i

DEPARTMENT OF THE ARMY EP 500-1-1

U.S. Army Corps of Engineers

CECW-OE Washington, D.C. 20314-1000

Pamphlet 30 September 2001

No. 500-1-1 

Emergency Employment of Army and Other Resources

CIVIL EMERGENCY MANAGEMENT PROGRAM - PROCEDURES

RCS CECW-O-65

TABLE OF CONTENTS

Paragraph Page

Chapter 1. Introduction

Purpose 1-1 1-1

Applicability 1-2 1-1

Distribution Statement 1-3 1-1

References 1-4 1-1

Glossary of Acronyms and Terms 1-5 1-1

Responsibilities 1-6 1-1

Mission Statement 1-7 1-1

Chapter 2. CEM Program Implementation

Authorities 2-1 2-1

Funding for the CEM Program 2-2 2-1

Cooperation Agreements (CA's) 2-3 2-2

ENGLink 2-4 2-3

Deployable Tactical Operating System (DTOS) 2-5 2-3

The Emergency Management Cycle 2-6 2-3

Coordinating Instructions 2-7 2-3

Chapter 3. Disaster Preparedness

Policy 3-1 3-1

The Emergency Manager 3-2 3-1

Operation Plans (OPLAN's) 3-3 3-2

Exercises 3-4 3-5

Emergency Operation Centers (EOC's)/Facility Support 3-5 3-5

The Deployable Tactical Operation System (DTOS) 3-6 3-10

Emergency Management High Visibility Items 3-7 3-12
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Chapter 4. Emergency Operations

Section I. General

General 4-1 4-1

Authorities 4-2 4-1

Operational Procedures - General 4-3 4-1

Funding - General 4-4 4-3

Section II. Response Operations - Floods and Floodfights

Operational Procedures - Floods and Floodfights 4-5 4-6

Funding - Floods and Floodfights 4-6 4-7

Cooperation Agreement - Emergency Assistance 4-7 4-7

Section III. Response Operations - Disasters Other Than Floods

Operational Procedures - Other Than Floods 4-8 4-10

Funding - Other Than Floods 4-9 4-10

Cooperation Agreement - Other Than Floods 4-10 4-10

Section IV. Post Flood Response

Operational Procedures - Post Flood Response 4-11 4-10

Funding - Post Flood Response 4-12 4-12

Cooperation Agreement - Post Flood Response 4-13 4-12

Section V. Reporting

Overview 4-14 4-15

Situation Reports (SITREP's) 4-15 4-15

Disaster Recovery SITREP's 4-16 4-21

Spot Reports (SPOTREP's) 4-17 4-24

After Action Reports and Procedures 4-18 4-24

Disaster Audit 4-19 4-25
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Chapter 5. The Rehabilitation and Inspection Program

Section I. General

The Rehabilitation and Inspection Program (RIP) - 5-1 5-1

 Overview 

RIP Philosophy 5-2 5-1

FCW Database 5-3 5-1

The Inspection of Completed Works (ICW) Program 5-4 5-4

Section II. Inspections

Overview of Inspections 5-5 5-4

Initial Eligibility Inspections (IEI's) 5-6 5-6

Continuing Eligibility Inspections (CEI's) 5-7 5-8

Reporting and Processing Results of Inspections, 5-8 5-9

 and General Information

(Reserved) 5-9 5-11

Section III. Providing Rehabilitation Assistance

Procedures After Occurrence of a Flood Event 5-10 5-11

PIR Preparation and Processing 5-11 5-12

Approved Rehabilitation Projects 5-12 5-13

Cooperation Agreement - Rehabilitation Assistance 5-13 5-14

Initial Repairs - Breached Levees 5-14 5-15

Section IV. Interagency Levee Task Forces and Nonstructural Alternatives to Structural 

Levee Rehabilitation

Interagency Levee Task Forces (ILTF's) 5-15 5-26

Nonstructural Alternative Projects (NSAP's) 5-16 5-30

Section V. Inspections and Rehabilitation Assistance for Hurricane/Shore Protection 

Projects (HSPP's)

Inspections of HSPP's 5-17 5-32

Procedures for HSPP Rehabilitation Assistance 5-18 5-33

Construction, Reporting, and Closeout of Approved 5-19 5-37

 HSPP Rehabilitation Assistance Projects
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Section VI. Dams

Dams 5-20 5-44

Chapter 6. Emergency Water Assistance

Section I. Emergency Water Assistance Due to Contaminated Water Source

General 6-1 6-1

Philosophy and Sense of Urgency 6-2 6-1

Procedures 6-3 6-1

PIR Preparation 6-4 6-2

Cooperation Agreement 6-5 6-3

Funding and Cost Information 6-6 6-3

Section II. Emergency Water Assistance Due to Drought

General 6-7 6-8

Procedures 6-8 6-8

Considerations for Assistance 6-9 6-9

PIR Preparation 6-10 6-11

Cooperation Agreement 6-11 6-11

Funding and Cost Information 6-12 6-11

Chapter 7. Advance Measures

General 7-1 7-1

Types of and Eligibility for Advance Measures 7-2 7-1

 Assistance

Advance Measures Situations and Applications 7-3 7-1

Procedures 7-4 7-2

Chapter 8. Hazard Mitigation

Implementation 8-1 8-1

Background 8-2 8-1

HMT Concept of Operation 8-3 8-2

Procedures 8-4 8-3

Funding 8-5 8-5
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Chapter 9. Department of the Army Assistance Under AR 500-60

General 9-1 9-1

USACE Procedures 9-2 9-1

Chapter 10. National Oil and Hazardous Substance Pollution Contingency Plan

General 10-1 10-1

Authority 10-2 10-1

Background 10-3 10-1

USACE Participation 10-4 10-2

Procedures 10-5 10-2

Chapter 11. Emergency Contracting

General 11-1 11-1

Contracting Philosophy and Commander's Intent 11-2 11-1

 for Emergency Work

Contracting Procedures and Execution 11-3 11-1

APPENDICES

Appendix A. References. A-1

Appendix B. Inspection Guide for Flood Control Works B-1

Appendix C. Cooperation Agreements, Rehabilitation of Federal C-1

 and Non-Federal Flood Control Works

Appendix D. Economic Analysis D-1

Appendix E. Regional Variances to Levee Vegetation Standards E-1

Glossary of Acronyms and Terms Glossary 1
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LIST OF TABLES

TABLE TITLE PAGE

5-1 Rating Codes for Individual Rated Items 5-4

5-2 Project Condition Codes 5-5

5-3 Project Status 5-6

5-4 Levee Cross Section Template Data 5-8

LIST OF FIGURES

FIGURE TITLE PAGE

1-1 USACE Emergency Management Mission Statement 1-2

2-1 Funds Request Matrix 2-1

2-2 The Emergency Management Cycle` 2-4

3-1 OPLAN Format 3-3

4-1 Format for Declaration of Emergency 4-5

4-2 Cooperation Agreement for Emergency Assistance 4-9

4-3 Cooperation Agreement for Post Flood Response Assistance 4-13

4-4 Format for Situation Report 4-18

4-5 Format for Appendix A to Basic SITREP 4-19

4-6 Format for Appendix B to Basic SITREP 4-19

4-7 Format for Appendix C to Basic SITREP 4-20

4-8 Format for Appendix D to Basic SITREP 4-20

4-9 Format for Appendix E to Basic SITREP 4-21

4-10 Format for Disaster Recovery SITREP 4-23

4-11 Format for Appendix H to Disaster Recovery SITREP 4-23

4-12 Format for SPOTREP Submission 4-24

4-13 Format for After Action Report 4-26

4-14 Explanatory Guidance for AAR Preparation 4-27

5-1 Flood Control Works Database 5-2

5-2 Format for Notice to Public Sponsors 5-17

5-3 PIR Format, Rehabilitation of Damaged Flood Control Works 5-18

5-4 PIR Review Checklist (Appendix Z) for FCW Rehabilitation 5-22

 Projects

5-5 PIR Review Checklist (Appendix Z) for Initial Repair, FCW 5-24

 Rehabilitation Projects

5-6 Interagency Levee Task Force Basic Charter Format 5-27

5-7 PIR Review Checklist (Appendix Z), Nonstructural Alternative 5-31

 Project

5-8 PIR Format, HSPP Rehabilitation Assistance 5-38
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FIGURE TITLE PAGE

5-9 PIR Review Checklist (Appendix Z), HSPP Rehabilitation 5-41

 Assistance

6-1 PIR Format, Emergency Water Assistance Due to 6-5

 Contaminated Water Source

6-2 PIR Review Checklist (Appendix Z), Emergency Water 6-6

 Assistance Due to Contaminated Water Source

6-3 Cooperation Agreement for Emergency Water Assistance 6-7

 Due to Contaminated Water Source

6-4 PIR Format, Emergency Water Assistance Due to Drought 6-13

6-5 PIR Review Checklist (Appendix Z), Emergency Water 6-14

 Assistance Due to Drought

6-6 Cooperation Agreement for Emergency Water Assistance 6-15

 Due to Drought

7-1 PIR Format, Advance Measures 7-5

7-2 PIR Review Checklist (Appendix Z) for Advance Measures 7-6

7-3 Cooperation Agreement for Advance Measures Assistance 7-7

B-1 Inspection Guide for Flood Control Works A-1

C-1 Cooperation Agreement for Rehabilitation of Non-Federal C-3

 Flood Control Works

C-2 Cooperation Agreement for Rehabilitation of Federal Flood C-11

 Control Works

C-3 Cooperation Agreement for HSPP Rehabilitation Assistance C-19

D-1 Land Use of Area Protected D-4

D-2 Damages from Historical Floods D-4

D-3 Check Requirements for Agricultural-type Damages D-5

E-1 Format for Regional Variance Agreement E-4
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1-1

CHAPTER 1

INTRODUCTION

1-1. Purpose. This pamphlet prescribes processes and procedures for the management 

and execution of the Civil Emergency Management (CEM) Program of the U.S. Army Corps 

of Engineers (USACE) under the authorities of 33 USC 701n (commonly referred to as 

Public Law (PL) 84-99); The Robert T. Stafford Disaster Relief and Emergency Assistance 

Act (42 U.S.C. 5121 et seq.) (The Stafford Act); Army Regulation (AR) 500-60, Disaster 

Relief; Engineer Regulation (ER) 500-1-1, Civil Emergency Management Program; and ER 

1130-2-530, Flood Control Operations and Maintenance Policies. This pamphlet is a 

companion document to, and must be used in conjunction with, ER 500-1-1. For clarity and 

ease of usage, chapter numbering in this pamphlet replicates that used in ER 500-1-1. In 

case of a discrepancy between this pamphlet and ER 500-1-1, ER 500-1-1 governs. 

1-2. Applicability. This pamphlet applies to HQUSACE elements, Major Subordinate 

Commands (MSC's), districts, laboratories, the 249th Engineer Battalion (Prime Power), 

and other field operating activities (FOA) of USACE. This pamphlet is applicable in the fifty 

states, the District of Columbia, and the territories of the United States, unless provided 

otherwise by law. For instance, certain Stafford Act provisions apply to the Federated 

States of Micronesia, the Marshall Islands, and the Republic of Palau. The Pacific Ocean 

Division and Honolulu District are permitted to conduct preparedness activities that support 

authorized Stafford Act activities in these areas. Supplementation of this pamphlet is not 

permitted.

1-3. Distribution Statement. Approved for public release, distribution is unlimited.

1-4. References. See ER 500-1-1, Appendix A.

1-5. Glossary of Acronyms and Terms. See the Glossary at the end of this pamphlet. 

1-6. Responsibilities. The emergency management authorities and responsibilities of 

commanders at all levels within USACE are contained in ER 500-1-1, Chapter 1.

1-7. Mission Statement. The mission statement for USACE Civil Emergency 

Management is shown in Figure 1-1, on page 1-2.
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1-2

Figure 1-1. USACE Emergency Management Mission Statement

USACE continuously provides timely, effective, and 

efficient disaster preparedness, response, recovery, and 

mitigation projects and services on a nationwide basis to 

reduce loss of life and property damage under DOD, 

USACE, FEMA, and other agencies' authorities.
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2-1

CHAPTER 2

CEM PROGRAM IMPLEMENTATION

2-1. Authorities. Refer to Chapter 2, ER 500-1-1.

2-2. Funding for the CEM Program. ER 11-1-320 provides policies and procedures for 

funding for the CEM Program. This pamphlet contains supplementary and amplifying 

processes and procedures regarding funding actions. Figure 2-1 below summarizes 

funding action procedures and requirements for CEM Program implementation.

Figure 2-1. Funds Request Matrix

Normal Out of Cycle

Flood or 

Coastal 

Storm 

(Victim 

District) 

(210)

Other 

Natural 

Disaster 

(Victim 

District) 

(210)

Support to 

Victim 

District 

(210)

AAR 

(220)

Post Flood 

Response 

(230)

Supplies 

and 

Equipment 

(240)

Support from 

Others 

(250)

Operational 

Support 

(260)

Requesting 

Office EM/PM EM/PM EM EM EM EM EM EM EM EM

Supporting 

Reqts

IAW Annual 

budget 

cycle reqt

Justification Requires 

formal task 

or directive 

from UOC, 

MSC HQ, or 

victim 

district.

IAW ER 

500-1-1

Written 

request from 

Governor and 

State request 

for FEMA 

Disaster 

Declaration

IAW ER 

500-1-1

IAW ER 

500-1-1. 

Requires 

Class 210 

Declaration of Emergency.

IAW ER 

500-1-1 for 

authorized 

orgns.

DE Decl of 

Emergency 

Required?

No No Yes (1) Yes (1) No No Yes (1) No No No

Rehab 

(310/320/ 

330)

Rehab Invest 

(340)

IEI's 

(350)

CEI's 

(360)

ILTF 

(370)

FCW 

Database 

(380)

Invest/Tech 

Asst/ PIR 

Prep 

(430)

Contamin'd 

Water 

Project 

(410)

Drought 

Project 

(420)

Invest/Tech 

Asst/ PIR 

Prep 

(520)

Advance 

Measures 

Project 

(510)

Requesting 

Office EM EM EM EM EM EM EM EM EM EM EM

Supporting 

Reqts

Approved 

PIR.

Rehab 

request from 

public 

sponsor of 

active FCW 

project.

Request 

from public 

sponsor for 

IEI

Part of 

annual 

FCCE 

budget 

request.

HQUSACE 

approval to 

activate 

ILTF

Part of 

annual 

FCCE 

budget 

request.

Request from 

appropriate 

State official

Governor's 

request

Governor's 

request

Request 

from 

appropriate 

State official

Governor's 

request

DE Decl of 

Emergency 

Required?

No No No No No No No Yes (1) Yes (1) No Yes (1)

NOTES

Cat 500

Cat 200

FUNDS REQUEST MATRIX

Cat 100

Cat 300 Cat 400

(1) Is delegated to D/DE or any supervisor down to Acting EM Chief level unless withdrawn by DE. Declaration explicitly directs EOC 

activation.
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2-2

a. For transfer of funds authority, refer to ER 11-2-201. 

b. Reprogramming of Category 100 funds will be in accordance with ER11-2-201. 

c. No reprogramming of Category 200 - 500 funds is permitted. 

d. Refer to ER 37-2-10 for guidance on establishment of appropriate cost accounts.

2-3. Cooperation Agreements (CA’s). CA’s for USACE assistance are required by 

ER 500-1-1, paragraph 2-4. Use of these CA's is mandatory unless HQUSACE has 

granted an exception. Previous versions of Project Cooperation Agreements, Cooperation 

and Participation Agreements, Local Cooperation Agreements, etc., for PL 84-99 activities 

are obsolete and will not be used.

a. Prescribed CA formats are located in:

(1) Chapter 4 of this pamphlet for Emergency Assistance and Post Flood Response.

(2) Appendix B of this pamphlet for Rehabilitation Assistance.

(3) Chapter 6 of this pamphlet for Emergency Water Assistance Due to Contaminated 

Water Source, and Emergency Water Assistance Due to Drought.

(4) Chapter 7 of this pamphlet for Advance Measures.

b. Use of a CA allows for a complete understanding between USACE and the public 

sponsor regarding assistance provided by USACE. USACE policy (set forth in 33 CFR Part 

203 and ER 500-1-1) requires districts to obtain an agreement (the CA) that the public 

sponsor agrees to provide LERRD's, to hold and save the Government free from damages, 

and to operate and maintain the completed work. Other provisions may be necessary, 

depending on the type of assistance provided. Districts will ensure the appropriate 

provisions are included in the CA. Some typical provisions are:

(1) Removal of Temporary Work. A provision that the public sponsor will be

responsible to remove all temporary work constructed by USACE. Removal must be 

initiated within 30 days after the conclusion of the flood event. The wording must not 

preclude the use of other Federal assistance programs to fund removal. This provision is 

typical of floodfight and Advance Measures assistance.

(2) Upgrade of Temporary Work. A provision that if the public sponsor desire to retain 

the temporary flood control structure after the immediate flood threat has passed, the 

structure must be upgraded to meet requirements of a permanent structure and, if not a 
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Federal project, meet the requirements for Active status in the Rehabilitation and Inspection 

Program. Actions to initiate upgrade of the works must be initiated within 30 days after the 

conclusion of the flood event. Local interests should accomplish the improvements with 

their own funds; however, they may request assistance under other applicable Corps 

authorities, such as a Section 205 study. The upgraded project must comply with all local 

and/or Federal permits, environmental concerns, and all legal requirements. This provision 

is typical of floodfight and Advance Measures assistance.

(3) Maintenance Deficiencies. A provision explaining that maintenance deficiencies 

and deferred maintenance will be corrected by, or at the expense of, the public sponsor.

(4) Cost Sharing or Payment to the Government. A provision specifying the conditions 

for cost sharing or payment to the United States.

(5) Permits. A provision specifying responsibility for obtaining permits.

c. The CA will be executed with the public sponsor. 

d. Failure by a public sponsor to comply with the terms of a CA will jeopardize future 

Federal assistance to that public sponsor.

2-4. ENGLink. ENGLink is the designated information and reporting mechanism for Civil 

Emergency Management purposes in USACE. ENGLink will be used at all times as the 

primary source for reporting and briefing activities if access is available. All specified 

reports and processes will be accomplished in ENGLink using guidance provided by 

Headquarters USACE and the Tactical Support Center. The National FCW Database will 

reside on ENGLink.

2-5. Deployable Tactical Operating System (DTOS). DTOS is a command and control 

concept that employs four tiers of capability. DTOS is centrally funded by HQUSACE 

through the Tactical Support Center. For additional information, refer to paragraph 3-6.

2-6. The Emergency Management Cycle. The emergency management cycle, portrayed 

in Figure 2-2, is the principal model used by USACE to address natural disasters. 

2-7. Coordinating Instructions.

a. Emergency Management Boundaries. In accordance with ER 500-1-1, 

paragraph 2-3.d., when established Civil Works boundaries are temporarily realigned for 

emergency management purposes, HQUSACE will be notified of any realignments. 

Notification will be via Spot Report (SPOTREP) and Situation Report (SITREP).
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Figure 2-2. The Emergency Management Cycle

b. Interdivisional Assistance/Augmentation. An MSC commander may request

interdivisional assistance, and/or augmentees, in the event divisional personnel resources 

are insufficient to cope with an emergency. Requests for assistance involving positions the 

supported MSC has been unable to fill with Division resources/volunteers will be submitted 

to the UOC. The principal method for requesting interdivisional assistance and 

augmentation is the ENGLink Deployment Module.
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3-1

CHAPTER 3

DISASTER PREPAREDNESS

3-1. Policy. Refer to Chapter 3, ER 500-1-1.

3-2. The Emergency Manager. The Emergency Manager serves as principal advisor to 

the Commander on all matters related to natural and technological disasters and national 

security emergencies, civil disturbances, and terrorism activities. During emergencies, the 

Emergency Manager provides overall management of emergency/disaster operations and 

planning activities, typically is the official who directly represents the commander for 

disaster related matters.

a. Subject Matter Expertise. The Emergency Manager is the subject matter expert on 

PL 84-99 and the Stafford Act, and is well versed about authorized projects, Continuing 

Authorities Programs, other USACE emergency authorities, and the Support for Others 

Program, and how those authorities interface with PL 84-99 and Stafford Act activities. The 

Emergency Manager is knowledgeable of the functions of all elements within the command. 

 The Emergency Manager is also knowledgeable of other agencies' emergency

management authorities, particularly those of the Natural Resources Conservation Service 

and the Federal Highways Administration.

b. Command Preparedness Activities. The Emergency Manager is responsible for all 

Command Preparedness activities. This includes the conduct of emergency planning, 

training, and exercises; the implementation of a viable corrective actions program; and 

maintenance of the organization's EOC staff and facility in a high state of preparedness. 

The Emergency Manager is directly responsible for the execution of operational response 

and recovery missions.

c. Rehabilitation and Inspection Program. The Emergency Manager oversees the

Rehabilitation and Inspection Program. This incorporates the Flood Control Works 

Database, Initial Eligibility Inspections and Continuing Eligibility Inspections, and

Rehabilitation Assistance when necessary, and includes all Federal and non-Federal flood 

control works.

d. Support to Other Corps Elements. The Emergency Manager is responsible for 

managing the organization's CEM Program support to other Corps elements. This includes 

ensuring that functional (support) personnel are trained and positions are staffed, staffing 

Planning and Response Teams, and assisting personnel deploying in support of other 

Corps elements. The Emergency Manager is responsible for overwatching all

administrative functions associated with the organization's personnel while deployed.
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3-3. Operation Plans (OPLAN's).

a. Definition. An Operation Plan (OPLAN) is a proposal for executing a command 

decision or project. It represents the command's preparation for future or anticipated 

operations.

b. Requirements. Requirements for OPLAN's are contained in ER 500-1-1, paragraph 

3-3.b. 

c. OPLAN Format. The format at Figure 3-1 will be the basic format used for 

preparation of Emergency Management OPLAN's in USACE. Additional guidance 

regarding format and content may be found in Field Manual (FM) 101-5, Appendix H. 

FM 101-5 may be accessed through the General Dennis J. Reimer Training and Doctrine 

Digital Library at http://www.adtdl.army.mil/atdls.htm.
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3-3

Figure 3-1. OPLAN Format

_______________________

(Classification)

Copy _____ of _____ copies

Issuing Headquarters

Place of Issue

Date-time group of signature

OPERATION PLAN ____________ (common or code name)

 (number)

References:

Time Zone Used Throughout the Plan:

Task Organization: (State the allocation of units/resources, to include augmentation 

teams and major liaison elements.)

1. SITUATION

a. Supporting agencies

(1) DOD

(2) FEMA

(3) Federal (non-DOD)

(4) State/tribal/Local

b. Assumptions (List all assumptions, e.g., percentage availability of district 

personnel after the disaster strikes, availability of communications means, EOC 

activation level, etc.)

2. MISSION

3. EXECUTION

Commander's Intent: (State the commander's intent, previously derived during the 

planning process.)

a. Concept of Operations. (The concept describes the major efforts done to 

execute the plan, and major supporting efforts necessary to support the operating 

elements.)
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3-4

Figure 3-1. OPLAN Format (Continued)

b. Specified tasks. List, in separate subparagraphs, specific tasks to be 

executed by subordinate elements. This could include activities such as closing 

locks to recreational boat traffic, staffing a water control center on a 24-hour basis, 

installing stoplog closures at a certain river stage, moving construction equipment 

from a project location to a staging area, or uploading sandbags on a vehicle.)

c. Coordinating Instructions.

(1) Time or condition when the plan becomes effective (May be upon 

issuance of the commander's Declaration of Emergency.)

(2) Commander's Critical Information Requirements

(3) Risk reduction/safety (List only those measures unique to the plan and 

not included in unit SOP's.)

(4) Environmental considerations (If extensive, refer to the environmental 

annex.)

(5) Others as required

4. SERVICE SUPPORT

a. Support concept. (State the concept of logistical support.)

b. Contracting, materiel, and services.

c. Medical evacuation and hospitalization.

d. Personnel. (Individual or team augmentation request system.)

5. COMMAND AND SIGNAL

a. Command. (State the primary and at least one alternate location for the 

Emergency Operations Center and for principal subordinate elements such as 

Resident Offices.)

b. Signal. (List specific communications instructions not covered by SOP. 

Identify required reports, to include format and report submission times.)

ACKNOWLEDGE:

NAME (Commander's last name)

RANK (Commander's rank)

OFFICIAL:

Name and position

ANNEXES:

_______________

(Classification)
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3-5

3-4. Exercises.

a. Frequency. MSC's and districts are required to conduct an exercise at least once 

every two years. See ER 500-1-1, paragraph 3-6.a. regarding waivers of exercise 

requirements.

b. After Action Reports. After action reports for exercises conducted will follow the 

format specified in Figure 4-13.

c. Office of Primary Responsibility. The Readiness Support Center has primary 

USACE responsibility for designing and supporting exercises. This includes contract 

support.

3-5. Emergency Operations Centers (EOC's) and Facility Support.

a. Dedicated EOC's. Headquarters USACE, MSC’s, districts, the 249th Engineer 

Battalion (Prime Power), and the Topographic Engineering Center (TEC) will provide a 

dedicated facility for an EOC to provide command and control for emergency operations. 

This paragraph sets minimum requirements for an EOC and is applicable to all MSC's, 

Districts, the 249th Engineer Battalion (Prime Power), and the Topographic Engineering 

Center. Other laboratories and FOA’s may establish EOC's commensurate with their 

emergency responsibilities. Funding will be provided by budgeted FCCE appropriations. 

(Note: Additional requirements for operability during national emergencies or exercises 

should also be incorporated into plans, and funded under other programs as appropriate.)

b. Minimum Requirements for the EOC.

(1) Power. Uninterrupted power is critical to 24-hour operations. The EOC will have an 

emergency backup generator and an uninterrupted power source (UPS) system. 

Generators will have a sufficient supply of fuel to operate for at least seven days without 

restocking.

(2) Auxiliary Heating Ventilation/Air Conditioning (HVAC). HVAC will be provided for 

the EOC in order to ensure operability during weekends and/or after duty hours, and shall 

be capable of being powered by the emergency backup generator. For buildings where the 

entire HVAC system must be on to heat/cool the EOC, the controls in the EOC will allow for 

system activation, or arrangements must be made to have the system activated during 

these times. Independent systems may be provided if economical and feasible.

(3) Communications Connectivity. Data communications from the point of origin in the 

EOC to its final destination (i.e., HQUSACE, MSC, Districts, Labs, and CEAP-A Processing 

Centers, worldwide access gateways such as Internet, FEMA, and various DOD locations) 
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3-6

will be provided. Space must be allocated for communications and information processing 

equipment. Critical components located outside the EOC that are necessary to maintain 

communication (e.g., radio, LAN/WAN, telephone), and electronic mail servers will meet 

emergency power and HVAC requirements. E-mail and other software capabilities may be 

provided to the EOC using a file server either within the EOC, or elsewhere within the 

facility headquarters.

(4) Furniture. Furniture suitable and conducive to an EOC in the quantity necessary to 

meet the staffing level specified by emergency plans will be provided. Modular or 

customized furniture is permitted for enhancement of operations. Specialized design for 

command and control systems furniture modules is permitted.

(5) Dual Use Space. Spaces designated as dual use will be designed, configured, and 

prewired to serve the operational mode of the EOC. Dual use of facility and equipment for 

meetings, classrooms, or computer training centers may be practical; however, the ultimate 

control and coordination of the space shall be retained by the Emergency Manager. For 

USACE elements located in high risk areas, where the EOC is activated frequently, the 

dual use strategy is not appropriate. Because the EOC must be available for activation at 

any time, noncompatible use such as storage is not permitted.

(6) Location. EOC’s should be located in the most appropriate portion of the building to 

minimize the risk of threats while enhancing operations. Items to consider include 

flood/storm surge, access during power outages when elevators are unavailable, and 

physical security. 

(7) Access. The EOC will be configured to eliminate nonessential pedestrian traffic. 

Consideration should be given to limiting the number of entrances (consistent with life 

safety codes), and providing for a reception area that is screened from the main part of the 

EOC. All EOC areas, including those areas that consist of dual use space, shall have 

adequate physical security measures.

(8) Storage of Classified Information. For USACE elements with military and national 

security responsibilities, EOC’s must be capable of operating as a restricted area. EOC’s 

will have approved containers for storage of classified material in the EOC, or in an area 

that is continuously accessible from the EOC.

c. EOC Facility Design. EOC’s will include all the physical elements necessary to 

support the systems and staff in performing the tasks and activities required by USACE 

missions and emergency operations functions. EOC’s will vary in size and configuration 

based on threat levels and activities supported. Functions common to all EOC’s include 

Crisis Management Team and Crisis Action Team operations, administrative tasks,
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planning, crisis communication and information handling, briefing and display, status 

tracking, and emergency reporting.

(1) Staff Work Area. Full time staff must have dedicated space for non-crisis daily 

activities. Many of these activities must continue during emergencies. Staff work area 

requirements are calculated by providing a minimum of 125 sq. ft. for each staff position. 

Individual work areas must provide a minimum of 64 sq. ft. when modular furniture is used, 

or 90 sq. ft. when standard office furniture is used. Emergency Managers should be 

provided closed door privacy, with a minimum of 150 sq. ft. The staff areas must be 

located in or adjacent to the EOC operations area.

(2) EOC Operations Room. All MSC’s and Districts shall provide a dedicated 

operations room to coordinate major events and events that happen with little or no 

warning. The layout and configuration of the operations room may support dual use of the 

facility during noncrisis period unless it is anticipated that the EOC will be activated 50 

percent or more of the year. Operations rooms should accommodate at least 10 members 

of the crisis action team (CAT), dependent on local requirements. The minimum size of the 

operations room shall allow 64 sq.ft. per CAT member, and a minimum of 200 sq. ft. for 

display and common equipment. Wall display areas or track-mounted modular display 

systems, projection screens, white boards, television monitors, large format multi-scan 

monitors, and similar equipment can be provided to meet operational requirements.

(3) Communications Room. A communications room shall be provided adjacent to the 

operations room to house radio transmitters/radio control modules. Optimally, the 

communications room will be separated from the operations room by a glass partition. The 

communications room will be a minimum of 100 sq.ft., and ideally at least 150 sq. ft. It 

must contain sufficient space to accommodate all required radio/communications

equipment and communications support equipment. The communications room must have 

proper ventilation, meet equipment cooling requirements, and allow for sufficient operator 

space.

(4) Briefing Room. The briefing room should be a highly capable multimedia/audio 

visual center that can display information from various sources (e.g., television, computer, 

35 mm slide projector, videocassette recorder). The briefing room will be a minimum of 200 

sq. ft., with 15 to 20 sq.ft. provided for each additional person above eight being briefed. 

The briefing room will consist of an audience area, a control area, podium, and display 

screens and devices. An additional equipment room/area is required, containing a 

minimum of 40 sq.ft. for rack mounted electronic equipment and similar items. The control 

area will contain a console to support computers, video recorders, the master system 

controller, and related equipment.
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(5) Storage Area. Secure storage space is required for EOC equipment and supplies, 

EMHV items, life support supplies, publications, deployment kits, and similar items. These 

materials can be stored in the EOC or in a nearby secured area accessible by Emergency 

Management staff. The size of the storage area is dependent upon the amount of 

materials and equipment that must be readily accessible during emergencies.

(6) Other Equipment. EOC design and layout shall also provide adequate space for 

administrative and clerical support, copy machines, supplies, file units, GIS systems, and 

bookcases.

d. Briefing and Display. Emergency operations briefing and display systems will 

include all equipment necessary to display needed information. Briefing and display 

systems will be configured to provide timely graphics, imagery and data displays to 

enhance the decision making process. A centralized audiovisual control system allowing 

placement of information on large screen displays or monitors throughout the EOC is 

authorized. The size and complexity of the briefing and display systems will vary according 

to the threat in the element’s area of responsibility. EOC’s that are typically activated 50% 

of the time shall have dual screen electronic briefing capability. Other EOC’s will have 

either single or dual screen system depending on local requirements. Functional areas to 

be considered in designing a briefing and display system include: switching and 

distribution, audio support, external audio/video/data interfaces, audio visual peripheral 

devices, display systems, briefings presentation systems, and briefing control.

(1) Security Requirements. Briefing and Display Systems shall be designed and 

accredited to handle classified information if applicable to mission requirements.

(2) Presentation Software. Divisions and districts should develop standardized 

templates for use during emergencies. Formatted displays for briefings are an important 

component in expediting display of decision support information in a time sensitive 

environment. ENGLink formats should be used to the maximum extent possible.

e. Communications. The EOC communications systems shall include all the equipment 

necessary for voice, data, and facsimile necessary to support emergency operations. Basic 

communications systems may include telephone service (voice/data/ facsimile), network 

service (LAN/WAN), HF radio communications, tactical radio communications, and satellite 

communications.

(1) Telephone Communications. The voice, data, and facsimile service constitute the 

primary means of communications for EOC's during both normal and emergency

operations. Each EOC shall have telephone conferencing and classified capability. Each 

EOC shall maintain at least two Secure Telephone Unit (STU) instruments, unless 

HQUSACE grants an exception. Each EOC shall also maintain at least two facsimile 
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machines, one dedicated to incoming calls and one dedicated to outgoing calls. An 

additional facsimile accredited for use with a STU is required for classified communications. 

 For smaller offices, the secure facsimile machine may substitute for the outgoing facsimile 

machine.

(2) Network Services. Network Services consist of LAN and WAN access. 

Connectivity to the WAN from the LAN should be provided on the EOC segment to 

guarantee connectivity to the WAN during emergencies.

f. Life Support Capabilities. In an emergency situation there may be occasions when 

critical life support supplies and equipment are not available. It is therefore necessary for 

all EOC's to have these items on hand to provide for sustained operations of at least 72 

hours duration for EOC and support staff element. Many life support items are perishable 

and should be inspected and replaced as needed. Required items may vary by

MSC/district depending on the threat, and may include:

(1) Lighting. Battery operated and/or chemical light sources.

(2) Water. In areas where the water supply may be vulnerable, EOC's should stock a 

minimum of one gallon per person per day. Additional water is also needed for sanitation, 

cleaning, and cooking.

(3) Rations. Military Meals, Ready-To-Eat (MRE's) are available through the General 

Services Administration (GSA). Also available from commercial sources are freeze-dried 

foods and similar items. Two meals a day per person should be the minimum amount 

stored.

(4) Medical Assistance. First aid kits will be available throughout the EOC. Several 

members of the EOC staff should be trained in First Aid/CPR.

(5) Life Saving Kit. Following a disaster, EOC facilities may be damaged, and 

members of the staff may be required to assess damage to the structure, turn off utility 

systems, or gain emergency access or egress. A basic kit should contain a battery 

powered AM/FM broadcast radio, hard hats, gloves, eye guards, dust masks, flashlights 

with batteries, safety vest, grease markers, light sticks, shovel, ax, wrecking bar, pick 

mattock, hammer, rake, hacksaw, adjustable wrenches, and screwdrivers.

(6) Personnel Support Items. A variety of personnel support items may be required in 

or near the EOC to sustain staff during extended periods in the EOC. Required functions 

may include cooking/dining, refrigeration, cleaning, and sleeping arrangements, as well as 

personal hygiene and sanitation. Items may include cots and bedding, refrigerator, 

microwave oven, sink, shower, coffee maker, and a food preparation counter.
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g. Alternate EOC's. Each MSC and district will have the capability to establish 

command and control to sustain operations if their primary EOC is unavailable. SOP's shall 

be developed for activation of an alternate facility under an all hazard concept. MSC's and 

districts will establish procedures for deployment of personnel and equipment to the 

alternate EOC during duty and non-duty hours. Alternate EOC's will have the same 

functional capabilities as the primary EOC. Equipment may be austere, but at a minimum 

will include computer hardware/software, telephones, radio communications, fax machine, 

printers, and the current contracting package sufficient to establish Command and Control. 

This paragraph does not supersede other existing requirements for alternate headquarters 

under other plans. The Alternate EOC concept may be accomplished by:

(1) The fly away kit concept, i.e., planning that includes development of SOP's and 

checklists that pre-identify commercial/military facilities such as barracks, motel/hotels, 

equipment, and predesignated staff; or, 

(2) Use of a designated preselected and pre-stocked alternate EOC(s); or,

(3) Relocation to another USACE element that has an operating EOC. This option may 

require partnering agreements that are renewed periodically.

3-6. The Deployable Tactical Operations System (DTOS). DTOS is a command and 

control concept that employs four tiers of capability.

a. Tiers of Capability.

(1) Tier 1 - Fly Away Kits (FAK's). Each district has been provided with a fly away kit 

(FAK) that enables a small group of personnel to communicate and maintain records on a 

laptop computer.

(2) Tier 2 - Rapid Response Vehicles. HQUSACE has procured six Rapid Response 

Vehicles (RRV's). These vehicles provide work space, communications, and life support 

capability for six to eight personnel. For planning purposes, RRV's have an operational 

range of 18 hours of driving time from home station.

(3) Tier 3 - Deployable Tactical Operations Centers. HQUSACE has procured three 

Deployable Tactical Operations Centers (DTOC's). These systems provide work space, 

communications, and life support capability for approximately 40 personnel. For planning 

purposes, DTOC's have an operational range of 36 hours driving time from home station.
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(4) Tier 4 - Containerized Tactical Operations Centers. HQUSACE has procured two 

Containerized Tactical Operations Centers (CTOC's). These systems functionally are 

similar to the DTOC for office support equipment, communications equipment, and 

computers. However, the CTOC components are containerized for rapid air movement, 

and are intended for use in insular and remote areas.

b. Control of DTOS Assets. 

(1) Tier 1. FAK's are under the operational control of district engineers.

(2) Tier 2. RRV's are under the operational control of HQUSACE, and may be 

deployed only as directed by HQUSACE. Divisions or districts requiring RRV support will 

submit requests through channels to the USACE Operations Center.

(3) Tier 3. DTOC's are under the operational control of HQUSACE, and may be 

deployed only as directed by HQUSACE. Divisions or districts requiring DTOC support will 

submit requests through channels to the USACE Operations Center.

(4) Tier 4. CTOC's are under the operational control of HQUSACE, and may be 

deployed only as directed by HQUSACE. Divisions or districts requiring CTOC support will 

submit requests through channels to the USACE Operations Center.

c. Planning. When appropriate to do so, divisions and districts should incorporate the 

use of DTOS (to include FAK's) into disaster preparedness plans. The planning 

assumption should be made that the appropriate configuration would be available, based 

on standard stationing of available assets.

d. Funding for DTOC/CTOC/RRV Deployment. The requesting division/district is 

responsible for providing the custodial district of the DTOC/CTOC/RRV with funds for 

deploying the requested asset. The requesting division/district will use FCCE funds (Class 

210, 230, 510, or 520 only) or FEMA funds, based on the mission requirements, to fund 

DTOC/CTOC/RRV deployments and maintenance needs in support of PL 84-99 and 

Stafford Act missions and activities. Normal FAK operations and maintenance are funded 

by Class 110. Contact the Tactical Support Center if replacement of a FAK component is 

needed.

e. DTOS Use in Exercises and Displays. All DTOS assets are available for 

employment during exercises, in consonance with exercise objectives, available funding, 

level of commitment of DTOS assets, etc. Displays of DTOS assets at other than 

Emergency Management-related functions must be funded by the requesting office.
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3-7. Emergency Management High Visibility Items.

a. Description. Emergency Management High Visibility (EMHV) items are items that 

are used to easily identify USACE personnel and equipment at disaster locations. For 

personnel, EMHV items are typically shirts, jackets, vests, and hats that are worn by the 

individual. Banners and magnetic signs are normally used to identify USACE owned or 

contracted equipment. Refer to http://www.nap.usace.army.mil/emo/shirts.htm for 

additional information.

b. Stockage Level. Divisions/districts will maintain a stock of EMHV items

commensurate with the size of the division/district, the staffing requirements for Planning 

and Response Teams (and comparable elements), and the potential number of deploying 

personnel when supporting a victim division/district.

c. EMHV Items for Individual Filler Personnel Supporting a Victim District. For a 

minimum of two weeks after the declaration or onset of a disaster operation, the home 

division/district Emergency Manager will provide deploying organizational personnel with 

sufficient quantities of EMHV items. Later deploying personnel will be provided EMHV 

items for as long as the supporting division/district has supplies available. This is to 

preclude an unnecessary logistics burden on the victim district.
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CHAPTER 4

EMERGENCY OPERATIONS

Section I - General

4-1. General. See ER 500-1-1, Chapter 4, for pertinent policy information.

4-2. Authorities. The authority to perform Emergency Operations, to include Response 

Operations and Post Flood Response activities, is provided by PL 84-99, and implemented 

by ER 500-1-1 and this pamphlet. Funding requirements are addressed in ER 11-1-320, 

Figure 2-1 of this pamphlet, and throughout this chapter. Where other Federal agencies 

have adequate emergency authorities, or when other USACE authorities exist that can 

adequately address the situation, USACE assistance under PL 84-99 is not permitted.

4-3. Operational Procedures - General.

a. Levels of EOC Activation. EOC's are activated commensurate with mission 

requirements. Commanders may direct subordinate elements to increase or decrease the 

element's level of activation. All changes in level of activation will be immediately reported 

to higher headquarters and the UOC via Situation Report (SITREP).

(1) Level I - Normal Operations. This level is for normal, day to day operations. The 

EOC is prepared for activation to a higher level.

(2) Level II - Emergency Watch. This level represents an augmentation to the normal 

Emergency Management staff, and/or extended hours of operation for the EOC. Level II 

activations are typical of responses to watches and warnings, and other disaster activities 

that do not merit a higher level of activation.

(3) Level III - Partial Activation. This level represents partial activation of the EOC in 

response to a threat situation, ongoing operation, or intensive recovery activities. Level III 

activations typically have the EOC staffed for 10 or more hours per day, seven days per 

week. CAT representatives are present on at least a part time basis.

(4) Level IV - Full Activation. This level represents full activation of the EOC in 

response to a threat situation or ongoing operation. The EOC is staffed on a 24-hour per 

day, seven-day per week basis. Most or all CAT representatives are present on a full time 

or part time basis.

b. Declaration of Emergency. District commanders will issue a Declaration of

Emergency in order to implement their response operations and Post Flood Response 

authorities. A Declaration of Emergency is required in all cases where USACE activities 
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will be funded under Class 210 (except for Support to Victim Districts) or Class 230 criteria. 

Declarations of Emergency are not issued at MSC level or at HQUSACE.

(1) The Declaration of Emergency may initially be verbal, but must be made in writing 

and reported in the district's SITREP within 24 hours of the declaration.

(2) Authority to issue a Declaration of Emergency is delegated to Deputy District 

Engineers, and all supervisors in the chain from the District Commander to the Chief of 

Emergency Management, inclusive. For purposes of a Declaration of Emergency, "Chief of 

Emergency Management" includes an acting Chief of Emergency Management. District 

commanders may withhold authority to issue a Declaration of Emergency. Withholding of 

authority may be done either by written correspondence, or via a published OPLAN.

(3) A general format for a Declaration of Emergency is provided at Figure 4-1.

c. Field Investigations (Class 210 and Class 230). The concept of USACE field 

investigations during the response phase applies to investigations prior to, during, and after 

a flood or coastal storm or other disaster. Field investigations may be conducted at the 

MSC or district's initiative, or may be conducted based on a request by state or local 

officials. In either case, there must be sufficient reason to believe that further FCCE-funded 

Corps activity or effort will result from the investigation, e.g., the need for USACE

floodfighting effort to supplement state and local response efforts. Field investigation 

funding is not to be used for data gathering activities or general studies efforts that are 

traditionally funded by the General Investigations appropriation.

(1) SITREP Requirements. A SITREP is required for all field investigations. This either 

may be a separate, independent SITREP, or may be an additional item included in another 

SITREP.

(2) Post Flood Response Situations. Field investigations for potential Post Flood 

Response Assistance are conducted during or immediately following the flood or coastal 

storm event. (Post Flood Response Assistance is not authorized for other types of

disasters.) The purpose of the field investigation is to enable USACE to prepare for and 

conduct an expeditious response to the governor's request for assistance. Field

investigations for potential or expected Post Flood Response Assistance may occur prior to 

receipt of the Governor's request for assistance if requested by an appropriate State 

official.

d. Technical Assistance (Class 210). USACE emergency operations technical

assistance for any disaster consists of providing review and recommendations, and 

technical expertise, in support of tribal, state, and local efforts. The following are examples 

of technical assistance:
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(1) Providing experienced personnel at the disaster site to give guidance on flood fight 

techniques and emergency construction methods.

(2) Providing personnel to inspect existing flood protection projects and/or structurally 

threatened dams to identify problem areas and recommend corrective measures.

