corps was
               responsible for project design and construction of the
               approximately 125 miles of levees, with the federal government
               paying 70 percent of the costs, and state and local interests
               paying 30 percent. Each of the four parishes protected by the
               project is associated with a local levee district that is
               generally composed of state-appointed officials and is considered
               a state entity. Specifically, Orleans Parish is associated with
               the Orleans Levee District, Jefferson Parish is associated with
               the East Jefferson Levee District, St. Bernard Parish is
               associated with the Lake Borgne Levee District, and St. Charles
               Parish is associated with the Pontchartrain Levee District. These
               levee districts are the local sponsors of the project, and their
               responsibilities include ensuring the integrity of the levee
               system in their districts throughout the year.

               Congress authorized the Lake Pontchartrain project in 1965,
               substantially in accordance with a Chief of Engineers report, to
               protect the areas around the lake from flooding caused by storm
               surge or rainfall associated with a standard project hurricane.
               For the coastal region of Louisiana, a standard project hurricane
               was expected to have a frequency of occurrence of once in about
               200 years, and represented the most severe combination of
               meteorological conditions considered reasonably characteristic for
               the region. According to the Chief of Engineers report, a standard
               project hurricane was selected as the design hurricane because of
               the urban nature of the area.2

               When Congress authorized the Lake Pontchartrain project, the 1
               through 5 scale-known as the Saffir-Simpson Scale-that is
               currently used by the National Weather Service to categorize
               hurricanes from lowest to highest intensity did not yet exist.
               According to the Corps, the standard project hurricane used for
               the Lake Pontchartrain project would roughly equal a fast-moving
               category 3 hurricane on the Saffir-Simpson Scale. In fact, the
               standard project hurricane for coastal Louisiana approximates the
               storm surge of a category 3 hurricane, the wind speed of a
               category 2 hurricane, and the barometric pressure at the center of
               a category 4 hurricane.3 Table 1 compares the coastal Louisiana
               standard project hurricane parameters to which the Lake
               Pontchartrain project was designed with the parameters for
               category 2, 3, and 4 hurricanes on the Saffir-Simpson Scale.

                                       Background

    1Pub. L. No. 89-298, S: 204, 79 Stat. 1073, 1077 (1965).

                       Level of Protection Authorized by Congress

    2H.R. Doc. No. 231, 89th Cong., 1st Sess. (1965).

    3Barometric 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.

    Table 1: Comparison of Standard Project Hurricane Parameters for Coastal
    Louisiana with Category 2, 3, and 4 Hurricane Parameters

                   Standard project  Saffir-Simpson Saffir-Simpson Saffir-Simpson
                   hurricane for     category 2     category 3     category 4
                   coastal Louisiana hurricane      hurricane      hurricane
    Central     27.6 Hg           28.50-28.91 Hg 27.91-8.47 Hg  27.17-27.88 Hg
    pressurea
    Wind speedb 100 mph           96-110 mph     111-130 mph    131-155 mph
    Radius of   30 miles          N/A            N/A            N/A
    maximum
    windsc
    Average     6 knots           N/A            N/A            N/A
    forward
    speedc
    Storm surge 11.2-13 feetd     6-8 feet       9-12 feet      13-18 feet

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

    Notes: The shaded areas indicate those parameters on the Saffir-Simpson
    Scale that are most closely aligned with those for the standard project
    hurricane.

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

    bWind 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.

    cThe 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.

    dThe standard project hurricane calculated maximum surge heights for
    different geographic areas within the Lake Pontchartrain area. The maximum
    surge height for the South Shore of Lake Pontchartrain-where the 17th
    Street, London, and Industrial Canals are located-was estimated at 11.2
    feet.

    At landfall, which was approximately 60 miles southeast of New Orleans,
    Hurricane Katrina had a central pressure of 27.17 Hg and a wind speed of
    140 mph. Wind speeds in New Orleans, which was west of the eye of
    Hurricane Katrina, reached just over 100 mph. According to the National
    Oceanic and Atmospheric Administration's National Climatic Data Center,
    data on other Hurricane Katrina parameters are not readily available for
    several reasons, including the destruction of certain buildings and
    monitoring equipment and would have been used to measure storm surge.

    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.4 However, the Corps has authority to (1) repair
    the project if deficiencies are the result of the original construction5
    and (2) rehabilitate the project, if damage resulted from a flood and the
    project is active in the Corps' Rehabilitation Inspection Program.6 Corps
    district and division employees are to oversee OMRR&R activities performed
    by the local sponsors on an annual basis.

