Order Code RL32064
CRS Report for Congress
Received through the CRS Web
Army Corps of Engineers
Water Resources Activities:
Authorization and Appropriations
Updated September 20, 2006
Nicole T. Carter
Analyst in Environmental Policy
Resources, Science, and Industry Division
H. Steven Hughes
Analyst in Environmental Policy
Resources, Science, and Industry Division
Congressional Research Service ˜ The Library of Congress
Army Corps of Engineers Water Resources Activities:
Authorization and Appropriations
Summary
Congress authorizes and appropriates funds for the U.S. Army Corps of
Engineers (Corps) to conduct water resources studies and projects for navigation,
flood and storm protection, ecosystem restoration, and an array of other purposes.
This report explains how the congressional authorization and appropriations process
overlays the Corps’ project development process. Special attention is given to
initiating a water resources study, the WRDA process, civil works appropriations,
and emergency response activities.
Authorization of Water Resources Activities. Congress authorizes Corps
studies generally as part of a Water Resources Development Act (WRDA) or in a
survey resolution passed by an authorizing committee. WRDAs, which often are
considered biennially, also include authorizations to construct projects and changes
to the policies guiding the Corps civil works program, such as the split of project
costs between the federal government and the non-federal project sponsors.
Agency Appropriations. Federal funding is provided for the civil works
activities of the Corps primarily through the annual Energy and Water Development
Appropriations Act. These appropriations acts also may include authorizations of
Corps activities; authorization provisions in appropriations provisions, however, may
be subject to congressional parliamentary points of order. Due in part to competition
for limited funding, many authorized activities do not receive appropriations,
resulting in a backlog of authorized construction and maintenance activities. Few
new studies and new construction activities have been included in the President’s
budget request in recent years.
Natural Disaster and Emergency Response Activities and Appropriations.
In addition to its role in water resources development, the civil works responsibilities
of the Corps include emergency and natural disaster response; some of this work is
conducted through mission assignments directed by FEMA and other work is
conducted independently through the agency’s natural disaster response authority.
Contents
Army Corps of Engineers and Its Civil Works Program . . . . . . . . . . . . . . . . 1
Initiating a Corps Project: Study Authorization . . . . . . . . . . . . . . . . . . . . . . . 1
Corps Project Development Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Water Resources Development Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Appropriations Energy and Water Development . . . . . . . . . . . . . . . . . . . . . . 6
Natural Disaster and Emergency Response Activities and Appropriations . . 7
National Response Plan Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Corps Natural Disaster and Emergency Response Authority . . . . . . . . 7
List of Tables
Table 1. Project Phases, Duration, and Federal Cost . . . . . . . . . . . . . . . . . . . . . . . 3
Army Corps of Engineers Water Resources
Activities: Authorization and Appropriations
Army Corps of Engineers and Its Civil Works Program
The U.S. Army Corps of Engineers (Corps) is a unique federal agency located
in the Department of Defense with military and civilian responsibilities. At the
direction of Congress under its civil works program, the Corps plans, builds,
operates, and maintains a wide range of water resources facilities.1 The Corps
attracts much congressional attention because its projects can provide significant
economic stimulation, locally and regionally, in addition to their basic resource
development purposes. Congress plays a significant role in the direction of the
agency’s civil works program, particularly through the authorization and
appropriations of studies and projects. In addition to its role in water resources
development, the civil works responsibilities of the Corps include emergency and
natural disaster response, such as flood fighting operations, structural repairs to
levees, and water supply assistance. Some of the agency’s emergency response work
is conducted through mission assignments directed by FEMA and other work is
conducted independently through the agency’s natural disaster response authority.
Within the Corps, projects are largely planned at the district level and approved
at the division and headquarters levels.2 The civil works program is headed by a
civilian Assistant Secretary of the Army for Civil Works. A military Chief of
Engineers oversees the Corps’ civil and military operations and reports on civil
works matters to the Assistant Secretary for Civil Works. The agency’s traditional
civil responsibilities are creating and maintaining navigable channels and controlling
floods. During the last decade, Congress has increased Corps responsibilities in the
areas of ecosystem restoration, environmental infrastructure (e.g., municipal water
and wastewater treatment systems), disaster relief, and other non-traditional
activities. For more information on current legislative issues related to the Corps’
civil works activities, CRS Report RL33504, Water Resources Development Act
(WRDA): Corps of Engineers Authorization Issues, coordinated by Nicole T. Carter.