(3) Providing hydraulic or hydrologic analysis, geotechnical evaluations, topography 

and stream data, maps, and historic flood or storm information.

e. Direct Assistance (Class 210). Emergency operations direct assistance under PL 

84-99 is limited to flooding and coastal storm-related emergencies only. As an exception to 

this limitation, USACE may always use its resources to assist in rescue operations to save 

lives in any disaster situation. Any USACE equipment and personnel used in a lifesaving 

rescue operation should be directed by a local official such as a law enforcement officer or 

firefighter, or other officials duly appointed to conduct rescue operations.

f. Reporting (Class 210 and 230). Reporting will be done in accordance with Section V 

of this chapter.

g. EMHV Requirements. USACE personnel arriving in the disaster area within two 

weeks of the onset of the disaster must bring appropriate EMHV items with them from their 

assigned districts. Follow-on personnel arriving after the first two weeks should bring 

EMHV items with them if available. The supported district must plan to issue EMHV as 

needed in the disaster area.

h. Support to Victim Districts (Class 210). If a supporting district has one or more 

Planning and Response Teams (PRT's), or other supporting personnel, on "alert" status, or 

a movement order for such personnel has been ordered, any support needed at the 

supporting district to assist their departure/deployment will be funded under Class 210 by 

the supporting district.

4-4. Funding - General. ER 11-1-320 prescribes general funding procedures for PL 84-99 

emergency operations Category 200 activities.

a. Cost Accountability. All costs associated with emergency operations will be 

maintained separately. MSC's and districts may not reprogram FCCE funds except as 

specifically allowed in ER 11-1-320 and ER 11-2-201. Allowable FCCE costs include the 

following activities:
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(1) USACE labor costs, including regular time, overtime, hazard pay, and shift 

differential pay. (Refer to ER 11-1-320 regarding specific details for General Expensefunded personnel.) FCCE funds will be used for labor that supports the EOC, disaster field 

teams, and other personnel directly supporting emergency operations. Water control 

personnel, and project personnel accomplishing emergency operations at USACE-operated 

and maintained projects or projects under construction, will not be funded with FCCE funds.

(2) Emergency hire of skilled or unskilled workers, normally for one month or less.

(3) Travel and/or per diem for USACE personnel or emergency hired personnel.

(4) Transportation costs of supplies and equipment.

(5) Contract costs.

(6) Costs incurred by other DOD agencies, over and above their normal operating 

expenses, for their support to USACE.

(7) Purchase of supplies and materials.

(8) Replenishment of used stockpiled items.

(9) Rental or lease of field offices.

(10) Equipment charges.

b. Fiscal Closeout. Emergency Management elements will ensure that actions for 

closing out emergency activities are accomplished as specified in ER 11-1-320. Districts 

will submit a SPOTREP or SITREP for each fiscal closeout completed. Fiscal closeouts will 

be accomplished within the following time frames:

(1) Class 210 Activities: Within 75 days of return of the EOC to Level I (normal) 

activations.

(2) Class 220 Activities. Within 30 days of submission of the After Action Report.

(3) Class 230 Activities. Within 70 days of the receipt of the Governor's request for 

Post Flood Response assistance.

(4) Class 240 and Class 250 Activities. Within 60 days of completion of funded 

activities.
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Figure 4-1. Format for Declaration of Emergency

CEXXX-CO-E 28 June 20xx

MEMORANDUM FOR See Distribution

SUBJECT: Declaration of Emergency: June 20xx Flood, Xxxxx District, Elizabeth River and Tributaries

1. In accordance with ER 500-1-1, a Declaration of Emergency has been declared to exist in the Xxxxx 

District as of 1200 hours 28 June 20xx.

2. Level of Activation. The Emergency Operations Center is activated at Level II effective 281200Jun20xx. 

The EOC will be manned daily from 0600 - 1800 IAW District OPLAN 2001-01 by all Level II-designated 

personnel. During unmanned periods, telephone messages will be received by the duty officer via the 

24-hour emergency number (899) 555-1234. The Crisis Management Team's initial meeting is set for 0900 

hours 29 June in the EOC.

3. Expenses incurred as a result of this Emergency will be those involved with the flood operation, i.e., 

EOC operations, issuance or transportation of sandbags, forecasting, flood sector engineers, or flood 

reconnaissance. No charges will be made prior to the date of this declaration. Costs relating to Dam or 

Lake observation must be charged to O&M work items.

LOCATION CATEGORY CODE / CATEGORY ELEMENT / WORK ITEM

Elizabeth River & Tribs 021000 BBA00 002LSL

4. Paid overtime is authorized under the following criteria:

 a. All personnel, regardless of grade, engaged in flood emergency operations may be paid overtime.

 b. Earning of GS employees exempt from FLSA are subject to limitation contained in 5 USC 6547. 

Earnings under the provision of FLSA are not subject to the aforementioned limitation.

 c. A copy of this order, attached to DA Form 5172-R, Overtime Request and Authorization, 

overrides the requirements outlined in Xxxxx District Regulation 690-1-600, paragraph 4, dated 1 May 

1999.

GEORGE H. GABION

Colonel, EN

Commanding

DISTRIBUTION:

as required
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Section II. Response Operations - Floods and Floodfights

4-5. Operational Procedures - Floods and Floodfights.

a. USACE Assistance. USACE emergency assistance during floods and coastal 

storms will be of a temporary nature to meet the immediate threat, and will supplement 

tribal, state, and local efforts. USACE efforts are not intended to provide permanent 

solutions to flood problems, and are not intended to overcome the lack of adequate flood 

protection in a locality.

b. Floodfights. USACE floodfights will be planned and conducted in accordance with 

sound principles of engineering judgement and economic sense.

c. Direct Assistance. Direct assistance may include, but is not limited to, the issuance 

of supplies, the loan of equipment, rescue operations, conducting flood fight operations, 

and contingency contracting. All loaned supplies and equipment will be hand receipted to 

the receiving agency. A CA is required for emergency assistance requiring USACE 

contingency contracting, or when USACE force labor accounts are used. See Figure 4-2 

for the CA for Emergency Assistance.

(1) Supplies and Equipment. Issuance of supplies and equipment to non-Federal 

interests is permitted only in declared emergencies (reference paragraph 4-3.b., above). 

Government supplies and equipment should be made available only if the arrival or nonavailability of local supplies and equipment will cause delays in an effective response effort. 

During emergency situations, Class 210 funding will be used to purchase or rent materials 

and equipment, and to replace items issued from disaster preparedness and other stocks. 

USACE supplies (e.g., sandbags or plastic sheeting) and equipment (e.g., pumps and 

generators) may be loaned to state and local officials for use in supplementing their flood 

fighting operations. All such supplies and equipment will be hand receipted to the receiving 

agency. The hand receipt will contain an agency billing address, and a statement similar to 

the following: "I understand that my agency will be required to return loaned equipment and 

reimburse the US Army Corps of Engineers for expended supplies. Reimbursement may 

be in the form of (a) replacement in kind with an equivalent quality to those issued; (b) 

paying the cost for the Corps of Engineers to replace the supplies with those of an 

equivalent quality; or (c) returning in good, usable condition those supplies not used; or (d) 

any combination of the above. I understand that my agency will be billed for supplies not 

replaced, and agree to remit payment within 30 days of the bill date."

(a) All unused stocks loaned to local interests will be returned to USACE when the 

operation is complete.
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(b) District commanders may waive loan replacement requirements for expendable 

supplies (sandbags, plastic sheeting, etc.) when a Presidential disaster or emergency 

declaration under the Stafford Act has been made. No waivers are permitted for loaned 

equipment. No waivers are permitted for supplies if no Presidential disaster or emergency 

declaration is made, unless an exception is approved by HQUSACE.

(c) Local interests will return loaned equipment in the same condition as it was when 

lent. If equipment is damaged or lost, either the equipment will be replaced in kind, or 

reimbursement made to USACE by the hand-receipting agency.

(2) Flood Fight Operations. USACE may direct flood fight operations upon request of 

an appropriate state or local official. However, legal responsibility remains with the 

requesting state or local official/agency.

(3) Contingency Contracting. USACE may award contracts for emergency operations. 

Contingency contracting may be equipment rental, fixed price construction contract, Job

Order Contracts, etc. Districts are encouraged to use innovative methods, such as 

Indefinite Delivery/Indefinite Quantity (ID/IQ) contracts, to improve response capabilities. 

Examples of allowable types of emergency work include the construction of temporary 

levees; the repair, strengthening, or temporary raising of levees or other flood control 

works; removal of stream obstructions that may induce localized flooding; and removal of 

debris under bridges that may induce localized flooding.

(4) Supply Procurement. Before contracting for supplies, particularly sandbags, from 

commercial sources during a flood fight, USACE stockpiles, and GSA or Defense Logistics 

Agency (DLA) supply sources should be used if timely delivery can be made. Good 

forecasting and anticipation of upcoming events is critical during a flood fight, because of 

substantial cost reductions available when delivery can be made two or three days out 

rather than requiring one-day delivery.

d. Operations in Support of Other Commands. Class 210 funds may be requested by 

the supporting command for administrative support of deploying personnel. Class 210 

funds may be used to prepare orders, provide travel assistance, and perform closeout 

activities.

4-6. Funding. Funding for all aspects of floodfights will be in accordance with paragraph 

4-4, above. All Class 210 funds for flood fights use CWIS number 05480.

4-7. Cooperation Agreement - Emergency Assistance.

a. Requirement. A Cooperation Agreement is required whenever direct Emergency 

(Flood Fight) Assistance is provided to a state, tribal, or local entity. The CA format for 
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Emergency Assistance is at Figure 4-2. Paragraph 2-3 above, and paragraph 2-4 of 

ER 500-1-1 will be complied with for all CA's.

b. Technical Assistance and Rescue Operations. No CA is required if only rescue 

operations and/or technical assistance for floodfighting are provided.
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Figure 4-2. Cooperation Agreement for Emergency Assistance

COOPERATION AGREEMENT BETWEEN

THE UNITED STATES OF AMERICA

and

__________________________________________________

for

EMERGENCY ASSISTANCE (FLOOD or COASTAL STORM)

THIS AGREEMENT, entered into this ____ day of _______________, 20___, by and between THE DEPARTMENT OF THE ARMY 

(hereinafter referred to as the "Government") acting by and through the District Engineer, _____________ District, U.S. Army Corps of 

Engineers, and the _________________________________________________[PUBLIC SPONSOR], (hereinafter referred to as the 

"Public Sponsor"), acting by and through ___________________________ [TITLE OF PERSON SIGNING THIS AGREEMENT].

WITNESSETH THAT:

WHEREAS, 33 USC 701n authorizes the Chief of Engineers to flood fight and perform rescue operations.

WHEREAS, the Public Sponsor has requested assistance under 33 USC 701n, and the Public Sponsor qualifies for such assistance 

in accordance with the established policies of the U.S. Army Corps of Engineers.

WHEREAS, the Public Sponsor hereby represents that it has the authority and legal capability to furnish the non-Federal cooperation 

hereinafter set forth and is willing to participate with the terms of this agreement.

NOW, THEREFORE, the parties agree as follows:

1. The Government will perform the work described in its scope of work (attached) that is made part of this agreement.

2. The Public Sponsor will:

a. Provide without cost to the Government all lands, easements, rights-of-ways, relocations, and borrow and dredged or excavated 

material disposal areas necessary for the work.

b. Hold and save the Government free from damages arising from construction, operation, maintenance, repair, replacement, and 

rehabilitation of the work, except damages due to the fault or negligence of the Government or its contractors.

c. Operate, maintain, repair, replace, and rehabilitate the completed work in a manner satisfactory to the Government.

d. Remove, at no cost to the Government, all temporary work constructed by the Government.

3. (Add others as applicable)

4. ATTACHMENTS:

a. Exhibit A - Government Scope of Work.

b. (Add others as applicable)

IN WITNESS WHEREOF, the parties hereto have executed this agreement of the day and year first above written.

THE DEPARTMENT OF THE ARMY THE [NAME OF PUBLIC SPONSOR]

BY: __________________________ BY: ___________________________

[SIGNATURE] [SIGNATURE]

[TYPED NAME] [TYPED NAME]

[TITLE IN FULL] [TITLE IN FULL]

ADDRESS: ADDRESS:
EP 500-1-1

30 Sep 01

4-10

Section III. Response Operations - Disasters Other Than Floods

4-8. Operational Procedures - Other than Floods.

a. PL 84-99 Authority. Under PL 84-99 authority, operations during non-flood 

emergencies are limited to activation of EOC's, rescue operations, the provision of limited

technical assistance, and liaison activities. These activities are properly funded under 

Class 210 until the situation clarifies, and disengagement of USACE resources or the 

identification of more appropriate USACE resources and funding can be made.

b. Stafford Act/Federal Response Plan. EOC operations in support of FEMA mission 

assignments are funded under Class 210.

(1) Class 210 funds may not be used for deployment or prepositioning of USACE 

personnel and/or equipment in anticipation of a FEMA mission assignment.

(2) Class 210 funds may be used for USACE personnel that deploy for training 

purposes in support of a FEMA mission assignment. This would normally be limited to 

newly designated ESF-3 team leaders/assistant team leaders, and personnel newly 

assigned to a position that requires them to be familiar with ROC or DFO operations. Use 

of Class 210 funds for this purpose requires HQUSACE (CECW-OE) approval.

4-9. Funding - Other Than Floods. Funding will be in accordance with paragraph 4-4 

above, and ER 11-1-320. All Class 210 funds for non-flood related emergencies will use 

CWIS number 05480.

4-10. Cooperation Agreements - Other Than Floods. Because USACE can provide 

only rescue operations and technical assistance under its PL 84-99 authority for non-flood 

related disasters, no CA's are required for non-flood response operations.

Section IV. Post Flood Response

4-11. Operational Procedures - Post Flood Response.

a. Coordination Requirement. All potential or planned Post Flood Response 

Assistance must be telephonically coordinated between the MSC and HQUSACE

(CECW-OE). After coordination with HQUSACE, all potential or planned Post Flood 

Response Assistance must be coordinated by the MSC with the appropriate FEMA region 

prior to execution of the work.

b. Governor's Request. A written request from the governor to the district commander 

for Post Flood Response Assistance will be provided concurrently with or immediately after 
EP 500-1-1

30 Sep 01

4-11

the governor's request to FEMA for an emergency or disaster declaration. The district will 

immediately notify the MSC and HQUSACE of receipt (or anticipated receipt) of a

governor's request for Post Flood Response Assistance. After telephonic coordination with 

HQUSACE (CECW-OE), approval level for Post Flood Response Assistance is the District 

Commander or Acting District Commander. Approval may not be delegated.

c. Types of Post Flood Response Assistance. Post Flood Response Assistance may 

be technical assistance or direct assistance. Examples of actions accomplished under Post 

Flood Response direct assistance include:

(1) Clearance of debris necessary to reopen critical transportation routes. (For Post 

Flood Response Assistance, "clearance" is defined as moving the debris to the side of the 

road. It does not include hauling the debris to a landfill or disposal area, unless immediate 

removal is necessary to prevent endangerment to public health and safety.)

(2) Temporary restoration of critical transportation routes or public services or facilities.

(3) Clearance of debris from under bridges or in channels or culverts, when flooding of 

or extensive damage to public facilities would result if the debris were not removed. If the 

threat of flooding (from either riverine flow or rainfall) has abated, then such debris 

clearance is not permitted.

(4) Other assistance required to prevent immediate loss of life, as determined by the 

MSC or district commander.

(5) Other assistance required to prevent immediate extensive damage to public 

property, as determined by the MSC or district commander.

d. Field Investigations. Field investigations for potential Post Flood Response 

Assistance may be conducted during or immediately following the disaster event to enable 

an expeditious response to the governor's request for assistance. Field investigations for 

potential or expected Post Flood Response Assistance may occur prior to receipt of the 

Governor's request for assistance if requested by an appropriate State-level official.

e. The 10-Day Limit. Post Flood Response Assistance is statutorily limited to a 10-day 

period from the date of the Governor's request to FEMA for an emergency or disaster 

declaration under authority of the Stafford Act. The day of receipt of the governor's request 

for Post Flood Response Assistance is considered to be Day Zero. All Post Flood 

Response Assistance, to include contracted activities, must cease by 2400 local time of 

Day Ten.
EP 500-1-1

30 Sep 01

4-12

4-12. Funding - Post Flood Response. All EOC activities will continue to be funded 

under Class 210. All activities that are directly related to the Post Flood Response effort 

will be funded under Class 230, in accordance with Chapter 3 of ER 11-1-320. This 

includes field investigations that are done based on anticipated tribal or State requests for 

Post Flood Response Assistance.

4-13. Cooperation Agreement - Post Flood Response.

a. Requirement. A Cooperation Agreement is required whenever direct Post Flood 

Response Assistance is provided to a state, tribal, or local entity. The CA format for Post 

Flood Response Assistance is at Figure 4-3. Paragraph 2-3 of this pamphlet, and 

paragraph 2-4 of ER 500-1-1 will be complied with for all CA's.

b. Technical Assistance. The provision of only technical assistance for Post Flood 

Response does not require a CA.
EP 500-1-1

30 Sep 01

4-13

Figure 4-3. Cooperation Agreement for Post Flood Response Assistance

COOPERATI ON AGREEMENT BETWEEN

THE UNITED STATES OF AMERICA

and

__________________________________________________

for

POST FLOOD RESPONSE ASSISTANCE (FLOOD or COASTAL STORM)

THIS AGREEMENT, entered into this ____ day of _______________, 20___, by and between THE 

DEPARTMENT OF THE ARMY (hereinafter referred to as the "Government") represented by the 

District Engineer, ________________________ District, U.S. Army Corps of Engineers, and the 

__________________ _______________________________ [PUBLIC SPONSOR], (hereinafter 

referred to as the "Public Sponsor"), represented by ________________________________ [TITLE 

OF PERSON SIGNING THIS AGREEMENT] acting in accordance with the request of the Governor 

of the State.

WITNESSETH THAT:

WHEREAS, pursuant to 33 USC 701n, in any case in which the Chief of Engineers is otherwise 

performing work in an area for which the Governor of the affected State has requested a 

determination that an emergency exists or a declaration that a major disaster exists under The 

Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.), the Chief 

of Engineers is authorized to perform on public and private lands and waters for a period of ten days 

following the Governor's request any emergency work made necessary by such emergency or 

disaster which is essential for the preservation of life and property, including, but not limited to, 

channel clearance, emergency shore protection, clearance and removal of debris and wreckage 

endangering public health and safety, and temporary restoration of essential public facilities and 

services; and, 

WHEREAS, the Governor has requested the Government to undertake authorized Post Flood 

Response activities in accordance with 33 U.S.C. 701n, and established policies of the U.S. Army 

Corps of Engineers; and,

WHEREAS, the Public Sponsor hereby represents that it has the authority and legal capability to 

furnish the non-Federal cooperation hereinafter set forth and is willing to participate in accordance 

with the terms of this Agreement;

NOW, THEREFORE, the parties agree as follows:

1. The Government will perform the work described in its scope of work (attached) that is made 

part of this agreement.
EP 500-1-1

30 Sep 01

4-14

Figure 4-3. Cooperation Agreement for Post Flood Response Assistance 

(Continued)

2. The Public Sponsor will:

a. Provide without cost to the Government all lands, e asements, rights-of-ways, relocations, and 

borrow and dredged or excavated material disposal areas necessary for the work.

b. Hold and save the Government free from damages arising from construction, operation, 

maintenance, repair, replacement, and rehabilitation of the work, except damages due to the fault or 

negligence of the Government or its contractors.

c. Operate, maintain, repair, replace, and rehabilitate the completed work in a manner 

satisfactory to the Government.

d. Remove, at no cost to the Government, all temporary work constructed by the Government.

3. (Add others as applicable)

4. ATTACHMENTS:

a. Exhibit A - Government Scope of Work.

b. (Add others as applicable)

IN WITNESS WHEREOF, the parties hereto have executed this agreement of the day and year first 

above written.

THE DEPARTMENT OF THE ARMY THE [NAME OF PUBLIC SPONSOR]

BY: __________________________ BY: ___________________________

[SIGNATURE] [SIGNATURE]

[TYPED NAME] [TYPED NAME]

[TITLE IN FULL] [TITLE IN FULL]

ADDRESS: ADDRESS:
EP 500-1-1

30 Sep 01

4-15

Section V. Reporting

4-14. Overview. 

a. Need. Timely, accurate reporting is necessary to allow the Commander, USACE, to 

direct and execute the Command’s mission. In addition, information is necessary to allow 

the Commander, USACE, and the senior USACE staff to work with FEMA, other Federal 

agencies, and Congressional offices regarding the disaster event. Every emergency 

situation with the potential for USACE involvement, or which may result in regional or 

national media attention involving USACE, will be reported immediately. The fastest means 

of reporting that is available will be used to initially notify HQUSACE. This is normally 

telephonic reporting to the UOC. ENGLink will be used for subsequent reporting.

b. Reports Required.

(1) Situation Report (SITREP). See paragraph 4-15. (RCS CECW-O-65).

(2) Disaster Recovery SITREP. See paragraph 4-16. (RCS CECW-O-65).

(3) Spot Report (SPOTREP). See paragraph 4-17.

(4) After Action Report (AAR). See paragraph 4-18.

4-15. Situation Reports (SITREP's).

a. General. The SITREP will be the official source for reporting information pertaining 

to the event.

(1) SITREP's will be submitted on all potential and actual disasters with USACE 

involvement.

(2) SITREP's will be submitted on all natural or technological emergencies with 

potential USACE involvement, or that may produce regional or national media interest in 

USACE operations, activities, or facilities.

(3) SITREP's will be submitted whenever there is a change in EOC activation level.

(4) SITREP's may be submitted in any other case at the discretion of the MSC/district.

b. SITREP Format. SITREP's will follow the format outlined in Figure 4-4, with 

applicable information provided under appropriate sections and appendices.
EP 500-1-1

30 Sep 01

4-16

(1) The format for mandatory appendices to the basic SITREP are at Figures 4-5 

through 4-7.

(2) The formats for "as needed" appendices D and E to the basic SITREP are at 

Figures 4-8 and 4-9. All additional appendices will be appropriately formatted for the 

information presented.

c. Methods of Submitting SITREP's. The principal means of providing SITREP's will be 

ENGLink. Email or high speed digital facsimile (fax) will normally be the secondary means 

of transmitting SITREP's (and other reports). Fax will be the primary means of transmitting 

maps and other information not suitable to electronic mail. The sending element, via 

telephonic confirmation, is responsible for ensuring that transmitted critical information has 

been received.

d. Notification and SITREP Submissions for Major Emergencies. Initial notification of a 

major emergency event will be provided telephonically and followed by a SITREP based on 

the best information available. These SITREP's will not be delayed in order to collect and 

compile additional data. Supplemental spot reports will be provided as conditions warrant 

and in accordance with HQUSACE reporting requirements.

e. Frequency of Reporting. 

(1) During major events with widespread impacts, or any event with significant USACE 

involvement, daily SITREP's will be submitted.

(2) When the situation has stabilized, and response operations have essentially 

concluded, SITREP's will be submitted on at least a weekly basis. The weekly SITREP's 

will be submitted on the first business day of the week. See paragraph 4-16 for

continuation of SITREP's via the Disaster Recovery SITREP.

f. SITREP's for Post Flood Response Situations. SITREP's on situations where Post 

Flood Response Assistance is requested or anticipated will address the extent of 

assistance required, FEMA coordination, state and local actions, and planned USACE 

activities. Follow-on reports should address status of efforts, summary of actions

accomplished (USACE, other Federal, state and local), and unmet requirements.

g. SITREP's During Advance Measures Operations. When Advance Measures projects 

are being investigated, and when Advance Measures projects using a temporary standard 

of construction (the typical case) are being executed, SITREP's will be submitted on a daily

basis. When Advance Measures projects using a permanent standard of construction are 

being executed, or when the Advance Measures project consists primarily of long term 

technical assistance, SITREP's will be submitted on at least a weekly basis, on the first 
EP 500-1-1

30 Sep 01

4-17

business day of the week. SITREP's will address project progress/completion status, 

impediments to project completion, results of investigations, the projection for when 

floodfight operations may need to begin, and other pertinent information.

h. Reporting During Non-Duty Hours. During non-duty hours, initial reports on 

emergencies or significant changes in conditions of ongoing emergencies that the 

Commander, USACE or staff need to be immediately aware of will be provided by

telephone, through command channels, to the UOC Chief (CECS-OPS) or the Chief, Civil 

Emergency Management Branch, or the designated duty officer at their home telephone or 

pager number. A follow-up SITREP will be provided the next business day.

i. Distribution of Reports. MSC commanders will furnish information copies of situation 

reports on events to the CONUSA, unified, or designated commander, as well as the 

appropriate FEMA Regional Director(s) using the fastest electronic means available. Other 

concerned officials should be similarly informed. District commanders will furnish

information copies of SITREP's to state emergency management agencies and other 

agencies and officials, as required. When appropriate, SITREP's will be furnished to 

interested local congressional offices.

j. Termination of SITREP Submissions. If no Disaster Recovery SITREP's are required 

in accordance with paragraph 4-16. below, SITREP submissions can be terminated upon 

fiscal closeout of the funds received for the event.
EP 500-1-1

30 Sep 01

4-18

BASIC SITREP FORMAT

1. SITREP: The word "SITREP" followed by the District name, date, local time, and 

Zulu Date-Time-Group (DTG)

2. DISASTER 

NR.:

The assigned number for this disaster event.

3. CATEGORY: Short description of the type of SITREP. Examples:

- Storm - Flood (or Potential Flood)

- Post Flood Response* - Hurricane (or Tropical Storm)

- Earthquake - Volcano

- Tornadoes - Pollution Spill

- Support to Law Enforcement - Support to Military Operation

- Mobilization**

*Used only if there were no SITREP's for the associated storm or flood.

**Requires HQUSACE authorization to use.

4. EVENT NAME: The assigned name of the event.

5. SEQUENCE 

NR.:

Use "Initial" for the first report. Subsequent reports will begin with "2" 

and be sequentially numbered thereafter. For the last report, use the 

next sequential number followed by "and Final". If Disaster Recovery 

Reports will follow, use the next sequential number followed by " 

Disaster Recovery SITREP's to follow."

6. SITUATION: A summary of the situation that answers the questions what, where, and 

when. This paragraph may be a narrative or in bullet format.

7. PAST 24: A narrative or bullet form statement of USACE actions, activities, and 

situations that have occurred in the previous 24 hours, or since the last 

SITREP.

8. NEXT 24: A narrative of planned and anticipated actions for the next 24 hours or 

the next reporting period.

9. OTHER 

EFFORTS:

Commander's Assessment, if needed. A summarization of efforts taken 

by other agencies, state/local governments, and organizations. 

Examples include FEMA, military agencies, Red Cross, etc.

10. 

APPENDICES -

MANDATORY

A. FCCE Funds 

B. FEMA Funds (by mission assignment)

C. Personnel

11. 

APPENDICES -

AS NEEDED

D. Reservoir Status

E. River Stage Data

F. Weather and Rainfall Data (actual and/or projected)

G. FEMA Mission Assignments - Operational Report

H. FCW Rehab Status

I. - Z. Others

Figure 4-4. Format for Situation Report
EP 500-1-1

30 Sep 01

4-19

FCCE FUNDS - APPENDIX A

CLASS FUNDS 

PROVIDED

FUNDS 

OBLIGATED

FUNDS 

EXPENDED

REMARKS

210

220

230

240

250

310

320

330

340

370

410

420

430

510

520

Figure 4-5. Format for Appendix A to Basic SITREP

FEMA FUNDS - APPENDIX B

MISSION 

NR.

MISSION NAME FUNDS 

RECEIVED

FUNDS 

OBLIGATED

FUNDS 

EXPENDED

REMARKS

Figure 4-6. Format for Appendix B to Basic SITREP
EP 500-1-1

30 Sep 01

4-20

PERSONNEL - APPENDIX C

MSC/DISTRICT 

ORGANIC ASSETS TDY PERSONNEL (NONORGANIC)

MIL 

(OFF/WO/ENL) CIV 249TH EB (OFF/WO/ENL)

MIL 

(OFF/WO/ENL)

CIV, 

SAME 

MSC

CIV, 

OTHER 

MSC

OTHER

REMARKS: (Note significant changes in personnel numbers, arrival/departure of PRT's, 

etc. Personnel from the 249th Engineer Battalion (Prime Power) will be reported 

separately from other nonorganic military personnel.) The "Other" category includes 

contractors, and personnel from non-USACE DOD or Federal agencies.

Figure 4-7. Format for Appendix C to Basic SITREP

Figure 4-8. Format for Appendix D to Basic SITREP

I = Inflow (kcfs)

O = Outflow (kcfs)

% = Percent flood pool filled

Trend 

DTG of Info

Applegate Lake

I = 8.7

O = 8.7

% = 55

Trend 

St Barbara's Lake

I = 9.9

O = 1.1

% = 43

Trend 

Roberts Lake

I = 1.4

O = 6.2

% = 89

Trend 

Tom's River

Pungo Creek

I = Inflow (kcfs)

O = Outflow (kcfs)

% = Percent flood pool filled

Trend 

DTG of Info

Applegate Lake

I = 8.7

O = 8.7

% = 55

Trend 

St Barbara's Lake

I = 9.9

O = 1.1

% = 43

Trend 

Roberts Lake

I = 1.4

O = 6.2

% = 89

Trend 

Tom's River

Pungo Creek
EP 500-1-1

30 Sep 01

4-21

Figure 4-9. Format for Appendix E to Basic SITREP

4-16. Disaster Recovery SITREP's. Many PL 84-99 and Stafford Act operations involve 

long term recovery activities such as levee rehabilitations or debris disposal missions. As 

the response requirements for a disaster diminish, recovery activities become the focus of 

effort. While the immediate crisis has been resolved, there is a continuing need to 

effectively manage the recovery effort. This need will be accomplished through the 

Disaster Recovery SITREP, which is a continuation of the situation reports with a focus on 

recovery activities. Guidance in paragraph 4-15. above will be followed, except as modified 

by this paragraph, or specific HQUSACE-issued guidance.

LEGEND

DTG OF INFO (Enter)

CITY/LOCATION

P = Present Stage

F = Flood Stage

C = Crest, Forecast/Actual (Date)

TOL = Top of Levee Protection

TREND = 564

St. Louis

P 29.6

F 30.0

C 32.5 (5/10)

TOL 52.0

6

Paducah

P 40.8

F 41.7

C 42.5 (5/11)

TOL 44

5

Vicksburg

P 43.5

F 43.0

C 44.0 (5/13)

TOL 50

5

River Stages

Ohio R.

Missouri R.

Mississippi R.

LEGEND

DTG OF INFO (Enter)

CITY/LOCATION

P = Present Stage

F = Flood Stage

C = Crest, Forecast/Actual (Date)

TOL = Top of Levee Protection

TREND = 564

St. Louis

P 29.6

F 30.0

C 32.5 (5/10)

TOL 52.0

6

Paducah

P 40.8

F 41.7

C 42.5 (5/11)

TOL 44

5

Vicksburg

P 43.5

F 43.0

C 44.0 (5/13)

TOL 50

5

River Stages

Ohio R.

Missouri R.

Mississippi R.
EP 500-1-1

30 Sep 01

4-22

a. Format. The format for the Disaster Recovery Report is at Figure 4-10. Appendices 

involving activities that are either completed, or no longer pertinent to the management 

process, may be omitted.

b. Frequency.

(1) Through Physical Completion. Until all FCW rehabilitation projects and all FEMA 

missions are physically completed, Disaster Recovery SITREP's will be provided twice 

monthly, on the first business day of each month, and the 15th of each month (or the last 

business day prior to the 15th if the 15th is a weekend or holiday). If necessary or directed 

by HQUSACE, report submission times and frequencies may be changed. For the purpose 

of Disaster Recovery SITREP's, FCW rehabilitation projects are considered physically 

complete when all construction efforts on the project are completed, except for minor 

cleanup; seeding or sod placement; punch list items; or additional pump station or relief 

well work. FEMA missions are considered physically completed when all contractual 

commitments are completed, with the exception of site restoration activities for debris 

reduction.

(2) Through Fiscal Completion. Until fiscal closeout of all missions and rehabilitation 

work has been completed, but after physical completion of all rehabilitation projects and 

FEMA missions, Disaster Recovery SITREP's will be provided on at least a monthly basis. 

Disaster Recovery SITREP's will be submitted on the 15th of each month, or the last work 

day prior to the 15th if the 15th is a weekend or holiday.

c. Additional Distribution. When appropriate, Disaster Recovery SITREP's will be 

furnished to interested local congressional offices, and other agencies as needed.

d. FCW Rehabilitation Status Format. The format for Appendix H, FCW Rehabilitation 

Status, is at Figure 4-11.
EP 500-1-1

30 Sep 01

4-23

DISASTER RECOVERY SITREP FORMAT

1. SITREP: The phrase "SITREP - Disaster Recovery Report" followed by the District name, 

date, local time, and Zulu Date-Time-Group (DTG)

2. DISASTER NR.: The HQUSACE-assigned number for this disaster event. (Same as was used 

on earlier SITREP's for the event)

3. CATEGORY: Short description of the type of disaster. (Same as was used on earlier 

SITREP's for the event).

4. EVENT NAME: The assigned name of the event. (Same as was used on earlier SITREP's for 

the event

5. SEQUENCE 

NR.:

Continue sequential numbering from previous SITREP's. For the last report, 

use the next sequential number followed by "and Final".

6. SITUATION: A summary of the situation that answers the questions what, where, and when. 

This paragraph may be a narrative or in bullet format.

7. PAST 24: A narrative or bullet form statement of USACE actions, activities, and situations 

that have occurred in the previous 24 hours, or since the last SITREP.

8. NEXT 24: A narrative of planned and anticipated actions for the next 24 hours or the next 

reporting period.

9. OTHER 

EFFORTS:

Commander's Assessment, if needed. A summarization of efforts taken by 

other agencies, state/local governments, and organizations. Examples include 

FEMA, military agencies, Red Cross, etc.

10. APPENDICES -

MANDATORY

A. FCCE Funds 

B. FEMA Funds (by mission assignment)

C. Personnel

11. APPENDICES -

AS NEEDED

D, E, F. (See Figure 4-4.)

G. FEMA Mission Assignments - Operational Report

H. FCW Rehab Status

I. - Z. Others

Figure 4-10. Format for Disaster Recovery SITREP

FCW Rehabilitation Status

#

FCW 

Name Dist Active Project?

Report 

Start Date

Report to 

MSC

Report 

Approval E&D Date Cont Award

Const 

Start

Const 

Compl

Fed 

Cost Remarks

1

2

3

4

5

6

7

8

9

1

0

Total

FIGURE 4-11. Format for Appendix H to Disaster Recovery SITREP
EP 500-1-1

30 Sep 01

4-24

4-17. Spot Reports (SPOTREP's). SPOTREP's are used to provide new information or 

update existing information when the urgency of reporting requires immediate transmission 

to higher headquarters, and cannot wait for the next scheduled SITREP submission. 

Information of a critical nature should be immediately transmitted via a SPOTREP, without 

necessarily waiting for all pertinent details. However, the submitting organization must 

ensure that information provided in the SPOTREP is accurate (based on the best available 

information) prior to submission. Figure 4-12 provides the format for SPOTREP's. 

SPOTREP's will be numbered using the number of the last submitted SITREP, followed by 

a lower case letter in alphabetical order starting with "a". For example, the third SPOTREP 

submitted after SITREP 4 would be numbered SPOTREP 4.c.

SPOTREP FORMAT

1. SPOTREP: The word "SPOTREP" followed by the District name, date, 

local time, and Zulu Date-Time-Group (DTG)

2. DISASTER NR: The HQUSACE-assigned number for this disaster event, 

from the SITREP.

3. CATEGORY: Category used in the corresponding SITREP.

4. EVENT NAME: The assigned name of the event.

5. SEQUENCE NR: Use the number of the last submitted SITREP, followed by a 

lower case letter in alphabetical order starting with "a".

6. Information Report information using any appropriate format, to include 

narrative, picture, graph, or chart.

Figure 4-12. Format for SPOTREP Submission

4-18. After Action Reports and Procedures.

a. Critique Sessions. Following major events, an after action critique session to discuss 

operation successes and lessons learned may be conducted. Critique sessions may be 

requested by divisions or districts, may be at the request of HQUSACE, or may be 

combined with a joint FEMA-USACE session. Funding for extraordinary costs of critique 

sessions will be requested under Class 220.

b. After Action Report (AAR). The AAR is a summary of disaster operations and 

interagency coordination. Its intended use is to improve the conduct of future operations, 

as well as serving as the consolidated historical record of the disaster. The AAR will 

include a discussion of the emergency situation, the types of assistance provided,

coordination with FEMA and other agencies, effectiveness of the response, strengths and 

weaknesses of the operation, specific problems and suggested solutions, general appraisal 

and comments, conclusions, and recommendations. The format is at Figure 4-13. 

Explanatory information is provided at Figure 4-14. The report will be submitted through 
EP 500-1-1

30 Sep 01

4-25

the MSC to Commander, USACE (CECW-OE and CECS-O), within 120 days after most 

emergency activities (or most FCW rehabilitation projects, if there are many such projects) 

are complete. Three copies of the AAR will be furnished to the Readiness Support Center. 

Copies of the AAR will also be furnished to other agencies and organizations as

appropriate. MSC's may consolidate multi-district events into a single AAR. AAR's are 

required for:

(a) Any event involving over $500,000 in total FCCE expenditures, excluding 

investigations, AAR expenses, and Category 300 activities.

(b) Any event with Category 300 expenditures in excess of $1,000,000.

(c) Any other event when directed by MSC or HQUSACE.

c. Funding. ER 11-1-320 establishes funding procedures for After Action Reporting 

activities.

4-19. Disaster Audit. At the request of HQUSACE, a disaster audit may be performed on 

USACE emergency operations. The audit will include an analysis of the nature of the work 

performed and emergency funding by category/class, and an evaluation of contracting 

methods used during all phases of the disaster response and recovery. Of particular 

importance is the manner in which the scope of work of emergency contracts was defined 

by the contracting officer, and what monetary controls were used to determine needs for 

increases in funds. 
EP 500-1-1

30 Sep 01

4-26

Figure 4-13. Format for After Action Report

AFTER ACTION REPORT FORMAT

for

______________________________

(name of event)

USACE Disaster Number ___________

Part I. Cover Letter. 

Part II. After Action Report.

Table of Contents

Executive Summary

Chapter 1. General background information, to include

a. the authority to prepare the report.

b. the impacted area, basin topography, weather conditions, magnitude 

of the earthquake, etc.

c. flood damage reduction systems, particularly reservoirs.

Chapter 2. Event specific information, including antecedent conditions, 

weather, pool stages, river conditions, snowpack, etc. Place voluminous 

tabular data, maps, etc., in an appendix.

Chapter 3. Emergency operations of the Corps element(s) involved.

Chapter 4. Commander's assessment of the division/district's operational 

response.

Chapters 5. - X. As needed.

Part III. Appendices.

Appendix A. Cost information.

Appendix B. PL 84-99: Separate projects and major activities. 

Appendix C. FEMA Mission Assignments. 

Appendix D-X. As needed.

Appendix Y. Lessons Learned.

Appendix Z. Distribution.
EP 500-1-1

30 Sep 01

4-27

Figure 4-14. Explanatory Guidance for AAR Preparation

Part I. Cover Letter: From commander of element preparing AAR to next higher commander. 

Part II. After Action Report

Table of Contents: Self explanatory.

Executive Summary: One to two page executive summary of the AAR. Limited to two pages in 

length.

Chapter 1. This chapter should be prepared in sufficient detail so that a historical researcher, 

years in the future, will be able to understand what happened.

Chapter 2. Self explanatory.

Chapter 3. Either a straight chronological approach, or chronological for each division/district 

involved, may be used. This chapter should also include appropriate reference to FEMA 

operations. Divide into sections if necessary.

Chapter 4. Self explanatory. If a division level AAR, commander's assessments for each 

participating district may be included. If a multi-division AAR, commander's assessments 

for each division are required.

Chapter 5. - X. Self explanatory.

Part III. Appendices to the After Action Report

Appendix A. A cost summary and cost breakdowns for the event will be provided. The first 

figure or table presented will be a one page summary of all costs (e.g., FCCE, FEMA, 

O&M Gen, etc.) of the event's operations. The second and third figures/tables will be 

separate summaries of FCCE costs (by category/class) and ESF-3 costs (by mission), 

respectively, with explanatory remarks. For FCCE costs, costs to undertake major (i.e., 

costing more than $500,000) Advance Measures or rehabilitation projects will be shown 

separately. These cost figures will also be further broken down by state. Other figures, 

charts, and tables will be presented as needed.

Appendix B. Each separate project and major activity (e.g., a significant floodfight) within 

Categories 200-500 will be addressed in narrative format. This may be either in a single 

appendix for a small event, or in individual tabs to the appendix when large numbers of 

projects/efforts are involved.

Appendix C. Each ESF-3 mission assignment will be addressed in a separate paragraph or tab 

in the appendix.

Appendix D-X. Self explanatory.

Appendix Y. Lessons Learned will be in the following format, and sequentially numbered:

- Issue.

- Discussion.

- Recommendation.

- Responsible office for correcting/addressing the situation.

Appendix Z. Distribution. Self explanatory.
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CHAPTER 5

REHABILITATION AND INSPECTION PROGRAM

Section I - General

5-1. Rehabilitation and Inspection Program (RIP) - Overview. The RIP is the USACE 

program that provides for the inspection and rehabilitation of Federal and non-Federal flood 

control projects, and the inspection and rehabilitation of Federally authorized and

constructed Hurricane/Shore Protection Projects (HSPP's). Districts will implement the RIP 

in accordance with ER 500-1-1, this pamphlet, and ER 1130-2-530 (for Federal projects). 

The RIP includes:

a. FCW Database. The maintenance of the FCW Database for all FCW’s (including 

HSPP's). (See paragraph5-3.)

b. Initial Eligibility Inspections. The performance of Initial Eligibility Inspections (IEI's) 

for non-Federal FCW’s. (See paragraph 5-5.)

c. Continuing Eligibility Inspections. The performance of Continuing Eligibility

Inspections (CEI's) for Federal and non-Federal FCW’s. (See paragraph 5-6.)

d. Rehabilitation Assistance. The rehabilitation of damaged FCW (Section III of this 

chapter) and nonstructural alternative projects (NSAP's) (Section IV of this chapter).

e. HSPP's. For clarity and simplicity, procedures for HSPP's are separately addressed 

in Section V of this chapter.

5-2. RIP Philosophy. The Corps of Engineers has a long tradition of, in an unbiased 

manner, conducting operations and administering programs that balance the competing 

goals of many interests. The RIP is this process in a microcosm. The principal reason the 

RIP exists is to ensure continuation of reliable protection - flood damage reduction - for 

people's lives, communities, and improved property. This protection is provided within the 

legal parameters of PL 84-99, other applicable Corps authorities, and the need to provide 

proper stewardship of the taxpayers' dollars with which the Corps is entrusted. The Corps 

must balance local interests and concerns, stewardship of funds, environmental sensitivity, 

and sound engineering judgment. The Corps must continue, and improve upon, this 

tradition, ensuring the integrity of the mission accomplishment process.

5-3. FCW Database. Districts have had a longstanding requirement to maintain an FCW 

database. This database must include all known FCW's, Federal and non-Federal, as well 

as all Corps owned and operated FCW's. Corps operated dams need not be included in 

the Database. Funding for database maintenance will be provided through the annual 
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FCCE budget submission in Class 380. The database should include the information listed 

in Figure 5-1 for all Active projects, and as much information as is available for Inactive 

projects. Until the Corps-wide FCW database is developed in ENGLink, districts will 

determine their own methods for maintaining their databases. Supporting documentation 

and pertinent correspondence concerning FCW's will be appropriately maintained in district 

files.

Figure 5-1. Flood Control Works Database

FCW DATABASE

Part I. GENERAL.

1. Project Name The legal name of the FCW.

2. State Self explanatory.

3. County Self explanatory.

4. City Self explanatory.

5. CWIS Number The Civil Works Information System number (if one is assigned.) (Mandatory 

for all Federal projects.)

6. River The name of the river which the FCW is on.

7. River Basin The name of the river basin.

8. Type of FCW Indicate levee, dam, channel, floodway, etc., or combination thereof.

9. Other Purpose Indicate if the project has another purpose other than flood control and

protection.

Part II. PUBLIC SPONSOR INFORMATION

10. Public Sponsor The name of the FCW's Public Sponsor.

11. Point of Contact The principal point of contact for the Public Sponsor.

12. Public Sponsor's Self explanatory.

Address/Phone No.