    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.

    433 U.S.C. S: 2213(j).

    5Corps Regulation No. ER 1165-2-119.

    6Corps Regulation No. ER 500-1-1.

    Figure 1: Status of Completion and Turnover for Project Units in the Lake
    Pontchartrain and Vicinity Project

    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.7
    Transfer is to be accomplished through a formal notice from the Corps to
    the local sponsor that includes a transfer date determined by the Corps'
    district engineers. According to Corps officials, the formal notice
    generally is in the form of a letter to the local sponsor.

    According to internal Corps regulations, upon transfer of a completed
    project to the local sponsors, the Corps may no longer expend federal
    funds on construction or project improvements.8 If the Corps determines
    that unsatisfactory conditions have developed as a result of the original
    levee construction, the Corps may undertake corrective action.9 For
    example, a Corps district official responsible for operations and
    maintenance oversight told us that if settlement of a completed levee
    occurs, this is not considered a design or construction flaw. Instead,
    this is considered a condition that should be addressed by the local
    sponsors as part of their normal operations and maintenance
    responsibilities.

    Local sponsors' responsibilities for OMRR&R of the completed portions of
    the Lake Pontchartrain project were established through local assurances
    signed by the levee districts and the Corps. For the Lake Pontchartrain
    hurricane project as constructed, these assurances were signed, and
    subsequently accepted by the federal government for the Orleans Levee
    District on June 21, 1985; the Pontchartrain Levee District on August 7,
    1987; the East Jefferson Levee District on December 21, 1987; and the Lake
    Borgne Basin Levee District on December 7, 1977. The formal assurances
    commit the local sponsors to, among other things, operate and maintain all
    features of the project in accordance with Corps regulations. Also, in
    accordance with internal Corps regulations, the Corps is required to
    provide local sponsors with an operations and maintenance manual at the
    time of, or at the earliest practicable date after, the transfer of OMRR&R
    responsibilities from the Corps to local sponsors for a completed project
    or project unit. The manual is intended to assist the responsible local
    authorities in carrying out their operation and maintenance obligations.
    According to Corps officials, the OMRR&R responsibilities for levees are
    straightforward, and the manual that the Corps provides local sponsors is
    a one-page document that outlines the requirements as described by federal
    regulations.10 Specifically, federal regulations require local sponsors to
    ensure that the structure is operating as intended and to continuously
    patrol the structure during flood periods to ensure that no conditions
    exist that might endanger the structure and to take immediate steps to
    control any condition that might endanger it. For maintenance, the
    regulations require local sponsors to ensure at all times that the
    structure is serviceable in times of flood. The regulations also require
    periodic inspections and maintenance measures, including the following:

    7Corps Regulation No. ER 1150-2-301.

    8Corps Regulation No. ER 1150-2-301.

    9Corps Regulation No. ER 1165-2-119.

               o  promoting the growth of sod, including routine mowing of the
               grass and weeds;

               o  exterminating burrowing animals;

               o  removing drift material or wild growth from the levee (such as
               brush and trees); and

               o  repairing any damage to the levee caused by erosion.

               Repair, replacement, and rehabilitation are also considered part
               of the local sponsors' maintenance responsibilities, as outlined
               in internal Corps regulations. Repair refers to routine activities
               that maintain the project in well-kept condition; replacement
               refers to replacing worn-out elements; and rehabilitation refers
               to activities necessary to bring a deteriorated project back to
               its original condition. According to internal Corps' regulations,
               local sponsors' maintenance is considered to be deficient when
               these requirements have not fulfilled.11

               Corps employees are to oversee local sponsors' OMRR&R activities
               to ensure compliance and project integrity. Corps employees are
               required to work directly with local sponsors to conduct annual
               compliance inspections; review local sponsors' semiannual
               compliance reports; and respond to engineering concerns,
               maintenance questions, and reports of problems. A Corps district
               official responsible for operations and maintenance oversight told
               us that generally the Lake Pontchartrain project's local sponsors
               have performed their operations and maintenance responsibilities
               as required and have been responsive to the Corps' concerns.
               Because the New Orleans district is part of the Mississippi Valley
               Division of the Corps, the division also has responsibility for
               managing and overseeing the periodic inspections conducted by
               district engineers; reviewing and approving district engineers'
               inspection reports; maintaining a database of information on
               inspections and remedial measures taken; and receiving annual
               OMRR&R summary reports from the districts under its command,
               aggregating these reports, and sending them to Corps headquarters.

