Module 27Module 27

ContinuingContinuingAuthoritiesAuthorities

ProgramProgram

Module 27Module 27

ContinuingContinuingAuthoritiesAuthorities

ProgramProgram

Civil Works Orientation Course - FY 11Civil Works Orientation Course - FY 11

Objectives:Objectives:Objectives:Objectives:

“Provide a basic overview and understanding of the Continuing Authorities Program (CAP) and the differences between the GI and CAP processes”

Continuing Authorities ProgramContinuing Authorities Program

Congress Has Provided the Corps with Standing Authorities to Study and Build Specific Water

Resource Projects for Specific Purposes and with Specified Federal Spending Limits.

CAP AuthoritiesCAP Authorities

S ectio n 14E m erg en cyS tream b ankP ro tec tion

S ection 103S h o re lineP ro tec tion

S ection 107N aviga tion

S ection 111S h o re lineM itiga tion

S ection 204B en efic ia l U ses

ofD red g ed M aterial

S ec tion 205F lo od

C o n trol

S ec tion 206Aq u atic/E s tu ary

R estora tion

S ectio n 3N aviga tionC learin g &S n agg ing

S ection 208C learin g &S n agg ing

S ectio n 1135R estora tion

Assoc ia ted W itha C o rp s P ro ject

ContinuingAuthorities

Program

CAP ProjectsCAP Projects

Quicker to Implement ! (usually 3 years from study to construction, SAF)

Limited in scope, geographic area and complexity

Have a Federal cost limit determined by the specific project authority

Feasibility Report or Definite Project Report (DPR) approved by Division Commander

Typically FCSA approved/executed by District Commander & PPA approved at Division

Do not need additional Congressional authorization for individual projects

What CAP is NotWhat CAP is Not

CAP is not for…

Study only activities

Avoiding specific Congressional authorization requirements (by “daisy chaining” together CAP projects)

Correction of design deficiencies on another project

CAP Program StructureCAP Program Structure

Two Phase Program– Feasibility Phase– Design & Implementation Phase (D&I)

Prior to January 31, 2006 – – Recon, Feasibility, and Construction

Phases

CAP Feasibility PhaseCAP Feasibility Phase

Sponsor submits request for assistance– Environmental (206/1135) may be “non-profit entity”– Request to include financial understanding

Initially Federally funded up to $100,000

No FCSA required if Feasibility < $100k*Costs beyond $100k shared 50/50 with FCSA

*Should a project (somehow) complete Feasibility under $100k, any remaining feasibility funds may not be used toward the D&I phase

Typical CAP MilestonesTypical CAP Milestones

Federal Interest Determination (FID)– Acknowledge/Decline Federal Interest– Solution(s) which result in a project consistent with the intent of

CAP and willing & capable sponsor

Project Management Plan (PMP)

Alternative Formulation Briefing (AFB) – Held after alternative plans formulated and prior to release of draft

decision document for public review– Legal & policy issues identified w/ MSC concurrence

Final product is the Detailed Report (DPR)

Design & Implementation (D&I) PhaseDesign & Implementation (D&I) Phase

Begins upon MSC approval of decision document

If EIS is completed, a Record of Decision (ROD) is to be signed by the Division Commander (ER 200-2-2)

Requires PPA for D&I phase

Design-Completion of Plans and Specs

Implementation

Solicitation for Contracts

D&I – Project CompletionD&I – Project Completion

District Commander determines if project is functional and turns it over to the sponsor for O&M

OMRR&R manual provided to sponsor with turn over letter

Project completion of final accounting report

Typical CAP Study DocumentationTypical CAP Study Documentation

A clear description of the recommended plan

Demonstration of project justification based on standard Corps project justification criteria for the particular purpose

Documentation of compliance with appropriate Federal, state, and local environmental and regulatory requirements

The non-federal sponsor signs a self-certification of financial capability for project implementation

District Real Estate certification that the non-federal sponsor has the capability to acquire and provide the required real estate interests

Identification of the anticipated O&MRR&R, including estimated costs

ATR documentation

District counsel legal sufficiency statement for the decision document and NEPA

A completed Real Estate Plan

CAP Study Cannot Be Approved WhenCAP Study Cannot Be Approved When::