13. Owners/ Individuals and entities (e.g., corporations) that own the protected land. 

Percentage of Indicate the percentage of land owned by each individual/entity. If there are

Ownership eight or fewer owners, list all. If there are more than eight owners, list all 

owners owning more than 15% of the protected land.

Part III. TECHNICAL DATA

14. Dimensions Describe the physical features of the FCW. For example, if the FCW is a 

levee, provide the dimensions for the height, crown width, side slopes, length, 

etc. In place of a narrative description, a sketch of the FCW may be made as 

an attachment to the Data Sheet.

15. Material Describe the material (e.g., type of soil, gradation of riprap) used in the 

construction of the FCW.

16. Drainage Area The total drainage area of the FCW at the downstream end of the project. 

(Estimate if the information is not readily available.)
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Figure 5-1. Flood Control Works Database (Continued)

17. Level of Estimate the level of protection in terms of exceedance frequency in percent 

Protection chance.

18. Freeboard Self explanatory. (Also includes risk and uncertainty data, if applicable.)

19. Geotechnical Statement describing the geotechnical aspects of the FCW.

20. Hydraulic Design Statement describing the hydraulic features of the FCW.

21. Gage Locations List the locations of gages in the vicinity of the flood control work.

Part IV. ECONOMIC INFORMATION

22. Area Protected The total area protected by the FCW in terms of square miles.

23. Land Use/Value List all the different land usage, the area of the land usage in terms of 

percentage of total area protected, and value of the land usage, such as:

Agricultural 50% $20,000

Residential 10% $450,000

Undeveloped land 10% $10,000

Public recreation 10% $25,000

Commercial retail 10% $650,000

Industrial 10% $950,000

Part V. HISTORY

24. Historic Floods List all past historic flood events that caused considerable damages to the 

FCW.

25. Previous Repairs List all dates, expenses, and sources of funds spent on previous repairs due 

to flood damages. Do not include routine maintenance costs.

Part VI. CURRENT STATUS

26. Active/Inactive Self explanatory. 

Part VII. RESULTS OF INITIAL ELIGIBILITY INSPECTION

27. 1st Inspection The date the first Initial Eligibility Inspection was performed.

28. Project Condition The project condition code for the first inspection.

29. Dates of Later The dates of later inspections performed, if the project failed to receive an "A" 

Inspections or "M" project condition code on the first IEI.

30. Last IEI The date of the IEI in which the project gained active status.

31. Deficiencies List all the deficiencies noted during the inspection(s).

32. Inspectors Name, Title or position, Grade, and office of the inspector(s).

Part VIII. CONTINUING ELIGIBILITY INSPECTIONS

33. Inspections Results and ratings. Each Continuing Eligibility Inspection conducted will be 

listed separately. Deficiencies will be noted. The latest rating will also be 

entered in Item 26.
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5-4. The Inspection of Completed Works (ICW) Program. The ICW Program is the 

O&M, General-funded program within the RIP that addresses Federally-constructed flood 

damage reduction projects turned over to non-Federal sponsors for operations and 

maintenance. The ICW Program's critical function in the RIP is the funding responsibility 

for CEI's of Federal projects. ICW funds are also used for technical review and approval of 

activities when a public sponsor seeks USACE approval for activities that may affect the 

integrity and/or reliability of its project. ICW funds at HQUSACE are managed by

CECW-OE, and are budgeted on an annual basis. Refer to ER 1130-2-530 for additional 

ICW Program information. Conflicts between ER 1130-2-530 and ER 500-1-1 will be 

referred to HQUSACE (CECW-OE) for resolution.

Section II - Inspections

5-5. Overview of Inspections. A sound, consistent, comprehensive system of inspecting 

flood control works is the foundation of the RIP. Such a system encourages public 

sponsors to properly maintain their projects, allowing citizens and communities protected by 

the projects to be confident that their safety is provided for. The RIP includes two types of 

inspections, IEl's and CEI's. An inspection results in a project status of either Active or 

Inactive. Refer to ER 500-1-1, paragraphs 5-6. and 5-8. for additional information.

a. The Inspection Guide. IEI's and CEI's use the same form (the "Inspection Guide") to 

record inspection results. The Inspection Guide is in Appendix A.

b. Inspection Methodology.

(1) Individual items of each component of a project are rated, using the Inspection 

Guide (Appendix A), and the rating codes and criteria shown in Table 5-1, below.

RATING CODES FOR INDIVIDUAL RATED ITEMS

SYMBOL RATING CODE DEFINITION

S Satisfactory The rated item is in satisfactory condition, and will function as designed 

and intended during the next flood event.

M

Marginally 

Satisfactory

The rated item has a minor deficiency that needs to be corrected. The 

minor deficiency will not seriously impair the functioning of the item 

during the next flood event. The overall reliability of the project will be 

lowered because of the minor deficiency.

U Unsatisfactory

The rated item is unsatisfactory. The deficiency is so serious that the 

item will not adequately function in the next flood event, compromising 

the project's ability to provide reliable flood protection.

TABLE 5-1. Rating Codes for Individual Rated Items
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(2) The lowest rating code for any rated item will determine the overall condition of the 

project. Project condition codes are shown in Table 5-2, below.

(a) If all rated items are rated as Satisfactory, the project condition is Acceptable. An 

Acceptable condition means that the FCW will function as designed and intended, with a 

high degree of reliability, during a flood event, and that necessary cyclic maintenance is 

being adequately performed.

(b) If one or more rated items are rated as Marginally Satisfactory, with no rated items 

rated as Unsatisfactory, then the project condition is Minimally Acceptable. The project will 

function as designed and intended, but with a lesser degree of reliability than what the 

project should provide.

(c) One or more rated items with a rating of Unsatisfactory will result in a project 

condition of Unacceptable. An Unacceptable condition means that one or more deficient 

conditions exist that are so serious that the FCW does not provide reliable protection 

against the threat of a flood. These deficiencies can reasonably be foreseen to prevent the 

project from functioning as designed, intended, or required.

PROJECT CONDITION CODES

SYMBOL CONDITION DEFINITION

A Acceptable

No immediate work required, other than routine maintenance. The 

flood control project will function as designed and intended, with a 

high degree of reliability, and necessary cyclic maintenance is 

being adequately performed.

M

Minimally 

Acceptable

One or more deficient conditions exist in the flood control project 

that need to be improved/corrected. However, the project will 

essentially function as designed and intended, but with a lesser 

degree of reliability than what the project should provide. Specific 

items of the project must be improved/corrected.

U Unacceptable

One or more deficient conditions that can reasonably be foreseen 

to prevent the project from functioning as designed, intended, or 

required.

TABLE 5-2. Project Condition Codes

(3) The project condition determines the project's status in the RIP, as shown in Table 

5-3, below. If the project condition is Acceptable, the project is in Active status in the RIP. If 

the project condition is Minimally Acceptable, the project is in Active status in the RIP. If the 

project condition is Unacceptable, then the project is in Inactive status in the RIP.
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PROJECT STATUS

IF THE LOWEST RATING 

FOR A RATED ITEM IS:

THEN THE PROJECT 

CONDITION IS:

AND THE PROJECT 

STATUS IS:

Satisfactory Acceptable Active

Marginally Satisfactory Minimally Acceptable Active 

Unsatisfactory Unacceptable Inactive

Table 5-3. Project Status

5-6. Initial Eligibility Inspections (IEI's). Initial Eligibility Inspections are conducted only 

on non-Federal flood control works. The intent of the IEI is to assess the project's design, 

construction, and maintenance. This assessment allows the Corps to make a rational 

determination of potential eligibility for Rehabilitation Assistance in the event a future flood 

damages the project. The IEI consists of two parts, an engineering assessment and a 

maintenance assessment, and uses the Inspection Guide in Appendix A. (Pump stations, if 

present, are also assessed for both maintenance and engineering criteria. There are 

separate engineering and maintenance sections in the Inspection Guide for pump stations.) 

 The engineering assessment reviews the hydraulic/hydrologic aspects and the

geotechnical situation of the project. The maintenance assessment determines the level 

and adequacy of routine and periodic maintenance being performed by the project sponsor.

a. Level of Detail. The IEI will be performed using on site inspections, and technical 

analyses of available data. The IEI will determine the general functional and structural 

integrity of the project, and thus the project's ability to provide reliable protection against 

floods. The IEI will also determine an estimated level of protection.

b. Engineering Assessment. The engineering assessment answers the question "will 

this project provide an acceptable level of protection against flooding, given the physical 

characteristics of the project itself, and the hydraulic and hydrologic conditions with which 

the project must contend?"

(1) Hydrologic and Hydraulic Analysis.

(a) Investigation procedures may include noting stream characteristics such as 

meandering, braiding, and excessive depositions. Observation should also include things 

that may affect future stream changes, such as debris on bridge structures, and historical 

changes, as related by local interests or news accounts of flooding events.
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(b) Collection of data such as high water marks, location of bench marks, bridge 

cross-sections, flooding, and gage information may be available through searching 

in-house files or contacting the local Department of Highways, County Engineer, and/or 

state water agencies. Agencies with the US Department of Interior, such as the U.S. 

Geological Survey (USGS) and Bureau of Indian Affairs (BIA), and the Natural Resources 

Conservation Service (NRCS) or Forest Service of the U.S. Department of Agriculture may 

be a good source of information on flooding. Another valuable source of information may 

be to obtain photographs of impacted areas through contacts with local residents and the 

news media. Generally, the public sponsor should provide most of this information in 

conjunction with the request to conduct the IEI.

(c) Gauge data and/or regional equations are generally the first choice for estimating 

peak flood flow probability, where applicable. The USGS has published information on 

estimating the probability of floods in a location without any gauges. These documents are 

available to provide a simple means of obtaining flood probabilities that are essentially 

unaffected by changes in the watershed, conveyance, storage, or runoff characteristics for 

natural sites without gauges. The USGS also has flood probability data for various gauged 

locations. Regional equations and other types of relations, rather than the USGS

information may be used. Watershed modeling may be done, if necessary, on a limited 

basis, if the watershed characteristics have been altered.

(d) Available data and/or profiles based on known water surface and flow information 

are generally the first choice for water surface profiles. However, when water surface 

profiles are not available and simple procedures, such as end area slope, are not 

applicable, the profiles can be computed with cross-sections, roughness values, and 

computer programs such as HEC-2. Roughness values can be estimated from field 

inspection and photographs of the channel and over bank areas. Cross-sections can 

usually be developed using recent aerial photos, topographic maps, and from over bank 

and channel cross section surveys gathered by inspectors. Other information (e.g., levee 

location, distances, floodways, and historical high water marks) may also be needed for 

hydrologic study.

(e) The inspection will document the effectiveness of existing erosion control features, 

and/or the need for protection against erosion in areas being threatened by wave action or 

surface flows, including erosion around appurtenant structures. Inspector(s)

knowledgeable in bank protection, sediment transport, and river morphology and generally 

familiar with the region should perform the inspection.

(2) Geotechnical Analyses.

(a) The geotechnical assessment will be based primarily on a detailed visual inspection 

using the parameters provided in Section I of the Inspection Guide in Appendix A. Soil 
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samples should be taken as deemed necessary by the geotechnical evaluator, who will 

then decide how extensive the analysis should be. Soil samples will only be taken and 

analyzed if all other portions of the IEI indicate that the project is likely to gain an Active 

status.

(b) The IEI should identify critical areas where slope stability appears weakest and 

document the location, reach, and cross-section at these points. Appropriate monitoring 

and evaluations should be recommended to document changes at these locations. Table 

5-4 is provided as a guide for the initial visual inspection and evaluation of slope stability. 

Significant deviations from the table values, i.e., a steeper slope, are generally sufficient to 

cause the rating to be Unsatisfactory and the project condition to be Unacceptable, absent 

major mitigating circumstances that would lead to a different assessment.

Cross Section Template Data

Levee

Material

Maximum Riverward 

Side-Slope

Maximum Landward 

Side Slope

Maximum 

Height

Minimum Top 

Width

Clay 1V on 2 1/2H 1V on 2 1/2H 12 Ft 10 Ft

Sand 1V on 3H 1V on 4H 15 Ft 10 Ft

TABLE 5-4. Levee Cross Section Template Data

(c) IEI's should generally be conducted coincident with low or normal river stages, to 

allow maximum access to all portions of the project. However, observations during high 

river stages to assess seepage problems or related concerns may also be necessary, at 

the district's discretion.

c. Funding. IEI's will be funded under Class 350. Funding for IEI's will be requested 

from HQUSACE on an as needed basis, in accordance with ER 11-1-320.

5-7. Continuing Eligibility Inspections (CEI's). The purpose of a CEI is to verify that an 

Active FCW continues to meet minimum acceptable performance levels for the RIP. CEI's 

are intended to detect significant changes to project conditions from the conditions that 

existed during the IEI or the previous CEI (if one has been conducted) which affect the 

integrity of the FCW, or which may affect the integrity of the FCW in the future.

a. CEI's for Non-Federal FCW's. Item evaluations and overall project conditions are the 

same as those used for IEI's. (See paragraphs 5-4 and 5-5 above.) Districts will conduct 

CEI's using the Inspection Guide (Appendix A). 

(1) Cycle. CEI's for non-Federal FCW will normally be conducted on a biennial cycle. 

Those projects that historically have been well maintained may be extended to a triennial 

inspection cycle.
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(2) Funding. CEI's for Non-Federal FCW's are conducted using FCCE funds, Class 

360, budgeted for and requested on an annual basis.

b. CEI's for Federal FCW's. CEI's for Federal FCW's will be conducted in accordance 

with ER 1130-2-530. Alternatively, the Inspection Guide at Appendix A may be used.

(1) Cycle. CEI's for Federal FCW will normally be conducted on a biennial cycle. 

Those projects that historically have been well maintained may be extended to a three-year 

or four-year inspection cycle, in accordance with ER 1130-2-530.

(2) Funding. Federal FCW's are inspected using Inspection of Completed Works (ICW) 

funds from the Operations and Maintenance, General appropriation, Class 60223. ICW 

funds at HQUSACE are managed by the Civil Emergency Management Branch, CECWOE, and are budgeted for on an annual basis in accordance with the annual budget 

Engineer Circular.

5-8. Reporting and Processing Results of Inspections, and General Information.

a. IEI's. Results of IEI's will be provided to the sponsor and maintained at districts, and 

pertinent data recorded in the FCW Database. A copy of the inspection report will be sent 

to the public sponsor within 30 days of the completed inspection. If any items of an IEI are 

rated as Marginally Satisfactory, the sponsor's notification of Active status will include a 

statement that the Marginally Satisfactory item(s) must be upgraded to Satisfactory within 

three years, or any shorter period of time deemed reasonable by the district.

b. CEI's. Results of CEI's will be provided to the sponsor and maintained at districts, 

and pertinent data recorded in the FCW Database. A copy of the inspection report will be 

sent to the public sponsor within 30 days of the completed inspection. For an FCW with a 

project condition of Unacceptable, a copy of the inspection report will be sent via registered 

or certified mail to the public sponsor within 15 business days of completion of the 

inspection. If any rated items on a CEI are rated as Marginally Satisfactory, the public 

sponsor's notification will include a statement that the Marginally Satisfactory item(s) must 

be upgraded to Satisfactory within one year, or any shorter period of time deemed 

reasonable by the district. FCW's that have undergone a CEI and received a project 

condition code of Acceptable or Minimally Acceptable will retain an Active status in the RIP.

c. Unacceptable Condition. An FCW that has an overall project condition of

Unacceptable is immediately placed in an Inactive status, and the FCW Database

appropriately updated.
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d. Notification Requirements. For notification requirements for the FEMA region, and 

for state and local level emergency management agencies, refer to ER 500-1-1, paragraph 

5-5.c.

e. Maintenance of Records. The district will maintain records of all inspection reports 

for a minimum of ten fiscal years, or longer if warranted or needed for historical purposes.

f. Eligibility Disagreements. If a public sponsor disagrees with an Unacceptable 

condition given by USACE for an IEI or CEI, the district will inform the sponsor of its right to 

submit a reclama. Refer to paragraph 5-5.d., ER 500-1-1, for applicable policy.

g. Funding. 

(1) Inspections of non-Federal FCW's will be funded under Class 350 (IEI's) and Class 

360 (CEI's). District annual budgets will include funds for CEI's only. Funding for IEI's will 

be requested from HQUSACE on an as needed basis.

(2) Funding for CEI's of Federal FCW's will be from the Inspection of Completed Works 

program. This funding is provided from O&M, General, 96x3123.

h. Provision of Information to Sponsors of Inactive FCW. Districts will maintain an 

active outreach effort to provide sponsors of Inactive FCW with information and Levee 

Owners Manuals concerning upgrading their projects in order to become eligible for the 

RIP. Refer to ER 500-1-1, paragraph 5-21, for additional information.

i. Multiple Sponsors. In accordance with ER 500-1-1, paragraph 5-2.s., if a flood 

control project (or separable element of the project) falls under the jurisdiction of more than 

one public sponsor, the entire project (or separable element) will be reported as a single 

entity, not as separate reaches. The inspection and rating determination will be done 

without regard to the particular reach operated and maintained by an individual sponsor. 

The entire FCW will receive a single project condition code. The project condition code will 

be shared by the multiple sponsors, and will determine Active/Inactive status for the entire 

project.

j. Interrelationship with the Natural Resources Conservation Service. The existing 

Memorandum of Agreement between the Natural Resources Conservation Service (NRCS) 

and USACE divides responsibility between the two agencies regarding general eligibility for 

rehabilitation assistance. For flood control projects located in watersheds of less than 400 

square miles, the NRCS lead responsibility for rehabilitation assistance. For flood control 

projects located in watersheds of greater than 400 square miles, USACE is responsible for 

Rehabilitation Assistance.
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k. Regional Variances for Vegetation Standards. Policy for regional variances is 

provided in ER 500-1-1, paragraph 5-22. Procedures for addressing and processing 

regional variations for vegetation standards are covered in Appendix D.

5-9. (Reserved.)

Section III - Providing Rehabilitation Assistance

5-10. Procedures After Occurrence of a Flood Event.

a. Notice to Public Sponsors.

(1) District commanders will issue a Notice to Public Sponsors immediately after 

significant flood events to alert public sponsors of Active projects that a submittal deadline 

is in effect for USACE assistance to repair damaged FCW under PL 84-99. The notice 

format is provided at Figure 5-2. Issuance of a Notice to Public Sponsors will be noted in 

the next SITREP submitted.

(2) The notice will be provided directly to all public sponsors of Active FCW within the 

flood event area, and to the state emergency management agency.

(3) The submittal deadline for public sponsors to apply for Rehabilitation Assistance will 

be 30 calendar days from the date the flood waters recede to bankfull. This date will be 

prominently noted in the Notice to Public Sponsors.

(4) Under special or unusual circumstances, MSC commanders may approve extension 

of the deadline for an additional 30 days.

(5) When the notice period ends, the district will summarize the data regarding 

rehabilitation requests, to include known dispositions and funding data, via SITREP.

b. Request for Rehabilitation Assistance. The public sponsor must provide a written 

request for Rehabilitation Assistance within the 30-day time frame (or 60-day if extended). 

Districts will verify the status (Active or Inactive) of all requests for assistance on nonFederal FCW, and then proceed accordingly. No investigations will be accomplished or 

PIR's prepared for Inactive FCW. PIR preparation and processing procedures are 

addressed in paragraph 5-10, below.

c. PIR Funding. See ER 11-1-320, Chapter 3, for general information and procedures 

for funding actions regarding PIR's.
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(1) For relatively small flood events, Class 340 funds should be separately requested 

for each individual project requiring preparation of a PIR.

(2) For large scale events, bulk funding may be requested by the district. A separate 

CWIS number (issued by CECW-OE) will be used for bulk funding for a given flood event. If 

the flood event within the district encompasses more than one state, then a separate CWIS 

number will be issued for each state.

(3) PIR activities (Class 340 funds) will be closed out within 90 days from the date the 

project is approved or disapproved. If a PIR was not prepared, the closeout will be within 

90 days from the date of the determination of ineligibility for Rehabilitation Assistance.

d. Interagency Levee Task Force. See paragraph 5-15 below.

5-11. PIR Preparation and Processing.

a. Sponsor Request for Rehabilitation. Upon receipt of a public sponsor's request for 

Rehabilitation Assistance, the district will first check to ensure that the FCW is Active. If 

Active, the district will request funds to perform a field investigation to determine the extent 

of damages. (Refer to paragraph 5-16 for requests for a Nonstructural Alternative Project 

in lieu of structural Rehabilitation Assistance.) If merited, the District will then prepare a 

Project Information Report (PIR).

(1) The BCR must be greater than 1.0 for the PIR to be approved. If the district 

determines during the PIR preparation that the BCR will be less than 1.0, it will cease 

further work on the PIR and notify the public sponsor appropriately.

(2) If estimated repair costs for damages to an FCW total less than $15,000, USACE 

mandatorily considers the damage to be the sponsor's O&M responsibility to repair. 

Districts may use a higher threshold than the $15,000 specified to define the sponsor's 

O&M responsibility.

(3) The PIR will be prepared in accordance with the format in Figure 5-3. The PIR 

Review Checklist, Appendix Z of the PIR, is provided at Figure 5-4.

(a) The PIR Review Checklist must be completed and signed by the Emergency 

Manager or project officer for the Rehabilitation Assistance.

(b) References in the Checklist refer to both ER 500-1-1, designated with "ER" followed 

by the paragraph number, and this pamphlet, designated with "EP" followed by the 

paragraph number.
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b. District Time Frame. The district will transmit the PIR to the MSC no later than 40 

calendar days from the date the sponsor's request is received at the district or termination 

of the flood event, whichever is later. In cases where significant numbers of PIR's must be 

prepared, or when weather conditions or other circumstances limit ability to complete the 

PIR's, the district commander may, with concurrence of the MSC, extend the 40 day period.

c. Approval Process. The MSC will act on the PIR within 10 business days after 

receipt.

d. Approval Authority. Approval of PIR's is delegated to the MSC Commander, or a 

Deputy Division Engineer. Further delegation of approval authority is not permitted.

(1) When necessary, a division may broker the PIR review process to another district 

within the division. However, approval authority for the PIR's will remain at the MSC level. 

The Pacific Ocean Division may broker PIR review process work to the South Pacific 

Division or its subordinate districts.

(2) PIR's that involve highly complicated or unusual circumstances may be forwarded, 

at the MSC's discretion, to HQUSACE (CECW-OE) for action.

e. Funding - Approved PIR's.

(1) Upon notification by the MSC that a PIR has been approved, the district will request 

funds for engineering and design in accordance with ER 11-1-320. HQUSACE will 

normally provide funds within 5 days of the funding request.

(2) When the project is ready for contract award, the district will request funds for 

construction and supervision and administration. HQUSACE will normally provide funds 

within 3 days of the request. When warranted, districts will note the need for a faster 

provision of funds.

(3) Funding necessary to review and process the PIR's at MSC level (or at the brokered 

district) will normally be provided by the district submitting the PIR.

5-12. Approved Rehabilitation Projects. The district should obtain a signed CA within 30 

days of PIR approval. The actual construction for the rehabilitation project will commence 

within 60 calendar days following PIR approval or execution of the CA, whichever is later. 

"Actual construction" is defined as the issuance of the Notice to Proceed to the prime 

contractor for the initial phase of the contract. When unable to meet this requirement, the 

district will report the circumstances via SITREP.
EP 500-1-1

30 Sep 01

5-14

a. Contingency Contracting. Expedient contracting procedures (see Chapter 11) will be 

used to ensure rapid accomplishment of the required rehabilitation work. District

contracting offices will document procedures for all pertinent unusual and compelling 

circumstances.

b. Notification of Completed Rehabilitation Projects. District Emergency Management 

personnel will ensure that the public sponsor is notified when the USACE work is

completed.

c. Fiscal Close Out. The district Emergency Management office will ensure that actions 

for fiscally closing out FCCE activities are completed in a timely manner. Close out 

activities will be in accordance with ER 11-1-320. Districts will fiscally close each project, 

and offer unobligated funds for revocation, within 60 days of the physical completion date of 

the project. When a contractor claim or a similar need to retain project funds is anticipated, 

sufficient funds to meet the claim may be retained by the district, but all other remaining 

funds must be offered for revocation. If the funds retained for anticipated claims/costs are 

insufficient, additional funding may be requested.

5-13. Cooperation Agreements - Rehabilitation Assistance.

a. Non-Federal Projects. Prior to USACE providing Rehabilitation Assistance for nonFederal FCW's, a CA must be executed between the public sponsor and USACE. The 

format for CA's for rehabilitation of non-Federal FCW's is in Appendix B, Figure B-1.

b. Federal Projects. For rehabilitation of Federal FCW's (excluding HSPP's), a CA is 

occasionally not needed, because of the existence of the Project Cooperation Agreement 

(PCA) from the original construction of the project. In lieu of a CA, the district will notify the 

public sponsor in writing of the public sponsor's requirements, citing the original PCA. If no 

record of a PCA can be found, or the existing PCA is inadequate, then a CA is required as 

for a non-Federal FCW. The format for CA's for rehabilitation of Federal projects is in 

Appendix B, Figure B-2.

c. Local Responsibilities. Before or during the preparation of the supporting documents 

for a PIR, the district will ensure the public sponsor is aware of required contributions and 

commitments.

d. Deviation from Approved CA Language. Refer to ER 500-1-1, paragraph 2-4.a.

e. Signature of CA's. Refer to ER 500-1-1, paragraph 2-4.b.
EP 500-1-1

30 Sep 01

5-15

5-14. Initial Repairs - Breached Levees.

a. Policy. For policy regarding Initial Repairs, refer to ER 500-1-1, paragraph 5-14.

b. Justification for Initial Repairs. When a levee breach merits consideration of Initial 

Repairs, the district will submit a written memorandum through command channels to 

HQUSACE (CECW-OE). The memorandum will address the justification for Initial Repairs 

(paragraph 5-14.a., ER 500-1-1), provide rough cost estimates, and provide a schedule for 

completion of each breached levee. The schedule will include events through completion 

of permanent repairs for each project. Enclosed with the memorandum will be Class 340 

funding requests for each project for which Initial Repairs are requested.

c. PIR's for Initial Repairs. HQUSACE (CECW-OE) will approve/disapprove all 

requests for consideration of Initial Repairs. Class 340 funds will be provided for approved 

requests. The district will conduct a field investigation and prepare an abbreviated PIR (see 

d., below) for projects with approved requests. An approved request to prepare the PIR 

does not presuppose approval of either the Initial Repairs or final repairs for the levee 

project.

d. PIR Preparation. The PIR for an Initial Repair will use the format in Figure 5-3. 

Information will be provided for each paragraph at a level of detail sufficient to justify 

undertaking the Initial Repair. Initial Repairs tend to be relatively costly, so as the District 

prepares the Initial Repair PIR, it must be cognizant of the requirement that the BCR of the 

final repair must be greater than 1.0 for the final repair to be approved.

(1) Paragraph 9 must address the existence of any blow holes or scour areas that will 

impact the cost of returning the levee to its original footprint and alignment.

(2) Paragraph 11 and Appendix F of the PIR must justify both the Initial Repair and the 

final repair, since initial repair costs must be included in the costs during the overall 

economic analysis for final repairs. (Refer to ER 500-1-1, paragraph 5-14.e.)

(3) Paragraph 12 must indicate the results of initial coordination with the appropriate 

resource agencies.

(4) Paragraph 14 must address the proposed contracting strategy for completing the 

Initial Repair.

e. Initial Repair PIR Approval.
EP 500-1-1

30 Sep 01

5-16

(1) Approval authority for Initial Repair PIR's is delegated to Division Commanders, 

unless the level of protection the Initial Repair provides exceeds a 25-year level of 

protection. In such cases, the Division Commander will forward the Initial Repair PIR to 

HQUSACE (CECW-O) for approval. Division commanders may further delegate approval 

authority only to permanently assigned Deputy Division Engineers or members of the 

Senior Executive Service on the division staff.

(2) Approval of an Initial Repair PIR indicates that the Initial Repair is necessary, and 

can be completed either during the current flood season, or prior to the next flood season, 

and that there is strong support in the local community for undertaking the Initial Repair.

(3) Approval of an Initial Repair PIR will include the following statements:

(a) "Approval of this Initial Repair is in accordance with current USACE policy."

(b) "This initial Repair provides a ___ (fill in the blank) year level of protection."

(c) "Based on all available evidence, the final repair of this flood control project will 

have a benefit to cost ratio greater than 1.0, including the costs of the Initial Repair and the 

benefits lost to the final repair because of the protection provided by the Initial Repair."

(d) A statement directing that the most expedient contracting procedures available will 

be used to ensure rapid accomplishment of the required rehabilitation work.
EP 500-1-1

30 Sep 01

5-17

Figure 5-2. Format for Notice to Public Sponsors

NOTICE TO PUBLIC SPONSORS

US ARMY CORPS REPLY TO: DATE: 1 June 20__

OF ENGINEERS CORPS OF ENGINEERS, ____ DISTRICT

Emergency Management Division

Street Address

City, State, Zip

APPLICATION PERIOD EXPIRES 1 JULY 20__

REHABILITATION ASSISTANCE FOR FLOOD-DAMAGED FLOOD CONTROL PROJECTS

Public Sponsors of flood control projects that sustained damages due to flooding during the period 

17 May 20____ to 31 May 20____, have until 1 July 20____ to apply for Public Law 84-99 Rehabilitation 

Assistance from the US Army Corps of Engineers, _________________ District.

The Corps of Engineers has authority under Public Law 84-99 to supplement local efforts in the repair of both 

Federal (Corps-constructed, locally operated and maintained) and non-Federal (constructed by non-Federal 

interests or by the Work Projects Administration (WPA)) flood control projects damaged by flood.

a. For a non-Federal flood control project to be eligible for Rehabilitation Assistance, it must have been 

inspected, evaluated, and accepted into the Corps Rehabilitation and Inspection Program (i.e., granted Active 

status) prior to the onset of the flood, and still be Active (based on the latest Continuing Eligibility Inspection) 

at the time of the flood.

b. For a Federal flood control project to be eligible for Rehabilitation Assistance, it must be in an Active 

status by having passed its last Inspection of Completed Works inspection.

c. Rehabilitation Assistance will be provided by the Corps only when the work is economically justifiable, 

the damage was sustained during the recent flood event, and the cost of repairs is more than $15,000.

d. Rehabilitation Assistance for a non-Federal project is cost shared between the Public Sponsor and the 

Corps of Engineers. The Public Sponsor must provide 20 percent of the cost of the Rehabilitation Assistance.

All requests for assistance made to the Corps will be coordinated with the Federal Emergency Management 

Agency (FEMA) and the Natural Resources Conservation Service (NRCS) to prevent duplication of benefits.

If the Public Sponsor believes that its project may qualify for Rehabilitation Assistance, a written request must 

be submitted to the Corps of Engineers at the address above. The request must be signed by an officer or 

responsible official of the Public Sponsor, and must include:

- Name and telephone number of the Public Sponsor's point of contact;

- Legal name of the flood control project;

- Date and results of the last inspection by the Corps of Engineers;

- Location of the flood control project by township, section, range, city, and county;

- Location(s) of the damaged section(s), and extent of the damage at each location; and 

- Waterway causing the flood.

Upon receipt of the Public Sponsor's request, the Corps of Engineers will schedule an inspection with the 

Public Sponsor. If you have any questions, contact the Corps of Engineers at phone number for assistance.

[SIGNATURE BLOCK OF DISTRICT ENGINEER]
EP 500-1-1

30 Sep 01

5-18

Figure 5-3. PIR Format, Rehabilitation of Damaged Flood Control Works

PROJECT INFORMATION REPORT

REHABILITATION OF DAMAGED FLOOD CONTROL WORKS

GENERAL ORGANIZATION OF THE PIR

Part I. Executive Summary. (A one to two page overview of the rehabilitation project, 

similar in content to a fact sheet or an information paper. All pertinent information 

regarding the project, the repair plan, costs, and the benefit cost ratio are presented.)

Part II. Basic Report

1. Project Identification

a. Project Name (Include both the formal name, and any popularly used or 

former names.)

b. Project's Funding Class Class 310 for Federal FCW, Class 320 for nonFederal FCW

c. Project's CWIS Number (if none exists, so state)

2. Project Authority

a. Classification (Federal or non-Federal.)

b. Authority (If a Federal project, provide the authority under which it was 

originally constructed. If a non-Federal project, provide known information.)

c. Estimated original cost of project.

d. Construction completion date of original project.

e. Provide additional information regarding major modifications/improvements/ 

betterments, to include those done by the Corps.

3. Public Sponsor(s)

a. Sponsor Identification. (Include name, address, phone number, etc.)

b. Application for Assistance.

(1) Date of Issuance of District's public notice.

(2) Date of public sponsor's written request. (Include at Appendix A.)

4. Project Location (Provide location and project maps, drawings, photos of the 

undamaged project, and other supporting information at Appendix B, Tab 1.)

a. City, County, State, Basin, River on which project is located, River Mile, River 

Bank (left/right).

b. Narrative providing a general description of the project, including special 

features such as stoplog closures, riprapped areas, etc.
EP 500-1-1

30 Sep 01

5-19

Figure 5-3. PIR Format, Rehabilitation of Damaged Flood Control Works 

(Continued)

Part II. Basic Report (continued)

5. Project Design (Provide a narrative of the project design. Indicate whether the 

project is an Urban FCW; an Agricultural FCW with urban/developed areas; or an 

Agricultural FCW. Indicate if the project is a multipurpose project. Include drawings, 

photos, etc. in Appendix B, Tab 2.)

6. Disaster Incident (General, brief, description of the disaster. Include start date 

and end date. Place voluminous or extensive information in Appendix C.)

7. Project Damages (Provide a detailed description of damages incurred by the 

project in the flood event. Tabular data, photos of damaged areas, etc., will be placed 

in Appendix D.

8. Project Performance Data

a. Inspection results

(1) Date of last inspection

(2) Type of last inspection (IEI, CEI, or other - with explanation)

(3) Project Condition Code of last inspection. Provide narrative of any 

special or unusual situations, as needed.)

b. Sponsor's annual O&M cost. (Also include any other significant work 

undertaken.)

c. Estimated cost to repair maintenance deficiencies. (Include descriptions of 

and cost estimates for deferred and/or deficient sponsor maintenance.)

9. Project Repair Alternatives Considered (In a narrative, with tabular data and/or 

drawings included as needed, summarize the repair alternatives considered. The final 

paragraph will indicate the recommended alternative, and the rationale for the 

recommendation. Explanation must be detailed if an other than lowest cost to the 

Federal government alternative is recommended. If applicable, indicate public

sponsor's preference for any alternative other than the lowest cost to the Federal 

government, to include cost data. If the sponsor has requested an NSAP, include 

narrative of structural repair alternative as well as NSAP data. Detailed cost data 

calculations and other voluminous information will be placed in Appendix E.)

10. Recommended Alternative. (Provide detailed narrative of repair alternative (or 

NSAP alternative) recommended. Include drawings, maps, etc., as needed, or refer 

to their location in Appendix E.)

11. Economics (Refer to Appendix C of EP 500-1-1 for format. Provide a detailed 

narrative for the recommended alternative. Provide a brief narrative of the economics 

for each other alternative, using the same order as used in paragraph 9, above, if 

needed. Include tabular and supporting data in Appendix F.)
EP 500-1-1

30 Sep 01

5-20

Figure 5-3. PIR Format, Rehabilitation of Damaged Flood Control Works 

(Continued)

Part II. Basic Report (continued)

12. Environmental (Provide a general summary of environmental considerations, 

to include any potential "show stoppers". Specific statements will be 

provided in Appendix G as separate tabs. Required statements include:

Tab G-1. A statement on the effect of proposed work on the environment.

Tab G-2. Environmental Assessment.

Tab G-3. Considerations under Section 7 of the Endangered Species Act of 

1973 (PL 93-205).

Tab G-4. Archeological Investigations and Salvage Activities considerations.

Tab G-5. Section 404(b) evaluations.

Tab G-6. A statement on the applicability of EO 11988.

Tab G-7 to G-x. As needed.

13. Interagency Levee Task Force (Provide information concerning the

establishment of an Interagency Levee Task Force.)

14. Project Management.

a. Funding Authority

(1) Program and Appropriation: FCCE, 96x3125

(2) Class: 310 or 320.

(3) CWIS Number:

b. Project Funds

(1) Total estimated cost for recommended repair option, including S&A and 

contingency amount. (Include Federal share and non-Federal share separately.)

(2) Other non-Federal costs (e.g., LERRD’s, betterments, deferred/ deficient 

maintenance

(3) E&D costs

c. Project Repair Schedule

(1) Expected project approval date

(2) Complete construction plans and specs

(3) Contract advertisement

(4) Contract bid opening

(5) Contract award

(6) Notice to proceed issuance

(7) Construction start

(8) Construction completion

(9) Construction final inspection

(10) Fiscal closeout completed
EP 500-1-1

30 Sep 01

5-21

Figure 5-3. PIR Format, Rehabilitation of Damaged Flood Control Works 

(Continued)

Part II. Basic Report (continued)

PROJECT AUTHENTICATION:

Prepared by: (name) (date) (phone)

Emergency Management approval by: (name) (date) (phone)

District-level approval by: (name) (date) (phone)

Technical Points of Contact (name and phone number):

Emergency Management:

Economics:

Environmental:

Engineering and design:

Program/project management:

Other:

Other:

Part III. Appendices and Tabs

A. Project Sponsor's request for Rehabilitation Assistance

B. Project location and design data, maps, and related information

C. Disaster Incident

D. Damages

E. Repair Alternatives

F. Economics

G. Environmental

H-Y. As needed.

Z. PIR Review Checklist
EP 500-1-1

30 Sep 01

5-22

FIGURE 5-4. PIR Review Checklist (Appendix Z) for FCW Rehabilitation Projects

PIR Review Checklist for FCW Rehabilitation Projects

YES NO N/A

1. ____ ____ The project is active in the RIP. [ER, 5-2.a.]

2. ____ ____ The project was damaged by flood(s) or coastal storm(s). [ER, 5-2.]

3. ____ ____ The Public Sponsor has requested Rehabilitation Assistance in 

writing. [EP, 5-10.b.]

4. ____ ____ The Public Sponsor has agreed to sign the Cooperation Agreement, 

which will occur before USACE begins rehabilitation work. 

[ER, 5-10.]

5. ____ ____ The estimated construction cost of the rehabilitation is greater than 

$15,000, and is not considered sponsor maintenance. [ER, 5-2.q.]

6. ____ ____ The repair option selected is the option that is the least cost to the 

Federal government, or, the sponsor's preferred alternative is 

selected with all increases in cost paid by the public sponsor. PIR 

includes justification for non-select of the least cost alternative. 

[ER, 5-2.h. and 5-11.e.(3)]

7. ____ ____ The public sponsor is aware of the opportunity to seek a 

nonstructural alternative project, and has decided to proceed with a 

structural rehabilitation. [ER, 5-16]

8. ____ ____ ____ The cost estimate in the PIR itemized the work to identify the Public 

Sponsor's cost share. [ER, 5-11]

9. ____ ____ The rehabilitation project has a favorable benefit cost ratio of greater 

than 1.0:1. [ER, 5-2.r.]

10. ____ ____ The proposed work will not modify the FCW to increase the degree 

of protection or capacity, or to provide protection to a larger area. 

[ER, 5-2.n.]

11. ____ ____ ____ Betterments are paid 100 percent by the Public Sponsor. [5-2.o.]

12. ____ ____ ____ The CA contains a provision for 80% Federal and 20% local cost 

share for non-Federal projects. [ER, 5-11.a.]

13. ____ ____ ____ Cost for any betterments are identified separately in the cost 

estimate. [ER, 5-2.o.]

Page Z-1
EP 500-1-1

30 Sep 01

5-23

FIGURE 5-4. PIR Review Checklist (Appendix Z) for FCW Rehabilitation Projects 

(Continued)

PIR Review Checklist for FCW Rehabilitation Projects (Continued)

YES NO N/A

14. ____ ____ ____ Repair of deliberate levee cuts is the responsibility of the public 

sponsor, except as provided for in ER 500-1-1, paragraphs 5-2.j. 

and 4-3.h. [ER, 5-2.j. and 4-3.h.]

15. ____ ____ All deficient and deferred maintenance will be paid for or 

accomplished by the Public Sponsor, without receiving credit toward 

any sponsor's cost share. [ER, 5-2.g.]

16. ____ ____ ____ Any relocation of levees is adequately justified. [ER, 5-2.h.]

17. ____ ____ USACE assistance does not correct design or construction 

deficiencies. [ER, 5-12.a.]

18. ____ ____ An assessment of environmental requirements was completed. 

[ER, 5-13., and EP, Figure 5-3, paragraph 12.]

19. ____ ____ The project complies with NEPA, and required documentation was 

completed and placed in Appendix G of the PIR. [ER, 2-3.k.; 

ER, 5-13.; and EP, Figure 5-3, paragraph 12.]

20. ____ ____ The Endangered Species Act was appropriately considered. 

[ER, 5-13.g., and EP, Figure 5-3., paragraph 12.]

21. ____ ____ EO 11988 requirements were considered in the process of 

evaluating the proposed project for rehabilitation. [ER, 5-13.f., and 

EP, Figure 5-3, paragraph 12.]

22. ____ ____ The completed PIR has been reviewed and the PIR Checklist has 

been reviewed and signed by the Emergency Management Office. 

[EP, 5-11.a.(3)(a)]

23. ____ ____ ____ The completed PIR meets all policy, procedural, content, and 

formatting requirements of ER 500-1-1 and EP 500-1-1. [ER, 2-3.b.]

EM REVIEWING OFFICIAL'S SIGNATURE

_______________________________

NAME

TITLE

TELEPHONE NUMBER

Page Z-2
EP 500-1-1

30 Sep 01

5-24

FIGURE 5-5. PIR Review Checklist (Appendix Z) for Initial Repair, FCW 

Rehabilitation Projects

PIR Review Checklist for Initial Repair of FCW Rehabilitation Project

YES NO N/A

1. ____ ____ The project is active in the RIP. [ER, 5-2.a., and 5-6.]

2. ____ ____ The project was damaged by flood(s) or coastal storm(s). 

[ER, 5-2.a.]

3. ____ ____ The Public Sponsor has requested Rehabilitation Assistance in 

writing. [ER, 5-10.b.]

4. ____ ____ The public sponsor has agreed to sign the Cooperation Agreement, 

and is cognizant that undertaking an initial repair may preclude a 

permanent repair, if the BCR of the permanent repair is not met 

[ER, 5-10., and ER, 5-14.e.]

5. ____ ____ The cost of initial and final repairs must meet the BCR criteria and 

meets the criteria in ER 500-1-1, paragraph 5-14.a.(4). 

[ER, 5-2.r., and ER, 5-14.d.]

6. ____ ____ The repair option selected is the option that is the least cost to the 

Federal government, or, the sponsor's preferred alternative is 

selected with all increases in cost paid by the public sponsor. 

[ER, 5-2.h. and 5-11.e.(3)]. [ER, 5-2. h.]

7. ____ ____ The public sponsor is aware of the opportunity to seek a 

nonstructural alternative project, and has decided to proceed with a 

structural rehabilitation. [ER, 5-16.]

8. ____ ____ ____ The cost estimate in the PIR itemized the work to identify the Public 

Sponsor's cost share. [ER, 5-11.]

9. ____ ____ The rehabilitation project has a favorable benefit cost ratio of greater 

than 1.0:1. [ER, 5-2.r.]

10. ____ ____ The proposed work will not modify FCW to increase the degree of 

protection or capacity, or to provide protection to a larger area. 

[ER, 5-2.n.]

Page Z-1
EP 500-1-1

30 Sep 01

5-25

FIGURE 5-5. PIR Review Checklist (Appendix Z) for Initial Repair, FCW 

Rehabilitation Projects (Continued)

PIR Review Checklist for Initial Repair FCW Rehabilitation Projects (Continued)

YES NO N/A

11. ____ ____ ____ The CA contains a provision for 80% Federal and 20% local cost 

share for non-Federal projects. [ER, 5-11a]

12. ____ ____ An assessment of environmental requirements was completed. 

[ER 5-13., and EP, Figure 5-3, paragraph 12.]

13. ____ ____ The project complies with NEPA, and required documentation was 

completed and placed in Appendix G of the PIR. [ER, 2-3.k.; 

ER, 5-13.; and EP, Figure 5-3, paragraph 12.]

14. ____ ____ The PIR states that the consultation for Section 7 (50 CFR 402) has 

been accomplished or will be accomplished as soon after repairs have 

started as possible. [ER, 5-13.g.]

15. ____ ____ EO 11988 requirements were considered in the process of 

evaluating the proposed project for rehabilitation. [ER, 5-13.f., and 

EP, Figure 5-3, paragraph 12.]

16. ____ ____ ____ Any relocation of levees is adequately justified. [ER, 5-2.h.]