               Federally authorized flood control projects, such as the Lake
               Pontchartrain project, are eligible for 100 percent federal
               rehabilitation if damaged by a flood as long as these projects are
               active in the Corps' Rehabilitation Inspection Program
               (rehabilitation program).12 To maintain active status in this
               program, the Lake Pontchartrain project's levees are required to
               pass an annual OMRR&R inspection conducted jointly by the Corps,
               the local sponsor, the state Department of Transportation and
               Development, and other stakeholders, as appropriate.13 According
               to the Corps' inspection reports from 2001 through 2004, all
               completed project units of the Lake Pontchartrain project were
               inspected each year and had received an acceptable rating.

               Both local sponsors and the Corps are required to conduct
               oversight activities to ensure that levees are properly
               maintained. If, in the course of these oversight activities, the
               Corps finds that the local sponsors are not properly maintaining
               the levees, internal Corps regulations outline a series of steps
               that the Corps can take until the local sponsor comes into
               compliance.

               Federal regulations require that local levee districts are to
               appoint a permanent committee, headed by a superintendent, that
               will be responsible for all levee operation and maintenance
               activities and inspections of federally constructed flood control
               projects.14 The superintendent of the levee district is
               responsible for performing periodic inspections of the levee to
               ensure that routine maintenance responsibilities have been
               effectively completed and that no hazards to the levee exist.
               Typically, these inspections take place prior to the flood or
               hurricane season, immediately following a high-water period, and
               at other intermediate periods throughout the year. During an
               inspection, the superintendent is required to examine and be
               certain, among other things, that

               o  drainage systems are in good working condition and not becoming
               clogged;

               o  no unusual settlement or material loss of grade or levee cross
               section has taken place;

               o  cattle guards and gates are in good condition;

               o  the protective walls surrounding the levee have not been washed
               out or removed;

               o  the levee crown is shaped to drain readily;

               o  no unauthorized vehicular traffic or cattle grazing has
               occurred;

               o  no water seepage or saturated areas are occurring; and

               o  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 is responsible for overseeing the OMRR&R activities of
               the Lake Pontchartrain project's local sponsors through an annual
               compliance inspection program-known as the Inspection of Completed
               Works program-and reviewing the local sponsors' semiannual reports
               on OMRR&R activities submitted to the district office. According
               to internal Corps regulations, the primary purposes of the
               Inspection of Completed Works program are to prevent loss of life
               and catastrophic damages, preserve the value of the federal
               investment, and encourage local sponsors to bear responsibility
               for their own protection. According to Corps officials, for the
               Lake Pontchartrain project, the New Orleans District typically
               completes this annual compliance inspection prior to the hurricane
               season, in mid-May to early-June of each year. Our review of Corps
               inspection reports for 2001 through 2004 indicate that while
               inspections of the Lake Pontchartrain hurricane protection levees
               in the Orleans and St. Bernard Parishes were generally conducted
               in May of each year, the inspections of the levees in Jefferson
               and St. Charles Parishes were generally conducted in the September
               to November timeframe.15 According to the Corps, these inspections
               are to cover the following items:

               o  level of protection,

               o  erosion control,

               o  slope stability,

               o  animal control,

               o  unwanted vegetative growth,

               o  concrete surfaces, and

               o  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 regulations16 outline a progression of steps that
               the Corps can take to ensure that local sponsors fulfill their
               OMRR&R responsibilities and bring the levees back up to the
               designed level of protection. The steps are as follows:

               o  Notify the sponsor orally of the deficiencies.

               o  Notify the sponsor in writing.

               o  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.

               o  Notify the Federal Emergency Management Agency (FEMA) of the
               condition of the project.

               o  If acceptable actions are not taken by the nonfederal sponsor,
               take actions to remove the project from eligibility for federal
               emergency rehabilitation.

               o  Initiate legal action against the local sponsor to enforce
               OMRR&R obligations as outlined in local assurances.

               o  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.

