REPLY TO 

ATIENTION OF 

CECW-HS 

DEPARTMENT OF THE ARMY 

U.S. ARMY CORPS OF ENGINEERS 

441 G STREET, NW 

WASHINGTON, DC 20314-1000 

NOV 2 9 2011 

MEMORANDUM FOR COMMANDERS, MAJOR SUBORDINATE COMMANDS AND 

DISTRICTS 

SUBJECT: Policy for Development and Implementation of System-Wide Improvement 

Frameworks (SWIFs) 

1. References. 

a. Engineer Regulation (ER) 500-1-1, Emergency Employment of Army and Other 

Resources- Civil Emergency Management Program, 30 Sep 2001. 

b. Memorandum, HQ USACE (CECW-HS), 16 Nov 2007, subject: Levee Safety Program 

Implementation. 

c. Memorandum, HQ USACE (CECW-HS), 9 Jan 2009, subject: Temporary extension of 

P.L. 84-99 Rehabilitation Eligibility for Non-Federal Sponsors Implementing System-wide 

Improvements. 

d. Memorandum, HQ USACE (CECW-CE), not yet released, subject: Policy Guidance 

Letter (PGL) - Process for Requesting a Variance from Vegetation Standards for Levees and 

Floodwalls. 

2. Definitions. 

a. A "levee system" consists of one or more segments of earthen embankment or flood wall, 

and all appurtenant structures (such as closures, berms, pumping stations, culverts, and interior 

drainage), which are interconnected and necessary to reasonably reduce the potential of 

floodwater entering a defined area. 

b. An "unacceptable inspection item" is an inspected item on the U.S. Army Corps of 

Engineers (USACE) levee inspection checklist. An unacceptable item or a combination of 

unacceptable items may lead to an overall levee-system rating of unacceptable. 

c. A SWIF is a plan developed by the levee sponsor(s) and accepted by the USACE to 

implement system-wide improvements to a levee system (or multiple levee systems within a 

watershed) to address system-wide issues, including correction of unacceptable inspection items, 

in a prioritized way to optimize flood risk reduction. 
CECW-HS 

SUBJECT: Policy for Development and Implementation of System-Wide Improvement 

Frameworks (SWIFs) 

d. An Interim Risk Reduction Measures (IRRM) plan contains actions to reduce life safety 

risks posed by a levee system while long-term solutions are being pursued. Example actions 

may include Emergency Action Plans, special modifications to evacuation plans that account for 

additional risk and potentially reduced response times, heightened public communication 

campaigns to inform citizens of the increased flood risk, and/or increased levee monitoring 

during flood events. 

3. Background. 

a. The USACE Public Law (P.L.) 84-99 program, pursuant to 33 U.S.C. 701n, is a voluntary 

program that includes the repair and restoration of participating flood risk reduction projects, 

such as levee systems. All levee systems that participate in P .L. 84-99 are inspected by USACE 

and rated against nationally consistent standards that USACE determined to be essential for the 

reliable performance of the levee system. Levee systems that have received an "Acceptable" or 

"Minimally Acceptable" overall system rating on the last periodic or routine/continuing 

eligibility inspection are "Active" in P.L. 84-99 and, consequently, are eligible to receive 

rehabilitation assistance from USACE to repair or restore levee systems to pre-disaster condition 

if they are damaged by a flood event. Levee systems that receive an "Unacceptable" overall 

system rating or that choose to no longer participate in the program are placed in "Inactive" 

status and are not eligible for rehabilitation assistance under P .L. 84-99. 

b. In some cases, the items on a levee system found to be "Unacceptable" or "Minimally 

Acceptable" might be complex to correct. Developing and implementing solutions to address 

such deficiencies might require a multi-year effort and coordination between multiple entities. 

This may be especially true when resources protected under the Endangered Species Act or 

Tribal treaty rights could be impacted by any changes to the levee system. USACE is making 

the SWIF process available to levee sponsors facing such challenges as a way to facilitate the 

development of solutions to satisfy the multiple requirements that apply to their levee systems 

while allowing levee sponsors participating in the SWIF process to remain eligible for P.L. 84-99 

rehabilitation assistance funding while addressing deficiencies. 

c. Levee sponsors are responsible for operation, maintenance, repair, replacement, and 

rehabilitation of the levee system. The SWIF does not alter those responsibilities. The SWIF 

establishes a process using an interagency approach within which levee sponsors engage with 

federal, state, local and Tribal agencies and organizations in longer-term system-wide 

improvement efforts to optimize flood risk reduction by identifying solutions that efficiently use 

resources, prioritize improvements and corrective actions based on risk, and establish 

frameworks for coordinating overlapping or complementary programs and requirements. 