17. ____ ____ The completed PIR has been reviewed and the PIR Checklist has 

been reviewed and signed by the Emergency Management Office. 

[EP, 5-11.a.(3)(a)]

18. ____ ____ ____ The completed PIR meets all policy, procedural, content, and 

formatting requirements of ER 500-1-1 and EP 500-1-1. [ER, 2-3.b.]

REVIEWING OFFICIAL'S SIGNATURE

_______________________________

NAME

TITLE

TELEPHONE NUMBER

Page Z-2
EP 500-1-1

30 Sep 01

5-26

Section IV - Interagency Levee Task Forces and Nonstructural Alternatives to 

Structural Levee Rehabilitation

5-15. Interagency Levee Task Forces.

a. Policy. Policy concerning Interagency Levee Task Force operations is in

ER 500-1-1, paragraph 5-24. Reference should also be made to ER 500-1-1, Chapter 5, 

Section IV, regarding nonstructural alternative projects.

b. Funding and Eligible Costs. ILTF costs eligible for FCCE funding will be provided 

under Class 370. (See ER 11-1-320 for procedures and descriptions of Class 370 funds.) 

Under no circumstances may Class 370 funds be used to fund personnel, per diem, or 

related costs for personnel of other Federal agencies, or state, tribal, or local agencies.

c. Basic Charter. Figure 5-6 provides the Basic Charter for operating the ILTF. Each 

ILTF will operate under the guidelines of the Basic Charter until such time as a revised 

charter is agreed upon and signed by the participating agencies. Significant changes to the 

revised charter from the Basic Charter will be coordinated with HQUSACE (CECW-OE) 

prior to distribution of the revised charter for signature by the participating agencies.

d. Preplanning. Divisions (and lead districts as designated by the division) are 

encouraged to preplan ILTF organization and planning efforts with other Federal agencies 

and state counterparts. Preparation and signature of memoranda of understanding 

(MOU's) to supplant the Basic Charter are permitted. The general procedures, signature 

authorities, and leadership responsibility in an MOU will follow the spirit and intent of the 

Basic Charter. Should it be necessary, exceptions to policy may be requested from 

HQUSACE (CECW-OE) concerning MOU provisions. No additional commitment of USACE 

funding responsibility (paragraph 9 of the Charter) is allowed.
EP 500-1-1

30 Sep 01

5-27

Figure 5-6. Interagency Levee Task Force Basic Charter Format

Organizational Charter

Interagency Levee Task Force

(Levee and Environmental Restoration Projects)

1. Authority: This Charter is established under the authority of the Office of Management and Budget 

(OMB)/Council on Environmental Quality (CEQ) memorandum dated February 18,1997; Subject: 

Floodplain Management and Procedures for Evaluation and Review of Levee and Associated 

Restoration Projects, and Engineer Regulation 500-1-1. This charter will remain in effect until revised 

by mutual agreement of the participating agencies, but shall terminate (absent any revisions or agreed 

upon extensions) one year from the date set forth below.

2. Purpose: The purpose of this Charter is to establish the Interagency Levee Task Force (ILTF) for 

__________________________________________________________ (enter common name of 

disaster/flood event, and FEMA disaster declaration number) to enable the joint Federal-State (add 

tribal, if applicable) partnership team to assist in the rapid and effective recovery of the communities 

and areas affected by the aforementioned disaster event. The recovery effort, encompassing Federal, 

state, (tribal), and local programs and authorities, will strive to minimize risk to life and improved 

property, while ensuring a reasonable, cost effective approach to flood damage mitigation efforts, flood 

plain management, and the protection of important environmental and natural resources.

3. Goals: To achieve its purpose, the ILTF will:

a. Ensure continued coordination and collaboration with all agencies regarding applicable 

authorities and programs. All alternatives for reducing vulnerability to flood damages, including 

permanent evacuation of floodprone areas, installation or upgrading of flood warning systems, creation 

of additional natural and artificial storage, adequately sized and maintained levees, and environmental 

restoration and ecosystem management alternatives will be considered.

b. Ensure that nontraditional (alternative) approaches to flood damage reduction are considered 

and implemented, to the extent feasible.

c. Not deny any party access to existing programs for levee repair and associated restoration, so 

long as such rehabilitation work is in accord with sound financial and environmental practices, nor 

create unnecessary or avoidable delays to such rehabilitation work.

d. Pursue potential funding mechanisms from any source in order to address comprehensive 

study efforts within (and upstream of) the flood affected area.

e. Develop, implement, and maintain an effective Public Outreach Program.
EP 500-1-1

30 Sep 01

5-28

Figure 5-6. Interagency Levee Task Force Basic Charter Format (Continued)

4. Agency Applicability: This Charter is applicable to those agencies self-identified as active partners 

in this effort to effect the Purpose of this Charter.

5. Direction and Control: In accordance with the OMB/CEQ guidance referenced in Paragraph 1, this 

ILTF works under the leadership of the U.S. Army Corps of Engineers, specifically, the Commander, 

___________________ Division.

6. Membership:

a. The ILTF will include senior member representatives from each involved Federal agency. The 

ILTF will include the participation of appropriate State, tribal, and local agencies.

b. The Commander, ___________________ Division, U.S. Army Corps of Engineers, or his/her 

designated representative, is the Chairman of the ILTF and the designated Lead Corps Official (LCO). 

 The LCO will designate the ILTF Chief of Staff, who will report directly to the LCO, and be responsible 

for the day to day operation of the ILTF. Other Federal member representatives include

representatives of:

- the Federal Emergency Management Agency;

- the Department of Interior (U.S. Fish and Wildlife Service, Bureau of Reclamation, Bureau of 

Land Management and U.S. Geological Survey)

- Environmental Protection Agency

- Department of Agriculture (Natural Resources Conservation Service)

- Department of Commerce (National Marine Fisheries Service and the Economic

Development Administration)

- Department of Housing and Urban Development

- Department of Transportation

- U.S. Small Business Administration

c. Representatives from Native American Tribes, as appropriate to location of proposed projects.

d. State member representatives for state will include the _______________, ____________, and 

other agencies as appropriate.

9. Funding: Federal agencies will fund participation for their representatives. The Federal Emergency 

Management agency will provide space requirements, communications, and automation needs, 

administrative support, etc., for the ILTF staff until the Disaster Field Office for FEMA disaster number 

closes. Funding provisions for activities after the DFO closes will be provided through the U.S. Army 

Corps of Engineers or through other funding as may be available. State, tribal, and local agencies will 

fund participation of their own representatives.
EP 500-1-1

30 Sep 01

5-29

Figure 5-6. Interagency Levee Task Force Basic Charter Format (Continued)

10. Administration and Procedures:

a. The ILTF Chairman or ILTF Chief of Staff is responsible for announcing meetings and 

preparation of a summary of each meeting.

b. Paragraph 9 provides details for funding administrative support. Should the DFO close prior to 

completion of administrative activities under the ILTF, the U.S. Army Corps of Engineers will assume 

responsibility.

c. Proposed agency structural rehabilitation projects will be staffed to other ILTF agencies 

expeditiously. This staffing will be done directly from the submitting agency to all other agencies, 

electronically, or through the ILTF. The ILTF staff will facilitate this process as needed. Agencies will 

have two working days to provide comments and suggestions to the submitting agency. The ILTF will 

meet as requested, by any agency, to review proposals for repair, and restoration of flood damaged 

levees and associated systems for a decision on applicability of non-traditional alternatives. Periodic 

meetings to discuss procedural activities and/or processes will convene as necessary. These 

meetings may include activities related to short and long term flood plain management issues. The 

use of electronic reporting and commenting will expedite the review process.

d. The ILTF Chairman or Chief of Staff will facilitate each meeting in a manner designed to 

promote active participation of all members.

e. Resolution of issues that impact National floodplain management policy or cut across agency 

lines may be identified by the ILTF addressed through the Headquarters, US Army Corps of Engineers, 

to OMB/CEQ.

f. Monthly reports will be prepared by the ILTF. The report will be submitted through 

Headquarters, US Army Corps of Engineers, to OMB. Each member agency will receive copies of the 

monthly report for its use, and may include it in any agency reports. The monthly reports will include, 

but are not be limited to, information on applications received, comments received, actions taken, and 

dollars spent. Further, the report will address activities relative to any comprehensive long-term 

studies.

12. This Charter is adopted by the undersigned:

[Insert agencies as appropriate.]
EP 500-1-1

30 Sep 01

5-30

5-16. Nonstructural Alternative Projects.

a. Policy. Refer to ER 500-1-1, Chapter 5, Section IV for policy regarding NSAP's.

b. Procedures, Processing, and Approval. Procedures for processing and approving 

NSAP's will be in accordance with paragraphs 5-10 and 5-11 above. The public sponsor 

must request the NSAP in writing, even if a structural rehabilitation has previously been 

requested in writing.

c. PIR Format and PIR Review Checklist. The PIR format in Figure 5-3 will be used for 

NSAP's. The PIR Review Checklist for NSAP's is provided at Figure 5-7. The Checklist 

must be completed and signed by the Emergency Manager or the Project Officer for the 

NSAP.

d. Non-qualifying Structural Rehabilitation. In some cases, a public sponsor will want a 

structural rehabilitation of a project, but the PIR process will reveal some impediment 

(typically a BCR less than 1.0) that precludes undertaking the structural rehabilitation. In 

such cases, if the public sponsor then opts for an NSAP, the following procedures will 

apply:

(1) If the PIR for the structural rehabilitation has been completed or substantially 

completed, the district will prepare an addendum to the PIR, addressing those portions of 

the PIR that have changed significantly.

(2) If the PIR for the structural rehabilitation has not been substantially completed, then 

the district will determine the NSAP cost cap (ER 500-1-1, paragraph 5-17.b.) and complete 

the PIR for the NSAP only option.

e. Cooperation Agreement. A Cooperation Agreement is required for an NSAP. 

Guidance will be requested from HQUSACE (CECW-OE) regarding the CA format to be 

used for NSAP's.
EP 500-1-1

30 Sep 01

5-31

Figure 5-7. PIR Review Checklist (Appendix Z), Nonstructural Alternative Project

PIR REVIEW CHECKLIST FOR NONSTRUCTURAL ALTERNATIVE PROJECTS

YES NO

1. ___ ___ The NSAP has been requested in writing by the public sponsor. [ER, 5-16.]

2. ___ ___ The principal purpose(s) of the NSAP is/are (1) floodplain restoration, (2) provision

or restoration of floodways; and/or (3) reduction of future flood damages and 

associated FCW repair costs. [ER, 5-16.a.]

3. ___ ___ A sponsor, either a public sponsor or another Federal agency, has been identified 

to sponsor the NSAP. [ER, 5-16.b.]

4. ___ ___ USACE is not responsible for any operation, maintenance, or management of the 

NSAP. [ER, 5-16.c.]

5. ___ ___ The NSAP public sponsor has indicated it has the financial capability and 

willingness to implement, operate, and maintain the NSAP. [ER, 5-16.e.]

6. ___ ___ The district has complied with all environmental considerations. [ER, 5-13. and 

5-16.k., and EP, Figure 5-3, paragraph 12.]

7. ___ ___ USACE costs for implementing the NSAP are in accordance with policy. 

[ER, 5-17.c.]

8. ___ ___ Other (non-USACE) costs to implement the NSAP are adequately addressed. 

[ER, 5-18.b.]

9. ___ ___ The NSAP sponsor understands, and is willing to have in the CA, the restrictions of 

further USACE PL 84-99 assistance. [ER, 5-16.j. and 5-18.e.]

10. ___ ___ The CA will include a statement of legal restrictions placed on the formerly 

protected land. [5-18.g.] (Agency) is responsible for obtaining the legal restrictions.

11. ___ ___ The public sponsor has agreed to sign a Cooperation Agreement. [ER, 5-18.]

12. ___ ___ The completed PIR has been reviewed and the PIR Checklist has been reviewed 

and signed by the Emergency Management Office. [EP, 5-16.c.]

13. ___ ___ The completed PIR meets all policy, procedural, content, and formatting 

requirements of ER 500-1-1 and EP 500-1-1. [ER, 2-3.b.]

REVIEWING OFFICIAL'S SIGNATURE:

NAME:

TITLE:

TELEPHONE NUMBER:

Page Z-1
EP 500-1-1

30 Sep 01

5-32

Section V - Inspections and Rehabilitation Assistance for Hurricane/Shore Protection 

Projects

5-17. Inspections of HSPP’s. 

a. Guidance. The guidance provided in this section supplements and amplifies policies 

and guidance contained in ER 1130-2-530, ER 500-1-1, and Operations and Maintenance 

Manuals for HSPP’s. 

b. Initial Eligibility Inspection. As with any other Federal FCW project, no Initial 

Eligibility Inspection is performed on an HSPP. HSPP’s (to include separable elements 

thereof) are granted Active status in the RIP upon transfer of Operation and Maintenance 

responsibility to the public sponsor. Any separable (or creditable) element constructed by 

the public sponsor that is part of the Federal project (i.e., accorded that status either 

through statutory language or through the Project Cooperation Agreement for the project), 

after it has been inspected and approved by the District, is considered part of the HSPP, 

with Active status.

c. Continuing Eligibility Inspections.

(1) CEI’s for HSPP’s are normally conducted on an annual basis, shortly before the 

onset of the most probable storm season (e.g., prior to the 1 June start of the Atlantic 

hurricane season.) For those HSPP’s located in areas that are not subject to an annual 

storm season, the CEI will be scheduled based on district work load while being cognizant 

of annual funding cycles, prior inspection history, and sponsor preference. Project 

inspections will include periodic beach profiles, surveys, data collection, and other activities 

sufficient to document current beach sand volumes.

(2) Districts will use either inspection criteria specified by the HSPP’s O&M Manual, or 

district-developed inspection criteria. In either case, the results of the CEI must be 

ultimately summarized in the project condition code of Acceptable, Minimally Acceptable, or 

Unacceptable, which is then entered into the FCW Database. (Refer to Table 5-2 for 

definitions of the project condition codes.)

(3) CEI results, to include the project condition code and other pertinent data, will be 

entered in the district's FCW database.

(4) Copies of each CEI will be provided to the public sponsor and forwarded to the MSC 

Emergency Management Office within one week of finalization of the CEI by the district.

d. Funding. HSPP inspections are funded by the Inspection of Completed Works 

program, from the Operations and Maintenance, General appropriation, Class 60223.
EP 500-1-1

30 Sep 01

5-33

5-18. Procedures for HSPP Rehabilitation Assistance.

a. Notice to Public Sponsors. After any storm, hurricane, tsunami, typhoon, or similar 

event that could damage HSPP’s, the district will telephonically contact the public sponsors 

of potentially affected HSPP’s. If there is any indication that any HSPP has sustained 

damage, the district will prepare a Notice to Public Sponsors substantially similar to the 

format at Figure 5-2. The Notice to Public Sponsors will be mailed to all HSPP public 

sponsors in the potentially affected area.

b. Public Sponsor’s Request. The public sponsor must submit a written request for 

assistance within 30 days of issuance of the Notice to Public Sponsors. Upon receipt of a 

public sponsor's written request for HSPP Rehabilitation Assistance, the district will check 

to ensure that the HSPP is Active. Next, the district will review information submitted by the 

public sponsor, district records on the project (to include the last and next scheduled 

renourishment effort), weather/storm records and data, and any other current information 

available. This review is a check for reasonableness of damages incurred by the project 

(as identified by the public sponsor in its request for assistance) that could be eligible for 

HSPP Rehabilitation Assistance. If the HSPP is Active and there is reasonable evidence 

that the storm event can meet the definition of an extraordinary storm (refer to ER 500-1-1, 

paragraph 5 -20.d.), the district will request funds to perform a field investigation (Class 340) 

to determine the extent of damages.

(1) If the field investigation provides sufficient evidence that major damages have 

occurred (for either hardened features of the project, or loss of significant quantities of 

sand), the district will prepare a complete PIR. See paragraph c., below.

(2) The district will notify the public sponsor in writing that the PIR preparation is 

ongoing. This reminder will include renourishment cost share arrangements of the HSPP, 

and emphasize that the local cost share percentage must be received in a timely fashion so 

as to allow the Rehabilitation Assistance effort to be completed before the next storm 

season, or within one year, whichever is less.

(3) If the field investigation provides insufficient evidence that major damages have 

occurred, the district will notify the public sponsor by certified mail (return receipt requested) 

that the project is ineligible for HSPP Rehabilitation Assistance. The notification will include 

a summarization of the reason(s) why the HSPP is ineligible for HSPP Rehabilitation 

Assistance. A copy of the notification, the return receipt, and supporting documentation 

(e.g., site visit MFR, storm records, photographs, etc.) will be filed (hard copy or

electronically) and maintained by the district for a minimum of five years. In addition, the 

FCW Database will be annotated regarding the ineligibility determination, and the location 

of supporting documentation. A complete PIR will not be prepared.
EP 500-1-1

30 Sep 01

5-34

c. PIR Preparation. A PIR for HSPP Rehabilitation Assistance will be prepared using 

the format and directions at Figure 5-8.

(1) The policy of ER 500-1-1, paragraph 5-20, will be adhered to in the completion of 

the PIR.

(2) The PIR (paragraph 10) will contain detailed justification to substantiate a finding 

that the storm meets the criteria of "extraordinary storm", as defined by ER 500-1-1, 

paragraph 5-20.d.

(3) The PIR (paragraph 12) will provide detailed justification of the need for HSPP 

Rehabilitation Assistance. This justification includes substantiating that restoration to a prestorm condition is necessary to allow for adequate functioning of the project (ER 500-1-1, 

paragraph 5-20.a.) This justification also includes meeting the criterion for "significant 

amounts of damage" (ER 500-1-1, paragraph 5-20.d.)

(4) For the economics portion of the PIR, refer to Appendix C for the format. 

Recreation benefits cannot be used in determining benefits for HSPP Rehabilitation 

Assistance.

d. Determining Cost Share Allocation - Renourishment. It will be rare that any FCCEfunded rehabilitation effort involving sand renourishment will not include cost sharing for 

periodic renourishment in accordance with the project PCA. Cost sharing is addressed in 

paragraph 14 of the PIR. To determine the cost sharing formula for renourishment, the 

total volume of sand for the complete renourishment effort (which is generally defined as 

that volume of sand necessary to restore the project to its design profile) will be 

determined. The portion eligible for HSPP Rehabilitation Assistance will be that amount 

necessary to restore the project to the pre-storm level/condition of the project, or the 

amount needed for adequate functioning of the project, whichever is less. The cost for that 

volume of sand not eligible for FCCE-funded HSPP Rehabilitation Assistance but

necessary to restore the design profile will be cost shared based on the renourishment 

formula of the project PCA between USACE (CG funds) and the public sponsor. The cost 

of dredge mobilization/demobilization will be borne proportionally between FCCE, CG, and 

public sponsor contributions.

e. Other Costs. Damages to hard features of the HSPP, e.g., seawalls, groins, or 

jetties, caused by an extraordinary storm will be rehabilitated at 100% Federal cost. These 

costs will be addressed separately in paragraph 14 of the PIR. Public sponsor costs for 

deferred and deficient maintenance (which specifically excludes all renourishment costs) 

will also be provided in paragraph 14.
EP 500-1-1

30 Sep 01

5-35

f. PIR Completion. The PIR will be completed as expeditiously as possible, but no later 

than 40 days after receipt of the public sponsor’s request for assistance.

(1) The PIR Review Checklist for HSPP Rehabilitation Assistance, Appendix Z of the 

PIR, is at Figure 5-9. The Checklist must be completed and signed by the Emergency 

Manager or the project officer for the HSPP Rehabilitation Assistance. References in the 

Checklist refer to both ER 500-1-1, designated with "ER" followed by the paragraph 

number, and this pamphlet, designated with "EP" followed by the paragraph number.

(2) Upon completion of the PIR, if all requirements for eligibility for HSPP Rehabilitation 

Assistance are met, the PIR, and a request for Class 330 Engineering and Design funds 

(see ER 11-1-320, Chapter 3) will be forwarded by cover letter to the MSC. The cover 

letter must be signed by the District Engineer, Acting District Engineer, or Deputy District 

Engineer. The cover letter will contain a summary of the schedule to carry out the HSPP 

Rehabilitation Assistance.

(3) If the district determines that the HSPP is ineligible for HSPP Rehabilitation 

Assistance, the district will notify the public sponsor by certified mail (return receipt

requested) of the determination. The notification will include a summarization of the 

reason(s) why the HSPP is ineligible for HSPP Rehabilitation Assistance, and a copy of the 

PIR. A copy of the notification, the PIR, the return receipt, and other supporting 

documentation (e.g., storm records, photographs, etc. not included in the PIR) will be filed 

(hard copy or electronically) and maintained by the district for a minimum of five years. In 

addition, the FCW Database will be annotated regarding the ineligibility determination, and 

the location of supporting documentation.

g. District Time Limit. The district will transmit the cover letter, PIR, and funding 

request to the MSC no later than 45 calendar days from the date the sponsor's request is 

received at the district. In cases where significant numbers of PIR's must be prepared, or 

when weather conditions or other circumstances limit ability to complete the PIR's, the 

district commander may, with written concurrence of the MSC, extend the 45-day period. 

However, the district will employ all possible measures, to include overtime, weekend work, 

available ID/IQ contracts and other contracting strategies, and TDY of personnel from other 

districts to attempt to meet the 45-day period.

h. Coordination for Cost Share Requirements. No later than the date of submission of 

the PIR, and based on renourishment cost sharing arrangements in the project’s PCA, the 

district will begin coordination (through the MSC) with HQUSACE (CECW-B) for necessary 

CG funds. In addition, coordination with the public sponsor regarding local cost share 

requirements will be begun. Inability of the public sponsor to meet its cost share 

requirement in a timely manner may jeopardize the availability of FCCE funds to provide 

HSPP Rehabilitation Assistance.
EP 500-1-1

30 Sep 01

5-36

i. MSC Action. The MSC will act on the PIR within 10 business days after receipt. If 

the PIR is disapproved, it will be returned to the district with instructions to notify the public 

sponsor in accordance with paragraph f.(3) above. Otherwise, the MSC will endorse the 

cover letter, with the MSC disposition recommendation to HQUSACE, ATTN: CECW-OE. 

The MSC Commander, Acting Commander, or a Deputy Division Engineer must endorse 

the cover letter.

(1) The MSC will verify that the proposed HSPP Rehabilitation Assistance complies 

with the policy set forth in ER 500-1-1, Chapter 5, Section V, and the procedures set forth 

above.

(2) If the MSC determines a technical review is necessary, then it will telephonically 

contact HQUSACE (CECW-OE) for guidance.

j. HQUSACE Action. The Civil Emergency Management Branch will review the 

submitted PIR and prepare the appropriate decision document for action by the Director of 

Civil Works. PIR’s that are disapproved will be returned through command channels to the 

submitting district, which will notify the public sponsor in accordance with paragraph f.(3) 

above.

k. E&D Funding for Approved HSPP PIR's. Upon HQUSACE approval of the HSPP 

PIR, Engineering and Design funds will be provided by HQUSACE based on the district’s 

funding request.

l. Cooperation Agreement for HSPP Rehabilitation Assistance. A Cooperation

Agreement for HSPP Rehabilitation Assistance is required. The CA must be signed before 

rehabilitation work may begin. The CA is provided at Appendix B, Figure B-3.

(1) Signature of CA's. The district engineer or deputy district engineer may sign the 

Cooperation Agreement.

(2) Deviation from Approved CA Language. Significant deviation from the specified CA 

format at Figure 5-10 requires prior coordination with HQUSACE. Under no circumstances 

will any deviation cause USACE to incur, or be obligated to provide in the future, additional 

costs, except as specifically approved by HQUSACE.

m. Construction Funding. When the Cooperation Agreement for HSPP Rehabilitation 

Assistance has been signed, and the project is ready for contract award, FCCE funds for 

construction, supervision and administration, and contingency amounts will be requested 

by the district. HQUSACE will normally provide funds within 3 days of the request. CG 
EP 500-1-1

30 Sep 01

5-37

funds will also be requested in accordance with standard procedures, if the request has not 

already been submitted.

(1) Contingency amounts for the FCCE-funded portions of dredge mobilization/ 

demobilization costs and sand renourishment (dredging) costs are limited to 15 percent of 

the construction cost estimates of those items.

(2) Contingency amounts for all other allowable FCCE-funded costs are limited to 10 

percent.

5-19. Construction, Reporting, and Closeout of Approved HSPP Rehabilitation 

Assistance Projects.

a. Construction Commencement. The actual construction (defined as the issuance of 

the Notice to Proceed) for HSPP Rehabilitation Assistance will commence within 60 

calendar days following PIR approval or execution of the CA, whichever is later. When 

unable to meet this requirement, the district will report the circumstances via a Disaster 

Recovery SITREP, to include the revised schedule for work.

b. Reporting. Reporting of HSPP Rehabilitation Assistance progress will be by Disaster 

Recovery SITREP’s. Refer to Chapter 4, Section V for procedures and formats.

c. Notification of Completed Rehabilitation Projects. When the FCCE-funded contract 

work (to include any force labor efforts) for HSPP Rehabilitation Assistance is completed, 

the district will notify the public sponsor in writing that the USACE work is completed. The 

notification will remind the public sponsor of its continued requirements for local

cooperation (from the PCA) and any additional requirements specified in the CA.

d. Fiscal Close Out. The district Emergency Management office will ensure that actions 

for fiscally closing out FCCE-funded HSPP Rehabilitation Assistance activities are 

completed in a timely manner. Close out activities will be in accordance with ER 11-1-320. 

Districts will fiscally close each project, and offer unobligated FCCE funds for revocation, 

within 60 days of the physical completion date of the project. When a contractor claim or a 

similar need to retain project funds is anticipated, sufficient funds to meet the claim may be 

retained by the district, but all other remaining FCCE funds must be offered for revocation. 

If the funds retained for anticipated claims/costs are insufficient, additional FCCE funding 

may be requested.
EP 500-1-1

30 Sep 01

5-38

Figure 5-8. PIR Format, HSPP Rehabilitation Assistance

PROJECT INFORMATION REPORT

REHABILITATION EFFORT FOR THE

(insert name) 

HURRICANE/SHORE PROTECTION PROJECT

Part I. Executive Summary. Provide a one page executive summary of the PIR, to 

include the estimated cost, BCR, and the need to undertake the rehabilitation effort 

using FCCE funds.

Part II. Basic Report. Use the following paragraph numbers.

1. NAME AND LOCATION - Project name; city, county, and state where project is 

located.

2. PUBLIC SPONSOR - Name, address, telephone number, and email address 

for the public sponsor of the Hurricane/Shore Protection Project.

3. POC FOR PUBLIC SPONSOR - Name, address, telephone number, and email 

address for the individual who will serve as the public sponsor's single point 

of contact for the rehabilitation effort.

4. PROJECT AUTHORIZATION - Cite the authorization for construction of the 

HSPP, e.g., "Section 301 of PL 89-298, passed on 27 October 1965 in 

accordance with the report of the Chief of Engineers as described in House 

Document 91, 89th Congress, dated 15 June 1964." Cite any pertinent 

amendments to the law or modifications to the project (to include funding 

changes) in a similar fashion. Place a copy of the project entry from the 

District's project notebook or Digital Project Notebook in Appendix C.

5. PROJECT CLASSIFICATION - Provide a statement similar to "This project was 

Federally designed and constructed to protect against hurricane wave 

action from a 50-year storm."

6. DESIGN DATA OF PROJECT - Provide a brief description/overview of the 

project design data. Place extensive documentation, records, or data in 

Appendix D.

7. MAINTENANCE. Provide a brief statement regarding the scope, extent, and 

average annual costs for the public sponsor's OMRR&R responsibilities. Do 

not include any periodic nourishment efforts cost shared with USACE.

Place supporting or extensive documentation, tables, survey reports, etc., 

in Appendix E.
EP 500-1-1

30 Sep 01

5-39

Figure 5-8. PIR Format, HSPP Rehabilitation Assistance (Continued)

8. PERIODIC NOURISHMENT. Provide a brief statement regarding the project's 

historical nourishment efforts, and the next scheduled or anticipated 

renourishment effort, with volumetric estimate. Include Federal and public 

sponsor cost share percentages from the project PCA. Cite GDM

estimates or other documentation as needed if there is insufficient historical 

data available. Place supporting or extensive documentation, tables, 

survey reports, etc., in Appendix F.

9. PREVIOUS PL 84-99 ASSISTANCE. Provide a brief statement regarding 

previous PL 84-99 Rehabilitation Assistance, or assistance provided by any 

other Federal agency such as FEMA or FDAA. If no previous Federal 

assistance has been provided, so state. Place extensive documentation, 

records, or data in Appendix G.

10. DISASTER INCIDENT. Provide a brief description of weather system or 

event that caused the damage to the HSPP. Provide a brief, supportable 

statement that summarizes why the weather system or event meets the 

definition of extraordinary storm provided in ER 500-1-1, paragraph x-x. 

Place supporting documentation, tables, maps, weather reports, hurricane 

tracking charts, etc., in Appendix H.

11. DAMAGE DESCRIPTION. Provide a brief description of the damage incurred 

by the project. Address shoreline changes, volumetric changes, damages 

to hard features (e.g., groins, seawalls), etc. Address the level and extent 

of the project's remaining protection. Place supporting documentation, 

beach profile data, photos, etc., in Appendix I.

12. NEED FOR PL 84-99 REHABILITATION. Based on the policy contained in 

ER 500-1-1, paragraph 5-20, state why it is necessary to undertake the 

proposed rehabilitation effort under authority of PL 84-99. Specifically 

address the immediate threat to life and property, and the need for

immediate action. Include an estimate of the project's remaining protection. 

 Address when the next storm season will occur.

13. PROPOSED WORK. Describe the work proposed to be undertaken by this 

rehabilitation effort. Include extensive tabular data, supporting

documentation, and alternatives considered but not selected in Appendix J.

14. COST ESTIMATE. Summarize (in narrative and tabular form) the total cost of 

the proposed work, to include FCCE/CG/local cost shares. Place

supporting figures, calculations, historical or reference cost data, dredge 

mobilization/demobilization costs, determination of cost share percentages, 

etc., in Appendix K.
EP 500-1-1

30 Sep 01

5-40

Figure 5-8. PIR Format, HSPP Rehabilitation Assistance (Continued)

15. ECONOMICS. Refer to Appendix C of EP 500-1-1 for format. Provide the 

benefit to cost ratio, and a narrative summary of the major components/ 

efforts that affect benefits and costs. Place the economic justification, 

interest rates used, period of analysis used, damages prevented charts, 

price data, etc. in Appendix L.

16. ENVIRONMENTAL CONSIDERATIONS. Provide a general summary of 

environmental considerations, to include any potential "show stoppers". 

Specific statements will be provided in Appendix M as separate tabs. 

Required statements include:

Tab M-1. A statement on the effect of proposed work on the environment.

Tab M-2. Environmental Assessment.

Tab M-3. Considerations under Section 7 of the Endangered Species Act of 

1973 (PL 93-205).

Tab M-4. Archeological Investigations and Salvage Activities considerations.

Tab M-5. Section 404(b) evaluations.

Tab M-6. A statement on the applicability of EO 11988.

Tab M-7 to M-x. As needed.

17. PERMITS. List the need for any permits (Federal, state or local) and indicate 

potential problems with obtaining these permits.

Part III. Appendices

Appendix A. Public sponsor's request for assistance.

Appendix B. Project map(s).

Appendix C. Project Overview (from District project notebook/Digital Project

Notebook).

Appendix D. Project Design Data

Appendix E. Project Maintenance Data

Appendix F. Periodic Renourishment Data

Appendix G. Previous PL 84-99 or Other Federal Agency Assistance.

Appendix H. Disaster Incident.

Appendix I. Damage Description.

Appendix J. Proposed Work.

Appendix K. Cost Estimate Data.

Appendix L. BCR Data.

Appendix M. Environmental Considerations.

Appendix N. - Y. (As needed.)

Appendix Z. PIR Review Checklist.
EP 500-1-1

30 Sep 01

5-41

Figure 5-9. PIR Review Checklist (Appendix Z), HSPP Rehabilitation

Assistance

PIR Review Checklist for HSPP Rehabilitation Assistance

YES NO N/A

1. ____ ____ The project is a Federally authorized and constructed hurricane or 

shore protection project. [ER, 5-20.a.]

2. ____ ____ The project is Active in the RIP. [ER, 5-2.a.]

Last inspection date: _____________

3. ____ ____ The Public Sponsor has requested HSPP Rehabilitation Assistance 

in writing. [EP, 5-18.b.]

4. ____ ____ The FCCE-funded HSPP Rehabilitation Assistance is necessary 

(a) to allow for adequate functioning of the project; (b) to reduce the 

immediate threat to life and improved property; and (c) is to a level 

no more than the pre-storm condition. [ER, 5-20.a., c., and d.]

5. ____ ____ There is sufficient evidence in the PIR to support a finding that the 

HSPP was damaged by an extraordinary storm. [ER, 5-20.e.]

6. ____ ____ There are "significant amounts of damage" to the HSPP. 

[ER, 5-20.e.(2)] The criterion used to make this determination is:

_____ the cost of the construction effort to effect repair of the 

HSPP (exclusive of dredge mob/demob costs) (a) exceeds $1 

million and (b) is greater than 2 percent of the original project 

construction costs (expressed in current day dollars.); or, 

____ the cost of the construction effort to effect repair of the HSPP 

(exclusive of dredge mob/demob costs) exceeds $6 million; or, 

____ more than one-third of the planned or historically placed sand 

for renourishment was lost.

____ only hard features are involved.

7. ____ ____ The public sponsor has agreed to sign the Cooperation Agreement, 

which will occur before USACE begins rehabilitation work. 

[EP, 5-18.l.]

8. ____ ____ The rehabilitation project has a favorable benefit cost ratio of 

greater than 1.0:1. [ER, 5-20.a.]

9. ____ ____ The Public Sponsor has access to sufficient funds to meet its 

required cost contributions. [EP, 5-18.h.]

Page Z-1
EP 500-1-1

30 Sep 01

5-42

Figure 5-9. PIR Review Checklist (Appendix Z), HSPP Rehabilitation

Assistance (Continued)

PIR Review Checklist for HSPP Rehabilitation Assistance

YES NO N/A

10. ____ ____ ____ The cost estimate in the PIR itemizes the work and identifies the 

Public Sponsor's cost responsibility for items such as deferred and 

deficient maintenance. [ER, 5-2.g.]

11. ____ ____ The cost estimate in the PIR allocates costs between what may be 

paid for under PL 84-99 Rehabilitation Assistance, and what is cost 

shared between the Corps (using CG funds) and the public sponsor 

under periodic renourishment terms of the project PCA. 

[EP, 5-18.d.]]

12. ____ ____ Dredge mobilization/demobilization costs are borne proportionally 

among contributing sources of funds for sand renourishment. 

[ER, 5-20.i.]

13. ____ ____ Contingency funds for the FCCE-funded portion of the project are 

limited to 15 percent for dredging-related costs, and 10 percent for 

all other costs. [ER, 5-2.v.]

14. ____ ____ The repair option selected is the option that is the least cost to the 

Federal government. [ER, 5-2.h.]

15. ____ ____ The benefit cost ratio calculation excludes all recreation benefits. 

[ER, 5-20.a.]

16. ____ ____ ____ Betterments are paid by the Public Sponsor. [ER, 5-2.o.]

17. ____ ____ ____ Cost for any betterments are identified separately in the cost 

estimate. [ER, 5-2.o.]

18. ____ ____ Based on the projected schedule, project history, anticipated 

degree of contention of undertaking the project, and similar items, 

the Rehabilitation Assistance will be finished prior to the onset of 

the next storm season, or within one year of the date of occurrence 

of the damage, whichever is less. [ER, 5-20.j.]

19. ____ ____ The proposed work will not modify the HSPP to increase the degree 

of protection or capacity, or provide protection to a larger area. 

[ER, 5-2.n.]

Page Z-2
EP 500-1-1

30 Sep 01

5-43

Figure 5-9. PIR Review Checklist (Appendix Z), HSPP Rehabilitation

Assistance (Continued)

PIR Review Checklist for HSPP Rehabilitation Assistance

YES NO N/A

20. ____ ____ An assessment of environmental requirements was completed. 

[ER, 5-13.e.]

21. ____ ____ The Endangered Species Act was appropriately considered. 

Dredging will not be adversely impacted. [ER, 5-13.e.]

22. ____ ____ The Archeological and Historical Preservation Act was 

appropriately considered. [ER, 5-13.h.]

23. ____ ____ EO 11988 was appropriately considered. [ER, 5-13.f.]

24. ____ ____ Other permitting and evaluations were appropriately considered, 

and result in no impediment to the Rehabilitation Assistance effort. 

[ER, 5-13.a.]

25. ____ ____ The cover letter forwarding the PIR to the MSC will contain the 

projected schedule for completing the Rehabilitation Assistance. 

[EP, 5-18.f.(2)]

26. ____ ____ The completed PIR has been reviewed and the PIR Checklist has 

been reviewed and signed by the Emergency Management Office. 

[EP, 5-18.f.(1)

27. ____ ____ The completed PIR meets all policy, procedural, content, and 

formatting requirements of ER 500-1-1 and EP 500-1-1. [ER, 2-3.b.]

REVIEWING OFFICIAL'S SIGNATURE

_______________________________

NAME:

TITLE:

TELEPHONE NUMBER:

Page Z-3
EP 500-1-1

30 Sep 01

5-44

Section VI - Dams

5-20. Dams. 

a. Federal Dam Projects.

(1) Inspections. There is no IEI for a Federal dam. CEI's will be conducted in 

accordance with the schedule provided in the O&M manual, and funded by the Inspection 

of Completed Works program.

(2) Rehabilitation Assistance. In the event that a Federal dam is damaged in a flood or 

coastal storm, the rehabilitation effort will procedurally be handled the same as a Federal 

FCW, except that approval level for the PIR is HQUSACE (CECW-O). Refer to Section III 

of this chapter for procedures. Class 310 funds are used for Rehabilitation Assistance for 

Federal dams.

b. Non-Federal Dam Projects. A non-Federal dam can gain an Active status in the RIP. 

To do so, it must have flood control as its principal function, and be able to contain a 

200-year storm before use of the spillway in its normal flood control pool.

(1) Inspections.

(a) Initial Eligibility Inspection. Due to the unique aspects of dams and dam 

construction, it will be a non-Federal expense to compile the necessary data (e.g., ground 

borings, seismic considerations, design specifications, as-builts of the structure, etc.) and 

provide it to the Corps. This Corps "office review" will occur prior to any on-site IEI. The 

inspection criteria for a dam IEI will be provided by HQUSACE concurrently with Class 350 

funds.

(b) Continuing Eligibility Inspections. The inspection criteria for a dam CEI will be 

provided by HQUSACE concurrently with the provision of requested Class 350 funds.

(2) Rehabilitation Assistance. In the event that a non-Federal dam is damaged in a 

flood or coastal storm, the rehabilitation effort will procedurally be handled the same as a 

Federal FCW, except that approval level for the PIR is HQUSACE (CECW-O). Refer to 

Section III of this chapter for procedures. Class 320 funds are used for Rehabilitation 

Assistance for non-Federal dams.
EP 500-1-1

30 Sep 01

6-1

CHAPTER 6

EMERGENCY WATER ASSISTANCE

Section I - Emergency Water Assistance Due to Contaminated Water Source

6-1. General. See ER 500-1-1, paragraph 6-1, for pertinent policy.

6-2. Philosophy and Sense of Urgency. The operating philosophy for providing 

Emergency Water Assistance is that USACE will act expeditiously to preclude human 

suffering. Under Emergency Water Assistance, the Corps may provide water to any locality 

confronted with a source of contaminated water causing or likely to cause a substantial 

threat to the public health and welfare of the inhabitants of the locality. Corps assistance is 

supplemental to State and local assistance, but timeliness of ability to provide assistance 

must be given great weight.

6-3. Procedures.

a. Initial Request and Report. HQUSACE will be immediately notified of any request or 

anticipated request for assistance under this authority. Notification will be both

telephonically and via SITREP.

b. Eligibility. Districts will promptly determine potential eligibility for assistance. If the 

request appears to be a likely candidate for assistance, the district will request Class 430 

funding (see ER 11-1-320), and prepare a PIR in accordance with paragraph 6-4. below.

c. Declaration of Emergency. District commanders must issue a Declaration of 

Emergency for Emergency Water Assistance prior to submission of the PIR to the MSC for 

approval.

(1) The Declaration of Emergency may initially be verbal, but must be reported in the 

district's Situation Report (SITREP) within 24 hours of the declaration.

(2) Authority to issue a Declaration of Emergency is delegated to Deputy District 

Engineers, and all supervisors in the chain from the District Commander to the Chief of 

Emergency Management, inclusive. For purposes of a Declaration of Emergency, "Chief of 

Emergency Management" includes an acting Chief of Emergency Management. District 

commanders may withhold authority to issue a Declaration of Emergency. Withholding of 

authority may be done either by written correspondence, or via a published OPLAN.

d. Governor's Request. The district will ensure a formal request for Emergency Water 

Assistance is received from the governor or his/her authorized representative prior to 

submission of the PIR to the MSC.
EP 500-1-1

30 Sep 01

6-2

e. MSC Approval Process. The MSC commander will act on the PIR within 2 days of 

receipt. Coordination with HQUSACE (CECW-OE) is required prior to MSC approval. 

Concurrently with providing approval notification to the district, MSC's will submit the 

request, with supporting documents, to HQUSACE for funding. The district will notify the 

requester of any approval or disapproval action in writing with a preliminary verbal 

notification, as appropriate.

f. Direct Application by Local Entity. In the event political subdivisions make direct 

application for Emergency Water Assistance to the district, they will be advised to

coordinate their request with the appropriate state agencies. To the extent feasible, all 

potential requesters of assistance will be advised of the need to go through the state to 

request assistance, and that USACE will take no action except in response to a request 

from the state. Federally recognized Indian tribes and Alaska Native Corporations need not 

go through the State.

g. Coordination. Regardless of whether a request is expected to be approved or 

disapproved, early coordination with managers of other Federal, state and local programs 

is necessary to ensure that appropriate assistance is provided in a timely manner.

h. Ineligible Request. If a request is clearly ineligible for assistance under this authority, 

the district receiving the request will advise the state in writing of such ineligibility. Copies of 

such letters will be forwarded to the MSC for their information. No PIR will be prepared in 

such cases. However, available data and background information for such a determination 

will be maintained by the district.

6-4. PIR Preparation.

a. PIR Format. The basic format for preparation of the Emergency Water Assistance 

Due to Contaminated Source PIR is at Figure 6-1.

b. Alternatives and Cost Estimates. The PIR will address all feasible alternatives to 

resolve the situation. The PIR will include cost estimates for all alternatives. Cost

estimates will be broken out into Federal and non-Federal components, if applicable.

c. Environmental Consideration. An assessment of environmental impacts will be a 

part of the PIR. Once a project has been approved, districts will ensure any necessary 

supplements or changes to the environmental documentation are done.

d. Approval Level. PIR approval level is the Division Engineer or a deputy division 

engineer.
EP 500-1-1

30 Sep 01

6-3

e. PIR Review Checklist. The PIR Review Checklist (Figure 6-2) will be included as 

Appendix Z to the PIR. The checklist must be completed and signed by the Emergency 

Manager or the Project Officer for the assistance project. References in the Checklist refer 

to both ER 500-1-1, designated with "ER" followed by the paragraph number, and this 

pamphlet, designated with "EP" followed by the paragraph number.

6-5. Cooperation Agreement. During the PIR preparation, the district will ensure the 

public sponsor is aware of required contributions and commitments, and that the sponsor 

intends to sign the CA and meet its commitments. Once the PIR is approved, the CA will 

be executed prior to providing Emergency Water Assistance. See Figure 6-3 for the CA 

format.

6-6. Funding and Cost Information.

a. Investigation Costs. All costs associated with investigation and preparation of the 

Project Information Report will be under Class 430. If multiple locations in a single state 

are involved, investigations and PIR activities may be bulk funded.

b. Cost Share. Approved Emergency Water Assistance projects are funded at 100 

percent Federal cost for eligible costs under Class 410. All other costs are the 

responsibility of the public sponsor.

c. Eligible Costs.

(1) All investigation and PIR preparation costs.

(2) Purchase of water, either bottled or bulk.

(3) Transportation of water, to include small diameter pipeline and tank trucks, and 

associated loading and unloading costs.

(4) Distribution of water, if the normal water distribution system cannot be used. 

However, State or local support using, e.g., the National Guard is the typical method for 

operating distribution points.

(5) Water quality monitoring and testing.

(6) Technical assistance.

d. Costs Not Eligible for FCCE Funding.