Initiating a Corps Project: Study Authorization
A Corps project often begins with a request for assistance from a community
(e.g., citizens or businesses) or a local or state government entity with a water
resource need (e.g., navigation, flood or storm protection, or ecosystem restoration)
1 For more information on the Corps, its civil works program, and the types of projects that
it undertakes, see CRS Report RS20866, The Civil Works Program of the Army Corps of
Engineers: A Primer, by Nicole T. Carter and Betsy A. Cody.
2 The Corps has 9 civil works divisions and 41 districts. A division and district map is
available at [http://www.usace.army.mil/divdistmap.html].
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beyond its capability. Congressional sponsorship is generally necessary to
successfully initiate a study. The Corps generally requires two types of congressional
authority to initiate a study — study authorization, then appropriations.3
A study authority allows the Corps to investigate a problem and determine if
there is a federal interest in proceeding further. If the Corps has performed a study
in the geographic area before, a new study can be authorized by a resolution (known
commonly as a “survey resolution”) of either the House Transportation and
Infrastructure Committee or the Senate Environment and Public Works Committee.4
If the Corps has not previously investigated the area, the study needs to be authorized
in an act of Congress, typically a Water Resources Development Act, which is often
considered biennially.5 The majority of Corps studies are currently authorized by
survey resolutions. Once authorized, appropriations for Corps studies are sought
through the annual Energy and Water Development Appropriations Acts. The
objective of Corps studies is to guide the decision to authorize a Corps project for
construction. Early in the study process, the Corps assesses the level of interest and
support of non-federal entities that may be potential sponsors. Non-federal sponsors
are state, tribal, county, or local agencies or governments that join the Corps in the
effort. The authorizations of Corps studies generally are not time-limited; however,
there is a process to begin deauthorization of studies that have not received
appropriations for five years.
Corps Project Development Process
Non-federal sponsors are involved in not only identifying the water resources
needs, but also contributing to each phase of the development process. Since WRDA
1986 (P.L. 99-662), non-federal sponsors are responsible for a significant portion of
the financing of studies, construction, and operation and maintenance (O&M) of
most projects. Moreover, non-federal support is useful in shepherding a project
through the many stages from study initiation to final project construction.
3 Technical assistance and some small projects can be conducted under the Corps’
Continuing Authorities Programs without obtaining a study authorization or specific
appropriations. They are performed at the Corps’ discretion based on the availability of
funds. The Continuing Authorities Programs include beach erosion, navigation, flood
control, streambank and shoreline protection, snagging and clearing, modifications to
existing projects for the benefit of the environment, and aquatic ecosystem restoration.
4 To request a study’s inclusion in a resolution, a Member of Congress may send a letter to
the Chairman of the House Committee on Transportation and Infrastructure or the Senate
Committee on Environment and Public Works. House resolutions authorizing studies may
occur numerous times annually; Senate resolutions have been less common. The number
of studies authorized by resolution varies by Congress. The 105th Congress authorized 93
studies via survey resolutions; the 106th Congress authorized 92, and the 107th Congress
authorized 66. A survey resolution is permitted under the Rivers and Harbors Act of 1913
(33 U.S.C. §542) for the examination and review of an earlier Corps report. To be eligible
for authorization in a resolution, the new study must stay within the scope of the
authorization of the original report.
5 These acts are commonly distinguished from each other by including a reference to the
year of enactment; for example, WRDA 1986 refers to the act passed in 1986.
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There are three phases that a project passes through before construction begins:
reconnaissance study, feasibility study, and preconstruction engineering and design,
as shown in Table 1.6 All three are conducted under a single congressional study
authorization. The length of each phase varies project by project, with the size and
the complexity of a project typically resulting in a longer process.
Table 1. Project Phases, Duration, and Federal Cost
Preconstruction
Recon-
Feasibility
& Engineering
Construction O&M
naissance
Design
authorized
Duration
1
2-3 approx.
2
varies
project
(years)
duration
Federal
varies by
0% with
varies by project
Share of
100%
50%**
project
some
purpose
Costs*
purpose
exceptions
* For more information on federal and non-federal cost-share responsibilities for various project
purposes, see CRS Report RS20866, The Civil Works Program of the Army Corps of Engineers: A
Primer, by Nicole T. Carter and Betsy A. Cody.
** Inland waterways feasibility studies are a 100% federal responsibility (33 U.S.C. §2215). These
projects are not considered to be “local” by their nature, and therefore, do not require a non-federal
sponsor for the feasibility study.