               The Corps has authority to provide a variety of emergency response
               actions when levees fail or are damaged. Section 5 of the Flood
               Control Act of 1941, as amended, commonly referred to as Public
               Law 84-99, authorizes the Corps to conduct emergency operations
               and rehabilitation activities when levees fail or are damaged.17
               In addition, under the Robert T. Stafford Disaster Relief and
               Emergency Assistance Act (Stafford Act), as amended, the Corps and
               other federal agencies may be tasked by FEMA to provide disaster
               response, recovery, and mitigation assistance to state and local
               governments.18 Furthermore, a Department of Defense Manual for
               Civil Emergencies assigns responsibilities, prescribes procedures,
               and provides guidance by which the Department of Defense responds
               to all hazards in accordance with the Stafford Act.19 Although we
               have not evaluated the Corps' efforts, Corps officials told us
               that after the levees were breached the Corps used its response
               and rehabilitation authorities to provide flood-fighting
               assistance and to begin the repair and restoration of the levees.
               State and local roles and responsibilities when levees fail are
               similar to the Corps' responsibilities and are also described in
               federal regulations.20

               Public Law 84-99 authorizes the Corps to conduct emergency
               operations and rehabilitation activities when levees fail or are
               damaged during storms or other events. Federal regulations specify
               that assistance is limited to providing emergency assistance to
               save lives and protect property, such as public
               facilities/services and residential, commercial, or industrial
               developments.21 This emergency assistance may be provided during
               and following a flood or coastal storm. However, under federal
               regulations, nonfederal interests must fully utilize their own
               resources, including manpower, supplies, equipment, and funds
               before Corps assistance may be provided.22 The National Guard, as
               part of the state's resources when it is under state control, must
               be fully utilized as part of the nonfederal response. According to
               federal regulations, the Corps is not to use funds to reimburse
               local authorities for the costs of these emergency activities.23

               To implement flood response operation authorities under Public Law
               84-99, internal Corps regulations specify that Corps district
               commanders must issue a Declaration of Emergency. The Declaration
               of Emergency may initially be verbal, but must be made in writing
               and reported in the district's situation report within 24 hours.
               Authority to issue a Declaration of Emergency has been delegated
               to deputy district engineers and includes all supervisors in the
               chain of command, from the district commander to the chief of
               emergency management.

               Emergency operations include flood response and postflood response
               activities.

               o  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

                            o  issuing supplies;

                            o  conducting rescue operations;

                            o  directing flood-fighting operations; and

                            o  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.
               o  Postflood response includes emergency debris removal, temporary
               restoration of critical transportation routes and public services
               and utilities, and after action review and reporting.

               Rehabilitation activities include the repair and restoration of
               eligible flood control projects and federally constructed
               hurricane or shore protection projects. Rehabilitation assistance
               is limited to federal and nonfederal flood control works that are
               in active status-those found to be properly maintained during
               inspections-in the Corps' Rehabilitation Inspection Program at the
               time of the hurricane, storm, or flood event.24 Rehabilitation
               assistance is limited to repair or restoration of a flood control
               work to its predisaster condition and level of protection (e.g.,
               the actual elevation of the levee, allowing for normal
               settlement).25 Any damage to federally constructed levees are
               repaired with 100 percent of the cost borne by the federal
               government; and damage to nonfederally constructed levees are
               repaired with 80 percent of the cost borne by the federal
               government and 20 percent by the local sponsor.26 Because the Lake
               Pontchartrain project is federally constructed and was active in
               the Corps' Rehabilitation Inspection Program, the Corps is
               authorized to rehabilitate any levees that failed or were damaged
               as a result of Hurricane Katrina, using this authority.
               Additionally, in the aftermath of Hurricane Katrina, the Assistant
               Secretary of the Army for Civil Works agreed to rehabilitate all
               of the damaged Lake Pontchartrain and other hurricane and flood
               control structures in the New Orleans area without any local cost
               share, under emergency authority provided in statute.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.

               The Stafford Act, as amended, authorizes federal agencies,
               including the Corps, to take emergency response actions when the
               President has issued a major disaster declaration. Under the act,
               a presidential declaration may be made after receiving a request
               from the governor of the affected state.28 FEMA, within the
               Department of Homeland Security, is responsible for administering
               the major provisions of the Stafford Act. Actions taken under this
               authority include disaster response, recovery, and mitigation
               assistance to supplement state and local efforts.

               To meet its obligations for emergency response, the Department of
               Homeland Security developed a National Response Plan, which
               describes the roles and responsibilities of various federal
               agencies.29 Within the National Response Plan, the Department of
               Defense has responsibility for Emergency Support Function
               #3-Public Works and Engineering. The plan designates the Corps as
               the operating agent for this function, to include planning,
               preparedness, and response, with assistance to be provided by
               other branches of the Department of Defense, as needed.