(1) Repair of contaminated water treatment plants or water distribution systems.
EP 500-1-1

30 Sep 01

6-4

(2) Construction of new water treatment plants or water distribution systems.

(3) Water treatment, if USACE is providing only raw water for use by the existing water 

treatment plant.

e. Funding. Refer to ER 11-1-320 for funding procedures.

f. Benefit to Cost Ratio. No benefit to cost ratio is needed for Emergency Water 

Assistance. Costs for Emergency Water Assistance projects must be prudent, reasonable, 

supportable, and defensible.
EP 500-1-1

30 Sep 01

6-5

Figure 6-1. PIR Format, Emergency Water Assistance Due to Contaminated Water 

Source

PROJECT INFORMATION REPORT

EMERGENCY WATER ASSISTANCE DUE TO CONTAMINATED SOURCE

Part I. Executive Summary

Part II. Basic Report

1. LOCATION - City, county, and state.

2. PUBLIC SPONSOR - Name, address, telephone number, email address for the 

public sponsor of the proposed project.

3. DESCRIPTION OF THE PROBLEM - Affected locality and its water supply capability; 

cause of contamination (if known); health hazards, actions the public sponsor has taken to 

address the situation, actions taken by the State to address the situation (to include involvement 

of the National Guard), actions taken by other Federal agencies (e.g., Department of 

Agriculture), etc.

4. COURSE OF ACTION OPTIONS - List options available to correct the problem. 

Extensive information or tabular data will be placed in Appendix B.)

5. PROPOSED WORK - Of the options in paragraph 4. above, provide an explanation 

and description of the proposed work. Necessary additional information may be placed in 

Appendix B.

6. BENEFICIARIES - List of communities and quantities of people benefiting from the 

proposed work.

7. PUBLIC SPONSOR'S SHARE OR CONTRIBUTION - Description of form or method 

of public sponsor's contribution to resolving the problem.

8. ENVIRONMENTAL CONSIDERATIONS. Provide a general summary of

environmental considerations. Specific statements, e.g., statement on effect of work on 

environment; Environmental Assessment, Section 7 of the Endangered Species Act of 1973 (PL 

93-205) considerations; Archeological Investigations and Salvage Activities consideration per 

ER 1105-2-460, permits, etc, will be provide in Appendix C, as separate annexes.

9. PERMITS. List the need for any permits (Federal, state or local) and indicate 

potential problems with obtaining these permits.

Part III. Appendices

Appendix A. Governor's request for assistance; any other correspondence from the 

potential project sponsor.

Appendix B. Data to support courses of action.

Appendix C-Y. As needed.

Appendix Z. PIR Review Checklist.
EP 500-1-1

30 Sep 01

6-6

Figure 6-2. PIR Review Checklist (Appendix Z), Emergency Water Assistance

Due to Contaminated Water Source

PIR REVIEW CHECKLIST

EMERGENCY WATER ASSISTANCE DUE TO CONTAMINATED SOURCE

YES NO N/A 

1. ___ ___ Has a written request for assistance from the governor been received? 

[ER, 6-1.a.]

2. ___ ___ Is the contaminated water source established and documented in the PIR? 

[ER, 6-1.b.]

3. ___ ___ Is USACE assistance supplementing tribal, state, and/or local efforts? 

[ER 6-1.c.]

4. ___ ___ Is the proposed work temporary? [ER, 6-1.d.]

5. ___ ___ Are the local interests correcting the deficient or deferred maintenance? 

[ER, 6-1.d.]

6. ___ ___ Are the local interests assessing and correcting the situation that caused or 

is causing the contamination? [ER, 6-1.d.]

7. ___ ___ Will USACE proposed assistance last 30 days or less? [ER, 6-1.e.]

8. ___ ___ Are business and commercial firms excluded from getting water for 

commercial purposes from this USACE assistance? [ER, 6-1.h.]

9. ___ ___ Was EPA notified? [ER, 6-1.i.]

10. ___ ___ ___ Are military bases and other Federal areas excluded from getting water from 

this USACE assistance? [ER, 2-3.c.]

11. ___ ___ ___ Are farms and ranches excluded from getting water for irrigation or for 

watering livestock purposes from this USACE assistance? [ER, 6-1.c.]

12. ___ ___ The completed PIR has been reviewed and the PIR Checklist has been 

reviewed and signed by the Emergency Management Office. [EP, 6-4.e.]

13. ___ ___ The completed PIR meets all policy, procedural, content, and formatting 

requirements of ER 500-1-1 and EP 500-1-1. [ER, 2-3.b.]

REVIEWING OFFICIAL'S SIGNATURE

NAME

TITLE

TELEPHONE NUMBER

Page Z-1
EP 500-1-1

30 Sep 01

6-7

Figure 6-3. Cooperation Agreement for Emergency Water Assistance Due to 

Contaminated Water Source

COOPERATION AGREEMENT

BETWEEN

THE UNITED STATES OF AMERICA

and

_______________________________________________

for

EMERGENCY WATER ASSISTANCE DUE TO CONTAMINATED WATER SOURCE

THIS AGREEMENT, entered into this ____ day of ____________, by and between THE

DEPARTMENT OF THE ARMY (hereinafter referred to as the "Government") represented by the District 

Engineer, ___________________ District, U.S. Army Corps of Engineers, and

____________________________ ___________________________________ [PUBLIC SPONSOR], 

(hereinafter referred to as the "Public Sponsor"), represented by _____________________ [TITLE OF 

PERSON SIGNING THIS AGREEMENT].

WITNESSETH THAT:

WHEREAS, 33 U.S.C. 701n authorizes the Chief of Engineers to provide emergency supplies of water, 

on such terms as he determines to be advisable, to any locality which he finds is confronted with a source of 

contaminated water causing or likely to cause a substantial threat to the public health and welfare of the 

inhabitants of the locality;

WHEREAS, the Public Sponsor has requested, in writing, emergency water assistance pursuant to 

33 U.S.C. 701n, and the Public Sponsor qualifies for such assistance in accordance with the established 

policies of the U.S. Army Corps of Engineers; and,

WHEREAS, the Public Sponsor hereby represents that it has the authority and legal capability to furnish 

the non-Federal cooperation hereinafter set forth and is willing to participate with the terms of this 

Agreement.

NOW, THEREFORE, the parties agree as follows:

1. The Government will perform the work described in its scope of work (attached) that is made part of 

this agreement.

2. The Public Sponsor will:

a. Provide without cost to the Government all lands, easements, rights-of-ways, relocations, and 

borrow and dredged or excavated material disposal areas necessary for the work.

b. Hold and save the Government free from damages arising from construction, operation,

maintenance, repair, replacement, and rehabilitation of the work, except damages due to the fault or 

negligence of the Government or its contractors.
EP 500-1-1

30 Sep 01

6-8

Figure 6-3. Cooperation Agreement for Emergency Water Assistance Due to 

Contaminated Water Source (Continued)

Section II - Emergency Water Assistance Due to Drought

6-7. General. See ER 500-1-1, paragraph 6-5, for pertinent policy.

6-8. Procedures.

a. Initial Request and Report. HQUSACE will be immediately notified of any request for 

assistance under this authority. Notification will be both telephonically and via SITREP.

b. Eligibility. Districts will promptly determine potential eligibility for assistance. If the 

request appears to be a likely candidate for assistance, the district will request Class 430 

funding (see ER 11-1-320), and prepare a PIR in accordance with paragraph 6-9. below.

c. Declaration of Emergency. District commanders must issue a Declaration of 

Emergency for Emergency Water Assistance prior to submission of the PIR to the MSC.

c. Operate, maintain, repair, replace, and rehabilitate the completed work in a manner satisfactory to 

the Government; and,

d. Remove, at no cost to the Government, all temporary work constructed by the Government.

3. (Add as applicable.)

4. ATTACHMENTS:

a. Exhibit A - Written request for assistance from the Public Sponsor.

b. Exhibit B - Government Scope of Work.

IN WITNESS WHEREOF, the parties hereto have executed this agreement of the day and year first above 

written.

THE DEPARTMENT OF THE ARMY THE [NAME OF PUBLIC SPONSOR]

BY: __________________________ BY: ___________________________

[SIGNATURE] [SIGNATURE]

[TYPED NAME] [TYPED NAME]

[TITLE IN FULL] [TITLE IN FULL]

ADDRESS: ADDRESS:
EP 500-1-1

30 Sep 01

6-9

(1) The Declaration of Emergency may initially be verbal, but must be made in writing 

and reported in the district's ENGLINK Situation Report (SITREP) within 24 hours of the 

declaration.

(2) Authority to issue a Declaration of Emergency is delegated to Deputy District 

Engineers, and all supervisors in the chain from the District Commander to the Chief of 

Emergency Management, inclusive. For purposes of a Declaration of Emergency, "Chief of 

Emergency Management" includes an acting Chief of Emergency Management. District 

commanders may withhold authority to issue a Declaration of Emergency. Withholding of 

authority may be done either by written correspondence, or via a published OPLAN.

d. Governor's Request. The district will ensure a formal request for Emergency Water 

Assistance is received from the governor prior to submission of the PIR to the MSC.

e. Approval Process.

(1) The MSC will act on the PIR within 2 days of receipt from the district.

(2) HQUSACE will expeditiously act on the PIR upon receipt from the MSC. 

HQUSACE action includes the requirement for a Drought Distressed Area designation by 

the Director of Civil Works or the ASA(CW). After a Drought Distressed Area designation 

has been made, approval level for PIR's is the Chief, Operations Division. HQUSACE will 

expeditiously provide funding for approved PIR's.

f. Scope of Assistance. A Drought Distressed Area designation by the Director of Civil 

Works or the ASA(CW) does not provide for an unlimited number of projects. Therefore, to 

the greatest extent possible, the district must identify the total amount of assistance 

required, the duration of the assistance, and the total estimated cost of providing the 

assistance. Separate projects must be individually justified in separate PIR's. However, a 

project may have multiple components that provide assistance in different areas by 

different means. For example, assistance to a large, rural county could consist of a small 

diameter pipeline to the large town in the county, and trucking bulk water to outlying towns.

6-9. Considerations for Assistance. In evaluating requests for Emergency Water 

Assistance for potential eligibility, the following are examples of actions that should be 

undertaken by state and/or local interests prior to the USACE consideration of the request:

a. Declaration of a drought emergency is made by state and/or other appropriate 

authority.
EP 500-1-1

30 Sep 01

6-10

b. Available state and local resources are fully used, to include funds, labor, and 

equipment such as National Guard trucks to haul water. Assistance and support from other 

Federal agencies that may have applicable assistance authorities should be sought prior to 

the request being considered under PL 84-99 authority. Other Federal agencies that may 

have some assistance authorities are:

(1) Small Business Administration (SBA).

(2) Farmers Home Administration (FmHA).

(3) Economic Development Administration (EDA).

(4) Federal Emergency Management Administration (FEMA). [Note: A request for a 

presidential disaster declaration is not required as a prerequisite for USACE assistance.]

(5) Natural Resources Conservation Service (NRCS).

(6) Bureau of Indian Affairs (BIA) for assistance on tribal lands.

c. Mandatory water conservation measures have been instituted to reduce demand.

d. The use of available water is prioritized. Human consumption and sanitary needs 

take priority over industrial processes and irrigation of crops.

e. Appropriate experts establish minimum requirements for public health and welfare 

(examples: xx gallons per day per person for human consumption, health, and sanitation.) 

This is generally between 2 and 5 gallons per person per day.

f. Operation of water treatment facilities is modified to allow processing of alternate 

water sources that may be available.

g. Water processing and distribution systems are evaluated to identify losses and 

repairs are undertaken to minimize such losses.

h. Non-potable water is used in situations where it can be safely used to meet a portion 

of the community's requirements.

i. Where the problem is maintaining well production, available alternatives such as 

lowering production or deepening wells are being addressed.

j. A long term solution is being expeditiously executed.
EP 500-1-1

30 Sep 01

6-11

6-10. PIR Preparation.

a. The format for the PIR is at Figure 6-4.

b. The PIR will address all feasible alternatives to resolve the situation. The PIR will 

include cost estimates for all alternatives. Cost estimates will be broken into Federal and 

non-Federal components, if applicable. Non-Federal costs include the purchase of water.

c. Environmental Consideration. An assessment of environmental impacts will be a 

part of the PIR. Once a project has been approved and the project has begun, districts will 

ensure any necessary supplements or changes to the environmental documentation are 

done.

d. The existence of drought conditions must be verified in the PIR in sufficient detail 

and with sufficient justification to merit a drought distressed area declaration. Supporting 

data should include such information as:

(1) Abnormally low groundwater levels, soil moisture, and stream flows, as defined by 

indicators such as the Palmer Index.

(2) Extremely low aquifer levels when compared to historical norms, drastically low 

water production levels, and indications that the conditions are not a recurring situation or 

the continuation of a long term trend.

(3) Abnormally low runoff from rainfall or snowpack into rivers, streams, lakes, or other 

storage areas, resulting in reduced or lost water supply source.

e. The PIR Review Checklist (format at Figure 6-5) will be included as Appendix Z to 

the PIR. The Checklist must be completed and signed by the Emergency Manager or the 

Project Officer for the Emergency Water Assistance project.

6-11. Cooperation Agreement. During the preparation of the PIR, the district will ensure 

the project sponsor is aware of required contributions and commitments, and intends to 

sign the CA and meet its commitments. Once the PIR is approved, the CA will be executed 

prior to providing Emergency Water Assistance. See Figure 6-6 for the CA format.

6-12. Funding and Cost Information.

a. Investigation Costs. All costs associated with investigation and preparation of the 

Project Information Report will be under Class 430. If multiple locations in a single state 

are involved, investigations and PIR activities may be bulk funded.
EP 500-1-1

30 Sep 01

6-12

b. Cost Share - Other Than Well Drilling. Approved drought assistance projects are 

funded at 100% Federal cost for allowable expenses under Class 420. All other expenses, 

to specifically include the purchase of water, are a local responsibility.

c. Allowable Costs for FCCE Funding - Other Than Well Drilling.

(1) All investigation and PIR preparation costs.

(2) Transportation of water, to include construction of small diameter pipelines, 

purchase or lease of pumps, and use of tank trucks.

d. Costs Not Eligible for FCCE Funding - Other Than Well Drilling.

(1) Purchase of water, either bottled or bulk.

(2) Construction of new water treatment plants or water distribution systems.

(3) Water treatment.

(4) Operations and maintenance of pumps and pipeline systems, and related activities.

e. Well Drilling.

(1) Payment by Applicant for Well Drilling. Included in the USACE authority is the 

capability to drill wells for assistance applicants. When a well drilling project is approved, 

the applicant must secure the necessary funding for well construction from internal, 

commercial, or other sources. The proposed payment plan will be included in the PIR. If 

the applicant prefers repayment of government costs for well drilling, the district will contact 

HQUSACE (CECW-OE) for guidance.

(2) Availability of Private Contractors. USACE will not undertake well construction 

when private business can do the work in a reasonable time. As part of the investigation 

and PIR process, the district commander may advertise the need for such well drilling, but 

not identify the applicant. Contractors will be asked to respond to USACE by a specific 

date if they can supply the services. The names of those responding will be p rovided to the 

applicant.

f. Benefit to Cost Ratio. No benefit to cost ratio is needed for Emergency Water 

Assistance. 
EP 500-1-1

30 Sep 01

6-13

Figure 6-4. PIR Format, Emergency Water Assistance Due to Drought

PROJECT INFORMATION REPORT

EMERGENCY WATER ASSISTANCE DUE TO DROUGHT

Part I. Executive Summary

Part II. Basic Report

1. LOCATION - City, county, and state.

2. PUBLIC SPONSOR - Name, address, telephone number, email address for the 

public sponsor of the proposed project.

3. DESCRIPTION OF THE PROBLEM - Affected locality and its water supply capability; 

brief summarization of the drought conditions; health hazards (if any); actions the public 

sponsor and the State have taken to address the situation (to include involvement of the 

National Guard); actions taken by other Federal agencies (e.g., Department of Agriculture); etc.

4. COURSE OF ACTION OPTIONS - List options available to correct the problem. 

Extensive information or tabular data will be placed in Appendix C.)

5. PROPOSED WORK - Of the options in paragraph 4. above, provide an explanation 

and description of the proposed work. Necessary additional information may be placed in 

Appendix C.

6. BENEFICIARIES - List of communities and numbers of people benefiting from the 

proposed work.

7. PUBLIC SPONSOR'S SHARE OR CONTRIBUTION - Description of form or method 

of public sponsor's contribution to resolving the problem.

8. ENVIRONMENTAL CONSIDERATIONS. Provide a general summary of

environmental considerations. Specific statements, e.g., statement on effect of work on 

environment; Environmental Assessment, Section 7 of the Endangered Species Act of 1973 (PL 

93-205) considerations; Archeological Investigations and Salvage Activities consideration per 

ER 1105-2-460, permits, etc, will be provided in Appendix C, as separate annexes.

9. PERMITS. List the need for any permits (Federal, state or local) and indicate 

potential problems with obtaining these permits.

Part III. Appendices

Appendix A. Governor's request for assistance; any other correspondence from the 

potential project sponsor.

Appendix B. Data and documentation to justify issuance of a drought distressed area 

declaration from the Assistant Secretary of the Army for Civil Works.

Appendix C. Data to support courses of action, and Environmental Statements.

Appendix D-Y. As needed (e.g., payment plans.)

Appendix Z. PIR Review Checklist.
EP 500-1-1

30 Sep 01

6-14

Figure 6-5. PIR Review Checklist (Appendix Z), Emergency Water Assistance 

Due to Drought

PIR REVIEW CHECKLIST - EMERGENCY WATER ASSISTANCE DUE TO DROUGHT

YES NO N/A 

1. ___ ___ Has a written request for assistance from the governor been received? 

[ER, 6-5.a.]

2. ___ ___ Is there sufficient data to support a declaration of a drought distressed area 

by the ASA(CW)? [ER, 6-5.b.]

3. ___ ___ Is USACE's authority the only Federal authority able to provide the needed 

assistance? [ER, 6-9.b.]

4. ___ ___ Is USACE assistance supplementing tribal, state and/or local efforts? 

[ER, 6-5.]

5. ___ ___ ___ If water needs to be purchased, will the local interests pay for it? [ER, 6-5.e.]

6. ___ ___ ___ If a well is to be constructed, have the local interests agreed to pay for the 

cost? [ER, 6-5.j.]

7. ___ ___ ___ Has the district ensured there are no contractors available to perform drilling 

of wells? [ER, 6-5.i.]

8. ___ ___ Are the local interests formulating a credible long term solution? [ER, 6-5.b.]

9. ___ ___ Are business and commercial firms (other than farmers and ranchers), and 

recreation interests, excluded from getting water for commercial or 

recreational purposes from this USACE assistance? [ER, 6-5.d.]

10. ___ ___ ___ Are military bases and other Federal areas excluded from getting water from 

this USACE assistance? [ER, 2-3.c.]

11. ___ ___ ___ Are farms and ranches (not including cases of well drilling) excluded from 

getting water for irrigation or for livestock watering purposes? [6-5.d.]

12. ___ ___ The completed PIR has been reviewed and the PIR Checklist has been 

reviewed and signed by the Emergency Management Office. [EP, 6-10.e.]

13. ___ ___ The completed PIR meets all policy, procedural, content, and formatting 

requirements of ER 500-1-1 and EP 500-1-1. [ER, 2-3.b.]

REVIEWING OFFICIAL'S SIGNATURE

NAME

TITLE

TELEPHONE NUMBER

Z-1
EP 500-1-1

30 Sep 01

6-15

Figure 6-6. Cooperation Agreement for Emergency Water Assistance Due to 

Drought

COOPERATION AGREEMENT

BETWEEN

THE UNITED STATES OF AMERICA

and

_________________________________________________________

for

EMERGENCY WATER ASSISTANCE DUE TO DROUGHT

THIS AGREEMENT, entered into this _____ day of ______, 20___, by and between THE DEPARTMENT 

OF THE ARMY (hereinafter referred to as the "Government") represented by the District Engineer, 

____________________________ District, U.S. Army Corps of Engineers, and the ________________ 

___________________________[PUBLIC SPONSOR], (hereinafter referred to as the "Public Sponsor"), 

represented by ___________________________ [TITLE OF PERSON SIGNING THIS AGREEMENT].

WITNESSETH THAT:

WHEREAS, 33 USC 701n authorizes the Secretary of the Army, acting through the Chief of 

Engineers, U.S. Army Corps of Engineers, to provide assistance for emergency water supplies to political 

subdivisions within areas he determines to be drought distressed; 

WHEREAS, the Public Sponsor has requested, in writing, assistance pursuant to 33 U.S.C. 701n, 

and the Public Sponsor qualifies for such assistance in accordance with the established policies of the 

U.S. Army Corps of Engineers; 

WHEREAS, the Public Sponsor is located within an area which the Government has determined to 

be drought distressed; and, the Government has determined that, as a result of the drought, the Public 

Sponsor has an inadequate supply of water for human consumption, and water cannot be obtained by 

the Public Sponsor from other sources; and,

WHEREAS, the Public Sponsor hereby represents that it has the authority and legal capability to 

furnish the non-Federal cooperation hereinafter set forth and is willing to participate with the terms of this 

agreement.

NOW, THEREFORE, the parties agree as follows:

1. The Government agrees to perform the Emergency Water Assistance developed by the 

Government and as described in the attached scope of work.

2. The Public Sponsor will:

a. Provide, without cost to the Government, the required storage facility at the terminal point as 

determined by the Government to be needed for the emergency water supplies; 

b. Purchase the supply of water or acquire any water right required for a source of water supply;

c. Develop a plan of action and initiate such necessary actions to restore a source of water supply or 

assume the responsibility for the transportation of a supply of water as soon as practicable;
EP 500-1-1

30 Sep 01

6-16

Figure 6-6. Cooperation Agreement for Emergency Water Assistance Due to 

Drought (Continued)

d. Obtain all necessary Federal, state, and local permits required for the provision of said emergency 

water supplies prior to the commencement of the work by the Government.

e. Hold and save the Government free from damages arising from provision of assistance under this 

agreement, except damages due to the fault or negligence of the Government or its contractors.

f. (Specify others as needed.)

3. ATTACHMENTS:

a. Exhibit A - Written request for assistance.

b. Exhibit B - Government's Scope of Work.

IN WITNESS WHEREOF, the parties hereto have executed this agreement as of the day and year first 

above written.

THE DEPARTMENT OF THE ARMY THE [NAME OF PUBLIC SPONSOR]

BY: __________________________ BY: ___________________________

[SIGNATURE] [SIGNATURE]

[TYPED NAME] [TYPED NAME]

[TITLE IN FULL] [TITLE IN FULL]

DATE: ________________________ DATE: _________________________

ADDRESS: ADDRESS:
EP 500-1-1

30 Sep 01

7-1

CHAPTER 7

ADVANCE MEASURES

7-1. General. See Chapter 7, ER 500-1-1, for pertinent policy.

7-2. Types of and Eligibility for Advance Measures Assistance. Advance Measures 

assistance may be in the form of technical or direct assistance. Refer to ER 500-1-1, 

paragraphs 7-2 and 7-3, for types of and eligibility for Advance Measures assistance that 

may be provided.

7-3. Advance Measures Situations and Applications.

a. Imminent Danger of Flooding. Advance Measures Assistance may be provided in 

order to prevent or reduce flood damage when there is an imminent threat of unusual 

flooding. Advance Measures assistance is limited to those necessary to prevent or reduce 

impacts of floods that (1) pose a significant threat to life and/or improved property, and, 

(2) the proposed assistance is beyond the capability of local interests and the State to 

perform in a timely manner.

b. Imminent Danger of Levee Failure/Overtopping. Advance Measures Assistance may 

be provided for levee projects that are in imminent danger of failure/overtopping. In such 

cases, Advance Measures can be employed to undertake minimum corrective action to 

ensure the stability, integrity, and safety of such projects. Actions should be limited to 

those necessary to prevent imminent failure of a project that (1) poses a significant threat to 

life and/or property, and, (2) the proposed assistance for the project is beyond the 

capability of local interests and the State to perform in a timely manner.

c. Snowmelt from Abnormally High Snowpack. Advance Measures to prevent predicted 

riverine or closed-basin flooding from heavy snowmelt are appropriate when based on 

measured conditions. Indicators to be measured include snow depths, snow water content, 

soil moisture content and frost penetration depth. Based on these measured conditions, 

and published forecasts, USACE and the National Weather Service (NWS) can forecast 

river/lake stages to determine if an imminent flood threat exists.

d. Federal Channels. Channel clearance and dredging to restore original project 

design capacity is permitted if predicted flood flows cannot be passed and flooding is likely 

to occur.

e. Non-Federal Channels. Channel clearance and dredging to restore original project 

design capacity is permitted if predicted flood flows cannot be passed and flooding is likely 

to occur. Field reconnaissance will determine the required additional capacity to pass the 

predicted flood flows.
EP 500-1-1

30 Sep 01

7-2

f. Snags/Log Jams/Debris Obstructions. Removal of snags, log jams, and debris in 

streambeds is permitted to prevent the impoundment of water that would cause unusual 

flooding and produce significant amounts of damage to improved property.

g. Dam Failures.

(1) Advance Measures assistance is permitted to relieve the threat of flooding from dam 

failures when predicted inflows/river stages will result in catastrophic failure. An imminent 

loss of life or damage to improved property downstream of the dam must exist. Assistance 

may involve dewatering of the impoundment, controlled breaching of the structure, or 

repair/strengthening of the structure, depending on the time available and the costs 

involved versus the benefits. Permanent restoration/rehabilitation of the structure is the 

owner's responsibility.

(2) USACE may assist state and local interests in the formulation of an evacuation plan.

(3) If actual dam failure is occurring, response operations using Class 210 funds should

be undertaken in accordance with Chapter 4, ER 500-1-1.

h. High Lake Levels. If an imminent flood threat period exists due to record or near 

record lake levels and significant flood damage will occur during lake storm seasons, the 

construction of temporary flood control works and/or the modification of existing flood 

control works is authorized. If the high lake levels are cyclical, and recurring imminent flood 

threat periods can be expected, a waiver of the local sponsor requirements to remove the 

temporary flood control works may be requested in order to require the local sponsor to 

maintain and upgrade the flood control works. State and/or local fund contributions will 

normally be 25 percent of the cost of construction.

7-4. Procedures.

a. Initial Report. A telephonic report or situation report will be made through MSC to 

HQUSACE (CECW-OE) as soon as there is an indication that an Advance Measures 

request may be received.

b. Governor's Request. The Governor's letter will contain the following information:

(1) A description of the state and/or local efforts undertaken.

(2) A statement that the State has committed all available resources.

(3) The specific location(s) and type of assistance needed.
EP 500-1-1

30 Sep 01

7-3

(4) The name of the project sponsor.

(5) Additional commitments to be accomplished by the State.

c. Actions Following Receipt of Governor's Request. Following receipt of the 

Governor's written request, an investigation will be conducted to determine if USACE 

Advance Measures assistance is appropriate, and the type of USACE assistance to be 

provided. 

d. Processing and Approval Process. If assistance appears appropriate, an Advance 

Measures PIR will be prepared by the District in accordance with Figure 7-1. The PIR 

Review Checklist (format at Figure 7-2) will be included as Appendix Z to the PIR. The 

Checklist must be completed and signed by the Emergency Manager or the Project Officer 

for the Advance Measures project. The PIR will be submitted through the MSC to 

HQUSACE (CECW-OE) as expeditiously as possible, but not later than 30 days after the 

date of the Governor's written request. A separate PIR will be prepared for each requested 

project. The MSC will act on the PIR within 5 days of receipt. HQUSACE will take action 

within 5 calendar days of receipt of the recommendation from the MSC commander. To 

expedite the review process, MSC's are encouraged to submit the district's PIR for 

concurrent MSC and HQUSACE review. 

e. Cooperation Agreement. A CA (see Figure 7-3) will be executed with the public 

sponsor prior to the provision of assistance.

f. Denial Letter. If USACE assistance is denied, the district will transmit a letter to the 

Governor detailing why assistance is not available. A copy of the request and denial letter 

will be furnished to HQUSACE through MSC headquarters.

g. Funding. Funding will be in accordance with ER 11-1-320. For the execution of an 

approved Advance Measures project, funds will normally be provided concurrently with the 

approval of the project.

h. USACE Costs.

(1) Field Investigation Costs. Any expenses for conducting the preliminary review and 

for the preparation of the PIR and supporting documents will be charged as field 

investigation costs. Any technical assistance provided is also a field investigation cost. 

Field investigation costs will be charged to Class 520.
EP 500-1-1

30 Sep 01

7-4

(2) Project Costs. These costs are any expenses necessary for the preparation of the 

plans and specifications, purchases, equipment rentals, contracts, and supervision and 

inspection during construction phase. Project costs will be charged to Class 510.

i. Fiscal Closeouts. EM elements will ensure that actions for closing emergency 

activities are accomplished in accordance with ER 11-1-320, within 60 days of 

completion of Advance Measures activities.
EP 500-1-1

30 Sep 01

7-5

Figure 7-1. PIR Format, Advance Measures

PROJECT INFORMATION REPORT

ADVANCE MEASURES

Part I. Executive Summary

Part II. Basic Report

1. NAME AND LOCATION - Project name; city, county, and state.

2. PUBLIC SPONSOR - Name, address, telephone number, and email address for the 

public sponsor of the proposed project.

3. SUMMARY OF THE CONDITIONS CAUSING THE IMMINENT THREAT OF UNUSUAL 

FLOODING - Additional documentation may be included at Appendix B.

4. COURSE OF ACTION OPTIONS - List options available to address the problem. 

Extensive information or tabular data will be placed in Appendix C.)

5. PROPOSED WORK - Of the options in paragraph D. above, provide an explanation and 

description of the proposed work. Necessary additional information may be placed in

Appendix C.

6. ECONOMICS. - Refer to Appendix C of EP 500-1-1 for economics format. State the 

benefit cost ratio of the proposed option, and the anticipated damages avoided attributable to 

the Advance Measures project. Provide a description of the communities and numbers of 

people benefiting from the proposed work. The detailed economic information and calculation 

of the BCR will be provided in Appendix D of the PIR.

7. PUBLIC SPONSOR'S SHARE OR CONTRIBUTION - Description of actions the local 

interests and the State are undertaking to resolve the problem.

8. ENVIRONMENTAL CONSIDERATIONS. Provide a general summary of environmental 

considerations. Specific statements, e.g., statement on effect of work on environment; 

Environmental Assessment, Section 7 of the Endangered Species Act of 1973 (PL 93-205) 

considerations; Archeological Investigations and Salvage Activities consideration per ER 1105-

2-460, permits, etc, will be provide in Appendix C, as separate annexes.

9. PERMITS. List the need for any permits (Federal, s tate or local) and indicate potential 

problems with obtaining these permits.

Part III. Appendices

Appendix A. Governor's request for assistance; any other correspondence from the 

potential project sponsor.

Appendix B. Data and documentation addressing the imminent threat of unusual flooding.

Appendix C. Data to support courses of action.

Appendix D. Economic data, to include calculation of benefit to cost ratio.

Appendix E-Y. As needed.

Appendix Z. PIR Review Checklist.
EP 500-1-1

30 Sep 01

7-6

Figure 7-2. PIR Review Checklist (Appendix Z) for Advance Measures

PIR REVIEW CHECKLIST FOR ADVANCE MEASURES

YES NO N/A

1. ___ ___ An imminent threat of unusual flooding has been established. [ER, 7-1.a.]

2. ___ ___ There are no other USACE authorities that apply - Advance Measures is the 

only USACE option available to address this situation. [ER, 7-1.a.]

3. ___ ___ The assistance supports and supplements tribal, state and local efforts. 

[ER, 7-1.b.]

4. ___ ___ The governor requested the assistance in writing. [ER, 7-1.c.]

5. ___ ___ The assistance is not solely for erosion control. [ER, 7-1.d.]

6. ___ ___ The work does not make a permanent modification to an existing project to 

increase the degree or level of protection. [ER, 7-1.f.]

7. ___ ___ The project has a favorable (>1.0) benefit cost ratio. [ER, 7-1.g.]

8. ___ ___ The work is temporary in nature. [ER, 7-1.h.]

9. ___ ___ ___ If the work is not temporary in nature, the sponsor is willing and able to cost 

share at 75% Federal and 25% local share. [ER, 7-1.m.(2)]

10. ___ ___ Any permanent work is justified and properly documented. [7-1.h.]

11. ___ ___ The public sponsor has agreed to sign a Cooperation Agreement. [ER, 7-1.i.]

12. ___ ___ The public sponsor has agreed to remove all temporary work to be 

constructed by USACE, or upgrade it to USACE standards. [ER, 7-1.i.]

13. ___ ___ The completed PIR has been reviewed and the PIR Checklist has been 

reviewed and signed by the Emergency Management Office. [EP, 7-4.d.]

14. ___ ___ The completed PIR meets all policy, procedural, content, and formatting 

requirements of ER 500-1-1 and EP 500-1-1. [ER, 2-3.b.]

REVIEWING OFFICIAL'S SIGNATURE:

NAME:

TITLE:

TELEPHONE NUMBER:

Page Z-1
EP 500-1-1

30 Sep 01

7-7

Figure 7-3. Cooperation Agreement for Advance Measures Assistance

COOPERATION AGREEMENT

BETWEEN

THE UNITED STATES OF AMERICA

and

_______________________________________________

for

ADVANCE MEASURES ASSISTANCE

THIS AGREEMENT, entered into this ______ day of __________________, 20______, by and 

between THE DEPARTMENT OF THE ARMY (hereinafter referred to as the "Government") 

represented by the District Engineer, _______________________ District, U.S. Army Corps of 

Engineers, and the _______________________________________________________ [PUBLIC 

SPONSOR], (hereinafter referred to as the "Public Sponsor"), represented by _______________ 

__________________________________ [TITLE OF PERSON SIGNING THIS AGREEMENT].

WITNESSETH THAT:

WHEREAS, 33 U.S.C. 701n authorizes the Chief of Engineers to provide Advance Measures.

WHEREAS, the Public Sponsor has requested, in writing, assistance under 33 U.S.C. 701n 

and qualifies for such assistance in accordance with the established policies of the U.S. Army 

Corps of Engineers; and,

WHEREAS, the Public Sponsor hereby represents that it has the authority and legal capability 

to furnish the non-Federal cooperation hereinafter set forth and is willing to participate in 

accordance with the terms of this agreement.

NOW, THEREFORE, the parties agree as follows:

1. The Government will perform the work described in its scope of work, which is made part of 

this agreement.

2. The Public Sponsor will:

a. Provide without cost to the Government all lands, easements, rights-of-ways, relocations, 

and borrow and dredged or excavated material disposal areas necessary for the work.
EP 500-1-1

30 Sep 01

7-8

Figure 7-3. Cooperation Agreement for Advance Measures Assistance 

(Continued)

b. Hold and save the Government free from damages arising from construction, operation, 

maintenance, repair, replacement, and rehabilitation of the work, except damages due to the fault 

or negligence of the Government or its contractors.

c. Operate, maintain, repair, replace, and rehabilitate the completed work in a manner 

satisfactory to the Government; and

d. Remove all temporary work constructed by the Government, with initiation of removal 

within 30 days of the conclusion of the flood event.

3. The Public Sponsor further agrees to: (Add as applicable)

4. ATTACHMENTS:

a. Exhibit A - Written request for assistance from the Public Sponsor.

b. Exhibit B - Government Scope of Work.

c. Add others as applicable.

IN WITNESS WHEREOF, the parties hereto have executed this agreement of the day and 

year first above written.

THE DEPARTMENT OF THE ARMY THE [NAME OF PUBLIC SPONSOR]

BY: __________________________ BY: ___________________________

[SIGNATURE] [SIGNATURE]

[TYPED NAME] [TYPED NAME]

[TITLE IN FULL] [TITLE IN FULL]

ADDRESS: ADDRESS:
EP 500-1-1

30 Sep 01

8-1

CHAPTER 8

Hazard Mitigation

8-1. Implementation. See paragraphs 8-1 and 8-2, ER 500-1-1 for pertinent policy.

8-2. Background.

a. Objective. The primary objective of hazard mitigation is to reduce or avoid Federal 

expenditures resulting from flood situations through a coordinated interagency and 

intergovernmental team approach that develops flood hazard mitigation recommendations.

b. Interagency Agreement. The Office of Management and Budget issued a 

memorandum on 10 July 1980, which directed 12 Federal departments and agencies to 

cooperate in the establishment of regional Hazard Mitigation Teams (HMT's). The primary 

purpose of HMT's is to prepare Hazard Mitigation Reports within 15 days of Presidentially 

declared flood disasters. FEMA coordinates the 12 Federal departments and agencies in 

the development of an interagency agreement that establishes common policy and 

guidelines to implement the hazard mitigation program. The result is the "Interagency 

Agreement for Non-Structural Flood Damage Reduction Measures as Applied to Common 

Flood Disaster Planning and Post Flood Recovery Practices." The agreement was signed 

by the following departments and agencies:

(1) Federal Emergency Management Agency (FEMA).

(2) Department of Agriculture (USDA).

(3) Department of the Army (DA) (Redelegated to USACE).

(4) Department of Commerce (DOC).

(5) Department of Health and Human Services (HHS).

(6) Department of Education (DE).

(7) Department of Housing and Urban Development (HUD).

(8) Department of Interior (DOI).

(9) Department of Transportation (DOT).

(10) Environmental Protection Agency (EPA).
EP 500-1-1

30 Sep 01

8-2

(11) Small Business Administration (SBA).

(12) Tennessee Valley Authority (TVA).

8-3. HMT Concept of Operation.

a. Hazard mitigation teams are established in each of the 10 Federal regions. USACE 

represents the Secretary of the Army on the HMT. A FEMA representative normally serves 

as the team leader.

b. The most significant role of the HMT is to provide advice and recommendations 

based on observations and analysis during the 15-day period following the Major Disaster 

Declaration by the President. This role is distinct from many others in that the team neither 

provides emergency relief nor makes binding decisions on recovery activities. The main 

objective is to identify opportunities to minimize future Federal expenditures for disaster 

recovery operations.

c. The HMT has the responsibility to prepare a Hazard Mitigation Report within 15 days 

of a presidentially declared disaster. In extraordinary circumstances involving large scale, 

major disasters, the FEMA Regional Director (RD) may determine that a preliminary Hazard 

Mitigation Report will be submitted within 15 days followed by a more detailed report within 

30 days from the Presidentially declared disaster. In accomplishing this task, the HMT 

conducts the operation in the following phases:

(1) Receives briefing on the disaster from the NWS, USACE, FEMA, local interests, 

and any other agencies that have pertinent information that would be beneficial to the team.

(2) Visit as much of the disaster area as possible in one or two days. If the area is too 

large to visit in this time frame, visit representative samples of each type flood damage.

(3) Each team member should watch for areas in which flood damages can be reduced 

or prevented by either structural or nonstructural measures. Team members should be 

aware that they can make suggestions that may be a local responsibility or other Federal or 

State agency responsibility to implement.

(4) The team should discuss all recommendations made by each team member, decide 

if it is a viable recommendation, and if so, then decide who will write the issue in the HMT 

Report.

(5) After recommendations are written, they should be reviewed, edited, and agreed 

upon by the team and then combined to form the HMT Report.
EP 500-1-1

30 Sep 01

8-3

(6) The report is required to be written within 15 days following a Presidential Major 

Disaster Declaration.

(7) After completion of the report, USACE should recommend that FEMA meet with 

local officials and discuss recommendations in the report since many of the

recommendations are normally local interest responsibilities.

(8) FEMA is responsible for distribution of the report to all involved agencies and to 

concerned congressional interests.

8-4. Procedures.

a. Representative. The HMT representative will serve as the MSC's primary member 

on the regional HMT within its Civil Works boundaries.

b. Participation. After a flood disaster, when the FEMA RD activates the HMT (or a 

portion thereof), the RD will designate the team leader, and notify the team members. The 

USACE representative will attend all meetings and respond to the HMT requirements. 

Where more than one MSC is affected within a disaster area, MSC commanders will 

mutually agree upon a lead USACE representative. The MSC(s) not providing the lead 

USACE representative may participate in the HMT to assist the lead USACE representative 

with the overall USACE coordination. The lead USACE representative is responsible for 

coordination of all activities and recommendations with the appropriate districts and MSC's. 

 MSC's will notify HQUSACE (CECW-OE) of any USACE participation in HMT activities.

c. Responsibilities. The USACE HMT representative will ensure that:

(1) The HMT is provided with information about USACE programs, the availability of 

funds from USACE authorities, status of ongoing projects, previously published studies, 

hydrological information, and damage assessment.

(2) USACE expertise is used in identifying mitigation opportunities and coordinate with

affected districts.

(3) The HMT is provided with the USACE evaluation of mitigation alternatives and 

recommendations.

(4) Liaison between the HMT and USACE is constantly maintained before, during, and 

after field activities.

d. Activities. The USACE representative will be knowledgeable in the following 

activities:
EP 500-1-1

30 Sep 01

8-4

(1) Civil Works programs.

(2) USACE regulations and authorities.

(3) Completed and ongoing Civil Works projects and studies.

(4) Regulatory and permit requirements and activities.

(5) PL 84-99 activities.

(6) General knowledge of other agency programs.

e. Information and Data. The USACE representative will be prepared to provide the 

HMT with the information or data that are currently available in MSC or district offices. 

Examples are:

(1) Flood frequency analyses.

(2) Aerial photographs.

(3) Mapping.

(4) Damage assessments.

(5) Economic data.

(6) Flood inundation maps.

f. USACE Comments. MSC commanders will provide to FEMA, within 20 days of 

receipt of the Hazard Mitigation Report (also known as the 15-day report), comments to the 

recommendations made by the Hazard Mitigation Report. A copy of these comments, 

along with a copy of the Hazard Mitigation Report will be forwarded to HQUSACE, ATTN: 

CECW-OE. The USACE comments will provide FEMA with:

(1) Technical corrections to the Hazard Mitigation Report;

(2) Any nonconcurrence to the recommendations of the Hazard Mitigation Report; and,

(3) A schedule to accomplish the recommendations for which USACE is assigned the 

lead and USACE concurs. The schedule will be in tabular forms showing

recommendations, proposed schedule, current status, and remarks columns.
EP 500-1-1

30 Sep 01

8-5

g. USACE 90 Day Status Report. MSC commanders will provide, within 90 days of 

receipt of the Hazard Mitigation Report, input to the FEMA Post Flood Recovery Progress 

Report. The Status Report will be prepared and submitted by MSC's providing FEMA with:

(1) A status of progress made in implementing the recommendations of the Hazard 

Mitigation Report.

(2) A description of problems or issues that have developed after completion of the 

report.

(3) Recommendations for further actions.

h. District Commanders will:

(1) Be prepared to support MSC's with HMT requirements.

(2) Ensure the recommendations of the Hazard Mitigation Report are implemented in 

accordance with MSC authorities and schedule.

(3) Provide the MSC with comments, input to the Hazard Mitigation Reports, and input 

to the Status Reports.

i. USACE Costs. All costs for HMT activities will be maintained by MSC's. USACEfunded costs will be limited to:

(1) Travel and per diem.

(2) Regular and overtime labor for MSC and district personnel. This does not include 

regular labor for General Expense-funded personnel.

(3) Reproduction costs for pertinent HMT reports. USACE will not be responsible for 

funding the complete HMT report.

8-5. Funding. HMT activities are funded under Class 610. Refer to ER 11-1-320 for 

funding procedures. Fiscal closeout of Class 610 activities will occur within 60 days of 

completion of travel for HMT activities.
EP 500-1-1

30 Sep 01

8-6

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EP 500-1-1

30 Sep 01

9-1

CHAPTER 9

DEPARTMENT OF THE ARMY ASSISTANCE UNDER AR 500-60

9-1. General.

a. Policy. For policy regarding this subject, see ER 500-1-1, paragraph 9-1.

b. Procedures for DOD Support. If an MSC or district requires support that may be 

available from another DOD activity, it may request such support in accordance with that 

activity's procedures. An example of this would be obtaining a helicopter from a nearby 

Army installation or Navy base.

c. AR 500-60 Contracting. No emergency contracting is permitted under authority of 

AR 500-60 unless funds are provided by the requesting Federal activity. If a DOD activity 

requests a USACE district to provide contracting assistance, the contingency contracting 

policy and strategy of Chapter 11, ER 500-1-1, should be used to the maximum extent 

possible.

d. Stafford Act. ER 500-1-28, Response Planning Guide, and the Federal Response 

Plan should be referred to for USACE-FEMA coordination involving possible or actual 

Stafford Act mission taskings.

