Summary
Hurricane Katrina was the largest, most destructive natural disaster in our nation's history. The problems experienced in responding to Katrina resulted in a number of investigations--by congressional committees, the White House Homeland Security Council, and others--regarding the preparations for and response to Katrina. GAO assisted the congressional investigations and, under the Comptroller General's authority, initiated a number of Katrina-related reviews. In March 2006 testimony, GAO provided its preliminary observations to Congress. The purpose of this report is to summarize what went well and why, what did not go well and why, and what changes are needed to improve the nation's readiness to respond to a catastrophic disaster; and to identify selected issues associated with the Gulf Coast's recovery. This report is based on GAO's prior work on catastrophic disasters, including Hurricane Andrew in 1992, the over 30 GAO reports completed to date on Hurricanes Katrina and Rita, ongoing GAO work, and other Hurricane Katrina reviews and lessons learned.
Hurricane Katrina was a catastrophic disaster whose scope and destruction severely tested all levels of governments in the affected areas and the nation as a whole. It almost immediately overwhelmed state and local first responders, and the response required outside action and support from many sources. The heroic efforts by many saved thousands of lives. The federal government, many states, local governments, plus nonprofit and private sector organizations provided substantial personnel and resources to assist in the response, but these proved insufficient to meet the immediate challenges posed by Hurricane Katrina's effects. The three basic elements in preparing for, responding to and recovering from any catastrophic disaster are (1) leadership; (2) capabilities; and (3) accountability. Leadership in the form of legal authorities, roles and responsibilities, and lines of authority at all levels of government must be clearly defined, effectively communicated, and well understood in order to facilitate rapid and effective decision making. DHS has made revisions to the National Response Plan designed to further clarify federal roles and responsibilities, but their effect has not yet been tested in an actual disaster. Developing the capabilities needed for catastrophic disasters should be part of an overall national effort designed to integrate and define what needs to be done, where, by whom, and how well. Ensuring needed capabilities are ready requires effective planning and coordination, plus robust training and exercises in which the capabilities are realistically tested, problems identified, and subsequently addressed in partnership with federal, state, local, and nongovernmental stakeholders. In addition, integrating an all-hazards risk management framework into decision making is central to assessing catastrophic disaster risks and guiding the development of national capabilities to prevent or mitigate where possible and respond to such risks. DHS has announced a number of actions to improve readiness and response for catastrophic disasters, but there is little information available on the extent to which these changes are operational. Accountability controls and mechanisms ensure that resources are used appropriately for valid purposes. Following a catastrophic disaster, decision-makers face a tension between the demand for rapid response and recovery assistance--including assistance to victims--and implementing appropriate controls and accountability mechanisms. Our work and that of others found, for example, the processes for confirming disaster victims' eligibility for assistance were insufficient and resulted in millions of dollars in questionable payments to fraudulent claimants. Also, some contracts had insufficient provisions to ensure that prices were fair and reasonable. DHS has reported that it has taken steps to address some of the concerns, including working to complete more contracts for key services in advance of a disaster and improving its ability to verify individual claimant eligibility for disaster benefits and assistance.
Recommendations
Our recommendations from this work are listed below with a Contact for more information. Status will change
from "In process" to "Implemented" or "Not implemented" based on our follow up work.
Director:
Team:
Phone:
William O. Jenkins Jr
Government Accountability Office: Homeland Security and Justice
(202) 512-8757
Matters for Congressional Consideration
Recommendation: Reaffirming a recommendation made following Hurricane Andrew, Congress may wish to consider giving federal agencies explicit authority to take actions to prepare for catastrophic disasters when there is warning.
Status: In process
Comments: When we determine what steps the Congress has taken, we will provide updated information.
Recommendation: In carrying out its oversight and legislative responsibilities with regard to national preparedness and the recovery of the Gulf Coast region, Congress may wish to consider using a risk management framework to assist in its oversight and legislative decision-making regarding the nation's capacity to respond to catastrophic disasters.
Status: In process
Comments: When we determine what steps the Congress has taken, we will provide updated information.
Recommendation: If Congress is considering a change in the Federal Emergency Management Agency's (FEMA) organizational placement, it may wish to consider (1) whether factors such as the qualifications, experience, and training of the leadership and the adequacy of resources led to its performance difficulties; (2) criteria such as mission relevancy, similar goals, and objectives (present and future); (3) leveraging the effectiveness of other agencies and programs or the new department as a whole; and (4) gains in efficiency and effectiveness through eliminating duplications and overlaps.
Status: In process
Comments: When we determine what steps the Congress has taken, we will provide updated information.