The reconnaissance study is used to better understand the nature of the water
resources problem and to determine the likelihood of a plan that the Corps can
eventually implement that is in the federal government’s interest. The
reconnaissance study also examines the interest of non-federal sponsors who are
involved in all phases of project development. Corps policy is to complete most
reconnaissance studies within 12 months; the cost of reconnaissance studies and their
related project study plans are generally limited to $100,000 and done entirely at
federal expense. Around a third of the reconnaissance studies eventually lead to
feasibility studies; only 16 of every 100 reconnaissance studies undertaken by the
Corps lead to constructed projects.7
If a non-federal sponsor is found and the Corps recommends proceeding, a
feasibility study begins. Its objective is to formulate and recommend solutions to the
6 More information on the planning process is available in the Planning Guidance Notebook
(Engineer Regulation 1105-2-100), at [http://www.usace.army.mil/inet/usace-docs/eng-regs/
er1105-2-100/toc.htm], and the Project Partnership Kit (IWR Report 96-R-10), at
[http://www.iwr.usace.army.mil/plannersweb/docs/ppkit.pdf]. Corps policies are available
in its Digest of Water Resources Policies and Authorities (EP 1165-2-1), at
[http://www.usace.army.mil/inet/functions/cw/cecwp/digest/index.htm].
7 General Robert B. Flowers, Army Corps Chief of Engineers, “Oral Statement,” Reforms
to Address the Corps of Engineers Feasibility Studies, hearing before Senate Environment
and Public Works Subcommittee on Transportation and Infrastructure on March 15, 2001.
The hearing is hereafter referred to as Reform of Feasibility Studies hearing, March 15,
2001. The testimony is available at [http://www.senate.gov/~epw/stm1_107.htm#03-15-01].
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water resources problem. During the first few months of a feasibility analysis, the
local Corps district formulates alternative plans, investigates engineering feasibility,
conducts benefit-cost analyses, and assesses environmental impacts under the
National Environmental Policy Act of 1969 (NEPA, 42 U.S.C. §4321).8 The
evaluation of federal water resources projects, including Corps activities, is governed
by Principles and Guidelines for Water and Related Resources Implementation
Studies. An important outcome of the feasibility analysis is the determination of
whether the project warrants further federal investment (i.e., if the project has
sufficient National Economic Development benefits).
The cost of the feasibility and environmental studies is split equally between the
Corps and the non-federal project sponsor. The feasibility phase ends when the Chief
of Engineers signs a final recommendation on the project, known as the Chief’s
Report. In recent years, the Congress has used a favorable Chief’s Report as the basis
for authorizing projects.
The Corps sends an informational copy of the Chief’s Report to Congress when
it transmits the report to the Assistant Secretary and the Office of Management and
Budget (OMB). Since the mid-1990s, Congress has authorized a significant number
of projects based on these informational copies, prior to the projects receiving a full
review by the Assistant Secretary and OMB. Some recent WRDAs have also
included authorizations for projects that were still undergoing feasibility analyses;
these projects generally were authorized contingent on a Chief’s Report being
available by December 31 of the year the WRDA was enacted.9
The study phase — preconstruction engineering and design — that follows the
feasibility analysis takes about two years, on average, and is conducted while
pursuing congressional authorization for the project and construction funding. The
preconstruction costs are distributed between the federal and non-federal sponsor in
the same proportion as the cost-share arrangement for the construction phase. Once
the project receives congressional authorization, federal funds for construction are
sought annually in the Energy and Water Development Appropriations Act. The
federal cost-share for construction varies by project purpose. Non-federal parties are
responsible for all operation and maintenance expenses, absent a few exceptions
mainly for harbors and inland waterways.
A project is likely to undergo some changes after authorization. If project
features or the estimated project cost changes significantly, an additional
congressional authorization may be necessary. Authorization of a significant
8 Generally, the district produces an environmental impact statement (EIS) for a project
during the feasibility phase; however, projects, conducted under continuing authorities
programs may undergo a more limited environmental assessment. An important part of the
feasibility phase are public meetings that are normally held to determine the view of local
interests on the extent and type of improvement desired.
9 For more information on concerns that Corps projects are being authorized before a
complete review by the Assistant Secretary and OMB and that project planning is being
rushed by contingent authorizations, see CRS Report RL30928, Army Corps of Engineers:
Civil Works Reform Issues in the 107th Congress, by Nicole T. Carter.