2 
CECW-HS 

SUBJECT: Policy for Development and Implementation of System-Wide Improvement 

Frameworks (SWIFs) 

d. Environmental compliance and consideration of other requirements, such as those imposed 

by treaties with Tribes, should be integrated into the SWIF process. USACE is responsible for 

assuring compliance with all applicable environmental requirements before it makes any 

decisions that would affect the environment or other resources; however, the levee sponsor 

involved in the SWIF process may be required to provide background 

information/documentation, mitigation, or other measures necessary to fulfill environmental 

compliance responsibilities as a condition of their participation in the P.L. 84-99 rehabilitation 

assistance program. 

e. The SWIF can be used to address deficiencies or issues that cannot be accomplished 

through routine corrective actions, including: 

(1) A levee system that has engineering deficiencies (e.g., change in hydraulic conditions 

that reduces level of authorized protection) in addition to "Unacceptable" inspection items; 

(2) Improvements that involve multiple levee systems; 

(3) Complex natural resource considerations that require additional time and coordination 

to ensure that the imperatives of both levee safety and environmental requirements are 

adequately served; 

( 4) Additional time and coordination to protect the rights of Tribes pursuant to treaty and 

statute; and, 

f. This memorandum revises and supersedes the policy in Reference I.e. above and will be 

incorporated into the revised Engineer Regulation (ER) 500-1-1, in Reference l.a. 

4. Purpose. The purpose ofthis policy is threefold and includes: 

a. To facilitate interagency collaboration to address complex levee system deficiencies and 

encourage the establishment of interagency teams to jointly identify and implement regionally 

appropriate, science based solutions and tools to help reduce risk associated with levees or levee 

systems while ensuring compliance with other Federal laws, such as the Endangered Species 

Act, as appropriate; 

b. To provide requirements and outline the process for the submittal and acceptance of a 

SWIF that will assist levee sponsors in attaining compliance with USACE standards; and, 

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CECW-HS 

SUBJECT: Policy for Development and Implementation of System-Wide Improvement 

Frameworks (SWIFs) 

c. To provide a mechanism for levee sponsors to maintain or regain eligibility for federal 

rehabilitation assistance under P.L. 84-99 while they are developing and implementing a systemwide improvement framework. 

5. Applicability. This policy applies to all Headquarters USACE (HQ USACE) elements, Major 

Subordinate Commands (MSCs), USACE districts, and field operating activities that are 

responsible for Civil Works projects. 

6. Eligibility for Rehabilitation Assistance Under P.L. 84-99. 

a. Initial Eligibility for Rehabilitation of Flood Risk Reduction Projects. Pursuant to 33 

U.S.C. 701n (P.L. 84-99) and ER 500-1-1, USACE administers a program for rehabilitation of 

flood risk reduction projects, such as levee systems, and for federally-authorized hurricane or 

shore protection projects. Federally-authorized, locally-operated and maintained levee systems 

are automatically placed in an "Active" status and are eligible for rehabilitation assistance upon 

construction completion. Non-federal levee systems constructed, operated and maintained by a 

local public entity may be placed in an "Active" status following an initial eligibility inspection 

by USACE that determines the levee system meets the minimum eligibility requirements and 

technical criteria. 

b. Maintaining Eligibility. 

(1) Eligible levee systems inspected by USACE are rated against nationally consistent 

standards that USACE determined are essential for the reliable performance of the levee system. 

Levee systems that receive an "Acceptable" or "Minimally Acceptable" overall inspection rating 

maintain an "Active" status and are eligible to receive rehabilitation assistance from USACE to 

repair flood damages. Levee systems that receive an "Unacceptable" overall inspection rating 

are immediately placed in "Inactive" status and are not eligible for rehabilitation assistance until 

the "Unacceptable" inspection items have been corrected and the system receives a rating of 

"Acceptable" or "Minimally Acceptable" through are-inspection by the responsible USACE 

district office. Levee systems engaged in the SWIF process or a variance request will continue 

to be inspected against the standard applied at the time the request was submitted, either the 

national standard or a variance or other deviation from that standard. 