Recommendation: If Congress is considering a change in the qualifications of the Undersecretary for Federal Emergency Management, it may wish to consider establishing statutory professional qualifications for the Undersecretary and other selected key positions within the Department of Homeland Security (DHS) and term appointments for the Undersecretary and selected other positions.
Status: In process
Comments: When we determine what steps the Congress has taken, we will provide updated information.
Recommendation: In carrying out its oversight and legislative responsibilities with regard to national preparedness and the recovery of the Gulf Coast region, Congress may wish to consider the four conditions that we suggested in 1984, as a framework of ideas about how to structure future financial assistance programs and what program requirements to include to achieve Congressional goals and objectives while minimizing the risk of financial loss to the government. These guidelines are a useful framework for developing assistance programs for the Gulf Coast restoration.
Status: In process
Comments: When we determine what steps the Congress has taken, we will provide updated information.
Recommendation: Per our 1984 recommendations, Congress may wish to consider identifying the scope of the problem, such as if the problem reflects broader industry wide or regional economic conditions. For the Gulf Coast, this would involve financial and economic analyses, perhaps utilizing current studies of prior conditions and the ongoing progress of recovery and rebuilding.
Status: In process
Comments: When we determine what steps the Congress has taken, we will provide updated information.
Recommendation: Per our 1984 recommendations, Congress may wish to consider clearly establishing the effect of the problem on the national interest, for example, whether the problem presents potentially large economy wide or regional consequences. For example, in the Gulf Coast, Congress should consider the costs of municipal and corporate collapse and the challenges associated with providing assistance.
Status: In process
Comments: When we determine what steps the Congress has taken, we will provide updated information.
Recommendation: Per our 1984 recommendations, Congress may wish to consider associating the legislative goals and objectives with the response clearly, concisely, and consistently. For example, in the Gulf Coast, goals and objectives for rebuilding should be clearly stated, working with the state and local groups already tasked with recovery planning and with the Administration's Coordinator of Federal Support for the Recovery and Rebuilding of the Gulf Coast region.
Status: In process
Comments: When we determine what steps the Congress has taken, we will provide updated information.
Recommendation: Per our 1984 recommendations, Congress may wish to consider protecting the government's financial interest. In the Gulf Coast, controls might be put in place so that the most important financial and operating plans will be reviewed.
Status: In process
Comments: When we determine what steps the Congress has taken, we will provide updated information.
Recommendations for Executive Action
Recommendation: The Department of Homeland Security (DHS) should rigorously re-test, train, and exercise its recent clarification of the roles, responsibilities, and lines of authority for all levels of leadership, implementing changes needed to remedy identified coordination problems.
Agency Affected: Department of Homeland Security
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: DHS should direct that the National Response Plan (NRP) base plan and its Catastrophic Incident Annex be supported by more robust and detailed operational implementation plans, particularly the Catastrophic Incident Supplement to the NRP. Such operational plans should, for example, further define and leverage those military capabilities that might be needed in a catastrophic disaster.
Agency Affected: Department of Homeland Security
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: DHS should provide guidance and direction for federal, state, and local planning, training, and exercises to ensure such activities fully support preparedness, response, and recovery responsibilities at a jurisdictional and regional basis. This should also include the application of lessons learned from actual catastrophic and other disasters.
Agency Affected: Department of Homeland Security
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: DHS should take the lead in monitoring federal agencies' efforts to meet their responsibilities under the NRP and the interim National Preparedness Goal, including the development, testing, and exercising of agency operational plans to implement their responsibilities under the NRP, National Incident Management System (NIMS), and the interim National Preparedness Goal.
Agency Affected: Department of Homeland Security
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: Given that resources are finite, DHS should apply an all-hazards, risk management approach in deciding whether and how to invest in specific capabilities for a catastrophic disaster.
Agency Affected: Department of Homeland Security
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: DHS should provide guidance on advance procurement practices and procedures for those federal agencies with roles and responsibilities under the NRP, so that these agencies can better manage disaster-related procurements, such as food, shelter, and debris removal. These practices should be in advance of disasters, ongoing and continuous, and include (1) developing knowledge of contractor capabilities and available commodities, services and prices as well as developing pre-established vendor relationships, on a competitive basis whenever feasible; (2) establishing scalable operations plans to adjust the level of capacity needed to respond; (3) formally assigning and communicating disaster-related responsibilities and, where feasible, incorporating necessary training; and (4) providing sufficient numbers of field-level contracting staff to meet mission requirements. DHS should also establish an assessment process to monitor agencies' continuous planning efforts for their disaster-related procurement needs and the maintenance of capabilities.
Agency Affected: Department of Homeland Security
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