9-2. USACE Procedures. 

a. MSC's will:

(1) Establish and maintain liaison with CONUS Army (CONUSA) commanders, CINC's, 

FEMA Regional Directors, USCG regional commanders, and other appropriate Federal, 

state, and local government agencies.

(2) Ensure that USACE procedures for disaster relief are coordinated with CONUSA or 

unified commanders.

(3) Ensure procedures are developed to provide engineering, construction 

management, and contracting support to engineer and troop units involved in disaster relief 

operations, when requested.

(4) Furnish CINC's and CONUSA commanders information on floods or other disasters 

or emergencies, and on activities undertaken by the USACE MSC and/or district.
EP 500-1-1

30 Sep 01

9-2

b. Districts will:

(1) Be prepared to provide assistance and support under AR 500-60.

(2) Assist MSC's with points of contact at military installations within their Military 

boundaries. 

(3) Establish procedures to process requests for DOD resources in disasters and 

emergencies.

(4) Establish procedures to provide engineering, construction management, and 

contracting support to engineer and troop units involved in disaster relief operations.

(5) Furnish copies of situation reports to the CINC's, CONUSA commanders, and other 

appropriate agencies using the fastest electrical means available.

c. Activation and Employment of the 249th Engineer Battalion. MSC and district 

commanders do not have the authority to activate the 249th Engineer Battalion (Prime 

Power). This authority rests at HQUSACE. Requests to use an element of the 249th 

Engineer Battalion (Prime Power) that is working within the MSC or district boundaries 

should be submitted to the UOC for action.
EP 500-1-1

30 Sep 01

10-1

CHAPTER 10

NATIONAL OIL AND HAZARDOUS SUBSTANCE POLLUTION CONTINGENCY PLAN 

(NCP)

10-1. General. Planning and procedures to respond to releases requiring remedial action 

under the NCP are not governed by ER 500-1-1, and are not funded by the FCCE 

appropriation. See ER 500-1-1, Chapter 10, for pertinent policy.

10-2. Authority. USACE has authority to remove sunken vessels or similar obstructions 

under Sections 15, 19, & 20 of the River and Harbors Act of 1899, as amended by the 

Water Resources Act of 1986.

10-3. Background.

a. NCP. The NCP provides for an efficient, coordinated and effective response to 

discharges of oil and releases of hazardous substances, pollutants and contaminants in 

accordance with the authorities of the Comprehensive Environmental Response,

Compensation and Liability Act (CERCLA) and the Clean Water Act (CWA).

b. National Response Team (NRT). The NRT is responsible for national response and 

preparedness, planning, coordinating regional planning, and providing policy guidance and 

support to the RRT’s. There are 15 federal agencies on the NRT, including DOD. The 

Federal agencies may be requested to provide assistance during preparedness planning, 

or in an actual response. CECW-OE, in conjunction with CECS-OPS, provides USACE 

representation to the NRT.

c. Regional Response Team (RRT). The RRT serves as the regional organization for 

planning and coordination of preparedness and response actions. The RRT is composed 

of representatives from the same agencies that make up the NRT, along with

representatives from tribal, state, and local governments.

d. On Scene Coordinator and Remedial Project Manager (OSC/RPM). The OSC/RPM 

directs the response efforts at the scene of a discharge or release. In general, the 

OSC/RPM is predesignated by the regional or district head of the lead agency. The 

Environmental Protection Agency (EPA) or the US Coast Guard (USCG) normally provides 

the OSC. However, for releases from vessels or facilities under the jurisdiction, custody or 

control of DOD, DOE, or other federal agency, the OSC/RPM will be provided by the 

federal agency responsible for the release, except for the special conditions stated in the 

NCP. The USCG will provide the OSC for oil discharges, including those from a Federal 

agency facility or vessel, within or threatening the coastal zone and inland waterways. 

Other conditions on designation of the OSC/RPM are included in the NCP.
EP 500-1-1

30 Sep 01

10-2

e. Activation.

(1) The NRT may be activated as a response team when: (a) the response capability of 

the region where the incident occurs is exceeded; or (b) the incident crosses regional 

boundaries; or (c) the incident involves a significant threat to public health, welfare, or the 

environment, substantial amounts of property, or substantial threats to natural resources; or 

(d) if requested by any NRT member.

(2) The RRT will be activated as an incident response team upon request from the 

OSC/RPM or from any RRT member. The RRT may also be activated when: (a) the 

response capability of the OSC/RPM is exceeded; or (b) the incident crosses state 

boundaries; or (c) the incident poses a substantial threat to public health, welfare or the 

environment, or to regionally significant amounts of property.

10-4. USACE Participation. USACE is included in the NCP as a branch of DOD that has 

"relevant expertise" that can be used in response to discharges or releases. USACE 

MSC's provide members for the RRT.

10-5. Procedures.

a. USACE Projects. Planning, prevention, control and reporting of discharges and

releases for project offices that operate and maintain completed USACE projects are 

subject to the applicable provisions of AR 200-1 and ER 1130-2-434.

b. Non-USACE Activities. Planning, preparedness and response assistance to 

discharges and releases from non-USACE activities are subject to the applicable provisions 

of AR 500-60. USACE facilities and resources available outside the region should be 

considered in the development of regional and on-scene coordinator contingency plans. 

For discharges, USACE hopper dredges and USACE reserve fleet of contractor owned 

hopper dredges should be included, when appropriate, in the regional and on-scene 

coordinator contingency plans.

c. Notification. Notice of an oil discharge or release of a hazardous substance in an 

amount equal to or greater than the reportable quantity must be made immediately to the 

National Response Center, HQ USCG, Washington, D.C. telephone (800) 424-8802 or 

(202) 267-2675. Notification procedures for USACE projects shall be similar to those 

identified in Chapter 8 of AR 200-1. Information on reportable quantities for oil and 

hazardous substances is referenced in AR 200-1. Requirements for submitting situation 

reports are included in Chapter 4, Section V.
EP 500-1-1

30 Sep 01

10-3

d. Funding.

(1) The responsible USACE element will fund the cleanup of USACE-caused 

discharges and releases.

(2) Oil and hazardous material spill response plans required on USACE operated and 

maintained projects will be funded from appropriate project funds.

(3) Preparedness planning activities in support of the NCP, including participation on 

the RRT, are funded under Class 110.

(4) USACE participation in discharge and release response and cleanup operations 

under the NCP is done on a reimbursable basis. Funding is the responsibility of the agency 

requesting USACE assistance.

(5) Activation/operation and related command and control activities in the EOC will be 

funded under Class 210.
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A-1

Appendix A

REFERENCES

USACE policy on publications states that publications will be kept up to date via the 

USACE publications home page. The address for the USACE publications home page is 

www.usace.army.mil/publications.

Section I

Related Public Laws

PL 77-228

Section 5, Flood Control Act of August 18, 1941.

PL 93-288

Robert T. Stafford Disaster Relief and Emergency Assistance Act. (Note: FEMA no longer 

refers to the Stafford Act as "PL 93-288". The designation is provided as information only.) 

40 CFR Part 300

National Oil and Hazardous Substances Pollution Contingency Plan.

Section II

Required Regulations and Manuals

AR 25-400-2

The Modern Army Record Keeping System (MARKS).

AR 200-1

Environmental Protection and Enhancement.

AR 500-60

Disaster Relief.

AR 700-131

Loan or Lease of Army Material

Army Federal Acquisition Regulation Supplement Manual No. 2

Contingency Contracting.

ER 5-1-11

USACE Business Process.
EP 500-1-1

30 Sep 01

A-2

ER 10-1-2

US Army Corps of Engineers Division and District Offices.

ER 11-1-320

Civil Works Emergency Management Programs.

ER 11-2-201

Civil Works Activities - Funding, Work Allowances, & Reprogramming.

ER 37-2-10

Accounting and Reporting, Civil Works Activities.

ER 200-2-2

Procedures for Implementing NEPA.

ER 200-2-3

Environmental Compliance Policies.

ER 500-1-28

Response Planning Guide (Emergency Employment).

ER 700-1-1

USACE Supply Policies and Procedures.

ER 750-1-1

Materiel Maintenance Policies.

ER 1105-2-100

Planning Guidance Notebook.

ER 1130-2-530

Flood Control Operations and Maintenance Policies.

ER 1140-1-211

Support for Others: Reimbursable Work.

ER 1165-2-26

Implementation of Executive Order 11988 on Flood Plain Management.

ER 1165-2-30

Acceptance and Return of Required, Contributed, or Advanced Funds.
EP 500-1-1

30 Sep 01

A-3

ER 1165-2-119

Modifications to Completed Projects.

EFARS

Engineer Federal Acquisition Regulations Supplement.

EP 1165-2-1

Policy Digest.

EP 500-1-1

Civil Emergency Management Program - Procedures.

EM 385-1-1

USACE Safety and Health Requirements Manual.

EM 1110-2-301

Guidelines for Landscape Planting at Flood walls, Levees, and Embankment Dams.

Section III

Related Regulations, Manuals, and Documents

DOD Directive 3025.1

Military Support to Civil Authorities.

DOD Directive 5030.41

Oil and Hazardous Substances Pollution Prevention and Contingency Program.

DOD Manual 3025.1

DOD Manual For Civil Emergencies.

FM 100-19

Domestic Support Operations.

FM 100-23-1

Multiservice Procedures For Humanitarian Assistance Operations.

ER 360-1-1

Public Affairs.

ER 405-1-12

Real Estate Handbook.
EP 500-1-1

30 Sep 01

A-4

ER 690-1-321

Staffing for Civilian Support to Emergency Operations.

ER 1105-2-100

Planning Guidance Notebook.

ER 1110-2-1941

Drought Contingency Plans.
EP 500-1-1

30 Sep 01

B-1

APPENDIX B - INSPECTION GUIDE FOR FLOOD CONTROL WORKS 

INSPECTION GUIDE FOR FLOOD CONTROL 

WORKS

Name of Project: ___________________________________________________ Date 

___________

Public Sponsor: ____________________________________________________________________

SUMMARY OF INSPECTION:

THE PROJECT CONDITION AS A RESULT OF THIS (INITIAL)(CONTINUING) (circle one) 

ELIGIBILITY INSPECTION IS:

1 ACCEPTABLE

1 MINIMALLY ACCEPTABLE

1 UNACCEPTABLE.

[NOTE: Refer to Page 10 of the Inspection Guide for Rating Codes for Individual Rated Items, 

and Project Condition Codes used in this inspection.]

CORPS OF ENGINEERS INSPECTORS:

___________________________________ ________________________________

___________________________________ ________________________________

PUBLIC SPONSOR REPRESENTATIVES

___________________________________ ________________________________

COMMENTS:

1 Check if additional comments are attached.

 PAGE 1 OF 10

Figure B-1. Inspection Guide for Flood Control Works
EP 500-1-1

30 Sep 01

B-2

RATED 

ITEM S M U EVALUATION

SECTION I FCW ENGINEERING - FOR USE DURING INITIAL 

ELIGIBILITY INSPECTION OF NONFEDERAL PROJECTS

1. Level of 

Protection

The designed section is for an exceedance frequency greater than 

10% chance (10 yr.) with minimum freeboard of 2 feet/60 cm 

(urban levee) or the designed section is for an exceedance 

frequency between 20% to 10% chance (5-10 yr.) with minimum 

freeboard of 1 foot/30cm (agricultural levee).

S Erosion protection in active areas is capable of handling the 

designed flow velocity for the level of protection for the entire 

FCW. 

M Erosion protection is capable of handling the designed flow 

velocity for the level of protection for 75% or more of the FCW. 

2. Erosion Control

U Erosion protection measures protect less than 75% of the FCW; or 

if erosion protection was not present and there is evidence 

indicating a need for erosion protection. 

S Fill material for embankment is suitable to prevent slides and 

seepage for the existing side slopes. Fill material is uniform and 

adequately compacted through the entire FCW. 

M Material is adequate and suitable to prevent major slides and 

capable of handling localized seepage for the existing side slopes. 

Fill material is uniform and adequately compacted in 75% or more 

of the FCW. 

3. Embankment

U Material is unsuitable and likely to cause numerous slides and 

allow excessive uncontrolled seepage. Fill material is not uniform, 

or there is no compaction and evidence indicates a need for 

compaction. 

S Foundation materials will not cause piping, sand boils, seepage, or 

settlements that reduce the level of protection. 

M Foundation materials may show signs of excessive seepage, minor 

sand boils, and localized settlements. 

4. Foundation 

U Foundation materials are unsuitable and likely to cause excessive 

uncontrolled seepage, sand boils, and/or piping. 

S Structures are capable of performing their design functions and 

show no signs of failure.

M Structures are performing their design functions but show signs of 

overtopping and bypassing flows.

5. Structures

U Structures are not performing their design 

functions or show signs of structural failure. PAGE 2 OF 10
EP 500-1-1

30 Sep 01

B-3

RATED 

ITEM S M U EVALUATION

SECTION II FCW MAINTENANCE - FOR USE DURING ALL 

INSPECTIONS

S Minimal depressions or potholes; proper drainage. 

M Some depressions that will not pond water. 

6. Depressions

U Depressions 15 cm (6") vertical or greater which endangers the 

integrity of the levee. 

S No erosion observed.

M LEVEE: Erosion of levee crown or slopes that will not interrupt 

inspection or maintenance access. OTHER FCW: Erosion gullies 

less than 15 cm (6 inches) deep or deviation of 30 cm (1 foot) from 

designed grade or section.

7. Erosion 

U LEVEE: Erosion of levee crown or slopes that has interrupted 

inspection or maintenance access. OTHER FCW: Erosion gullies 

greater than 15 cm (6 inches) or deviation of 30 cm (1 foot) or more 

from designed grade or section. 

S No slides present. Erosion of slopes less than 10 cm (4") deep.

M Minor superficial sliding that with deferred repair does not pose an 

immediate threat to FCW integrity. No displacement or bulges. 

8. Slope Stability

U Evidence of deep seated sliding (60 cm (2 ft.) vertical or greater) 

requiring repairs to re-establish FCW integrity. 

S No cracks in transverse or longitudinal direction observed in the 

FCW.

M Longitudinal cracks are no longer than the levee height. No 

displacement and bulging. No transverse cracks.

9. Cracking

U Longitudinal cracks are greater than levee height, with or without 

some bulging observed. Transverse cracks are evident

S Continuous animal burrow control program that eliminates any 

active burrowing in a short period of time. Program includes filling 

in of existing burrows.

M Animal burrows present that will not result in seepage or slope 

stability problems. 

10. Animal Control

U Animal burrows present that would result in 

possible seepage or slope stability problems. 

PAGE 3 OF 10
EP 500-1-1

30 Sep 01

B-4

RATED 

ITEM S M U EVALUATION

SECTION II 

- Continued

FCW MAINTENANCE - FOR USE DURING ALL 

INSPECTIONS

S A- No large brush or trees exist in the FCW. Grass cover well 

maintained. CHANNELS: Channel capacity for designed flows is 

not affected. 

M Minimal tree (5 cm (2") diameter or smaller) and brush cover 

present that will not threaten FCW integrity. (NOTE: Trees that 

have been cut and removed from levees should have their roots 

excavated and the cavity filled and compacted with impervious 

material). CHANNELS: Channel capacity for designed flows is 

not adversely affected. 

11. Unwanted 

Vegetation 

Growth

U Tree, weed, and brush cover exists in the FCW requiring removal to 

re-establish or ascertain FCW integrity. (NOTE: If significant 

growth on levees exists, prohibiting rating of other levee inspection 

items, then the inspection should be ended until this item is 

corrected.) CHANNEL: Channel obstructions have impaired the 

floodway capacity and hydraulic effectiveness.

S No trash, debris, excavations, structures, or other obstructions 

present.

M Trash, debris, excavations, structures, or other obstructions present, 

or inappropriate activities occurring that will not inhibit operations 

and maintenance performance. 

12. Encroachments

U Trash, debris, excavations, structures or other obstructions present, 

or inappropriate activities that would inhibit operations and 

maintenance performance. 

S Existing protection works are being properly maintained and are 

undamaged.

M No scouring activity that could undercut banks/riprap, erode 

embankments, or restrict desired channel flow.

13. Riprap/ 

Revetments/ 

Banks

U Meandering and/or scour activity that is undercutting banks, 

eroding embankments, or impairing channel flows by causing 

turbulence, meandering, or shoaling. 

S Any tilting, sliding, or settling of structures, if present, has been 

secured, preserving the integrity or performance. 

M Uncorrected sliding or settlement of structures of a magnitude that 

does not affect performance. 

14. Stability of 

Concrete 

Structures 

U Tilting or settlement of structures that has 

resulted with a threat to the structure's 

integrity and performance. 

PAGE 4 OF 10
EP 500-1-1

30 Sep 01

B-5

RATED ITEM S M U EVALUATION

SECTION II -

Continued

FCW MAINTENANCE - FOR USE DURING ALL 

INSPECTIONS

S Negligible spalling or scaling. No cracks present that are not 

controlled by reinforcing steel or that cause integrity deterioration 

or result in inadequate structure performance. 

M Spalling, scaling and cracking present but immediate integrity or 

performance of structure not threatened. 

15. Concrete 

Surfaces 

U Surface deterioration or deep, controlled cracks present that result 

in an unreliable structure.

S No scouring or undermining near the structures. 

M Scouring near the footing of the structure but not close enough to 

affect structure stability during the next flood event. 

16. Structural 

Foundations

U Scouring or undermining at the foundation that has affected 

structure integrity.

S [a] No breaks, holes, cracks in the culvert that would result in any 

significant water leakage. No surface distress that could result in 

permanent damage.

[b] Negligible debris or silt blocking culvert section. No or 

minimal debris or sediment present which has negligible effect on 

operations of the culvert. 

M [a] Integrity not threatened by spalls, scales, or surface rusting. 

Cracks present but resulting leakage not affecting the structure.

[b] Debris or sediment present, which is proposed to be removed 

prior to the next flood event, that minimally affects the operations 

of the culvert. 

17. Culverts

U [a] Culvert has deterioration such as surface distress and/or has 

significant leakage in quantity or degree to threaten integrity.

[b] Accumulated debris or settlement which has not been annually 

removed and severely affects the operations of the culvert.

S Gates open easily and close to a tight seal. Materials do not have 

permanent corrosion damage and appear to have historically been 

maintained adequately. 

M Gates operate but leak when closed; however, leakage quantity is 

not a threat to performance. All appurtenances of the facility are in 

working condition.

18. Gates

U Gates leak significantly when closed or do not operate. Gates and 

appurtenances have damages that threaten integrity and/or appear 

not to have been maintained adequately. 

S Closure structure in good repair. Placing equipment readily 

available at all times. 

19. Closure 

Structures

U Closure structure in poor condition. Parts 

missing. Placing equipment may not be 

available within normal warning time. PAGE 5 OF 10
EP 500-1-1

30 Sep 01

B-6

RATED ITEM S M U EVALUATION

SECTION II -

Continued

FCW MAINTENANCE - FOR USE DURING ALL 

INSPECTIONS

20. Motors S All motors, if present, are operational. Preventive maintenance is 

occurring and system is performance tested periodically.

M All motors are operational and minor discrepancies are such that

motors could be expected to perform through the next projected 

period of usage.

U Motors are not operational, or noted discrepancies have not been 

corrected.

21. Power S Adequate, reliable, and enough capacity to meet demands.

U Power source not considered reliable to sustain operations during 

flood condition. 

S All metal parts in a plant/building protected from permanent 

damage from corrosion. Gates operable.

M Corrosion on metal parts appears maintainable. Gates operable. 

22. Metallic items

U Metal parts need replacement, may fail, or will not function.

REMARKS FOR 

SECTIONS I 

AND II.

PAGE 6 OF 10
EP 500-1-1

30 Sep 01

B-7

RATED ITEM S M U EVALUATION

SECTION III FOR USE DURING ALL INITIAL and CONTINUING 

ELIGIBILITY INSPECTIONS

23. Pump Station Size Pump station has adequate capacity (considering pumping capacity, 

ponding areas, etc.) to handle expected inflow volumes. 

SECTION IV FOR USE DURING ALL INITIAL and CONTINUING 

ELIGIBILITY INSPECTIONS

24. Operations and 

Maintenance 

Manual

Operations and Maintenance (O&M) Manual is present and 

adequately covers all pertinent areas. All necessary updates to the 

Manual have been done.

25. Operating Log Pump Station Operating Log is present and being used. Operators 

are trained on proper usage.

26. Annual Inspection Annual inspection is being performed by the public sponsor. 

S Plant building is in good structural condition. No apparent major 

cracks in concrete, no subsidence, roof is not leaking, etc. Intake 

louvers clean, clear of debris. Exhaust fans operational and 

maintained. Safe working environment.

M Spalling and cracking are present, or minimal subsidence is evident, 

or the roof leaks, or other conditions are present that need repair but 

do not threaten the structural integrity or stability of the building.

27. Plant Building

U Any condition that does not meet Minimally Acceptable standard.

S All pumps are operational. Preventive maintenance and lubrication 

are being performed. System is periodically subjected to 

performance testing. No evidence of unusual sounds, cavitation, or 

vibration.

M All pumps are operational and deficiencies/minor discrepancies are 

such that pumps could be expected to perform through the next 

expected period of usage.

28. Pumps

U One or more primary pumps are not operational, or noted 

discrepancies have not been corrected.

S All items are operational. Preventive maintenance and lubrication 

being performed. System is periodically subjected to performance 

testing. Instrumentation, alarms, and auto shutdowns are 

operational.

M All systems are operational and deficiencies/minor discrepancies 

are such that pumps could be expected to perform through the next 

expected period of usage.

29. Motors, Engines, 

and Gear 

Reducers

U One or more primary motors are not operational, 

or noted deficiencies/discrepancies have not 

been corrected. PAGE 7 OF 10
EP 500-1-1

30 Sep 01

B-8

RATED ITEM S M U EVALUATION

SECTION IV

Continued

FOR USE DURING ALL PUMP STATION 

INSPECTIONS

S Drive chain, bearings, gear reducers, and other components are in 

good operating condition and properly maintained.

M Drive chain, bearings, gear reducers, and other components are 

capable of performing as designed through the next flood event.

30. Trash Rakes

U Proper operation would be inhibited during the next flood event.

S All metal parts in plant/building are protected from permanent 

damage by corrosion. Equipment anchors show no rust or 

deterioration.

M Corrosion on metallic parts (except equipment anchors) appears 

maintainable.

31. Other Metallic 

Items

U Any condition that does not meet at least Minimum Acceptable 

standards.

S Results of megger test show that insulation meets manufacturer's or 

industry standard. Test not more than 24 months old.

M Results of megger test show that insulation resistance is lower than 

manufacturer's or industry standard, but can be corrected with 

proper application of heat.

32. Insulation Megger 

Testing

U Insulation resistance is low enough to cause the equipment to not be 

able to meet its design standard of operation.

S Adequate, reliable, and enough capacity to meet demands. Backup 

generators are on hand and deemed reliable, or feasible plan exists 

to obtain backup power. Backup units are properly sized, 

operational, periodically exercised, and properly maintained.

33. Power

U Power source not considered reliable to sustain operations during 

flood condition.

S Operational and maintained free of damage, corrosion, or other 

debris.

M Operational with minor discrepancies. Will function adequately in 

the next flood event.

34. Pump Control 

System

U Not operational; uncorrected discrepancies noted from previous 

inspections; capability to adequately function in the next flood 

event is suspect.

S Clear of debris and obstructions. Mechanisms are in place to 

maintain this condition during operations.

M Clear of large debris, minor obstructions present. Mechanisms are 

in place to deter any further accumulation during operation. Sump 

will function as intended. 

35. Sumps

U Large debris or major obstructions present, 

or no mechanism exists to prevent debris 

accumulation during operation. PAGE 8 OF 10
EP 500-1-1

30 Sep 01

B-9

RATED 

ITEM S M U EVALUATION

SECTION IV 

- Continued

FOR USE DURING ALL PUMP STATION 

INSPECTIONS

36. Intake/Discharge 

Gates.

Functional. Electric operators maintained. (S or U only.)

37. Cranes Operational. Inspected and load tested in accordance with OSHA 

requirements. (S or U only.)

38. Telephone 

Communications

Telephone communication is available in the pump station. 

Alternatively, two -way radio, cellular telephone, or similar device 

is available, or, access to a telephone is within a reasonable driving 

distance. (S or U only.)

39. Safety No exhaust leaks in building. Fuel storage/distribution meets 

state/local requirement. Fire extinguishers on hand, of sufficient 

quantity, and properly charged. Safety hardware installed. 

Required safety items (e.g., aural protectors) used. (S or U only.)

Remarks for Pump Station - Sections III and IV of Inspection Guide.

PAGE 9 OF 10
EP 500-1-1

30 Sep 01

B-10

Instructions and Information for the Inspection Guide

RATINGS: The following terms and definitions are used in the conduct of this inspection for rating items 

and components of this project:

 S - Satisfactory: The rated item is in satisfactory condition, and will function as designed and intended 

during the next flood event.

 M - Marginally Satisfactory: The rated item has a minor deficiency that needs to be corrected. The 

minor deficiency will not seriously impair the functioning of the item during the next flood event. The overall 

reliability of the project will be lowered because of the minor deficiency.

 U - Unsatisfactory: The rated item is unsatisfactory. The deficiency is so serious that the item will not 

adequately function in the next flood event, compromising the project's ability to provide reliable flood 

protection.

DETERMINATION OF PROJECT CONDITION CODE: The lowest single rating given for a rated item will 

determine the overall condition of the project. If all rated items are rated as Satisfactory, the project 

condition will be Acceptable. If one or more rated items are evaluated as Marginally Satisfactory, with no 

rated items evaluated as Unsatisfactory, then the project condition will be Minimally Acceptable. One or 

more rated items with a rating of Unsatisfactory will result in a project condition of Unacceptable.

STATUS: Acceptable and Minimally Acceptable projects are in Active status. Unacceptable projects are in 

Inactive status. Projects in Inactive status are not eligible for consideration for Rehabilitation Assistance 

from the US Army Corps of Engineers in the event of damage from a flood or coastal storm.

GENERAL INSTRUCTIONS. 

1. Section I will be used on all IEI's.

2. Section II will be used on all CEI's.

3. All rated items in Sections I and II must have a rating given.

4. Additional areas for inspection will be incorporated by the inspector into this guide if the layout or 

physical characteristics of the project warrant this. Appropriate entries will be made in the REMARKS 

block.

FOR PROJECTS WITH PUMP STATIONS:

5. Section III and IV will be used on all IEI's and CEI's for projects with pump stations. A pump station must 

have the primary purpose of flood control, not interior drainage. The district will determine, based on 

appropriate study, if adequate capacity exists. Lack of adequate capacity mandates a rating of 

Unsatisfactory and a condition of Unacceptable.

6. The lowest rating for a rated item on either the levee inspection (Sections I and II) or the pump station 

(Sections III and IV) determines the overall project condition.

7. A non-Federal pump station located behind a Federal levee will be treated as a separate FCW, will not 

be incorporated into the Federal levee project, and will be inspected as a separate entity. The lowest rated 

item on the pump station inspection determines the project condition code for the pump station. This is 

independent of the Federal project inspection.

8. Additional areas for inspection will be incorporated by the inspector into this guide if the layout or 

physical characteristics of the pump station warrant this. Appropriate entries will be made in the REMARKS 

block.

PAGE 10 OF 10
EP 500-1-1

30 Sep 01

C-1

APPENDIX C

COOPERATION AGREEMENTS, REHABILITATION OF FEDERAL AND 

NON-FEDERAL FLOOD CONTROL WORKS

C-1. Purpose. This Appendix provides the format for Cooperation Agreements for 

rehabilitation of non-Federal flood control works (Figure C-1.), rehabilitation of Federal 

flood control works (Figure C-2.), and rehabilitation of HSPP's (Figure C-3.)

C-2. Reference. Refer to Chapter 5, Section III, for information on Rehabilitation 

Assistance and use of these cooperation agreements.
EP 500-1-1

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EP 500-1-1

30 Sep 01

C-3

FIGURE C-1. Cooperation Agreement for Rehabilitation of Non-Federal Flood 

Control Works

COOPERATION AGREEMENT

BETWEEN

THE UNITED STATES OF AMERICA

and

______________________________________________________

for

REHABILITATION OF A NON-FEDERAL FLOOD CONTROL WORK

THIS AGREEMENT, entered into this ____ day of ___________, 20_____, by and between THE 

DEPARTMENT OF THE ARMY (hereinafter referred to as the "Government") represented by the District 

Engineer, _____________________________________ District, U.S. Army Corps of Engineers, and the 

_________________________________________________________________ [PUBLIC SPONSOR], 

(hereinafter referred to as the "Public Sponsor"), represented by __________________________ [TITLE 

OF PERSON SIGNING THIS AGREEMENT].

WITNESSETH THAT:

WHEREAS, pursuant to 33 U.S.C. 701n, the Government is authorized to assist in the repair or 

restoration of flood control improvements threatened or destroyed by flood;

WHEREAS, via written correspondence, the Public Sponsor has requested the Government to repair 

or restore a certain flood control work damaged by recent flooding or coastal storms, in accordance with 

33 U.S.C. 701n and established policies of the U.S. Army Corps of Engineers; and,

WHEREAS, the Public Sponsor hereby represents that it has the authority and legal capability to 

furnish the non-Federal cooperation hereinafter set forth and is willing to participate in the rehabilitation 

effort in accordance with the terms of this Agreement;

NOW, THEREFORE, the Government and the Public Sponsor agree as follows:

ARTICLE I - DEFINITIONS AND GENERAL PROVISIONS

For purposes of this agreement:

A. The term "Rehabilitation Effort" shall mean [DESCRIBE THE WORK TO BE UNDERTAKEN 

PURSUANT TO THIS AGREEMENT IN SUFFICIENT DETAIL AS IS NECESSARY TO AVOID ANY 

CONFUSION OVER WHAT WORK IS OR IS NOT INCLUDED], as generally described in a report 

entitled ___________________________ [SPECIFY THE REPORT] prepared by the District Engineer, 

U.S. Army Engineer District _____________________, dated ____________, and approved by the 

Division Engineer on __________________. 
EP 500-1-1

30 Sep 01

C-4

FIGURE C-1. Cooperation Agreement for Rehabilitation of Non-Federal Flood 

Control Works (Continued)

B. The term "Rehabilitation Effort costs" shall mean all costs incurred by the Public Sponsor and the 

Government, in accordance with the terms of this Agreement, directly related to implementation of the 

Rehabilitation Effort. The term shall include, but is not necessarily be limited to, actual construction costs, 

including supervision and inspection costs; costs of contract dispute settlements or awards; and the cost 

of investigations to identify the existence of hazardous substances as identified in Article XIA. The term 

shall not include any costs for operation and maintenance; any costs that correct deferred or deficient 

maintenance; any increased costs for betterments or Public Sponsor preferred alternatives; or the costs 

of lands, easements, rights-of-way, relocations, or suitable borrow and dredged or excavated material 

disposal areas required for the Rehabilitation Effort.

C. The term "betterment" shall mean the design and construction of a Rehabilitation Effort feature 

accomplished on behalf of, or at the request of, the Public Sponsor, in accordance with standards that 

exceed the standards that the Government would otherwise apply for accomplishing the Rehabilitation 

Effort.

ARTICLE II - OBLIGATIONS OF THE GOVERNMENT AND PUBLIC SPONSOR

A. The Government, subject to receiving funds appropriated by the Congress of the United States 

and using those funds and funds provided by the Public Sponsor, shall expeditiously implement the 

Rehabilitation Effort, applying those procedures usually followed or applied in Federal projects, pursuant 

to Federal laws, regulations, and policies. The Public Sponsor shall be afforded the opportunity to review 

and comment solicitations for all contracts, including relevant plans and specifications, prior to the 

issuance of such solicitations. The Contracting Officer will, in good faith, consider the comments of the 

Public Sponsor, but award of contracts, modifications or change orders, and performance of all work on 

the Rehabilitation Effort (whether the work is performed under contract or by Government personnel), 

shall be exclusively within the control of the Contracting Officer.

B. As further specified in Article III, the Public Sponsor shall provide all lands, easements, and rightsof-way, and suitable borrow and dredged or excavated material disposal areas, and perform all 

relocations determined by the Government to be necessary for construction, operation, and maintenance 

of the Rehabilitation Effort and the Project.

C. As further specified in Article IV, the Public Sponsor shall contribute, in cash, in-kind services, or a 

combination thereof, a contribution toward construction of the Rehabilitation Effort in an amount equal to 

20 percent of total Rehabilitation Effort costs.

D. The Public Sponsor shall not use Federal funds to meet its share of total Rehabilitation Effort 

costs under this Agreement unless the Federal granting agency verifies in writing that the expenditure of 

such funds is expressly authorized by statute.

E. The Public Sponsor shall hold and save the Government free from all damages arising from the 

construction, operation, and maintenance of the Rehabilitation Effort, and any related betterments, 

except for damages due to the fault or negligence of the Government or the Government's contractors.
EP 500-1-1

30 Sep 01

C-5

FIGURE C-1. Cooperation Agreement for Rehabilitation of Non-Federal Flood 

Control Works (Continued)

F. The Public Sponsor agrees to participate in and comply with the policies and procedures of the 

U.S. Army Corps of Engineers Rehabilitation and Inspection Program.

G. The Public Sponsor may request the Government to accomplish betterments. The Public 

Sponsor shall be solely responsible for any increase in costs resulting from the betterments and all such 

increased costs will be paid in advance by the Public Sponsor in accordance with Article IV.

ARTICLE III - LANDS, RELOCATIONS, DISPOSAL AREAS, AND PUBLIC LAW 91-646 

COMPLIANCE

A. The Government shall provide the Public Sponsor with a description of the anticipated real estate 

requirements and relocations for the Rehabilitation Effort. Thereafter, the Public Sponsor shall furnish all 

lands, easements, and rights-of-way, including suitable borrow and dredged or excavated material 

disposal areas, and perform any relocations, as may be determined by the Government in that 

description, or in any subsequent description, to be necessary for the construction, operation, and 

maintenance of the Rehabilitation Effort. The necessary lands, easements, and rights-of-way may be 

provided incrementally for each construction contract. All lands, easements, and rights-of-way 

determined by the Government to be necessary for work to be performed under a construction contract

must be furnished prior to the solicitation of that construction contract.

B. The Public Sponsor shall comply with the applicable provisions of the Uniform Relocation 

Assistance and Real Property Acquisitions Policy Act of 1970, Public Law 91-646, as amended by Title IV 

of the Surface Transportation and Uniform Relocation Assistance Act of 1987 (Public Law 100-17), and 

the Uniform Regulations contained in 49 CFR Part 24, in acquiring lands, easements, and rights of way, 

and performing relocations for construction, operation, and maintenance of the Rehabilitation Effort, 

including those necessary for relocations, borrow materials, and dredged and excavated material 

disposal, and shall inform all affected persons of applicable benefits, policies, and procedures in 

connection with said Act.

ARTICLE IV - METHOD OF PAYMENT

A. The Public Sponsor shall provide, during the period of construction, cash payments, in-kind 

services, or a combination thereof, required to meet the Public Sponsor's obligations under Article II of 

the Agreement. Rehabilitation Effort costs are currently estimated to be $_________ and the Public 

Sponsor's share (cash and services in kind) of total Rehabilitation Effort costs is currently estimated to be 

$_________. In order to meet the Public Sponsor's cash payment requirements, the Public Sponsor 

must provide a cash contribution estimated to be $__________. The dollar amounts set forth in this 

paragraph are based upon the Government's best estimates that reflect projections of costs, price level 

changes, and anticipated inflation. Such cost estimates are subject to adjustments based upon costs 

actually incurred and are not to be construed as the total financial responsibilities of the Government and 

the Public Sponsor.

B. The required cash contribution shall be provided as follows: At least ten calendar days prior to the 

award of the first construction contract, the Government shall notify the Public Sponsor of the Public 

Sponsor's estimated share of the total Rehabilitation Effort costs including the Public Sponsor's estimated 

share of the costs attributable to the Rehabilitation Effort incurred prior to the initiation of construction. 
EP 500-1-1

30 Sep 01

C-6

FIGURE C-1. Cooperation Agreement for Rehabilitation of Non-Federal Flood 

Control Works (Continued)

Within five calendar days thereafter, the Public Sponsor shall provide the Government the full amount of 

the required contribution by delivering a check payable to "FAO, USAED ___________________" to the 

Contracting Officer representing the Government. The Government shall draw on the funds provided by 

the Public Sponsor such sums as the Government deems necessary to cover contractual and in-house 

fiscal obligations attributable to the Rehabilitation Effort as they are incurred, as well as Rehabilitation 

Effort costs incurred by the Government. In the event that Rehabilitation Effort costs are expected to 

exceed the estimate given at the outset of construction, the Government shall immediately notify the 

Public Sponsor of the additional contribution the Public Sponsor will be required to make to meet the 

Public Sponsor's share of the revised estimate. Within ten calendar days thereafter, the Public Sponsor 

shall provide the Government the full amount of the additional required contribution.

C. During the period of construction, the Government will provide periodic financial reports on the 

status of the total Rehabilitation Effort costs and status of contributions made by the Public Sponsor. 

Upon completion of the Rehabilitation Effort and resolution of all relevant contract claims and appeals, the 

Government shall compute the Rehabilitation Effort costs and tender to the Public Sponsor a final 

accounting of the Public Sponsor's share of Rehabilitation Effort costs.

1. In the event the total contribution by the Public Sponsor is less than the Public Sponsor's required 

share of total Rehabilitation Effort costs, the Public Sponsor shall, no later than 90 calendar days after 

receipt of written notice, make a cash payment to the Government of whatever sum is required to meet 

the Public Sponsor's required share of Rehabilitation Effort costs.

2. In the event total contribution by the Public Sponsor is more than the Public Sponsor's required 

share of Rehabilitation Effort costs, the Government shall, no later than 90 calendar days after the final 

accounting is complete, subject to the availability of funds, return the excess to the Public Sponsor; 

however, the Public Sponsor shall not be entitled to any refund for in-kind services. In the event the 

existing funds are not available to repay the Public Sponsor for excess contributions provided, the 

Government shall seek such appropriations as are necessary to repay the Public Sponsor for excess 

contributions provided.

ARTICLE V - CREDITING OF IN-KIND SERVICES

The Government has approved a credit for In-Kind Services, compatible with the Rehabilitation Effort, 

in the estimated amount of $ _________ for implementation of such services by the Public Sponsor. The 

affording of such credit shall be subject to an onsite inspection by the Government to verify that the work 

was accomplished in a satisfactory manner and is suitable for inclusion in the Rehabilitation Effort. The 

actual amount of such credit shall be subject to an audit conducted to determine reasonableness, 

allocability, and allowability of costs. The Government shall apply the credit amount toward any 

additional cash contribution required under this Agreement. The Public Sponsor shall not receive credit 

for any amount in excess of such additional cash contribution, nor shall the Public Sponsor be entitled to 

any reimbursement for any excess credit amount.

ARTICLE VI - OPERATION AND MAINTENANCE

A. After the Contracting Officer has determined that construction of the Rehabilitation Effort is 

complete and provided the Public Sponsor with written notice of such determination, the Public Sponsor 
EP 500-1-1

30 Sep 01

C-7

FIGURE C-1. Cooperation Agreement for Rehabilitation of Non-Federal Flood 

Control Works (Continued)

shall operate and maintain the Project, at no cost to the Government, in accordance with specific 

directions prescribed by the Government in Engineer Regulation 500-1-1 and any subsequent 

amendments thereto.

B. The Public Sponsor hereby gives the Government a right to enter, at reasonable times and in a 

reasonable manner, upon land that the Public Sponsor owns or controls for access to the Project for the 

purposes of inspection, and, if necessary, for the purpose of completing, operating, and maintaining the 

Project. If an inspection shows the Public Sponsor for any reason is failing to fulfill the Public Sponsor's 

obligations under this Agreement without receiving prior written approval from the Government, the 

Government will send a written notice to the Public Sponsor. If, after 30 calendar days from receipt of 

such notice, the Public Sponsor continues to fail to perform, then the Government shall have the right to 

enter, at reasonable times and in a reasonable manner, upon lands the Public Sponsor owns or controls 

for access to the Project for the purposes of completing, operating, and maintaining the Project, or to 

deny further assistance under Public Law 84-99. No action by the Government shall operate to relieve 

the Public Sponsor of responsibility to meet the Public Sponsor obligations as set forth in this Agreement, 

or to preclude the Government from pursuing any other remedy at law or equity to assure faithful 

performance pursuant to this Agreement.

ARTICLE VII - FEDERAL AND STATE LAWS

In the exercise of the Public Sponsor's rights and obligations hereunder, the Public Sponsor agrees 

to comply with all applicable Federal and state laws and regulations.

ARTICLE VIII - RELATIONSHIP OF PARTIES

The Government and the Public Sponsor act in an independent capacity in the performance of their 

respective functions under this Agreement, and neither party is to be considered the officer, agent, nor 

employee of the other.

ARTICLE IX - OFFICIALS NOT TO BENEFIT

No member of or delegate to the Congress, or resident commissioner, shall be admitted to any share 

or part of this Agreement, or to any benefit that may arise therefrom.

ARTICLE X - COVENANT AGAINST CONTINGENT FEES

The Public Sponsor warrants that no person or selling agency has been employed or retained to 

solicit or secure this Agreement upon agreement or understanding for a commission, percentage, 

brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or 

selling agencies maintained by the Public Sponsor for the purpose of securing business. For breach or 

violation of this warranty, the Government shall have the right to annul this Agreement without liability, or, 

in the Government's discretion, to add to the Agreement or consideration, or otherwise recover, the full 

amount of such commission, percentage, brokerage, or contingent fee.
EP 500-1-1

30 Sep 01

C-8

FIGURE C-1. Cooperation Agreement for Rehabilitation of Non-Federal Flood 

Control Works (Continued)

ARTICLE XI - TERMINATION OR SUSPENSION

If at any time the Public Sponsor fails to carry out its obligations under this Agreement, the District 

Engineer shall terminate or suspend work on the Rehabilitation Effort, unless the District Engineer

determines that continuation of work on the Rehabilitation Effort is in the interest of the United States or is 

necessary in order to satisfy agreements with any other non-Federal interests in connection with this 

Rehabilitation Effort and Project. However, deferral of future performance under this agreement shall not 

affect existing obligations or relieve the parties of liability for any obligation previously incurred. In the 

event that either party elects to terminate this Agreement pursuant to this Article, both parties shall 

conclude their activities relating to the Rehabilitation Effort and proceed to a final accounting in 

accordance with Article IV of this Agreement. In the event that either party elects to defer future 

performance under this Agreement pursuant to this Article, such deferral shall remain in effect until such 

time as either the Government or Public Sponsor elects to proceed with further construction or terminates 

this Agreement.

ARTICLE XII - HAZARDOUS SUBSTANCES

A. After execution of this Agreement and upon direction by the Contracting Officer, the Public 

Sponsor shall perform, or cause to be performed, such investigations for hazardous substances as are 

determined necessary by the Government of the Public Sponsor to identify the existence and extent of 

any hazardous substances regulated under the Comprehensive Environmental Response,

Compensation, and Liability Act (CERCLA) 42 U.S.C. Sections, 9601-9675, on lands necessary to 

Rehabilitation Effort construction, operation, and maintenance. All actual costs incurred by the Public 

Sponsor that are properly allowable and allocable to performance of any such investigations for 

hazardous substances shall be included in total Rehabilitation Effort costs and cost shared as a 

construction cost.

B. In the event it is discovered through an investigation for hazardous substances or other means 

that any lands, easements, rights-of-way, or disposal areas to be acquired or provided for the Project or 

the Rehabilitation Effort contain any hazardous substances regulated under CERCLA, the Public Sponsor 

and the Government shall provide prompt notice to each other, and the Public Sponsor shall not proceed 

with the acquisition of lands, easements, rights-of-way, or disposal areas until mutually agreed.

C. The Government and the Public Sponsor shall determine whether to initiate construction of the 

Rehabilitation Effort, or, if already in construction, to continue with construction of the Rehabilitation 

Effort, or to terminate construction of the Rehabilitation Effort for the convenience of the Government in 

any case where hazardous substances regulated under CERCLA are found to exist on any lands 

necessary for the Rehabilitation Effort. Should the Government and the Public Sponsor determine to 

proceed or continue with the construction after considering any liability that may arise under CERCLA, 

the Public Sponsor shall be responsible, as between the Government and the Public Sponsor, for any 

and all necessary clean up and response costs, to include the costs of any studies and investigations 

necessary to determine an appropriate response to the contamination. Such costs shall not be

considered a part of the total Rehabilitation Effort costs as defined in this Agreement. 
EP 500-1-1

30 Sep 01

C-9

FIGURE C-1. Cooperation Agreement for Rehabilitation of Non-Federal Flood 

Control Works (Continued)

In the event the Public Sponsor fails to provide any funds necessary to pay for clean up and response 

costs or to otherwise discharge the Public Sponsor's responsibilities under this paragraph upon direction 

by the Government, the Government may either terminate or suspend work on the Rehabilitation Effort or 

proceed with further work as provided in Article X of this Agreement.