CAP authority is not appropriate for that purpose

Study costs exceed construction costs

Estimated Federal cost exceeds CAP authorization’s per-project funding limit

A non-federal sponsor for design/implementation is not identified

There are outstanding policy issues

Any required environmental compliance is not completed

Converting CAP to GI Converting CAP to GI and Vice Versaand Vice Versa

CAP studies may be converted to a specifically authorized GI program study if the proposed solution will exceed the specific CAP funding limit

GI Feasibility studies or a (separable element) may be converted to CAP if it appears they will result in a small, non-complex project

Cannot use CAP funds for GI studies except to finish a “logical increment”

CAP FACTSCAP FACTS

Congressional Committees and HQUSACE have mandated that CAP be a national program. As such budget allocations and project new starts are approved by HQUSACE

Congress has been earmarking projects in each of the authorities, so much so that no other projects can be considered until this backlog has been completed

Demand exceeds funds available

CAP PROCEDURESCAP PROCEDURESCAP PROCEDURESCAP PROCEDURES

ER 1105-2-100, Appendix F Provides Detailed Program Guidance for all CAP authorities:

Program/Project Funding and Allocation HQ/MSC Responsibility Cost-Sharing, FCSA & PPA’s MSC’s responsible for establishing decision

document requirements and formats

CLEARING & SNAGGINGCLEARING & SNAGGINGCLEARING & SNAGGINGCLEARING & SNAGGING

Section 208, Flood Control Act of 1954, as amended

Purpose - Snagging and Clearing for Flood Control

Per Project Federal Spending Limit of $500,000

Annual Program Spending Limit of $7,500,000

Aquatic Ecosystem and Aquatic Ecosystem and Estuary RestorationEstuary Restoration

Aquatic Ecosystem and Aquatic Ecosystem and Estuary RestorationEstuary Restoration

Section 206, Water Resources

Development Act (WRDA) of 1996, as amended by WRDA 2007

Purpose - aquatic ecosystem restoration and protection

Per Project Federal Spending Limit of $5,000,000

Annual Program Appropriation Limit of $50,000,000

FLOOD RISK MANAGEMENTFLOOD RISK MANAGEMENTFLOOD RISK MANAGEMENTFLOOD RISK MANAGEMENT

Section 205, Flood Control Act of 1948, as Amended

Purpose - Flood Damage Reduction

Per Project Federal Spending Limit of $7,000,000

Annual Program Spending Limit of $55,000,000

SHORELINE PROTECTIONSHORELINE PROTECTIONSHORELINE PROTECTIONSHORELINE PROTECTION

Section 103, River and Harbor Act of 1962, as amended

Purpose - Hurricane and Storm Damage Reduction

Per Project Federal Spending Limit of $3,000,000

Annual Program Spending Limit of $30,000,000

Emergency StreambankEmergency StreambankEmergency StreambankEmergency StreambankSection 14, Flood Control Act of 1946, as amended

Purpose of Emergency Streambank and Shoreline Erosion Protection for Public Facilities and Services

Per Project Federal Spending Limit of $1,500,000 Annual Program Spending Limit of $15,000,000

Cost Sharing for Sections 208, 206Cost Sharing for Sections 208, 206**, , 205, 103, 14,205, 103, 14,

Cost Sharing for Sections 208, 206Cost Sharing for Sections 208, 206**, , 205, 103, 14,205, 103, 14,

• No reconnaissance phase

• Feasibility study initially Federally funded up to $100,000 to prepare Federal interest determination and follow on decision document

• Costs in excess of the $100,000 must be cost shared 50%-50% (FCSA)

• D&I are cost-shared 65% Federal (up to the per project limit) 35% Non-Federal

• Non - Federal share may be credit for work in-kind

• A PPA is executed after project approval and prior to initiation of D&I phase

*Section 206 Sponsors can be a Non-Governmental Organization

NAVIGATIONNAVIGATIONNAVIGATIONNAVIGATION

Section 107, River and Harbor Act of 1960, as amended

Purpose - Navigation Per Project Federal Spending

Limit of $7,000,000 Annual Program Spending

Limit of $35,000,000

Cost Sharing For Section 107Cost Sharing For Section 107Cost Sharing For Section 107Cost Sharing For Section 107

• No reconnaissance phase

• Initially Federally funded up to $100,000 to prepare Federal interest determination and follow on decision document

• Costs in excess of the $100,000 must be cost shared 50%-50% (FCSA)