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

               o  coordination and support of infrastructure risk and
               vulnerability assessments;

               o  participation in preincident activities, such as prepositioning
               assessment teams and contractors;

               o  participation in postincident assessments of public works and
               infrastructure to help determine critical needs and potential work
               loads;

               o  implementation of structural and nonstructural mitigation
               measures to minimize adverse effects or fully protect resources
               prior to an incident;

               o  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;

               o  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;

               o  providing emergency repair of damaged infrastructure and
               critical public facilities, and supporting the restoration of
               critical navigation, flood control, and other water infrastructure
               systems;

               o  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

               o  implementing and managing FEMA's Public Assistance Program and
               other recovery programs involving federal, state, and tribal
               officials, including efforts to permanently repair, replace, or
               relocate damaged or destroyed public facilities and
               infrastructure.

               A Department of Defense Manual For Civil Emergencies assigns
               responsibilities, prescribes procedures, and provides guidance by
               which the Department of Defense responds to all hazards in
               accordance with the Stafford Act. The policy states that
               commanders may conduct disaster relief operations when a serious
               emergency or disaster is so imminent that waiting for instructions
               from higher authority would preclude effective response. According
               to the policy, commanders may do what is required and justified to
               save human life, prevent immediate human suffering, or lessen
               major property damage or destruction. Action taken in accordance
               with the policy is limited to 10 days. A Corps commander providing
               assistance to civil authorities under this guidance is not
               required to obtain an agreement for reimbursement from the
               requesting agency before providing assistance.

               The Corps is authorized by Public Law 84-99 to prepare for
               emergency response when levees fail by undertaking disaster
               preparedness, advance measures, and hazard mitigation activities.
               Although we have not evaluated the Corps' efforts, Corps officials
               told us that they took action in advance of Hurricane Katrina to
               prepare for the potential flooding that was predicted. As part of
               this effort, according to Corps officials, the Corps' New Orleans
               district used a draft hurricane preparedness plan for the New
               Orleans area.

               Corps division and district commanders are responsible for
               providing immediate and effective response and assistance prior
               to, during, and after emergencies and disasters. Although we have
               not reviewed the extent to which the Corps undertook these
               initiatives during the Katrina disaster, the Corps is responsible
               for the following:

               The Corps may take advance measures prior to a flooding event to
               protect against loss of life and significant damages to urban
               areas and public facilities.30 In the case of imminent danger of
               levee failure or overtopping, the Corps can also take corrective
               actions to ensure the stability, integrity, and safety of the
               levee.31 Advance measures include 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.

                            1. Technical assistance: providing technical review,
                            advice, and recommendations to state and local
                            agencies before an anticipated flood event. For
                            example, the Corps may provide personnel to inspect
                            existing flood control works to identify potential
                            problems and solutions, evaluate conditions to
                            determine the requirements for additional flood
                            control protection, and recommend the most expedient
                            construction methods; provide hydraulic, hydrologic,
                            and geotechnical analysis; and provide information
                            readily available at Corps districts to local
                            entities for use in the preparation of local
                            evacuation and contingency flood plans.
                            2. Direct assistance: providing supplies, equipment,
                            and contracting for the construction of temporary and
                            permanent flood control projects. Examples of
                            emergency contracting work include the construction
                            of temporary levees; the repair, strengthening, or
                            temporary raising of levees or other flood control
                            works; shore protection projects; and removal of
                            stream obstructions, including channel dredging of
                            federal projects to restore the design flow.

               Advance measures taken by the Corps are intended to supplement
               ongoing or planned state and local efforts, and are designed to
               deal with a specific threat. To implement advanced measures, the
               governor should make a written request to the Corps. The local
               sponsor for the advance measure assistance must agree to execute a
               cooperative agreement and, at no cost to the Corps, when the
               operation is over, remove all temporary work constructed by the
               Corps or agree to upgrade the work to standards acceptable to the
               Corps. In addition, the local sponsor is responsible for providing
               traditional items of local cooperation, such as lands, easements,
               rights-of-way, and disposal areas necessary for the work. Advance
               measures assistance is temporary and must be terminated no later
               than when the flood threat ends.