D. The Public Sponsor and Government shall consult with each other to assure that responsible 

parties bear any necessary clean up and response costs as defined in CERCLA. Any decision made 

pursuant to paragraph C of this Article shall not relieve any party from any liability that may arise under 

CERCLA.

E. As between the Government and the Public Sponsor, the Public Spons or shall be considered the 

operator of the Project (which the Rehabilitation Effort is repairing and restoring) for purposes of CERCLA 

liability. To the maximum extent practicable, the Public Sponsor shall operate and maintain the Project in 

a manner that will not cause liability to arise under CERCLA.

ARTICLE XIII - NOTICES

A. All notices, requests, demands, and other communications required or permitted to be given 

under this Agreement shall be deemed to have been duly given if in writing and delivered personally, 

given by prepaid telegram, or mailed by first-class (postage prepaid), registered, or certified mail, as 

follows:

If to the Public Sponsor: If to the Government:

_________________________________ District Engineer

_________________________________ ______________________________________

_________________________________ ______________________________________

B. A party may change the address to which such communications are to be directed by giving 

written notice to the other party in the manner provided in this Article.

C. Any notice, request, demand, or other communication made pursuant to this Article shall be 

deemed to have been received by the addressee at such time as it is either personally delivered, or, 

seven calendar days after it is mailed, as the case may be.

IN WITNESS HEREOF, the parties hereto have executed this Agreement, which shall become effective 

upon the date it is signed by the District Engineer.

THE DEPARTMENT OF THE ARMY THE [NAME OF PUBLIC SPONSOR]

BY: __________________________ BY: ___________________________

[SIGNATURE] [SIGNATURE]

[TYPED NAME] [TYPED NAME]

[TITLE IN FULL] [TITLE IN FULL]

DATE: _______________ DATE: _______________
EP 500-1-1

30 Sep 01

C-10

FIGURE C-1. Cooperation Agreement for Rehabilitation of Non-Federal Flood 

Control Works (Concluded)

CERTIFICATION REGARDING LOBBYING

The undersigned certifies, to the best of his or her knowledge and belief that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the 

undersigned, to any person for influencing or attempting to influence an officer or employee of any 

agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of 

Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the 

making of any Federal loan, the entering into of any cooperative agreement, and the extension, 

continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative 

agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person 

for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, 

an officer or employee of Congress, or an employee of a member of Congress in connection with this 

Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit 

Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award 

documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, 

loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this 

transaction was made or entered into. Submission of this certification is a prerequisite for making or 

entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file 

the required certification shall be subject to a civil penalty of not less than $10,000 and not more than 

$100,000 for each such failure.

DATED this _____ day of ______________, 20______ 

______________________________

[SIGNATURE OF CA SIGNATORY]

[TYPED NAME]

[TYPED TITLE]
EP 500-1-1

30 Sep 01

C-11

Figure C-2. Cooperation Agreement for Rehabilitation of Federal Flood Control 

Works

COOPERATION AGREEMENT

BETWEEN

THE UNITED STATES OF AMERICA

and

______________________________________________________

for

REHABILITATION OF A FEDERAL FLOOD CONTROL WORK

THIS AGREEMENT, entered into this ______ day of ________________, 20_____, by and between 

THE DEPARTMENT OF THE ARMY (hereinafter referred to as the "Government") represented by the 

District Engineer, ___________________________________ District, U.S. Army Corps of Engineers, 

and the ______________________________________ [PUBLIC SPONSOR], (hereinafter referred to 

as the "Public Sponsor"), represented by ____________________________ [TITLE OF PERSON 

SIGNING THIS AGREEMENT].

WITNESSETH THAT:

WHEREAS, the Government constructed a flood control project (hereinafter referred to as the 

project) authorized by _______________________ [LEGAL AUTHORIZATION FOR CONSTRUCTION] 

and governed by the (Project Cooperation Agreement) (Cooperation and Participation Agreement) 

(Agreement of Local Assurances) (other) dated ________ and entitled _________________________ 

______________________ , and which remains in full effect;

WHEREAS, pursuant to 33 U.S.C. 701n, the Government is authorized to assist in the repair or 

restoration of flood control improvements threatened or destroyed by floods;

WHEREAS, via written correspondence, the Public Sponsor has requested that the Government 

repair or restore the project, which was damaged by recent flooding or coastal storms, in accordance 

with 33 U.S.C. 701n and established policies of the U.S. Army Corps of Engineers; and,

WHEREAS, Public Sponsor hereby represents that it has the authority and legal capability to 

furnish the non-Federal cooperation hereinafter set forth and is willing to participate in the rehabilitation 

effort of the authorized project in accordance with the terms of this Agreement;

NOW, THEREFORE, the Government and the Public Sponsor agree as follows:

ARTICLE I - DEFINITIONS AND GENERAL PROVISIONS

For purposes of this agreement:

A. The term "Rehabilitation Effort" shall mean [DESCRIBE THE WORK TO BE UNDERTAKEN 

PURSUANT TO THIS AGREEMENT IN SUFFICIENT DETAIL AS IS NECESSARY TO AVOID ANY 

CONFUSION OVER WHAT WORK IS OR IS NOT INCLUDED], as generally described in the 

[SPECIFY APPROVED REPORT] dated ____ and approved by the Division Engineer on _______.
EP 500-1-1

30 Sep 01

C-12

Figure C-2. Cooperation Agreement for Rehabilitation of Federal Flood Control 

Works (Continued)

B. The term "Rehabilitation Effort costs" shall mean all costs incurred by the Public Sponsor and 

the Government, in accordance with the terms of this Agreement, directly related to implementation of 

the Rehabilitation Effort. The term shall include, but is not necessarily be limited to: actual construction 

costs, including supervision and inspection costs; costs of contract dispute settlements or awards; and 

the cost of investigations to identify the existence of hazardous substances as identified in Article XIA. 

The term shall not include any costs for operation and maintenance; any costs to correct deferred or 

deficient maintenance; any costs for betterments; any costs for Public Sponsor-preferred alternatives; or 

the costs of lands, easements, rights-of-way, relocations, or suitable borrow and dredged or excavated 

material disposal areas required for the Rehabilitation Effort.

C. The term "betterment" shall mean the design and construction of a feature accomplished on 

behalf of, or at the request of, the Public Sponsor in accordance with standards that exceed the 

standards that the Government would otherwise apply for accomplishing the Rehabilitation Effort.

ARTICLE II - OBLIGATIONS OF THE GOVERNMENT AND PUBLIC SPONSOR

A. The Government, subject to receiving funds appropriated by the Congress of the United States, 

and using those funds (and using funds provided by the Public Sponsor) shall expeditiously implement 

the Rehabilitation Effort, applying those procedures usually followed or applied in Government 

construction of Federal projects, pursuant to Federal laws, regulations, and policies. The Public 

Sponsor shall be afforded the opportunity to review and comment on solicitations for all contracts, 

including relevant plans and specifications, prior to the issuance of such solicitations. The Contracting 

Officer will, in good faith, consider the comments of the Public Sponsor, but award of contracts, 

modifications or change orders, and performance of all work on the Rehabilitation Effort (whether the 

work is performed under contract or by Government personnel), shall be exclusively within the control of 

the Contracting Officer.

B. As further specified in Article III, the Public Sponsor shall provide all lands, easements, and

rights-of-way, including suitable borrow and dredged or excavated material disposal areas, and perform 

all relocations determined by the Government to be necessary for construction, operation, and 

maintenance of the project and the Rehabilitation Effort.

C. As further specified in Article IV, the Public Sponsor shall contribute, in cash, in-kind services, or 

a combination thereof, a contribution toward construction of the Rehabilitation Effort in an amount equal 

to $_____________ towards the total Rehabilitation Effort costs.

D. The Public Sponsor shall not use Federal funds to meet its share of total Rehabilitation Effort 

costs under this Agreement unless the Federal granting agency verifies in writing that the expenditure of 

such funds is authorized by statute.

E. The Public Sponsor shall hold and save the Government free from all damages arising from the 

construction, operation, and maintenance of the Rehabilitation Effort and any authorized project-related 

betterments, except for damages due to the fault or negligence of the Government or the Government's 

contractors.
EP 500-1-1

30 Sep 01

C-13

Figure C-2. Cooperation Agreement for Rehabilitation of Federal Flood Control 

Works (Continued)

F. The Public Sponsor agrees to continue to participate in and comply with the policies and 

procedures of the U.S. Army Corps of Engineers Rehabilitation and Inspection Program, and of Title 33, 

Code of Federal Regulations, Part 208.10 (33 CFR 208.10).

G. The Public Sponsor may request the Government to accomplish betterments. The Public 

Sponsor shall be solely responsible for any increase in costs resulting from the betterments and all such 

increased costs will be paid in advance by the Public Sponsor in accordance with Article IV.

ARTICLE III - LANDS, RELOCATIONS, AND PUBLIC LAW 91-646

A. The Government shall provide the Public Sponsor with a description of the anticipated real estate 

requirements and relocations for the Rehabilitation Effort. Thereafter, the Public Sponsor shall furnish all 

lands, easements, and rights-of-way, including suitable borrow and dredged or excavated material 

disposal areas, and perform any relocations, as may be determined by the Government in that 

description, or in any subsequent description, to be necessary for the construction, operation, and 

maintenance of the Rehabilitation Effort and the authorized project. The necessary lands, easements, 

and rights-of-way may be provided incrementally for each construction contract. All lands, easements, 

and rights-of-way determined by the Government to be necessary for work to be performed under a 

construction contract must be furnished prior to the advertisement of that construction contract.

B. The Public Sponsor shall comply with the applicable provisions of the Uniform Relocation 

Assistance and Real Property Acquisitions Policy Act of 1970, Public Law 91-646, as amended by Title IV 

of the Surface Transportation and Uniform Relocation Assistance Act of 1987 (Public Law 100-17), and 

the Uniform Regulations contained in 49 CFR Part 24, in acquiring lands, easements, and rights of way, 

required for construction, operation, and maintenance of the Rehabilitation Effort, including those 

necessary for relocations, borrow materials, and dredged or excavated material disposal , and shall 

inform all affected persons of applicable benefits, policies, and procedures in connection with said Act.

ARTICLE IV - METHOD OF PAYMENT

A. The Public Sponsor shall provide, during the period of construction, cash payments, in-kind 

services, or a combination thereof, required to meet the Public Sponsor's obligations under Article II of 

the Agreement. Rehabilitation Effort costs are currently estimated to be $________ and the Public 

Sponsor's share (cash and services in kind) of total Rehabilitation Effort costs is currently estimated to be 

$_______. In order to meet Public Sponsor's cash payment requirements, the Public Sponsor must 

provide a cash contribution estimated to be $_________. The dollar amounts set forth in this paragraph 

are based upon the Government's best estimates that reflect projections of costs, price level changes, 

and anticipated inflation. Such cost estimates are subject to adjustments based upon costs actually 

incurred, and are not to be construed as the total financial responsibilities of the Government and the 

Public Sponsor.

B. The required cash contribution shall be provided as follows: At least ten calendar days prior to the 

award of the first construction contract, the Government shall notify the Public Sponsor of the Public 

Sponsor's estimated share of the total Rehabilitation Effort costs including the Public Sponsor's estimated 

share of the costs attributable to the Rehabilitation Effort incurred prior to the initiation of construction. 
EP 500-1-1

30 Sep 01

C-14

Figure C-2. Cooperation Agreement for Rehabilitation of Federal Flood Control 

Works (Continued)

Within five calendar days thereafter, the Public Sponsor shall provide the Government the full amount of 

the required contribution by delivering a check payable to "FAO, USAED _________________" to the 

Contracting Officer representing the Government. The Government shall draw on the funds provided by 

the Public Sponsor such sums as the Government deems necessary to cover contractual and in-house 

fiscal obligations attributable to the Rehabilitation Effort as they are incurred, as well as Rehabilitation 

Effort costs incurred by the Government. In the event that total Rehabilitation Effort costs are expected to 

exceed the estimate given at the outset of construction, the Government shall immediately notify the 

Public Sponsor of the additional contribution the Public Sponsor will be required to make to meet the 

Public Sponsor's share of the revised estimate. Within ten calendar days thereafter, the Public Sponsor 

shall provide the Government the full amount of the additional required contribution.

C. During the period of construction, the Government will provide periodic financial reports on the 

status of the total Rehabilitation Effort costs and status of contributions made by the Public Sponsor. 

Upon completion of the Rehabilitation Effort and resolution of all relevant contract claims and appeals, 

the Government shall compute the total Rehabilitation Effort costs and tender to the Public Sponsor a 

final accounting of the Public Sponsor's share of Rehabilitation Effort costs.

1. In the event the total contribution by the Public Sponsor is less than the Public Sponsor's 

required share of total Rehabilitation Effort costs, the Public Sponsor shall, no later than 90 calendar 

days after receipt of written notice, make a cash payment to the Government of whatever sum is 

required to meet the Public Sponsor's required share of the total Rehabilitation Effort costs.

2. In the event total contribution by the Public Sponsor is more than the Public Sponsor's required 

share of total Rehabilitation Effort costs, the Government shall, no later than 90 calendar days after the 

final accounting is complete, subject to the availability of funds, return the excess to the Public Sponsor; 

however, the Public Sponsor shall not be entitled to any refund for in-kind services. In the event the 

existing funds are not available to repay the Public Sponsor for excess contributions provided, the 

Government shall seek such appropriations as are necessary to repay the Public Sponsor for excess 

contributions provided.

ARTICLE V - CREDITING OF IN-KIND SERVICES

The Government has approved a credit for In-Kind Services, compatible with the Rehabilitation 

Effort, in the estimated amount of $ _________ for implementation of such services by the Public 

Sponsor. The affording of such credit shall be subject to an onsite inspection by the Government to 

verify that the work was accomplished in a satisfactory manner and is suitable for inclusion in the

Rehabilitation Effort. The actual amount of such credit shall be subject to an audit conducted to 

determine reasonableness, allocability, and allowability of costs. The Government shall apply the credit 

amount toward any additional cash contribution required under this Agreement. The Public Sponsor 

shall not receive credit for any amount in excess of such additional cash contribution, nor shall the 

Public Sponsor be entitled to any reimbursement for any excess credit amount.

ARTICLE VI - OPERATION AND MAINTENANCE

A. After the Contracting Officer has determined that construction of the Rehabilitation Effort is 

complete and provided the Public Sponsor with written notice of such determination, the Public Sponsor 
EP 500-1-1

30 Sep 01

C-15

Figure C-2. Cooperation Agreement for Rehabilitation of Federal Flood Control 

Works (Continued)

shall continue to operate and maintain the completed Rehabilitation Effort as part of the project, at no 

cost to the Government, in accordance with specific directions prescribed by the Government in 

Title 33, Code of Federal Regulations, Part 208.10, Engineer Regulation 500-1-1, and any subsequent 

amendments thereto.

B. The Public Sponsor hereby gives the Government a right to enter, at reasonable times and in a 

reasonable manner, upon land that the Public Sponsor owns or controls for access to the project for the 

purposes of inspection, and, if necessary, for the purpose of completing, operating, and maintaining the 

Project. If an inspection shows the Public Sponsor for any reason is failing to fulfill the Public Sponsor's 

obligations under this Agreement without receiving prior written approval from the Government, the 

Government will send a written notice to the Public Sponsor. If, after 30 calendar days from receipt of 

such notice, the Public Sponsor continues to fail to perform, then the Government shall have the right to 

enter, at reasonable times and in a reasonable manner, upon lands the Public Sponsor owns or controls 

for access to the authorized project for the purposes of completing, operating, and maintaining the 

project. No action by the Government shall operate to relieve the Public Sponsor of responsibility to 

meet the Public Sponsor obligations as set forth in this Agreement, or to preclude the Government from 

pursuing any other remedy at law or equity to assure faithful performance pursuant to this Agreement.

ARTICLE VII - FEDERAL AND STATE LAWS

In the exercise of the Public Sponsor's rights and obligations hereunder, the Public Sponsor agrees 

to comply with all applicable Federal and state laws and regulations.

ARTICLE VIII - RELATIONSHIP OF PARTIES

The Government and the Public Sponsor act in an independent capacity in the performance of their 

respective functions under this Agreement, and neither party is to be considered the officer, agent, nor 

employee of the other.

ARTICLE IX - OFFICIALS NOT TO BENEFIT

No member of or delegate to the Congress, or resident commissioner, shall be admitted to any 

share or part of this Agreement, or to any benefit that may arise therefrom.

ARTICLE X - COVENANT AGAINST CONTINGENT FEES

The Public Sponsor warrants that no person or selling agency has been employed or retained to 

solicit or secure this Agreement upon agreement or understanding for a commission, percentage, 

brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or 

selling agencies maintained by the Public Sponsor for the purpose of securing business. For breach or 

violation of this warranty, the Government shall have the right to annul this Agreement without liability, 

or, in the Government's discretion, to add to the Agreement or consideration, or otherwise recover, the 

full amount of such commission, percentage, brokerage, or contingent fee.
EP 500-1-1

30 Sep 01

C-16

Figure C-2. Cooperation Agreement for Rehabilitation of Federal Flood Control 

Works (Continued)

ARTICLE XI - TERMINATION OR SUSPENSION

If at any time the Public Sponsor fails to carry out its obligations under this Agreement, the District 

Engineer shall terminate or suspend work on the Rehabilitation Effort, unless the District Engineer 

determines that continuation of work on the Rehabilitation Effort is in the interest of the United States or is 

necessary in order to satisfy agreements with any other non-Federal interests in connection with this 

Rehabilitation Effort. However, deferral of future performance under this agreement shall not affect 

existing obligations or relieve the parties of liability for any obligation previously incurred. In the event 

that either party elects to terminate this Agreement pursuant to this Article, both parties shall conclude 

their activities relating to the Rehabilitation Effort and proceed to a final accounting in accordance with 

Article IV of this Agreement. In the event that either party elects to defer future performance under this 

Agreement pursuant to this Article, such deferral shall remain in effect until such time as either the 

Government or Public Sponsor elects to proceed with further construction or terminates this Agreement.

ARTICLE XII - HAZARDOUS SUBSTANCES

A. After execution of this Agreement and upon direction by the Contracting Officer, the Public 

Sponsor shall perform, or cause to be performed, such investigations for hazardous substances as are 

determined necessary by the Government of the Public Sponsor to identify the existence and extent of 

any hazardous substances regulated under the Comprehensive Environmental Response,

Compensation, and Liability Act (CERCLA) 42 U.S.C. Sections, 9601-9675, on lands necessary to 

Rehabilitation Effort construction, operation, and maintenance. All actual costs incurred by the Public 

Sponsor that are properly allowable and allocable to performance of any such investigations for 

hazardous substances shall be included in Rehabilitation Effort costs and cost shared as a construction 

cost.

B. In the event it is discovered through an investigation for hazardous substances or other means 

that any lands, easements, rights-of-way, or disposal areas to be acquired or provided for the 

Rehabilitation Effort contain any hazardous substances regulated under CERCLA, the Public Sponsor 

and the Government shall provide prompt notice to each other, and the Public Sponsor shall not proceed 

with the acquisition of lands, easements, rights-of-way, or disposal areas until mutually agreed.

C. The Government and the Public Sponsor shall determine whether to initiate construction of the 

Rehabilitation Effort, or, if already in construction, to continue with construction of the Rehabilitation 

Effort, or to terminate construction of the Rehabilitation Effort for the convenience of the Government in 

any case where hazardous substances regulated under CERCLA are found to exist on any lands 

necessary for the Rehabilitation Effort and the authorized Project. Should the Government and the Public 

Sponsor determine to proceed or continue with the construction after considering any liability that may 

arise under CERCLA, the Public Sponsor shall be responsible, as between the Government and the 

Public Sponsor, for any and all necessary clean up and response costs, to include the costs of any 

studies and investigations necessary to determine an appropriate response to the contamination. Such 

costs shall not be considered a part of the total Rehabilitation Effort costs as defined in this Agreement. 

In the event the Public Sponsor fails to provide any funds necessary to pay for clean up and response 

costs or to otherwise discharge the Public Sponsor's responsibilities under this paragraph upon direction 

by the Government, the Government may either terminate or suspend work on the Rehabilitation Effort, 

or proceed with further work as provided in Article X of this Agreement.
EP 500-1-1

30 Sep 01

C-17

Figure C-2. Cooperation Agreement for Rehabilitation of Federal Flood Control 

Works (Continued)

D. The Public Sponsor and Government shall consult with each other to assure that responsible 

parties bear any necessary clean up and response costs as defined in CERCLA. Any decision made 

pursuant to paragraph C of this Article shall not relieve any party from any liability that may arise under 

CERCLA.

E. As between the Government and the Public Sponsor, the Public Sponsor shall be considered the 

operator of the project (which the Rehabilitation Effort is repairing and restoring) for purposes of CERCLA 

liability. To the maximum extent practicable, the Public Sponsor shall operate and maintain the 

authorized project in a manner that will not cause liability to arise under CERCLA.

ARTICLE XIII - NOTICES

A. All notices, requests, demands, and other communications required or permitted to be given 

under this Agreement shall be deemed to have been duly given if in writing and delivered personally, 

given by prepaid telegram, or mailed by first-class (postage prepaid), registered, or certified mail, as 

follows:

If to the Public Sponsor: If to the Government:

_________________________________ District Engineer

____________________________________ ________________________________________

____________________________________ ________________________________________

B. A party may change the address to which such communications are to be directed by giving 

written notice to the other party in the manner provided in this Article.

C. Any notice, request, demand, or other communication made pursuant to this Article shall be 

deemed to have been received by the addressee at such time as it is either personally delivered, or, 

seven calendar days after it is mailed, as the case may be.

IN WITNESS HEREOF, the parties hereto have executed this Agreement, which shall become 

effective upon the date it is signed by the District Engineer.

THE DEPARTMENT OF THE ARMY THE [NAME OF PUBLIC SPONSOR]

BY: __________________________ BY: ___________________________

[SIGNATURE] [SIGNATURE]

[TYPED NAME] [TYPED NAME]

[TITLE IN FULL] [TITLE IN FULL]

DATE: _______________ DATE: _______________
EP 500-1-1

30 Sep 01

C-18

Figure C-2. Cooperation Agreement for Rehabilitation of Federal Flood Control 

Works (Concluded)

CERTIFICATION REGARDING LOBBYING

The undersigned certifies, to the best of his or her knowledge and belief that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the 

undersigned, to any person for influencing or attempting to influence an officer or employee of any 

agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of 

Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the 

making of any Federal loan, the entering into of any cooperative agreement, and the extension, 

continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative 

agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person 

for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, 

an officer or employee of Congress, or an employee of a member of Congress in connection with this 

Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit 

Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award 

documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, 

loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this 

transaction was made or entered into. Submission of this certification is a prerequisite for making or 

entering into this transaction imposed by section 1352, Title 31, U.S. Code. Any person who fails to file 

the required certification shall be subject to a civil penalty of not less than $10,000 and not more than 

$100,000 for each such failure.

DATED this _____ day of ______________, 20______ 

______________________________

[SIGNATURE OF CA SIGNATORY]

[TYPED NAME]

[TYPED TITLE]
EP 500-1-1

30 Sep 01

C-19

FIGURE C-3. Cooperation Agreement for HSPP Rehabilitation Assistance

COOPERATION AGREEMENT

BETWEEN

THE UNITED STATES OF AMERICA

and

______________________________________________________

for

REHABILITATION OF A FEDERAL HURRICANE/SHORE PROTECTION PROJECT

THIS AGREEMENT, entered into this ______ day of ________________, 20_____, by and between 

THE DEPARTMENT OF THE ARMY (hereinafter referred to as the "Government") represented by the 

District Engineer, ______________________________________________ District, U.S. Army Corps of 

Engineers, and the _________________________________________________ [PUBLIC SPONSOR], 

(hereinafter referred to as the "Public Sponsor"), represented by ____________________________ 

[TITLE OF PERSON SIGNING THIS AGREEMENT].

WITNESSETH THAT:

WHEREAS, the Government constructed a Hurricane/Shore Protection Project (hereinafter referred 

to as the HSPP), authorized by ___________________________ [SPECIFY LEGAL

AUTHORIZATION] and governed by the (Project Cooperation Agreement) (Cooperation and

Participation Agreement) (Agreement of Local Assurances) (other) dated ________ and entitled 

_________________________ ______________________ which remains in full effect;

WHEREAS, pursuant to 33 U.S.C. 701n, the Government is authorized to assist in the repair and 

restoration of any federally authorized hurricane or shore protective structure damaged or destroyed by 

wind, wave, or water action of other than an ordinary nature;

WHEREAS, via written correspondence, the Public Sponsor has requested the Government to 

repair or restore the HSPP which was damaged by wind, wave, or water action of an other than an 

ordinary nature, in accordance with 33 U.S.C. 701n, and established policies of the U.S. Army Corps of 

Engineers; and,

WHEREAS, the Public Sponsor hereby represents that it has the authority and legal capability to 

furnish the non-Federal cooperation hereinafter set forth and is willing to participate in the HSPP 

Rehabilitation Effort in accordance with the terms of this Agreement;

NOW, THEREFORE, the Government and the Public Sponsor agree as follows:

ARTICLE I - DEFINITIONS AND GENERAL PROVISIONS

For purposes of this agreement:

A. The term "Rehabilitation Effort" shall mean [DESCRIBE THE WORK TO BE UNDERTAKEN 

PURSUANT TO THIS AGREEMENT IN SUFFICIENT DETAIL AS IS NECESSARY TO AVOID ANY 
EP 500-1-1

30 Sep 01

C-20

FIGURE C-3. Cooperation Agreement for HSPP Rehabilitation Assistance 

(Continued)

CONFUSION OVER WHAT WORK IS OR IS NOT INCLUDED], as generally described in a report 

entitled ________________________ [SPECIFY THE REPORT] prepared by the District Engineer, U.S. 

Army Engineer District ___________, dated ______ and approved by the Division Engineer on _______; 

B. The term "Rehabilitation Effort costs" shall mean all costs incurred by the Public Sponsor and the 

Government directly related to construction of the Rehabilitation Effort. Such term shall include, but is not 

necessarily be limited to: actual construction costs, including supervision and inspection costs; costs of 

contract dispute settlements or awards; and the cost of investigations to identify the existence of 

hazardous substances as identified in Article XIA. The term shall not include any costs for operation and 

maintenance; any costs that correct deferred or deficient maintenance; any increased costs for 

betterments or Public Sponsor-preferred alternatives; periodic nourishment under the project

authorization; or the costs of lands, easements, rights-of-way, borrow, or relocations.

C. The term "betterment" shall mean the design and construction of a Rehabilitation Effort feature 

accomplished on behalf of, or at the request of, the Public Sponsor, in accordance with standards that 

exceed the standards that the Government would otherwise apply for accomplishing the Rehabilitation 

Effort.

ARTICLE II - OBLIGATIONS OF THE GOVERNMENT AND PUBLIC SPONSOR

A. The Government, subject to receiving funds appropriated by the Congress of the United States 

and using funds provided by the Public Sponsor, shall expeditiously construct the Rehabilitation Effort, 

applying those procedures usually followed or applied in Federal projects, pursuant to Federal laws, 

regulations, and policies. The Public Sponsor shall be afforded the opportunity to review and comment 

on all solicitations for all contracts, including relevant plans and specifications, prior to the issuance of 

such solicitations. The Contracting Officer will, in good faith, consider the comments of the Public 

Sponsor, but award of contracts, modifications or change orders, and performance of all work on the 

Rehabilitation Effort (whether the work is performed under contract or by Government personnel), shall 

be exclusively within the control of the Contracting Officer.

B. As further specified in Article III, the Public Sponsor shall provide all lands, easements, and rightsof-way, including suitable borrow and dredged or excavated material disposal areas, and perform all 

relocations determined by the Government to be necessary for construction, operation, and maintenance 

of the Rehabilitation Effort and the HSPP.

C. As further specified in Article IV, the Public Sponsor shall contribute, in cash, in-kind services, or a 

combination thereof, a contribution toward construction of the Rehabilitation Effort in an amount equal to 

_______ percent of Rehabilitation Effort costs.

D. The Public Sponsor shall not use Federal funds to meet its share of Rehabilitation Effort costs 

under this Agreement unless the expenditure of such funds is expressly authorized by statute as verified 

in writing by the Federal granting agency.
EP 500-1-1

30 Sep 01

C-21

FIGURE C-3. Cooperation Agreement for HSPP Rehabilitation Assistance 

(Continued)

E. The Public Sponsor shall hold and save the Government free from all damages arising from the 

construction, operation, and maintenance of the Rehabilitation Effort, the HSPP, and any related 

betterments, except for damages due to the fault or negligence of the Government or the Government's 

contractors.

F. The Public Sponsor agrees to continue participate in and comply with the policies and procedures 

of the U.S. Army Corps of Engineers Rehabilitation and Inspection Program and the (Project Cooperation 

Agreement) (Cooperation and Participation Agreement) (Agreement of Local Assurances) (other) cited 

above.

G. The Public Sponsor may request the Government to accomplish betterments. The Public 

Sponsor shall be solely responsible for any increase in costs resulting from the betterments and all such 

increased costs will be paid in advance by the Public Sponsor in accordance with Article IV.

ARTICLE III - LANDS, RELOCATIONS, AND PUBLIC LAW 91-646

A. The Government shall provide the Public Sponsor with a description of the anticipated real estate 

requirements and relocations for the Rehabilitation Effort. Thereafter, the Public Sponsor shall furnish all 

lands, easements, and rights-of-way, including suitable borrow and dredged or excavated material 

disposal areas, and perform any relocations, as may be determined by the Government in that 

description, or in any subsequent description, to be necessary for the construction, operation, and 

maintenance of the Project and the Rehabilitation Effort. The necessary lands, easements, and rights-ofway may be provided incrementally for each construction contract. All lands, easements, and rights-ofway determined by the Government to be necessary for work to be performed under a construction 

contract must be furnished prior to the advertisement of that construction contract.

B. The Public Sponsor shall comply with the applicable provisions of the Uniform Relocation 

Assistance and Real Property Acquisitions Policy Act of 1970, Public Law 91-646, as amended by Title IV 

of the Surface Transportation and Uniform Relocation Assistance Act of 1987 (Public Law 100-17), and 

the Uniform Regulations contained in 49 CFR Part 24, in acquiring lands, easements, and rights of way, 

required for construction, operation, and maintenance of the Project and the Rehabilitation Effort, 

including those necessary for relocations, borrow materials, and dredged or excavated material disposal, 

and shall inform all affected persons of applicable benefits, policies, and procedures in connection with 

said Act.

ARTICLE IV - METHOD OF PAYMENT

A. The Public Sponsor shall provide, during the period of construction, cash payments, in-kind 

services, or a combination thereof, required to meet the Public Sponsor's obligations under Article II of 

the Agreement. Rehabilitation Effort costs are currently estimated to be $________ and the Public 

Sponsor's share (cash and services in kind) of Rehabilitation Effort costs is currently estimated to be 

$_________. In order to meet the Public Sponsor's cash payment requirements, the Public Sponsor 

must provide a cash contribution estimated to be $__________. The dollar amounts set forth in this 

paragraph are based upon the Government's best estimates that reflect projections of costs, price level 

changes, and anticipated inflation. Such cost estimates are subject to adjustments based upon costs 

actually incurred and are not to be construed as the total financial responsibilities of the Government and 

the Public Sponsor.
EP 500-1-1

30 Sep 01

C-22

FIGURE C-3. Cooperation Agreement for HSPP Rehabilitation Assistance 

(Continued)

B. The required cash contribution shall be provided as follows: At least ten calendar days prior to the 

award of the first construction contract, the Government shall notify the Public Sponsor of the Public 

Sponsor's estimated share of the Rehabilitation Effort costs including the Public Sponsor's estimated 

share of the costs attributable to the Rehabilitation Effort incurred prior to the initiation of construction. 

Within five calendar days thereafter, the Public Sponsor shall provide the Government the full amount of 

the required contribution by delivering a check payable to "FAO, USAED ___________________" to the 

Contracting Officer representing the Government. The Government shall draw on the funds provided by 

the Public Sponsor such sums as the Government deems necessary to cover contractual and in-house 

fiscal obligations attributable to the Rehabilitation Effort as they are incurred, as well as Rehabilitation 

Effort costs incurred by the Government. In the event that total Rehabilitation Effort costs are expected to 

exceed the estimate given at the outset of construction, the Government shall immediately notify the 

Public Sponsor of the additional contribution the Public Sponsor will be required to make to meet the 

Public Sponsor's share of the revised estimate. Within ten calendar days thereafter, the Public Sponsor 

shall provide the Government the full amount of the additional required contribution.

C. During the period of construction, the Government will provide periodic financial reports on the 

status of the total Rehabilitation Effort costs and status of contributions made by the Public Sponsor. 

Upon completion of the Rehabilitation Effort and resolution of all relevant contract claims and appeals, the 

Government shall compute the total Rehabilitation Effort costs and tender to the Public Sponsor a final 

accounting of the Public Sponsor's share of total Rehabilitation Effort costs.

1. In the event the total contribution by the Public Sponsor is less than the Public Sponsor's required 

share of total Rehabilitation Effort costs, the Public Sponsor shall, no later than 90 calendar days after 

receipt of written notice, make a cash payment to the Government of whatever sum is required to meet 

the Public Sponsor's required share of the total project costs.

2. In the event total contribution by the Public Sponsor is more than the Public Sponsor's required 

share of total Rehabilitation Effort costs, the Government shall, no later than 90 calendar days after the 

final accounting is complete, subject to the availability of funds, return the excess to the Public Sponsor; 

however, the Public Sponsor shall not be entitled to any refund for in-kind services. In the event the 

existing funds are not available to repay the Public Sponsor for excess contributions provided, the 

Government shall seek such appropriations as are necessary to repay the Public Sponsor for excess 

contributions provided.

ARTICLE V - CREDITING OF IN-KIND SERVICES

The Government has approved a credit for In-Kind Services, compatible with the Rehabilitation Effort, 

in the estimated amount of $ _________ for implementation of such services by the Public Sponsor. The 

affording of such credit shall be subject to an onsite inspection by the Government to verify that the work 

was accomplished in a satisfactory manner and is suitable for inclusion in the Rehabilitation Effort. The 

actual amount of such credit shall be subject to an audit conducted to determine reasonableness, 

allocability, and allowability of costs. The Government shall apply the credit amount toward any 

additional cash contribution required under this Agreement. The Public Sponsor shall not receive credit 

for any amount in excess of such additional cash contribution, nor shall the Public Sponsor be entitled to 

any reimbursement for any excess credit amount.
EP 500-1-1

30 Sep 01

C-23

FIGURE C-3. Cooperation Agreement for HSPP Rehabilitation Assistance 

(Continued)

ARTICLE VI - OPERATION AND MAINTENANCE

A. The Public Sponsor maintains responsibility for operating and maintaining the HSPP at all times. 

After the Contracting Officer has determined that construction of the Rehabilitation Effort is complete and 

provided the Public Sponsor with written notice of such determination, the Public Sponsor shall operate 

and maintain the HSPP, to include those areas restored by the Rehabilitation Effort, at no cost to the 

Government, in accordance with specific directions prescribed by the Government in Engineer Regulation 

500-1-1 and any subsequent amendments thereto and other applicable authorities.

B. The Public Sponsor hereby gives the Government a right to enter, at reasonable times and in a 

reasonable manner, upon land that the Public Sponsor owns or controls for access to the HSPP for the 

purposes of inspection, and, if necessary, for the purpose of completing, operating, and maintaining the 

HSPP. If an inspection shows the Public Sponsor for any reason is failing to fulfill the Public Sponsor's 

obligations under this Agreement without receiving prior written approval from the Government, the 

Government will send a written notice to the Public Sponsor. If, after 30 calendar days from receipt of 

such notice, the Public Sponsor continues to fail to perform, then the Government shall have the right to 

enter, at reasonable times and in a reasonable manner, upon lands the Public Sponsor owns or controls 

for access to the Project for the purposes of completing, operating, and maintaining the project, or to 

deny further assistance under Public Law 84-99. No action by the Government shall operate to relieve 

the Public Sponsor of responsibility to meet the Public Sponsor obligations as set forth in this Agreement, 

or to preclude the Government from pursuing any other remedy at law or equity to assure faithful 

performance pursuant to this Agreement.

ARTICLE VII - FEDERAL AND STATE LAWS

In the exercise of the Public Sponsor's rights and obligations hereunder, the Public Sponsor agrees 

to comply with all applicable Federal and state laws and regulations.

ARTICLE VIII - RELATIONSHIP OF PARTIES

The Government and the Public Sponsor act in an independent capacity in the performance of their 

respective functions under this Agreement, and neither party is to be considered the officer, agent, nor 

employee of the other.

ARTICLE IX - OFFICIALS NOT TO BENEFIT

No member of or delegate to the Congress, or resident commissioner, shall be admitted to any share 

or part of this Agreement, or to any benefit that may arise therefrom.

ARTICLE X - COVENANT AGAINST CONTINGENT FEES

The Public Sponsor warrants that no person or selling agency has been employed or retained to 

solicit or secure this Agreement upon agreement or understanding for a commission, percentage, 

brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or 

selling agencies maintained by the Public Sponsor for the purpose of securing business. For breach or 
EP 500-1-1

30 Sep 01

C-24

FIGURE C-3. Cooperation Agreement for HSPP Rehabilitation Assistance 

(Continued)

violation of this warranty, the Government shall have the right to annul this Agreement without liability, or, 

in the Government's discretion, to add to the Agreement or consideration, or otherwise recover, the full 

amount of such commission, percentage, brokerage, or contingent fee.

ARTICLE XI - TERMINATION OR SUSPENSION

If at any time the Public Sponsor fails to carry out its obligations under this Agreement, the District 

Engineer shall terminate or suspend work on the Rehabilitation Effort, unless the District Engineer 

determines that continuation of work on the Rehabilitation Effort is in the interest of the United States or is 

necessary in order to satisfy agreements with any other non-Federal interests in connection with this 

Rehabilitation Effort and the HSPP. However, deferral of future performance under this agreement shall 

not affect existing obligations or relieve the parties of liability for any obligation previously incurred. In the 

event that either party elects to terminate this Agreement pursuant to this Article, both parties shall 

conclude their activities relating to the Rehabilitation Effort and proceed to a final accounting in 

accordance with Article IV of this Agreement. In the event that either party elects to defer future 

performance performance under this Agreement pursuant to this Article, such deferral shall remain in 

effect until such time as either the Government or Public Sponsor elects to proceed with further 

construction or terminates this Agreement.

ARTICLE XII - HAZARDOUS SUBSTANCES

A. After execution of this Agreement and upon direction by the Contracting Officer, the Public 

Sponsor shall perform, or cause to be performed, such investigations for hazardous substances as are 

determined necessary by the Government of the Public Sponsor to identify the existence and extent of 

any hazardous substances regulated under the Comprehensive Environmental Response,

Compensation, and Liability Act (CERCLA) 42 U.S.C. Sections, 9601-9675, on lands necessary to 

Rehabilitation Effort construction, operation, and maintenance. All actual costs incurred by the Public 

Sponsor that are properly allowable and allocable to performance of any such investigations for 

hazardous substances shall be included in total Rehabilitation Effort costs and cost shared as a 

construction cost.

B. In the event it is discovered through an investigation for hazardous substances or other means 

that any lands, easements, rights-of-way, or disposal areas to be acquired or provided for the HSPP or 

the Rehabilitation Effort contain any hazardous substances regulated under CERCLA, the Public Sponsor 

and the Government shall provide prompt notice to each other, and the Public Sponsor shall not proceed 

with the acquisition of lands, easements, rights-of-way, or disposal areas until mutually agreed.

C. The Government and the Public Sponsor shall determine whether to initiate construction of the 

Rehabilitation Effort, or, if already in construction, to continue with construction of the Rehabilitation 

Effort, or to terminate construction of the Rehabilitation Effort for the convenience of the Government in 

any case where hazardous substances regulated under CERCLA are found to exist on any lands 

necessary for the Rehabilitation Effort. Should the Government and the Public Sponsor determine to 

proceed or continue with the construction after considering any liability that may arise under CERCLA, 

the Public Sponsor shall be responsible, as between the Government and the Public Sponsor, for any 

and all necessary clean up and response costs, to include the costs of any studies and investigations 

necessary to determine an appropriate response to the contamination. Such costs shall not be

considered a part of the total Rehabilitation Effort costs as defined in this Agreement.
EP 500-1-1

30 Sep 01

C-25

FIGURE C-3. Cooperation Agreement for HSPP Rehabilitation Assistance 

(Continued)

In the event the Public Sponsor fails to provide any funds necessary to pay for clean up and response 

costs or to otherwise discharge the Public Sponsor's responsibilities under this paragraph upon direction 

by the Government, the Government may either terminate or suspend work on the Rehabilitation Effort or 

proceed with further work as provided in Article X of this Agreement.

D. The Public Sponsor and Government shall consult with each other to assure that responsible 

parties bear any necessary clean up and response costs as defined in CERCLA. Any decision made 

pursuant to paragraph C of this Article shall not relieve any party from any liability that may arise under 

CERCLA.

E. As between the Government and the Public Sponsor, the Public Sponsor shall be considered the 

operator of the HSPP (which the Rehabilitation Effort is repairing and restoring) for purposes of CERCLA 

liability. To the maximum extent practicable, the Public Sponsor shall operate and maintain the HSPP in 

a manner that will not cause liability to arise under CERCLA.

ARTICLE XIII - NOTICES

A. All notices, requests, demands, and other communications required or permitted to be given 

under this Agreement shall be deemed to have been duly given if in writing and delivered personally, 

given by prepaid telegram, or mailed by first-class (postage prepaid), registered, or certified mail, as 

follows:

If to the Public Sponsor: If to the Government:

_________________________________ District Engineer

_________________________________ ______________________________________

_________________________________ ______________________________________

B. A party may change the address to which such communications are to be directed by giving 

written notice to the other party in the manner provided in this Article.

C. Any notice, request, demand, or other communication made pursuant to this Article shall be 

deemed to have been received by the addressee at such time as it is either personally delivered, or, 

seven calendar days after it is mailed, as the case may be.

IN WITNESS HEREOF, the parties hereto have executed this Agreement, which shall become effective 

upon the date it is signed by the District Engineer.

THE DEPARTMENT OF THE ARMY THE [NAME OF PUBLIC SPONSOR]

BY: __________________________ BY: ___________________________

[SIGNATURE] [SIGNATURE]

[TYPED NAME] [TYPED NAME]

[TITLE IN FULL] [TITLE IN FULL]

DATE: _______________ DATE: _______________
EP 500-1-1

30 Sep 01

C-26

FIGURE C-3. Cooperation Agreement for HSPP Rehabilitation Assistance 

(Concluded)

CERTIFICATION REGARDING LOBBYING

The undersigned certifies, to the best of his or her knowledge and belief that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the 

undersigned, to any person for influencing or attempting to influence an officer or employee of any 

agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of 

Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the 

making of any Federal loan, the entering into of any cooperative agreement, and the extension, 

continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative 

agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any 

person for influencing or attempting to influence an officer or employee of any agency, a Member of 

Congress, an officer or employee of Congress, or an employee of a member of Congress in connection 

with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and 

submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award 

documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, 

loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this 

transaction was made or entered into. Submission of this certification is a prerequisite for making or 

entering into this transaction imposed by section 1352, Title 31, U.S. Code. Any person who fails to file 

the required certification shall be subject to a civil penalty of not less than $10,000 and not more than 

$100,000 for each such failure.

DATED this _____ day of ______________, 20______ 

______________________________

[SIGNATURE OF CA SIGNATORY]

[TYPED NAME]

[TYPED TITLE]
EP 500-1-1

30 Sep 01

D-1

APPENDIX D

ECONOMIC ANALYSIS

D-1. Economic Justification Determination. The economic analysis for every type of 

FCCE-funded emergency assistance will be conducted in accordance with ER 1105-2-100, 

Appendices D and E. Some of the key points of these principles are discussed as follows:

a. Sunk Costs. Costs for all previous work on the project, including previous PL 84-99 

rehabilitation, are sunk costs and will not be used in the economic justification.

b. Discount Rate. Economic justification analysis will use the current Federal discount 

rate for water resources evaluation.

c. Level of Detail. The benefits of project rehabilitation are determined by comparison 

of the with and without project conditions. The economic analysis will be prepared in level 

of detail commensurate with the complexity of the project. Also in the analysis, the greater 

the effect a particular benefit item has on project justification, the greater the level of detail 

of its evaluation. It is not intended that the analyses for rehabilitation projects be 

exhaustive, but should provide sufficient data to document the steps used in formulating the 

proposed plan of rehabilitation.

d. Period of Analysis. The same period of time over which all project costs and benefits 

are analyzed is used for all alternatives. The period of analysis for rehabilitation work 

should not exceed the remaining physical life of the entire project. Any exception to the 

above will require justification in the PIR.