• Non - Federal share may be credit for work in-kind

• Cost sharing of D&I is the same as specifically authorized navigation projects

• A PPA is executed after project approval and prior to initiation of D&I Phase

• Currently execution of all Section 107 agreements must be approved by ASA (CW)

NAVIGATIONNAVIGATIONNAVIGATIONNAVIGATION

Section 3, River and Harbor Act of 1945, as amended

Purpose - Clearing & Snagging No Per Project Fed Funding

Limit Annual Program Spending

Limit of $1,000,000 Not funded in recent years

Cost Sharing For Section 3Cost Sharing For Section 3

• 100% Federal cost for design and construction

• Non-Federal responsible for LERRDs

• Non-Federal responsible for O&M

SHORELINE MITIGATIONSHORELINE MITIGATIONSHORELINE MITIGATIONSHORELINE MITIGATION

Section 111, River and Harbor Act of 1968, as amended

Purpose - Mitigation of Shoreline Erosion Damage Caused by Federal Navigation Projects

Per Project Federal Spending Limit of $5,000,000. If the Federal Share Exceeds $5,000,000, the Project May NOT Proceed Without Specific Congressional Authorization

Cost Sharing for Section 111Cost Sharing for Section 111Cost Sharing for Section 111Cost Sharing for Section 111

• Non - Federal share may be credit for work in-kind

• D&I and construction phases are cost-shared the same as the navigation feature causing the damage.

• A PPA is executed after project approval and prior to initiation of D&I Phase

• No reconnaissance phase

• Initially Federally funded up to $100,000 to prepare Federal Interest determination and follow on decision document

• Costs in excess of the $100,000 must be cost shared 50%-50% (FCSA)

Project Modifications forProject Modifications forImprovement of the EnvironmentImprovement of the Environment

Project Modifications forProject Modifications forImprovement of the EnvironmentImprovement of the Environment

Section 1135, Water Resources Development Act (WRDA) of 1986, as amended

Purpose - Modification to improve the environment where an existing Federal project contributed to the problem

Per Project Federal Spending Limit of $5,000,000 Program Annual Appropriation Limit

of $40,000,000

Cost Sharing For Section 1135Cost Sharing For Section 1135Cost Sharing For Section 1135Cost Sharing For Section 1135

• D&I are cost-shared 75% Federal (up to the per project limit) 25% Non-Federal

• Non - Federal share may be credit for work in-kind

• A PPA is executed after project approval prior to initiation of D&I

• Sponsors can be Non-Governmental Organization

• No reconnaissance phase

• Initially Federally funded up to $100,000 to prepare Federal interest determination and follow on decision document

• Costs in excess of the $100,000 must be cost shared 50%-50% (FCSA)

Ecosystem Restoration in Ecosystem Restoration in Connection with Dredging Connection with Dredging Ecosystem Restoration in Ecosystem Restoration in Connection with Dredging Connection with Dredging

Section 204, Water Resources Development Act (WRDA) of 1992, as amended

Purpose - protection, restoration, and creation of aquatic and ecologically related habitats, including wetlands, in connection with dredging for construction, O&M of an authorized Federal project

Per Project Federal Spending Limit of $5,000,000 Annual Program Appropriation Limit of $30,000,000

Cost Sharing For Section 204Cost Sharing For Section 204Cost Sharing For Section 204Cost Sharing For Section 204

No reconnaissance phase

Initially Federally funded up to $100,000 to prepare Federal interest determination and follow on decision document

Costs in excess of the $100,000 must be cost shared 50%-50% (FCSA)

D&I are cost shared 65/35

• A PPA is executed at the end of P&S

• Cost sharing is for the increment above the base disposal plan which are “costs necessary to carry out dredging…in the most effective way, consistent with economic, engineering, and environmental criteria.”

Program Funding LimitsProgram Funding Limits

Section Description Project Program ($ million) ($ million)

3 Navigation Clearing & Snagging None 1

14 Streambank/Shore protection 1.5 15

103 Beach Erosion Control 3 30

107 Navigation 7 35

111 Mitigation of Shore Damage 5 None

205 Flood Damage Reduction 7 55

208 Snagging/Clearing 0.5 7.5

206 Aquatic Restoration 5 50

1135 Ecosystem Restoration 5 40

204 Beneficial Uses - Dred. Mat. 5 30

Section Description Project Program ($ million) ($ million)