(2) The concepts for developing a SWIF may be useful in situations where a levee sponsor 

wants to prevent a future "Unacceptable" rating. For these situations, the approval process 

outlined in paragraph 8 is not required; however, this process cannot be used to extend 

"Minimally Acceptable" ratings for levees with "Unacceptable" inspection items beyond the 

current two-year maximum period as specified in the USACE levee inspection checklist. 

4 
CECW-HS 

SUBJECT: Policy for Development and Implementation of System-Wide Improvement 

Frameworks (SWIFs) 

c. Transitioning "Acceptable" or "Minimally Acceptable" Levees. Levees sponsors with 

levees that are "Active" in the rehabilitation assistance program under an existing vegetation 

variance or deviation from the standard that want to use the SWIF process to transition to a new 

vegetation inspection standard through the vegetation variance request process, or that would 

like to systematically improve the condition of participating levees, may maintain their P.L. 84-

99 rehabilitation assistance eligibility as long as they continue to meet the milestones set forth in 

their applicable SWIF. 

d. Reinstating Eligibility While Developing and Implementing a SWIF. Levee sponsors that 

receive an overall levee system inspection rating of"Unacceptable" or have been "Inactive" in 

the rehabilitation program may regain eligibility for P .L. 84-99 rehabilitation assistance through 

the SWIF process. Upon approval by USACE of the letter of intent, requirements described 

below, the levee sponsor will receive an initial of up to two-year reinstatement of eligibility for 

P .L. 84-99 rehabilitation assistance. Continued eligibility will be determined annually based on 

milestones described in the subsequent SWIF. Levee sponsors who have never been eligible for 

rehabilitation assistance under P .L. 84-99 cannot gain P .L. 84-99 rehabilitation assistance 

eligibility through the SWIF process. 

7. Requirements for Development and Submittal of a SWIF. The development of a SWIF is a 

two-step process consisting of (1) a Letter of Intent from the sponsor briefly describing levee 

system deficiencies and justification for how a system-wide approach will optimize flood risk 

reduction, and (2) development of a SWIF for addressing deficiencies and reducing flood risk. 

Once a Letter of Intent has been approved by USACE, a levee sponsor has up to two years to 

develop a SWIF plan. Eligibility after this two-year period will be dependent on the levee 

sponsor's progress in achieving the milestones defined in the SWIF. The SWIF plan is intended 

to be a specific document that guides sponsor activities, including anticipated milestones, but 

may also be adaptable and should be revised if conditions or needs change during 

implementation. The requirements for the Letter oflntent and SWIF are described as follows: 

a. Requirements for Submitting a Letter oflntent for a SWIF. A Letter oflntent must be 

signed by all associated levee sponsors for each levee system involved in developing the SWIF 

and must include the following: 

(1) Identification of levee system or systems to be covered by the SWIF, including system 

name and system identification number as listed in the National Levee Database; 

(2) Brief description of deficiencies or issues that will be included in the SWIF and 

discussion of how a system-wide approach will improve and optimize overall flood risk 

reduction. This includes identifying any conditions not within the control of the levee sponsor(s) 

that prevents them from correcting "Unacceptable" inspection items in a timely manner; 

5 
CECW-HS 

SUBJECT: Policy for Development and Implementation of System-Wide Improvement 

Frameworks (SWIFs) 

(3) Demonstration that significant non-federal resources have been, or will be, committed 

for developing and/or implementing the SWIF (e.g., state legislative action, bond financing); 

(4) Anticipated interim risk reduction measures that will be implemented throughout the 

SWIF process, including overall risk communication approach that addresses the risk to life 

increased by system-wide deficiencies; 

(5) Brief description of existing or planned interagency collaborative efforts that will 

contribute positively to SWIF development, implementation and oversight; and 

( 6) List of anticipated state and federal permits and consultation requirements, needed to 

implement the SWIF. 

b. Requirements for Submittal of a SWIF. SWIFs are developed and implemented by levee 

sponsor(s), reviewed and accepted by USACE, and monitored by a USACE district to address 

system-wide issues in a prioritized way to optimize system-wide risk reduction. As a minimum 

for acceptance by USACE, the levee sponsor's SWIF must include the following: 

