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 ofSystem-Wide Improvement Frameworks (SWIFs)

1. References.

a. Engineer Regulation (ER) 500-1-1, Emergency Employment ofArmy 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 ofone ormore segments ofearthen embankment or floodwall, 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 onthe U.S. Army Corps of Engineers (USACE) levee inspection checklist. Anunacceptable item or a combination of unacceptable items may lead to an overall levee-system rating ofunacceptable.

c. A SWIF is a plan developed bythe 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 ofunacceptable inspection items, in a prioritized way to optimize flood risk reduction.CECW-HS SUBJECT: Policy for Development and Implementation ofSystem-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 potentiallyreduced response times, heightened public communication campaigns to inform citizens ofthe 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 ofparticipating flood risk reduction projects, such as levee systems. All levee systems that participate in P.L. 84-99 are inspected byUSACE and rated against nationally consistent standards that USACE determined to be essential for the reliable performance ofthe levee system. Levee systems that have received an "Acceptable" or "Minimally Acceptable" overall system rating onthe 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 ifthey are damaged by a flood event. Levee systems that receive an "Unacceptable" overall system rating orthat choose to no longer participate inthe 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 wayto facilitate the development ofsolutions to satisfy the multiple requirements that apply to their levee systems while allowing levee sponsors participating inthe 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 ofthe 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 onrisk, and establish frameworks for coordinating overlapping or complementary programs and requirements.

2CECW-HS SUBJECT: Policy for Development and Implementation ofSystem-Wide Improvement Frameworks (SWIFs)

d. Environmental compliance and consideration ofother 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 affectthe environment or other resources; however, the levee sponsor involved inthe SWIF process may be required to provide background information/documentation, mitigation, or other measures necessary to fulfill environmental compliance responsibilities as a condition oftheir participation in the P.L. 84-99 rehabilitation assistance program.

e. The SWIF canbe 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 ofauthorized protection) in additionto "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 ofboth levee safety and environmental requirements are adequately served; (4) Additional time and coordination to protect the rights ofTribes 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 ofinteragency teams tojointly 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 ofa SWIF that will assist levee sponsors in attaining compliance with USACE standards; and,

3CECW-HS SUBJECT: Policy for Development and Implementation ofSystem-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 ofFlood 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 maybe placed in an "Active" status following an initial eligibility inspection byUSACEthat 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 ofthe levee system. Levee systems that receive an "Acceptable" or "MinimallyAcceptable" overall inspectionrating 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-inspectionby the responsible USACE district office. Levee systems engaged inthe 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. Forthese situations, the approval process outlined inparagraph 8 is notrequired; however, this process cannotbe used to extend "Minimally Acceptable" ratings for levees with "Unacceptable" inspection items beyond the current two-year maximumperiod as specified inthe USACE levee inspection checklist.

4CECW-HS SUBJECT: Policy for Development and Implementation ofSystem-Wide Improvement Frameworks (SWIFs)

c. Transitioning "Acceptable" or "Minimally Acceptable" Levees. Levees sponsors with levees that are "Active" inthe rehabilitation assistance programunder an existing vegetation variance or deviation from the standard that want to use the SWIF process to transitionto a new vegetation inspection standard through the vegetation variance request process, orthat would like to systematically improve the condition ofparticipating 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 inspectionrating of"Unacceptable" orhave been "Inactive" in the rehabilitation programmay regain eligibility for P.L. 84-99 rehabilitation assistance through the SWIF process. Upon approval by USACE ofthe letter ofintent, requirements described below, the levee sponsor will receive an initial ofup to two-year reinstatement ofeligibility for P.L. 84-99 rehabilitation assistance. Continued eligibility will be determined annually based on milestones described inthe subsequent SWIF. Levee sponsors who have neverbeen 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 ofa SWIF. The development ofa SWIF is a two-step process consisting of(1) a Letter ofIntent from the sponsor briefly describing levee system deficiencies andjustification for how a system-wide approach will optimize flood risk reduction, and (2) development ofa SWIF for addressing deficiencies and reducing flood risk. Once a Letter ofIntent has been approved byUSACE, a levee sponsor has up to two years to develop a SWIF plan. Eligibility after this two-year period will be dependent onthe levee sponsor's progress in achieving the milestones defined inthe SWIF. The SWIF plan is intended to be a specific document that guides sponsor activities, including anticipated milestones, but may also be adaptable and shouldbe revised ifconditions 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 oflevee system or systems to be covered by the SWIF, including system name and system identification number as listed inthe National Levee Database; (2) Briefdescription ofdeficiencies or issues that will be included inthe SWIF and discussion ofhow a system-wide approach will improve and optimize overall flood risk reduction. This includes identifying any conditions not within the control ofthe levee sponsor(s) that prevents them from correcting "Unacceptable" inspection items in a timely manner; 5CECW-HS SUBJECT: Policy for Development and Implementation ofSystem-Wide Improvement Frameworks (SWIFs)
(3) Demonstration that significant non-federal resources have been, orwill 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) Briefdescription ofexisting or planned interagency collaborative efforts that will contribute positively to SWIF development, implementation and oversight; and (6) List ofanticipated state and federal permits and consultation requirements, needed to implement the SWIF. b. Requirements for Submittal ofa 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 bythe system-wide improvement framework, including system name and identification number as listed in the National Levee Database; (2) Description ofproposed levee improvement andjustification onhowthe SWIF optimizes flood risk reduction; (3) A plan and schedule for interagency collaboration, including environmental and/or Tribal consultation ifapplicable, in the implementation ofthe SWIF; (4) Documentation ofspecific agreements, such as project specific agreements, between levee sponsors and USACE or other agencies/organizations related to implementation oflevee 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 ofany regional considerations, approaches, and tools to be used during implementation ofthe system-wide improvement framework; (6) Description ofinterim maintenance standards that will be implemented during the SWIF to mitigate conditions ofuncorrected "Unacceptable" inspection items;