3 Navigation Clearing & Snagging None 1

14 Streambank/Shore protection 1.5 15

103 Beach Erosion Control 3 30

107 Navigation 7 35

111 Mitigation of Shore Damage 5 None

205 Flood Damage Reduction 7 55

208 Snagging/Clearing 0.5 7.5

206 Aquatic Restoration 5 50

1135 Ecosystem Restoration 5 40

204 Beneficial Uses - Dred. Mat. 5 30

Fiscal Year 2007 - Funding LevelsFiscal Year 2007 - Funding Levels

Section Authority 07 Budget 07

Approp. ($ million) ($ million)

1414 Streambank/Shore protection 1.3 Streambank/Shore protection 1.3 15 15

103103 Beach Erosion Control 0.6Beach Erosion Control 0.6 7 7

107107 NavigationNavigation 0.8 0.8 12 12

111111 Mitigation of Shore Damage 0 0.5Mitigation of Shore Damage 0 0.5

205205 Flood Damage Reduction 16 Flood Damage Reduction 16 40 40

208208 Snagging/ClearingSnagging/Clearing 0 0 0.3 0.3

206206 Aquatic RestorationAquatic Restoration 15 15 30 30

11351135 Ecosystem Restoration 15Ecosystem Restoration 15 30 30

204204 Beneficial Uses - Dred. Mat. 0Beneficial Uses - Dred. Mat. 0 5 5

Fiscal Year 2008 - Funding LevelsFiscal Year 2008 - Funding Levels

Section Authority 08 Budget 08

Approp. ($ million) ($ million)

1414 Streambank/Shore protection 0.9 Streambank/Shore protection 0.9 9.8 9.8

103103 Beach Erosion Control 0.4Beach Erosion Control 0.4 4.4 4.4

107107 NavigationNavigation 0.5 0.5 7.4 7.4

111111 Mitigation of Shore Damage 0 4.8Mitigation of Shore Damage 0 4.8

205205 Flood Damage Reduction 11.7 Flood Damage Reduction 11.7 42.3 42.3

208208 Snagging/ClearingSnagging/Clearing 0.1 0.1 0 0

206206 Aquatic RestorationAquatic Restoration 11.3 11.3 29.5 29.5

11351135 Ecosystem Restoration 11.2Ecosystem Restoration 11.2 29.5 29.5

204204 Beneficial Uses - Dred. Mat. 0Beneficial Uses - Dred. Mat. 0 5.3 5.3

Fiscal Year 2009 - Funding LevelsFiscal Year 2009 - Funding Levels

Section Authority 09 Budget 09

Approp. ($ million) ($ million)

1414 Streambank/Shore protection 2.3 Streambank/Shore protection 2.3 8.6 8.6103103 Beach Erosion Control 0Beach Erosion Control 0 4.3 4.3107107 NavigationNavigation 0.6 0.6 7.2 7.2111111 Mitigation of Shore Damage 0 4.3Mitigation of Shore Damage 0 4.3205205 Flood Damage Reduction 2.6 Flood Damage Reduction 2.6 38.3 38.3208208 Snagging/ClearingSnagging/Clearing 0 0 0.5 0.5206206 Aquatic RestorationAquatic Restoration 10.3 10.3 28.7 28.7

11351135 Ecosystem Restoration 6.5Ecosystem Restoration 6.5 28.7 28.7204204 Beneficial Uses - Dred. Mat. 0Beneficial Uses - Dred. Mat. 0 3.8 3.8

Fiscal Year 2010 - Funding LevelsFiscal Year 2010 - Funding Levels

Section Authority 10 Budget 10

Approp. ($ million) ($ million)

1414 Streambank/Shore protection 1.5 Streambank/Shore protection 1.5 5.8 5.8103103 Beach Erosion Control 0.7Beach Erosion Control 0.7 3.9 3.9107107 NavigationNavigation 1.4 1.4 6.3 6.3111111 Mitigation of Shore Damage 0 6.3Mitigation of Shore Damage 0 6.3205205 Flood Damage Reduction 12.0 Flood Damage Reduction 12.0 37.8 37.8208208 Snagging/ClearingSnagging/Clearing 0.2 0.2 0 0206206 Aquatic RestorationAquatic Restoration 7.0 7.0 27.1 27.1

11351135 Ecosystem Restoration 5.7Ecosystem Restoration 5.7 24.2 24.2204204 Beneficial Uses - Dred. Mat. 0Beneficial Uses - Dred. Mat. 0 7.8 7.8