               Hazard mitigation activities are intended to help prevent or
               reduce the possibility of a disaster or reduce its damaging
               effects. The Corps is required to participate on a FEMA-led hazard
               mitigation team to identify postdisaster mitigation opportunities
               and establish a framework for recovery. According to the Corps'
               hazard mitigation policy, division commanders are to appoint
               primary and alternate representatives to serve on the hazard
               mitigation team; establish procedures for quick and effective
               response to the requirements of the team; ensure essential
               information and data necessary to assess mitigation opportunities
               are available or capable of being obtained quickly; ensure
               division hazard mitigation team representatives are trained in
               flood hazard mitigation concepts and techniques; and provide
               reports to FEMA and Corps headquarters. Recommendations of the
               hazard mitigation team are intended to reduce or avoid federal
               expenditures resulting from flood situations.32

               The Corps' New Orleans District has a draft hurricane preparedness
               plan that defines the district's role and responsibilities in the
               event of an emergency due to a hurricane.33 The plan outlines the
               essential functions of the district before, during, and after a
               hurricane. These functions include pre-event planning,
               organization, response, and recovery in order to minimize the
               potential hazards to life and property. As part of this plan, the
               district defines emergency organizational staffing to support
               emergency operations. Selected personnel are assigned to specific
               teams or offices that, in the event of a disaster, are to provide
               the necessary liaison with federal, state, or local emergency
               management agencies; make decisions relative to Corps'
               capabilities and assignments; perform preliminary damage
               assessments; or accomplish specific missions. According to the
               plan, a New Orleans District Emergency Operations Center should be
               staffed to respond to an emergency, and the center is to become
               the focal point for collecting data, analyzing situations,
               allocating resources, furnishing reports to higher headquarters,
               and providing overall management and control of all district
               activities. With the activation of the emergency operations
               center, a crisis management team becomes responsible for
               coordinating and directing district activities in the crisis
               situation. A crisis action team is responsible for executing the
               activities as directed by the crisis management team. According to
               the plan, if a 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.

               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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    1033 C.F.R. S: 208.10. According to Corps officials, the Corps has
    provided local sponsors with specific operations and maintenance manuals
    for the Bienvenue and Dupre floodgate structures in the Lake Pontchartrain
    project.

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

                Procedures to Ensure That Levees Are Properly Maintained

    Local Sponsors' Oversight Activities

    12Locally authorized flood control projects can also participate in the
    rehabilitation program. If active, locally authorized projects are damaged
    in a flood emergency, the cost of rehabilitation is shared between the
    local authority and the federal government-20 percent and 80 percent,
    respectively. 33 C.F.R. S: 203.82(f).

    13For projects other than levees that have mechanical or electrical parts,
    such as locks, floodgates, drainage structures, and pumping stations,
    periodic engineering inspections are also performed.

    1433 C.F.R. S: 208.10(a)(2).

    The Corps' Oversight Activities

    15According to Corps officials, the majority of the protection in the
    Jefferson and St. Charles Parishes is flood protection along the
    Mississippi River as opposed to hurricane protection. Therefore,
    inspections are done prior to the high-water period on the Mississippi
    River.

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

               Authorities, Roles, and Responsibilities When Levees Fail

    Public Law 84-99

    1733 U.S.C. S: 701n. The Corps' administrative policies, guidance, and
    operating procedures for natural disaster preparedness, response, and
    recovery activities are set out in 33 C.F.R. part 203.

    1842 U.S.C. S: 5121 et seq.

    19DOD 3025.1-M (June 1994).

    2033 C.F.R. S: 203.14.

    2133 C.F.R. S: 203.32. The regulations also specify that the Corps is not
    authorized to provide assistance to individual homeowners and businesses.

    2233 C.F.R. S: 203.14.

    2333 C.F.R. S: 203.32.

    2433 C.F.R. S: 203.41.

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

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

    Stafford Act

    2733 U.S.C. S: 701n. According to the Corps, local sponsors requested that
    the Corps undertake this work at full federal expense due to the
    unprecedented damage and impacts to local governments and the inability of
    the local sponsors to finance their share of the costs. According to the
    Corps, the Assistant Secretary of the Army for Civil Works approved the
    request with the concurrence of the Office of Management and Budget and
    notified the House and Senate Appropriations Subcommittees on Energy and
    Water Development.

    2842 U.S.C. S: 5170.

    29The Department of Homeland Security developed the National Response Plan
    in response to a presidential directive, HSPD-5.