(1) Federal Projects. The economic life of federally constructed projects shall be the 

shortest time period determined by the following criteria:

(a) Fifty years.

(b) The degree of protection afforded by the project.

(c) The anticipated remaining life of the project assuming ordinary maintenance without 

major component rehabilitation (e.g. pumping plants, earth fill levees, riprap protection, 

etc.)

(2) Non-Federal Agricultural Projects. Ten years, or the degree of protection provided, 

whichever is less.

(3) Non-Federal Urban Projects. Use same criteria as for Federal projects, d.(1) above.
EP 500-1-1

30 Sep 01

D-2

e. Price Level. All costs and benefits used in a feasibility analysis must be expressed in 

the same price level. Data initially based on different price levels must be converted to the 

selected project analysis price level using an appropriately documented price index for the 

items in question. Many indices are available, such as Construction cost index,

Engineering News Record Construction cost index, etc.

f. Specific Data. The following specific methodology applies NED Benefit/Cost Analysis 

to the PL 84-99 rehabilitation program. The result of each step will be presented in the 

report.

(1) Determine the area protected by the project being rehabilitated.

(2) Inventory land use, crops, and structures existing in the project area. The 

inventory may be done by census or, if that is not feasible or cost effective, by 

statistically appropriate sampling. This inventory is the basis for future damages and 

damages avoided. Historical and inspection report data may provide valuable 

assistance in determining nonrecurring damages (see paragraph f(4) and Figure D-1 

below).

(3) Determine and display property damaged from historical floods. Historical data and 

public records are valuable tools in establishing parameters used in determining project 

rehabilitation. Data may also be obtained from various sources including newspapers and 

city, state, and Federal offices. See various samples in Figure D-2.

(4) Estimate the average annual damages for conditions without Federal rehabilitation, 

using the standard stage-damage-frequency integration techniques. Estimate the average 

annual damages with the proposed rehabilitation using the same techniques. All

flood-related property damage may be used in the present flood event. However, if 

property is completely destroyed during the present flood event and will not be replaced in 

kind, damage will be considered to be non-recurring and not included in average annual 

damage calculations. The analysis and description of the "without project" condition should 

address the benefits associated with the remaining level of protection.

(5) Determine land use with the project. If different from that without the project, then 

compute any increases in net income attributable to the project; e.g., where the project 

permits farming of land not farmed in the without condition (be sure to deduct any induced 

flood losses from average annual benefits).

(6) Determine project capital and maintenance costs by standard techniques and 

analyze. Present average annual costs and benefits as shown in Figure D-3.
EP 500-1-1

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D-3

g. Checks. The following checks will always be applied to ensure economic viability 

and the results thereof displayed in the format shown in paragraph titled "Presentation" 

below.

(1) Check to see if the first cost of protection (or of the repairs) exceeds the value of 

property protected. The cost of protection should not exceed the value of the property to 

be protected. The value of property to be protected will be determined by use of real estate 

appraisals, comparable sales, tax records, etc., and will be presented by type of property 

as shown in Figure D-3.

(2) The value of cropland will be separately presented by each crop. Annual benefits 

per acre should bear a reasonable relationship to the value of cropland. Benefits per acre 

in excess of 5% of the market value should be carefully reviewed to ensure against over 

estimation. The effect of crop rotation will also be considered.

(3) The average annual benefits for cropland should not exceed the net income of such 

land. Net income is defined as the market value of producers' outputs less the market 

value of the producers' input, exclusive of the cost of the intermediate goods or services. 

The following sources of information are acceptable: Farm budget data or reports prepared 

and made available to the public by other local, state and Federal agencies dealing with 

farm income information. All significant deviation from farm production data furnished by 

the U.S.D.A and/or Bureau of Reclamation must be explained in detail.

h. Other. Identify the number of project beneficiaries (e.g., number of farms, number of 

residences receiving flood protection); identify the magnitude of benefits received by any 

single beneficiary if these benefits exceed 25 percent of total benefits.

i. Presentation. The example in Figure D-3 illustrates the "check" requirements for 

agriculture-type damages. This information will be included in the appropriate paragraph 

and/or appendix of the Project Information Report.
EP 500-1-1

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D-4

FIGURE D-1. Land Use of Area Protected

FIGURE D-2. Damages from Historical Floods

August 1977 flood

Residential

Damage Value

House and contents $ 44,200 $ 90,200

Outbuilding and contents 14,900 40,700

Irrigation well* 21,500 21,500

Metal silo* 39,720 39,720

Grain bin* 9,900 9,900

 TOTAL $130,220 $202,020

June 1983 flood

Residential

Damage Value

House and contents $ 59,200 $124,500

Outbuilding and contents 25,100 60,500

 TOTAL $ 84,300 $185,000

_________________________________________________________________

*Property which is destroyed and will not or has not been repaired after 

reviewing historical damages will not be used in calculating average annual 

damages.

 May 1935 - 25,230 CFS

Residential damage $ 75,918

Agriculture damage 42,729

Other damage (commercial/industrial) 34,700

 TOTAL DAMAGE $153,347

 August 1977 - 15,700 CFS

Residential damage $129,800

Agriculture damage 120,210

Other damage (commercial/industrial) 66,400

 TOTAL DAMAGE $316,410

 June 1983 - 27,500 CFS

Residential damage $ 84,300

Agriculture damage 271,000

Other damage (commercial/industrial) 121,900

 TOTAL DAMAGE $477,200
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D-5

FIGURE D-3. Check Requirements for Agricultural-type Damages

Tchula Creek levee in Tchula County provides protection to 1,000 acres from a five-year flood event. 

 The land use within the protected area is 40 percent improved pasture, 40 percent woodland, 

and 20 percent soybeans. The area contains four residential properties with estimated average 

structural value of $7,500 and content values estimated at $2,500 each, or estimated value of 

$10,000 per property. The analysis is based on present price levels and current discount rate. 

Annual benefits for the rehabilitation work are listed below:

I. Average Annual Damages Prevented:

Agricultural Crops $ 6,400

 Soybeans (200 acres) 5,200

 Pasture (400 acres) 1,200

Residential Structures 400

 Total Average Annual Benefits $ 6,800

II. First Cost $ 24,000

III. Annual Cost

Interest and Amortization at 6-3/8% (5-year economic life) $ 5,700

Operation & Maintenance (verify cost) 300

Total Average Annual Cost $ 6,000

IV. The following checks were performed:

1. Total value of property protected

Residential (4 at $10,000) $ 40,000

Pasture (400 ac at $600/ac) 240,000

Soybeans (200 ac at $1,500/ac) 300,000

 Total $580,000

2. Value of Cropland

Crops Value x 5%

 Soybeans $1,500 $75 $5,200/200= $26 (less than 75)

Pasture $600 $30 $1,200/400= $3 (less than 30)

3. Net Farm Income

Net Farm Income/Acre (from Tchula County)

Crop Farm Budget Sheets Benefits/Acre

Soybeans $95 $26 (less than $95)

Pasture $6 $3 (less than $6)

4. Distribution of project benefits: Three out of the four residences each obtain 30 percent of 

the total benefits while the fourth residence obtains the remaining 10 percent.
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E-1

APPENDIX E

REGIONAL VARIANCES TO LEVEE VEGETATION STANDARDS

E-1. Background, Authority, Applicability. Refer to ER 500-1-1, paragraph 5-22.

E-2. Summary. In general, the policy set forth in ER 500-1-1, paragraph 5-22 allows a 

public sponsor of a flood control levee to seek a variance from standing Corps policy so as 

to allow additional vegetation to grow on levees, when such vegetation would preserve, 

protect, and/or enhance natural resources, and/or protect rights of Native Americans, while 

maintaining the safety, structural integrity, and functionality of the levee, retaining

accessibility for inspection and flood fighting purposes, and not allowing the level of 

protection to fall below the minimum permissible for PL 84-99 acceptability, or for levee 

certification under the National Flood Insurance Program.

E-3. Regional Variance Agreements.

a. No Blanket Regional Variances. Blanket regional variances to levee vegetation 

standards are not permitted and will not be issued.

b. Regional Variance Agreements. The use of Regional Variance Agreements (RVA) is 

encouraged. An RVA is a memorandum of agreement to which the Corps, and appropriate 

tribal, state, and local entities, are signatories. RVA's are intended to simplify the regional 

variance process and be a cost-saving measure for both the Corps and other RVA 

signatories, and for public sponsors whose Active projects fall under the areal jurisdiction of 

an RVA. The format for an RVA is at Figure D-1.

(1) RVA Signature Authority - Corps. Refer to ER 500-1-1, paragraph 5-22.e.

(2) RVA Signature Authority - Tribal, State and Local Agencies. Division/district 

commanders will determine (or acknowledge) the appropriate level of tribal, state, and local 

signatories, dependent upon the RVA area coverage and other appropriate factors. A 

signatory from the responsible state or local emergency management agency (or

equivalent) is required on all RVA's not signed by the responsible chief executive (e.g., 

state governor, county executive, city mayor) of the highest non-Federal non-tribal political 

echelon involved.

(3) Geographical Limitation of RVA's. A single RVA will, as a minimum, cover a county, 

parish, or independent city, or a watershed area as defined by the United States Geological 

Survey. RVA's may not cross Corps division boundaries.
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E-2

(4) Developing RVA's. Corps, tribal, State, and local involvement in the development of 

RVA's is essential, as is inclusion of all pertinent fields of expertise. Certain features and 

conditions may merit specific consideration in the RVA development.

(a) Levee Materials and Construction Standards. Levees are constructed of different 

materials, and to different compaction standards. Levees constructed of silty sand or other 

permeable material must generally be larger, with flatter slopes, so as to avoid piping 

problems. For such levees, vegetation would be more limited in species, size, and density, 

than on levees of similar configuration constructed of less permeable material.

(b) Hydrologic and Hydraulic Conditions. Water volume, velocity, depth, bank slope, 

bend curvature, level of protection provided by the levee, and flood history determine flood

conditions, and help in the establishment of suitable and unsuitable species and vegetation 

density.

(c) Risk. Consideration must be given to the potential impacts of a catastrophic failure 

of a levee. For example, a straight levee section adjacent to agricultural land or park land 

may be more amenable to allowing more vegetation than a levee on the outside of a bend 

in the river, or a straight reach of levee that is immediately upstream of a hospital or water 

treatment plant.

(5) Processing Signed RVA's. A copy of each signed RVA will be provided to each 

signatory, and other offices/agencies as necessary. A copy of each signed RVA will be 

provided to HQUSACE, ATTN: CECW-OE, upon signature. 

E-4. Request for Regional Variance - No RVA Applicable. A public sponsor must 

request a Regional Variation in writing.

(1) The request must contain the substantive information, requirements, and conditions 

addressed in paragraph D-3 above and/or contained in the RVA format at Figure D-1.

(2) The request must contain a written acknowledgement from the state, county, or 

equivalent level emergency management agency.

(3) The request must include a map of an appropriate scale indicating the location of 

the levee, the location of critical public facilities and bridges, and the location of hazardous 

materials.

E-5. Request for Regional Variance - Applicable RVA Exists. A public sponsor must 

request a Regional Variation in writing, citing the applicable RVA.

(1) The request must reference applicable sections of the RVA.
EP 500-1-1

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E-3

(2) The request must identify critical areas (e.g., locations of public facilities, bridges, 

etc.) and locations of hazardous materials. The request will be similar to a request for a 

variance when no RVA exists, except that those areas addressed by the applicable RVA 

will merely be referenced, and no acknowledgement from the state or local emergency 

management agency is needed.

E-6. District Approval. 

(1) RVA Signature Authority - Corps. Refer to ER 500-1-1, paragraph 5-22.e.

(2) Approved Regional Variances will be provided to the public sponsor.

(3) The FCW Database will be updated to reflect that a Regional Variance has been 

granted.

(4) The District will take appropriate action to incorporate the allowances of the 

Regional Variation into the procedures for conducting Continuing Eligibility Inspections and 

flood fighting activities for the levee.

E-7. Funding. Extraordinary funding for RVA activities may be requested under FCCE 

Class 350.
EP 500-1-1

30 Sep 01

E-4

Figure E-1. Format for Regional Variance Agreement

REGIONAL VARIANCE AGREEMENT

Addressing the Levee Vegetation Standards for

(enter appropriate geographical or political region)

I. Purpose. The purpose of this Regional Variance Agreement is to allow for regional 

variances to standard US Army Corps of Engineers policies regarding the types and 

amount of vegetation permitted on levees, when such variances allow for the 

continuance of flood damage reduction benefits of levees while preserving, protecting, 

and enhancing natural resources, and/or protecting the rights of Native Americans 

pursuant to treaty and statute.

II. Authority. This Agreement is made pursuant to the authority of Public Law 99, 

84th Congress (PL 84-99), (33 U.S.C. 701n) (69 Stat. 186), as regulated by Title 33, 

Code of Federal Regulations, Sections 203 and 208.10, and as implemented by 

Engineer Regulation (ER) 500-1-1 and ER 1130-2-530.

III. Applicability. This Regional Variance Agreement is applicable to (enter the 

precise political entity, watershed entity(ies), or other description of the geographical 

region to which this agreement applies), and to public sponsors of all levees with an 

Active status (in accordance with ER 500-1-1) which are located in the region or area 

just described. Certain provisions of Paragraph VI. below may be limited in the 

geographical area to which they are applicable.

IV. References. (Include any references that are applicable. This could include state 

law, county ordinances, Federal or state court documents, technical manuals, etc. 

References may be incorporated into the Regional Variation Agreement.)

V. Actions During Emergencies. 

A. Definition of Emergency. For the purposes of application of this Agreement, the 

term "emergency" is defined as any situation in which a levee is threatening to either 

fail or overtop.

B. Conduct of Flood Fight Activities. During an emergency, any responsible party 

engaged in flood fight activities, to specifically include the US Army Corps of

Engineers, the (list states, cities, or counties as necessary), and the public sponsors 
EP 500-1-1

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E-5

Figure E-1. Format for Regional Variance Agreement (Continued)

of levees, may take whatever actions are necessary to preserve the structural integrity 

of any levees addressed by this Agreement. Actions necessary to preserve the 

structural integrity of a levee specifically include remove of any and all vegetation on or 

within 50 feet of a levee.

VI. General Riparian Vegetation Management Guidelines. 

A. Vegetation Allowed Without Restriction. The plants species (listed below) or 

(listed at Attachment 1) are generally recognized as not being detrimental to levee 

stability, and are permitted without restriction on levees, except as addressed in 

Paragraph VII of this Agreement.

B. Allowable Vegetation, Limited in Size or Density. The plants species (listed 

below) or (listed at Attachment 2) are generally recognized as not being detrimental to 

levee stability when moderate quantities of the species are present, and are permitted 

on levees (except as addressed in Paragraph VII of this Agreement) under the following 

guidelines:

(1) Basic Levee Sections. Specify limitations, e.g., "Non-herbaceous vegetation 

with a mainstem diameter greater than 5 inches measured at the ground will be 

removed. Non-herbaceous vegetation with a mainstem diameter less than 5 inches 

measured at the ground will be selectively removed so that the horizontal distance 

between such vegetation will generally be at least 25 feet apart. [Note: Limitations may 

be portrayed in a tabular format for ease and clarity. Limitations may be further limited 

to specified levee slopes, e.g., slopes greater than 3H:1V, or to critical reaches, e.g., 

adjacent to a public facility or a highway bridge.]

(2) Overbuilt Levee Sections. Address allowances and limitations in a manner 

similar to subparagraph (1) above.

(3) Other.

C. Vegetation Not Permitted. The plant species and noxious weeds (listed below) 

or (listed at Attachment 3) and other non-native species are generally recognized as 

being detrimental to levee stability, and will be removed/controlled.

D. Use of Herbicides. Address the uses and limitations on the uses of herbicides.
EP 500-1-1

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E-6

Figure E-1. Format for Regional Variance Agreement (Continued)

VII. Limitations.

A. Crowns and Crown Roads. Levee crown roads (also known as patrol roads), 

the entire levee crown, and the riverward and landward slopes of the levee within two 

feet of the crown are permitted to have only grass or sod. The grass or sod will be kept 

mowed, so that the height does not exceed 6 inches.

B. Areas of Concrete Revetments. All vegetation will be removed from within 

concrete revetted areas. All non-herbaceous vegetation that is within 3 feet of a 

concrete revetted area will be removed. All woody vegetation that threatens the 

structural integrity of a concrete revetment will be removed. Mechanical and/or 

spraying may be used for control of vegetation.

C. Areas of Emplaced Riprap. Specifically address allowances and limitations on 

vegetation in riprapped areas.

D. Detrimental Affects. Any vegetation that can be reasonably foreseen to 

detrimentally affect any inspection, patrolling operation, or flood fight operation, in either 

daytime or nighttime conditions, is not permitted.

E. Other.

VIII. Rehabilitation of Damaged Levees. In the event that a levee covered by this 

Agreement receives Rehabilitation Assistance in accordance with ER 500-1-1, the 

Corps generally prefers to allow levees to naturally revegetate. In the event that 

natural revegetation will not provide reasonable and timely sod growth to the

rehabilitated sections of the levee, the following will govern replacement/

reestablishment of vegetation on the rehabilitated levee slopes:

A. Habitat for Fauna Endangered Species. Vegetation listed in (Paragraph VI.A. 

and B.) or (Attachment 1 and 2) that is considered habitat for endangered fauna 

species present on or around the levee may be used to reestablish the vegetation if 

reasonable and prudent to do so.

B. Select Native Plantings, or Other Acceptable Vegetation. Select native 

plantings, or other acceptable vegetation listed in (Paragraph VI.A. and B.) or 

(Attachment 1 and 2) may be used to reestablish the vegetation if reasonable and 

prudent to do so.
EP 500-1-1

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E-7

Figure E-1. Format for Regional Variance Agreement (Concluded)

IX. Obligations of the Signatories of the Agreement.

A. Signatories shall hold and save the Government (the US Army Corps of 

Engineers) free from all damages arising from the any condition, situation, or event 

that may arise that is pursuant to or related to the implementation of this Agreement.

B. The public sponsors of levees active in the Rehabilitation and Inspection 

Program that receive a Regional Variance based on this Agreement agree to

participate in and comply with the policies and procedures of the U.S. Army Corps of 

Engineers Rehabilitation and Inspection Program.

X. Notices.

A. All notices, requests, demands, and other communications required or

permitted to be given under this Agreement shall be deemed to have been duly given 

if in writing and delivered personally, given by prepaid telegram, or mailed by firstclass (postage prepaid), registered, or certified mail, to the address.

B. A party may change the address to which such communications are to be 

directed by giving written notice to the other parties in the manner provided in

paragraph C. below.

C. Any notice, request, demand, or other communication made pursuant to this 

Article shall be deemed to have been received by the addressee at such time as it is 

either personally delivered, or, seven calendar days after it is mailed, as the case may 

be.

IN WITNESS HEREOF, the parties hereto have executed this Agreement, which 

shall become effective upon the date it is signed by the District Engineer.

THE DEPARTMENT OF THE ARMY THE [NAME OF ENTITY]

BY: __________________________ BY: ___________________________

[SIGNATURE] [SIGNATURE]

[TYPED NAME] [TYPED NAME]

DISTRICT ENGINEER [TITLE IN FULL]

[_____________ DISTRICT] DATE: _______________

DATE: _______________

Other signature blocks will be added as necessary.
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EP 500-1-1

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Glossary-1

Glossary of Acronyms and Terms

Section I. Acronyms.

AAR - After Action Report

ACOM - Atlantic Command. (Obsolete term. See USJFCOM.)

AFARS - Army FAR Supplement

AR - Army Regulation

ASA(CW) - Assistant Secretary of the Army for Civil Works

BCR - Benefit Cost Ratio 

BPP - Bank Protection Project

C&P - Cooperation and Participation Agreement. Obsolete term, see CA.

CA - Cooperation Agreement

CAT - Crisis Action Team

CEAP - Corps of Engineers Automation Plan

CECW-OE - The HQUSACE Civil Emergency Management Branch

CEI - Continuing Eligibility Inspection

CEQ - Council on Environmental Quality

CERCLA - Comprehensive Environmental Response, Compensation and Liability Act

CFR - Code of Federal Regulations

CFS - Cubic feet per second.

CG - Commanding General

CONUS - Continental United States (i.e., the contiguous 48 states)

CONUSA - Continental United States Army

CRREL - Cold Regions Research and Engineering Laboratory

CWA - Clean Water Act

CWIS - Civil Works Information System (See also PWI.)

CZM - Coastal Zone Management

dbh - diameter at breast height

DCO - Defense Coordinating Officer

DFAR - Defense FAR Supplement

DFO - Disaster Field Office

DLA - Defense Logistics Agency

DOC - Department of Commerce

DOD - Department of Defense

DOE - Department of Energy

DOI - Department of Interior

DOMS - Directorate of Military Support

DOT - Department of Transportation

DSR - Damage Survey Report

E&D - Engineering and Design

EC - Engineer Circular
EP 500-1-1

30 Sep 01

Glossary-2

ECA - Evaluation and Corrective Action

EDA - Economic Development Administration

EFARS - Engineer FAR Supplement

EM - Engineer Manual, Emergency Manager, Emergenc y Management

EMHV - Emergency Management High Visibility

EO - Executive Order

EOC - Emergency Operations Center

EP - Engineer Pamphlet

EPA - Environmental Protection Agency

ER - Engineer Regulation

ERDC - Engineer Research and Development Center

ESF - Emergency Support Function

FAD- Funding Authorization Document

FAR - Federal Acquisition Regulation

FCCE - Flood Control and Coastal Emergencies

FCO - Federal Coordinating Officer

FCW - Flood Control Works

FEMA - Federal Emergency Management Agency

FmHA - Farmers Home Administration

FOA - Field Operating Agency

FONSI - Finding of No Significant Impact

FORSCOM - Forces Command

FRP - Federal Response Plan

GIS - Geographic Information Systems

GSA - General Services Administration

HBPP - Hurricane/Beach Protection Project

HFSSB - High Frequency Single Side Band

HHS - Health and Human Services

HMT - Hazard Mitigation Team

HQUSACE - Headquarters, U.S. Army Corps of Engineers

HSPP - Hurricane or Shore Protection Project

HUD - Housing and Urban Development

ICW - Inspection of Completed Works

IEI - Initial Eligibility Inspection

ILTF - Interagency Levee Task Force

JTF - Joint Task Force

LERRD's Lands, easements, rights-of-way, relocations, and borrow and dredged or 

excavated materials disposal areas.

LOA - Lead Operating Agency

LCO - Lead Corps Official (for ILTF)

LNO - Liaison Officer

MOA - Memorandum of Agreement
EP 500-1-1

30 Sep 01

Glossary-3

MSC - Major Subordinate Command (synonymous with Division)

MSCA - Military Support to Civil Authorities

NCP - National Contingency Plan (National Oil and Hazardous Substance Pollution 

Contingency Plan)

NED - National Economic Development

NEPA - National Environmental Protection Act

NHPA - National Historic Preservation Act

NRCS - Natural Resources Conservation Service 

NRT - National Response Team

NSAP - Nonstructural Alternatives Project

NWP - Nationwide Permit

NWS - National Weather Service

O&M - Operations and Maintenance

OCE-P - Office of the Chief of Engineers, Pentagon

OMB - Office of Management and Budget

OMRR&R - Operation, Maintenance, Repair, Replacement, and Rehabilitation

OSC/RPM - On Scene Coordinator/Remedial Project Manager

PACOM - Pacific Command

PCA - Project Cooperation Agreement.

PDA - Preliminary Damage Assessment

PIR - Project Information Report

PL - Public Law

PWI Project Work Item. 

RD - Regional Director

RIP - Rehabilitation and Inspection Program

RS/GIS - Remote Sensing/Geographic Information System

RRT - Regional Response Team

RSC - Readiness Support Center

S&A - Supervision and Administration

S&I - Supervision and Inspection

SAACONS - Standard Army Automated Contracting System

SBA - Small Business Administration

SCS - Soil Conservation Service (See NRCS)

SITREP - Situation Report

SOP - Standard Operating Procedure

SPOTREP - Spot Report

SPS - Standard Procurement System

STU - Secure Telephone Unit

TEECA - Training, Evaluation, Exercise, and Corrective Action

TVA - Tennessee Valley Authority

USACE - U.S. Army Corps of Engineers

USACOM - United States Atlantic Command
EP 500-1-1

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Glossary-4

USC - United States Code

USCG - United States Coast Guard

USJFCOM - US Joint Forces Command

USDA - United States Department of Agriculture

US&R - Urban Search and Rescue

WPA - Works Progress (later Work Projects) Administration

WRDA - Water Resources Development Act

Section II. Terms.

A-B-C's or a-b-c's. A generic term referring to the items of local cooperation the public 

sponsor is required (as provided for in the CA) to provide as a condition for receiving Corps 

assistance. For most types of Corps assistance, the a -b-c's the public sponsor must agree 

to provided are (a) provide without cost to the United States all lands, easements, rights of 

way, relocations, and borrow and dredged or excavated material disposal areas necessary 

for the authorized work; (b) hold and save the United States free from all damages arising 

from construction, operation, maintenance, repair, replacement, and rehabilitation of the 

work, except for damages due to the fault or negligence of the United States or its

contractors; and (c) operate, maintain, repair, replace, and rehabilitate the work after its 

completion. Additional items of local participation may be required, such as the removal of 

temporary emergency flood damage reduction measures. MSC's and districts are not 

authorized to change or delete a-b-c requirements, without written permission from 

HQUSACE. 

Active. A status applied to FCW concerning participation in the Rehabilitation and 

Inspection Program under authority of PL 84-99. An Active project must have met USACE 

criteria for entry and been entered into the RIP. Only Active projects may receive 

Rehabilitation Assistance to repair damages caused by a flood event or coastal storm.

Agricultural Levee. A levee that provides at least a 5-year flood protection to

predominantly agricultural areas or agribusinesses. May be Federal or non-Federal.

Bank Protection Project. Any project or technique used to prevent erosion of or failure of 

a streambank.

Beach Nourishment Projects. Projects designed and constructed to build or maintain a 

beach by placement of material to nourish and stabilize the shoreline. See HSPP.

Betterment. During repair of an FCW, any construction effort that increases the area 

protected, provides features that did not exist prior to the flood event, or increases the 

degree or level of protection provided by the FCW. Examples of betterments include 

increasing the height of a levee, or providing riprap where none previously existed. 
EP 500-1-1

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Glossary-5

Category 100, 200, etc. Feature numbers in the appropriation structure for FCCE under 

Appropriation 96x3125. For authoritative definitions, refer to ER 11-1-320. For

informational purposes, categories are:

(a) Category 100. Disaster Preparedness. MSC and district disaster preparedness 

programs, to include salaries of emergency management personnel, supplies, training, etc. 

Also includes EOC facilities, and funding for the Readiness Support Center.

(b) Category 200. Emergency Operations. Includes Emergency Response and 

Post Flood Response, field investigations during flood events, and preparation of after 

action reports.

(c) Category 300. Rehabilitation. Rehabilitation Assistance to Federal and nonFederal FCW's and Federally constructed hurricane and shore protection projects,

associated investigation costs, etc. Includes inspection of non-Federal FCW, and 

maintenance of the FCW database.

(d) Category 400. Emergency Water. Assistance to drought distressed regions or 

localities with a contaminated source of water supply, and costs of associated

investigations.

(e) Category 500. Advance Measures. Assistance against an identified, imminent 

flood threat, and costs of associated investigations. 

(f) Category 600. Hazard Mitigation costs of participation in an activated 

Interagency HMT under the direction of FEMA.

C.F.S. (Cubic Feet per Second). Also cfs. The amount of flow passing a given point in a 

stream channel. One cubic foot per second is equivalent to approximately 7.5 gallons per 

second.

Channel. A natural or artificial watercourse with definite bed and banks to confine and 

conduct flowing water.

Channel Capacity. The maximum flow that can pass through a channel without

overflowing the banks.

Class. A subdivision of categories in the appropriation structure. For example, category 

400 is divided into Classes 410, 420, and 430. See also Category.

Contingency Contracting. The necessity for protection or restoration of flood protection 

projects requires immediate actions. To meet these requirements, justification exists for 

contracting procedures other than full and open competition (as allowed by FAR 6.302.) 

These contingency or emergency contracting procedures should comply with FAR 6.302-2.

Cooperation Agreement. An agreement entered into by a District Commander (acting as 

the agent for the Department of the Army on behalf of the United States Government) and 
EP 500-1-1

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Glossary-6

the public sponsor for the purpose of identifying each party's rights and obligations 

concerning the expenditure of Federal funds under authority of PL 84-99.

Deliberate Levee Cut. A deliberate cut made in a levee, with the intention of either

protecting the integrity of the structure (or an adjacent structure) from actual or forecasted 

river stages, or reducing the overall anticipated damages expected to occur to the existing 

structure by the current flood event. See also Dewatering Levee Cut.

Dewatering Levee Cut. A deliberate cut in a levee used as an engineering/construction 

method to dewater the area behind the levee when pumping this contained water is not 

considered a feasible, timely, or economical alternative. A dewatering levee cut is a type of 

deliberate levee cut that is never eligible for PL 84-99 assistance.

Dike. In most areas of the United States, a structure (earth, rock, or timber) built part way 

across a river for the purpose of maintaining a navigation channel. In other areas, the term 

is used synonymously with levee. Generally constructed of earth, stone, timber, concrete, 

or similar material.

Division. See Major Subordinate Command.

Drainage Structure. Generally, any feature or system (e.g., culverts) constructed for the 

purpose of discharging surface water run-off. Such structures are components of interior 

drainage systems.

Drought Distressed Area. An area that the ASA(CW) has determined to have an 

inadequate water supply that is causing, or is likely to cause, a substantial threat to the 

health and welfare of the inhabitants of the area, including a threat of damage or loss of 

property.

Eligible Levee. A levee categorized as "active" in the RIP, for which USACE can provide 

assistance under authority of PL 84-99 to repair damage caused by a flood event.

Emergency. A situation involving a natural or technological disaster that would result in an 

unacceptable hazard to human life, a significant loss of property, or significant economic 

hardship.

Emergency Assistance. All USACE activities that assist a non-Federal entity that use 

FCCE funding from Category 200, 300, 400, and/or 500.

Emergency Preparedness. All those activities and measures designed or undertaken to 

prepare for or minimize the effects of a hazard upon the civilian population, to deal with the 

immediate emergency conditions that would be created by the hazard, and to effectuate 
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emergency repairs to, or the emergency restoration of, vital utilities and facilities destroyed 

or damaged by the hazard.

Federally Authorized Projects/Federal Projects. An FCW project built by USACE that 

was authorized for construction by Congress or by USACE continuing authorities (e.g., 

Section 205.) 

Federal FCW/Federal Levee/Federal Dam. A Federally authorized FCW, levee, levee 

system, or dam project. FCW constructed by non-Federal interests, or other (non-USACE) 

Federal agencies, and incorporated into a Federal system by specific Congressional action 

(i.e., United States law) are also designated as Federal FCW's. Construction by, or 

previous rehabilitation or reconstruction of a non-Federal FCW by a Federal Agency (to 

include USACE, FEMA, NRCS, and EDA) does not make the levee a Federal levee. 

Levees constructed under the authority of the Works Progress Administration are not 

Federal levees. Section 14 projects constructed under authority of PL 79-526 are not 

Federal FCW's.

Federal Response Plan (FRP). The FRP is the Federal government's plan to address the 

consequences of any disaster or emergency situation in which there is a need for Federal 

response assistance under authorities of the Stafford Act, as amended. The FRP is an 

interagency document produced under the leadership and direction of the Federal

Emergency Management Agency. USACE is the Federal agency responsible for

Emergency Support Function #3, Public Works and Engineering. FRP planning and 

preparedness activities in USACE are funded by the FCCE account under PL 84-99 

authority.

Fiscal Completion. Once all expenses have been charged and all financial activities for a 

specific project are complete, the funding accounts that support the project are closed, and 

the project is then considered fiscally complete.

Flood. Abnormally high water flows or water level that overtops the natural or artificial 

confining boundaries of a waterway. A general and temporary condition of partial or 

complete inundation of normally dry land areas from the overflow of river and/or tidal waters 

and/or the unusual accumulations of waters from any sources.

Flood Control Project. See flood control work.

Flood Control Work(s) (FCW). Structures designed and constructed to have appreciable 

and dependable effects in preventing damages caused by irregular and unusual rises in 

water level. FCW may include levees, channels, floodwalls, dams, and Federally

authorized and constructed hurricane or shore protective structures. Structures designed 

and constructed to protect against salt water intrusion or tidal fluctuations, channel 
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Glossary-8

alignment, navigation, recreation, fish and wildlife, land reclamation, or to protect against 

land erosion are not considered to be FCW's. A riprap bank erosion control structure is not 

considered to be a flood control work.

Flood Fighting. Actions taken immediately before or during a flood to protect human life 

and to reduce flood damages, such as evacuation, emergency sandbagging and diking, 

and providing assistance to flood victims.

Flood Plain. Any normally dry land area that is susceptible to being inundated by any 

natural source, such as a stream, during floods. USACE, as a matter of policy, encourages 

local governments to zone their flood plains against development and thereby avoid 

property damage and reduce obstruction to passage of floodwaters.

Flood Stage. The water surface elevation of a river, stream, or body of water, above which 

flooding and damages normally begin to occur, normally measured with respect to a 

specific reference gage. Flood stage is normally the level at which a river overflows its 

banks. Flood stage for any particular geographic area is unique to that geographic area.

Flooding. See Flood.

Floodwall. A type of flood control work usually constructed of stone or reinforced concrete, 

and which may occasionally have plastic or steel components. Floodwalls are generally 

constructed in urban areas where insufficient area exists to construct earthen levees.

Floodway. Designated land left essentially clear of development, for the purpose of 

passing floodwaters. In some areas, floodway is used to designate the 100-year flood 

plain.

Freeboard. A factor of safety usually expressed in feet above a flood level for purposes of 

designing flood protection facilities and for floodplain management. Freeboard tends to 

compensate for the many uncertain factors that could contribute to flood heights greater 

than the height calculated for a selected size flood and floodway conditions, such as wave 

action, bridge obstructions, and the hydrological effect of urbanization of the watershed. 

Freeboard is being replaced as a technique through risk and uncertainty management.

Haul Road. Any privately owned road used by Corps vehicles or Corps contractor's 

vehicles to haul rock, earth fill, or other borrow materials to the site of a

repair/floodfight/rehabilitation effort, or on which empty vehicles return. This includes haul 

roads specifically constructed for a repair/rehabilitation effort. Also included are levee 

crown roads and levee patrol roads that are not public roads, if their principal purpose is for 

access for maintenance, inspection, and floodfight purposes. All public roads are

specifically excluded, to include any public roads that are situated on levees.
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Hazard. An emergency or disaster resulting from a natural hazard or an accidental or mancaused event.

Hazard Mitigation. Any activity that permanently eliminates or reduces the long-term 

vulnerability to life and property from natural and technological hazards. Hazard mitigation 

refers to the concept of decreasing the severity of the effects of flooding on people and 

property by reducing the cause, occurrence, exposure, and effects of the flood hazard.

Hazard Mitigation Team. An interagency team assembled under FEMA leadership to 

investigate and document strategies to reduce or avoid Federal expenditures resulting from 

flooding situations or other types of natural disasters.

Hundred Year Flood. More accurately referred to as a "one percent chance flood," a flood 

of a magnitude that, according to historical statistics, has one chance in one hundred of 

occurring in any given year. 

Hurricane/Shore Protection Project. A type of FCW project designed and constructed to 

prevent damage and flooding caused by a hurricane or tsunami, and their associated storm 

surges.

Hydraulics. The science of dealing with the mechanical properties of liquids that describes 

the specific pattern and rate of water movement in the environment.

Hydrology. The science dealing with properties, distribution, and circulation of water on 

and below the surface of the land and in the atmosphere.

Imminent Threat. A subjective, statistically supported evaluation of how quickly a threat 

scenario can develop, how likely that threat is to develop in a given geographical location, 

and how likely the threat will produce catastrophic consequences to life and improved 

property. Implicit in the timing aspect can be considerations of time (e.g., a storm front's 

predicted path) or season (e.g., a snowpack that will melt in the coming spring runoff) or of 

known cyclical activities (e.g., rising water levels in the Great Lakes), but occurring inside 

the normal Corps decision and execution cycle for small project construction.

Inactive. A status applied to FCW concerning participation in the RIP. An Inactive project 

is, simply, any project that is not Active. It includes formerly Active FCW that left Active 

status in the RIP, either voluntarily or involuntarily, as well as those FCW that have never

been Active in the RIP. See also "Active."

Infiltration. That portion of precipitation that is absorbed by the land surface.
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Initial Repair. A hastily effected temporary repair of a breached levee that provides a 10-

to 25-year level of protection for a short (less than 12 month) period of time until the 

permanent repair can be designed and executed.

Interior Drainage. Natural or modified outflow of streams within a levee'd area for the 

conveyance of run-off. Interior drainage systems are not components of flood control 

works.

Lead Operational Authority. Within military commands, this is a delegated authority to 

plan and execute missions for a higher headquarters.

Levee. A structure, normally of earth or stone, built generally parallel to a river to protect 

land from flooding. A levee is a complete unit, designed and intended for flood control. 

A levee (excluding a ring levee) is always tied to high ground at both ends.

Level of Protection. The degree of protection against flooding provided by an FCW, 

normally expressed in terms of the cyclical flood-level against which protection is provided.

Local Cost Share. That portion of the cost of undertaking assistance authorized under PL 

84-99 (e.g., repairing a damaged Active levee) for which the public sponsor is responsible. 

The local cost share may be paid either in cash or as work-in-kind, or as a combination of 

the two.

Local Sponsor. See Public Sponsor.

LERRD's Lands, easements, rights-of-way, relocations, and dredged materials disposal 

areas.

Major Flood. A flood event determined to be a 100-year event or better, or a series of 

weather events over a short period of time (normally seven days or less), which causes 

loss of human life and/or property damage exceeding $1 million.

Major Subordinate Command. The intermediate level USACE headquarters organization, 

subordinate to HQUSACE, and above the district-level. Also Division.

Military Support to Civil Authorities. Those activities and measures taken by DOD 

components to foster mutual assistance and support between DOD and any civil

government agency in planning or preparedness for, or in the application of resources for 

response to, the consequences of civil emergencies or attack. See DODD 3025.1.

National Contingency Plan (40 CFR Part 300.) A Federal plan intended to effectuate the 

powers and responsibilities for responding to nonradiological oil and hazardous substance 
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Glossary-11

discharges, releases, or substantial threats of releases as specified in the CERCLA, as 

amended, and the authorities established by Section 311 of the CWA, as amended. 

Natural Disaster. Any hurricane, tornado, storm, flood, high water, wind-driven water, tidal 

wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm, drought, 

fire, or other catastrophe that causes, or which may cause, substantial damage or injury to 

civilian property or persons.

Navigation Channel. The channel maintained in a body of water for the purpose of 

assuring a depth adequate for commercial vessels.

Non-Federal Levee/Non-Federal Project/Non-Federal FCW. A flood control work not 

authorized by Congress, or under other Federal agency authority. Works Progress 

Administration (WPA) projects are considered non-Federal FCW for the application of PL 

84-99 authority.

Non-Federal Sponsor. See public sponsor.

Nonstructural Alternative Project. A type of project, authorized by an amendment to 

PL 84-99 contained in WRDA 96, that, in lieu of a structural rehabilitation effort, allows for 

restoration of floodways, flood plains, and/or the reduction of future flood damages and 

associated FCW rehabilitation costs. 

Political Subdivision. A city, town, borough, township, county, parish, district, association, 

or other public body created by or pursuant to state law and having jurisdiction over the 

water supply of such public body.

Project. A generic term used to describe the planned or executed construction of a 

structure or system.

Project Cooperation Agreement. An agreement entered into by a District Commander 

(acting as the agent for the Department of the Army on behalf of the United States 

Government) and the public sponsor for the purpose of identifying each party's rights and 

obligations concerning the expenditure of Federal funds under USACE authority other than 

that of PL 84-99. See also Cooperation Agreement.

Public Road. Any road available for general use by the public. Any road for which a public 

agency or public entity has ongoing and/or statutory maintenance responsibility.
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Glossary-12

Public Sponsor. A public sponsor must be a public entity that is a legally constituted 

public body with full authority and capability to perform the terms of its agreement as the 

non-Federal partner of the Corps for a project, and able to pay damages, if necessary, in 

the event of its failure to perform. A public sponsor may be a State, county, city, town, 

Federally recognized Indian Tribe or tribal organization, Alaska Native Corporation, or any 

political subpart of a State or group of states that has the legal and financial authority and 

capability to provide the necessary cash contributions and lands, easements, rights-of-way, 

relocations, and borrow and dredged or excavated material disposal areas (LERRD's) 

necessary for the project.

Reach. A section or segment of a levee, which in and of itself does not provide complete 

protection against a flood. Also, a segment of a river, typically indicated by reference to 

river mile markers or geographical features.

Rehabilitation and Inspection Program (RIP). A component of the Civil Emergency 

Management Program concerned with the inspection and rehabilitation of FCW’s.

Rehabilitation Assistance. Repair and restoration under authority of PL 84-99 of an 

Active FCW damaged in a flood event.

Rehabilitation Project. An action or series of actions focused of the repair of an Active 

flood control work to return the FCW's level of protection to its pre-flood/pre-storm level.

Repair and Rehabilitation. The terms “repair”, “rehabilitation”, or “repair and

rehabilitation” mean the repair or rebuilding of a flood control structure, after the structure 

has been damaged by a flood, hurricane, or coastal storm, to the level of protection 

provided by the structure prior to the flood, hurricane, or coastal storm. The terms do not 

include improvements (betterments) to the structure, nor does “repair and rehabilitation” 

include any repair, reconstruction, or rehabilitation activities of a flood control structure 

which, in the normal course of usage, has become structurally unsound and is no longer fit 

to provide the level of protection for which it was designed.

Riverine. Relating to, formed by, or resembling a river (including tributaries), stream, 

brook, etc.

Run-off. That portion of precipitation, which is not intercepted by vegetation, absorbed by 

the land surface or evaporated and thus flows overland into a depression, stream, lake, or 

ocean.

SAACONS. The Standard Army Automated Contracting System, used for comprehensive 

management of the contracting process. SAACONS is being replaced by SPS.
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Saturation.

(1) Soil Saturation. A condition in soil in which all spaces between the soil particles are 

filled with water. Such conditions normally occur after prolonged periods of rainfall and/or 

snowmelt. The result of a saturated condition is that any additional rainfall or snowmelt 

runs off into streams and rivers instead of soaking into the ground.

(2) Levee saturation. Soil saturation that has occurred in an earthen levee because of 

floodwaters remaining above flood stage for extremely long periods of time. This condition 

can lead to catastrophic failure of the levee.

Secondary Levee. A levee that is riverward of the main or principal levee. The level of 

protection of a secondary levee is always less than the level of protection provided by the 

main levee.

Stafford Act. The common name for the principal emergency management authority of the 

Federal Emergency Management Agency. Codified as 42 U.S.C. 5121 et seq.

SPS. The Standard Procurement System, used for comprehensive management of the 

contracting process. This new system is replacing SAACONS.

Stream. A body of water flowing in a definite natural or manmade course that has the 

potential to flood. The term stream refers to rivers, streams, creeks, brooks, etc., and 

includes intermittent streams that are subject to flooding.

Substantial Property Damage. Damage caused by a flood event, the value of which 

generally exceeds $1 million.

Unusual Flooding. For use with Advance Measures, a subjective determination of the 

potential level of flooding that considers potential to approach an area's flood of record, a 

catastrophic level of flooding, or a greater than 50-year level of flooding.

Urban areas. Cities, towns, or other incorporated or unincorporated political subdivisions 

of States that provide general local government for specific population concentrations, and 

occupy an essentially continuous area of developed land containing such structures as 

residences, public and commercial buildings, and industrial sites.

Urban Levee. A levee that provides a high degree of flood protection (10 year or greater) 

to a predominantly urban area.
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Glossary-14

Work-in-Kind. That portion of a public sponsor's cost share to rehabilitate a non-Federal 

FCW that is a non-cash contribution. The work-in-kind may be in the form of labor, 

equipment, supplies, and/or services. Labor is defined as blue collar-type of work normally 

paid on an hourly wage basis, comparable to Federal Wage Grade positions.