(1) Identification oflevee system or systems covered by the system-wide improvement 

framework, including system name and identification number as listed in the National Levee 

Database; 

(2) Description of proposed levee improvement and justification on how the SWIF 

optimizes flood risk reduction; 

(3) A plan and schedule for interagency collaboration, including environmental and/or 

Tribal consultation if applicable, in the implementation ofthe SWIF; 

(4) Documentation of specific agreements, such as project specific agreements, between 

levee sponsors and USACE or other agencies/organizations related to implementation of levee 

modifications, under Section 408 or other overlapping USACE policies and studies, applicable to 

the levee systems identified in the system-wide improvement framework; 

(5) Documentation of any regional considerations, approaches, and tools to be used during 

implementation of the system-wide improvement framework; 

( 6) Description of interim maintenance standards that will be implemented during the 

SWIF to mitigate conditions of uncorrected "Unacceptable" inspection items; 

6 
CECW-HS 

SUBJECT: Policy for Development and Implementation of System-Wide Improvement 

Frameworks (SWIFs) 

(7) IRRM plan, including a risk communication plan that addresses the risk to life 

increased by system-wide deficiencies; 

(8) Schedules and milestones that will be used to monitor progress and to determine 

continued eligibility for P.L. 84-99 rehabilitation assistance while the SWIF is being 

implemented; and 

(9) For those levee systems shown as accredited on the Federal Emergency Management 

Agency (FEMA) Flood Insurance Rate Map that are part ofthe SWIF, demonstration that FEMA 

has been informed that these levee systems with "Unacceptable" inspection items are being 

addressed in a system-wide improvement framework. Please note that an extension of eligibility 

for rehabilitation assistance through the SWIF process by USACE does not constitute an 

extension of accreditation for FEMA purposes. FEMA determines how a SWIF may or may not 

impact accreditation. 

8. Approval Process. The approval authority for reinstating eligibility for rehabilitation 

assistance under P .L. 84-99 via a Letter of Intent, and for acceptance of a SWIF is the Director of 

Contingency Operations and Homeland Security (DCO/HS) under USACE. District 

Commanders shall evaluate the levee sponsors' request for an extension, based on the criteria 

outlined in this memorandum. If the District recommends approval of an eligibility 

reinstatement, the District Commander shall forward this recommendation to the Division 

Commander for concurrence. The Division Commander will review the request and, if in 

concurrence, will endorse the recommendation and submit the request to the DCO/HS through 

the Regional Integration Team. The District and MSC Commanders shall coordinate these 

requests with their Levee Safety Officers for technical input. Eligibility reinstatement will not be 

implemented until the request is approved by DCO/HS. District Commanders are also 

responsible for monitoring levee sponsor milestones in implementing SWIFs, conducting 

reviews for eligibility extensions following initial reinstatement, submitting an accepted SWIF to 

the local FEMA regional office, and providing approval recommendations through the approval 

process described herein. · 

9. Progress Reporting and Continued P.L. 84-99 Eligibility. Once a Letter oflntent has been 

approved through the process in paragraph 8, a levee sponsor(s) has up to two years of reinstated 

rehabilitation assistance eligibility under P.L. 84-99 to develop a system-wide improvement 

framework. The District Commander shall review the levee sponsor's progress for development 

of the SWIF after the first year and, if deemed not satisfactory, the District Commander may 

recommend to the DCO/HS that the levee sponsor no longer be eligible for P .L. 84-99 

rehabilitation assistance. Eligibility after the two-year period for SWIF development will then be 

dependent on the levee sponsor's progress in achieving the milestones defined in the SWIF. 

Continued P.L. 84-99 rehabilitation assistance eligibility during the implementation of the SWIF 

7 
CECW-HS 

SUBJECT: Policy for Development and Implementation of System-Wide Improvement 

Frameworks (SWIFs) 

must be approved by the DCO/HS on a two-year basis following the process in paragraph 8. 

During implementation of the SWIF, continued P.L. 84-99 rehabilitation assistance eligibility 

requests should include a copy of the SWIF; description of accomplishments and milestones met; 

and description of any changes since the last SWIF was submitted. At a minimum, levee 

sponsors shall submit a memorandum to the District Commander annually that demonstrates 

system-wide improvement accomplishments. 