6CECW-HS SUBJECT: Policy for Development and Implementation ofSystem-Wide Improvement Frameworks (SWIFs)
(7) IRRMplan, including a risk communicationplan 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 onthe Federal Emergency Management Agency (FEMA) Flood Insurance Rate Map that are part ofthe SWIF, demonstrationthat 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 ofeligibility for rehabilitation assistance through the SWIF process by USACE does not constitute an extension ofaccreditation 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 ofIntent, and for acceptance ofa 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 onthe criteria outlined inthis memorandum. Ifthe Districtrecommends approval ofan eligibility reinstatement, the District Commander shall forward this recommendation to the Division Commander for concurrence. The Division Commander will reviewthe request and, ifin 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 withtheir 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 oflntenthas been approved through the process inparagraph 8, a levee sponsor(s) has up to two years ofreinstated 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 ofthe SWIF after the first year and, ifdeemed 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 inthe SWIF. Continued P.L. 84-99 rehabilitation assistance eligibility during the implementation ofthe SWIF 7CECW-HS SUBJECT: Policy for Development and Implementation ofSystem-Wide Improvement Frameworks (SWIFs)

must be approved by the DCO/HS on a two-year basis following the process inparagraph 8. During implementation ofthe SWIF, continued P.L. 84-99 rehabilitation assistance eligibility requests should include a copy ofthe SWIF; description ofaccomplishments and milestones met; and description ofany 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 requestprocess, currently set forth inER 500-1-1 and anticipated to be updated shortly inparagraph 1.d., as a means for a levee sponsor to address levee deficiencies. If required, a vegetation variance request can be part ofthe SWIF process. The SWIF offers an interagency approach to identify regional solutions and tools that may be useful in development ofa vegetation variance request. The end result ofthe SWIF process will be levees that meet the USACE inspection standards, which may also include an approved vegetation variance. See enclosure for timelines for boththe SWIF process and situations with existing vegetation variances or deviations from the standard. 11. Levee Inspections. During implementation ofthe 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 ornoted to be corrected under a system-wide improvement framework. At any time that the condition ofa deferred "Unacceptable" inspection item worsens to a point ofcreating 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 ofthe Letter ofIntent 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 ofthat 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 ofrequests submitted by levee sponsors for SWIF implementation and participation ofUSACE representatives in collaborative frameworks for developing SWIFs may be funded with Inspection ofCompleted Works funds for federally-authorized levee systems and Flood Control and Coastal Emergency funds for non-federal levee systems. USACE participation in

8CECW-HS SUBJECT: Policy for Development and Implementation ofSystem-Wide Improvement Frameworks (SWIFs)

collaborative frameworks to address SWIF issues implemented through Silver Jackets (SJ) intergovernmental teams may use SJ funding. 14. Point ofContact. The point ofcontact for this action is Ms. Germaine Hofbauer, (202) 761-4970. FOR THE COMMANDER

Encl

# (~~~IfKAREN DURHAM-AGUILERA, P.E., SES Director ofContingency 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 2year P.l. 84
-99 eligibility P lan

-

specific timeline • A

t 1year, Dis trict Commander reviews progress 

### :**g~g \** **p~~!~~l ~~~~e~~[l~** **:::~ I~~a** **s** SWIF Plan Accepted SWIF Implementation

Includes Pla n n ing environmental compliance I Timeline based on M orA rating

Sponsor Maintains M or A Rating**~ ff~~** **~~a~** atthe issuance ofthefinal P G L'" 2year P

.L. 84
-99 extension Plan-spe<ific timeline Compliance with USACE Standards orApproved Variance

Determine Path Forward (PGL* LOI)

Up to 1year

P

.L. 84-99Active SWIF Letter of ,..sw_IF

_ _, Intent Submittal and Approval Process

Sponsor Submits '----i Variance V A

RIANCE Request

1year (PGL•) SWIF Plan Development SWIF P lan Accepted

Variance Review /Approval Process

Varies based on r eques t SWIF Implementation

*PGL- reference paragraph 1.d

. Timelines and policy for vegetation variances will be subject to the release ofthe final PGL.
•• For vegetation variance orvegetation deviation that has not gone through the re vised PGL re ferenced in 1 .d

. N ot

e: L

evee sne v e r in P.L. 84

-99, no t eligiblefor SWIF

.