    Department of Defense Manual for Civil Emergencies

                         Planned Emergency Response Activities

    Disaster Preparedness

    Advance Measures

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

    Hazard Mitigation

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

    New Orleans District's Hurricane Preparedness Plan

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

    33The district's hurricane preparedness plan is in draft form. According
    Corps officials, however, the draft plan was used to prepare and respond
    to Hurricane Katrina. Corps District Regulation No. DR 500-1-3.

                         GAO Contact and Staff Acknowledgments

    (360646)

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    Highlights of GAO-06-322T, a statement for the record to the Committee on
    Homeland Security and Governmental Affairs, U.S. Senate

    December 15, 2005

    HURRICANE PROTECTION

    Statutory and Regulatory Framework for Levee Maintenance and Emergency
    Response for the Lake Pontchartrain Project

    The greatest natural threat posed to the New Orleans area is from
    hurricane-induced storm surges, waves, and rainfalls. To protect the area
    from this threat, the U.S. Army Corps of Engineers (Corps) was authorized
    by Congress in 1965 to design and construct a system of levees as part of
    the Lake Pontchartrain and Vicinity, Louisiana Hurricane Protection
    Project. Although federally authorized, the project was a joint federal,
    state, and local effort. For the levees in the project, the Corps was
    responsible for design and construction, with the federal government
    paying 70 percent of the costs and state and local interests paying 30
    percent.

    As requested, GAO is providing information on the (1) level of protection
    authorized by Congress for the Lake Pontchartrain project; (2)
    authorities, roles, and responsibilities of the Corps and local sponsors
    with respect to the operation, maintenance, repair, replacement, and
    rehabilitation of the levees; (3) procedures in place to ensure that
    responsible parties maintain the levees in accordance with the authorized
    protection level; (4) authorities, roles, and responsibilities of the
    Corps and local parties when levees fail or are damaged; and (5) plans,
    capabilities, and activities that have been developed by the Corps to
    ensure an adequate emergency response when levees fail.

    GAO is not making any recommendations at this time.

    Congress authorized the Lake Pontchartrain project to protect the New
    Orleans area from flooding caused by storm surge or rainfall associated
    with a hurricane that had the chance of occurring once in 200 years. This
    was termed as the "standard project hurricane" and represented the most
    severe combination of meteorological conditions considered reasonable for
    the region. As hurricanes are currently characterized, the Corps' standard
    project hurricane approximately equals a fast-moving category 3 hurricane,
    according to the Corps.

    Agreements between the Corps and four New Orleans levee districts-the
    local sponsors for the Lake Pontchartrain project-specify that the local
    sponsors are responsible for operation, maintenance, repair, replacement,
    and rehabilitation of the levees after construction of the project, or a
    project unit, is complete. Pre-Katrina, according to the Corps, most of
    the levees included in the Lake Pontchartrain project had been completed
    and turned over to the local sponsors for operations and maintenance. The
    Corps has authority to repair or rehabilitate completed flood control
    projects if (1) deficiencies are related to the original construction or
    (2) damage is caused by a flood and the project is active in the Corps'
    Rehabilitation Inspection Program. According to internal Corps
    regulations, federal funds cannot be used for regular operations and
    maintenance activities.

    Both local sponsors and the Corps are required to conduct regular
    inspections to ensure that levees are properly maintained. If the Corps
    finds that local sponsors are not properly maintaining the levees,
    internal Corps regulations outline a series of steps, such as notifying
    the governor or taking legal action, that the Corps can take to bring the
    local sponsor in to compliance. Corps inspection reports for 2001-2004
    indicate that the completed portions of the Lake Pontchartrain project
    were maintained at an acceptable level.

    When levees fail or are damaged, the Corps has authority to provide a
    variety of emergency response actions. Specifically, the Corps is
    authorized to undertake emergency operations and rehabilitation activities
    and, if tasked by the Federal Emergency Management Agency, to provide
    disaster response, recovery, and mitigation assistance to state and local
    governments, as needed. In addition, a Department of Defense manual
    assigns responsibilities, prescribes procedures, and provides guidance for
    responding to hazards. State and local roles and responsibilities when
    levees fail are similar to the Corps' responsibilities and are described
    in federal regulations.

    The Corps is authorized to prepare for emergency response when levees fail
    by undertaking disaster preparedness, advance measures, and hazard
    mitigation activities. The Corps' New Orleans district has developed an
    all hazards emergency response plan for the New Orleans area.
    *** End of document. ***