10. Overlap with Vegetation Variance Policy. The SWIF process may complement the 

vegetation variance request process, currently set forth in ER 500-1-1 and anticipated to be 

updated shortly in paragraph 1.d., as a means for a levee sponsor to address levee deficiencies. If 

required, a vegetation variance request can be part of the SWIF process. The SWIF offers an 

interagency approach to identify regional solutions and tools that may be useful in development 

of a vegetation variance request. The end result of the SWIF process will be levees that meet the 

USACE inspection standards, which may also include an approved vegetation variance. See 

enclosure for timelines for both the SWIF process and situations with existing vegetation 

variances or deviations from the standard. 

11. Levee Inspections. During implementation of the SWIF, levee systems with P.L. 84-99 

rehabilitation assistance eligibility will continue to be inspected, rated, and the results 

communicated in accordance with USACE inspection processes, paragraph 1.b. and other 

applicable guidance. Any "Unacceptable" inspection items identified during inspections will be 

recorded as such and be corrected in accordance with existing policy or noted to be corrected 

under a system-wide improvement framework. At any time that the condition of a deferred 

"Unacceptable" inspection item worsens to a point of creating an emergency condition, 

immediate corrective actions must be taken by the levee sponsor in order to retain eligibility for 

P .L. 84-99 rehabilitation assistance. 

12. Post-Flood Repair Responsibilities Associated with "Unacceptable" Inspection Items. Upon 

approval of the Letter of Intent by the USACE, levee sponsors who meet milestones will reniain 

eligible for post-flood repair throughout the SWIF development and implementation process; 

however, levee sponsors will continue to be responsible for the portion of that repair cost 

associated with "Unacceptable" inspection items in accordance withER 500-1-1, 

paragraph 5-2, g. 

13. Funding for USACE Participation in the SWIF Process. USACE review of requests 

submitted by levee sponsors for SWIF implementation and participation ofUSACE 

representatives in collaborative frameworks for developing SWIFs may be funded with 

Inspection of Completed Works funds for federally-authorized levee systems and Flood Control 

and Coastal Emergency funds for non-federal levee systems. USACE participation in 

8 
CECW-HS 

SUBJECT: Policy for Development and Implementation of System-Wide Improvement 

Frameworks (SWIFs) 

collaborative frameworks to address SWIF issues implemented through Silver Jackets (SJ) 

intergovernmental teams may use SJ funding. 

14. Point of Contact. The point of contact for this action is Ms. Germaine Hofbauer, 

(202) 761-4970. 

FOR THE COMMANDER 

Encl 

(~~~IfKAREN DURHAM-AGUILERA, P.E., SES 

Director of Contingency Operations 

and Homeland Security 

9 
Scenarios and Timelines for Attaining Compliance with USACE Standards 

SCENARIO B 

Levee is 

active and 

complies 

with current 

Vegetation 

Variance 

or Other 

Vegetation 

Deviation•• 

P.L. 84-99 Inactive 

2 year P.l. 84-99 eligibility Plan-specific timeline 

• At 1 year, District Commander reviews progress : g~g \ p~~!~~l ~~~~e~~[l~ :::~ I~~a s 

SWIF Plan 

Accepted 

SWIF Implementation 

Includes Planning environmental compliance 

I Timeline based on M or A rating 

Sponsor Maintains M or A Rating 

~ ff~~ ~~a~ at the issuance of the final PGL'" 2 year P.L. 84-99 extension Plan-spe<ific timeline 

Compliance 

with USACE 

Standards 

or Approved 

Variance 

Determine 

Path 

Forward 

(PGL * LOI) 

Up to 1 year 

P.L. 84-99 Active 

SWIF Letter of 

,..sw_IF _ _, Intent Submittal 

and Approval 

Process 

Sponsor 

Submits 

'----i Variance 

VARIANCE Request 

1 year (PGL•) 

SWIF Plan 

Development 

SWIF Plan 

Accepted 

Variance Review/Approval Process 

Varies based on request 

SWIF 

Implementation 

*PGL- reference paragraph 1.d. Timelines and policy for vegetation variances will be subject to the release of the final PGL. 

•• For vegetation variance or vegetation deviation that has not gone through the revised PGL referenced in 1.d. 

Note: Levees never in P.L. 84-99, not eligible for SWIF.