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modification is typically sought in a WRDA. For less significant modifications,
however, additional authorization is often not necessary. Section 902 of WRDA
1986 allows for increases in total project costs of up to 20% due to modifications that
do not materially change the project’s scope or function without requiring additional
authorization. The authorization of Corps construction projects generally are not
time-limited; however, there is a process to begin deauthorization of projects that
have not received appropriations for seven years.
Water Resources Development Act
WRDAs are legislative vehicles that typically are exclusively dedicated to
authorizing Corps activities and establishing policies for Corps civil works activities,
such as cost-share requirements. Authorizations in WRDA usually fall under four
general categories: studies, projects, modifications to existing authorizations, and
programmatic authorizations.
Beginning in 1986, a biennial WRDA cycle has loosely been followed, with
WRDAs enacted in 1988 (P.L. 100-676), 1990 (P.L. 101-640), 1992 (P.L. 102-580),
1996 (P.L. 104-303), 1999 (P.L. 106-53), and 2000 (P.L. 106-541).10 Recent
WRDAs have each authorized projects whose potential federal appropriations could
reach between $3 billion and $4.3 billion; many of these WRDAs authorized or
modified the authorization of more than a hundred projects.11 Pressure to authorize
new projects, increase authorized funding levels, and modify existing projects is
often intense, thus promoting a fairly regular (if not always biennial) consideration
of WRDA. Controversial projects and policy changes have complicated the passage
of some WRDAs, or even derailed them until the next Congress. For example, some
Members of the 107th Congress were interested in including provisions in a proposed
WRDA 2002 to change how the Corps evaluates and undertakes projects (i.e., “Corps
reform”). A lack of Corps reform measures reportedly contributed to the bill not
being voted on by the House. The debate over whether or not to include Corps
reform provisions reportedly also played a role in the 108th Congress not enacting a
WRDA. For more information on current WRDA development, see CRS Report
RL33504, Water Resources Development Act (WRDA): Corps of Engineers
Authorization Issues, coordinated by Nicole T. Carter.
Once the House Committee on Transportation and Infrastructure or the Senate
Committee on Environment and Public Works decides to consider a WRDA,
Members of Congress may send a letter to the appropriate Committee Chair
requesting the inclusion of a study authorization, project authorization, or project
10 WRDA 1986 marked the end of a decade or more of stalemate between the Congress and
the Executive Branch regarding authorizations. In addition to authorizing numerous
projects, WRDA 1986 resolved long-standing disputes related to cost-sharing, user fees, and
environmental requirements. Prior to 1986, disputes over these and other matters had
largely prevented enactment of major civil works legislation since 1970. Biennial
authorizations were resumed after WRDA 1986 to avoid long delays between the planning
and execution of projects and for Congress to review proposed projects on a regular basis.
11 For example, WRDA 2000 authorized the construction of 155 projects, and 56 studies,
and modified the authorizations for almost 50 projects.
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modification.12 If the WRDA has been introduced in February or early March
(according to a traditional WRDA cycle), Committee staff generally recommend that
letters be sent by late spring; however, no formal deadline exists. The bill reported
by the Committee generally passes that chamber with few changes. Although the
appropriations process determines which studies and projects receive federal funds,
the essential character of a project is established during the authorization process and
is seldom modified substantially during appropriations.
Although Congress has historically authorized Corps projects as part of a
WRDA, authorizations have also been included in appropriations bills, especially in
years when passage of a WRDA has been delayed. Authorizations in appropriations
bills, however, are generally not encouraged as standard procedure and may be
subject to a point of order on the floor.
Appropriations Energy and Water Development
Each Congress, through a WRDA and survey resolutions, typically authorizes
dozens of new projects; however, many of these new studies and new construction
projects will not receive appropriations. Fiscal priorities and public attitudes in
recent decades have resulted in declining federal funding for water resources
activities, thus increasing competition for funding among authorized activities.13
Moreover during the 1990s and in 2000, Congress authorized not only navigation and
flood control projects, but also ecosystem restoration, environmental infrastructure
assistance, and other non-traditional activities. The Corps now has an estimated
“backlog” of more than 500 authorized projects.
To concentrate limited resources and to move projects through construction, the
Bush Administration has focused its budget request on funding priority projects and
those projects near completion that are for flood and storm damage reduction,
navigation, and environmental restoration. It has also substantially reduced
appropriation requests for new studies and eliminated the start of most new
construction projects.
Funding for the civil works program has often been a contentious issue between
the Administration and Congress, with final appropriations typically providing more
funding than requested, regardless of which political party controls the White House
and Congress. Given the backlog of authorized Corps activities and the limited
federal budget resources, Congress and the Administration are sometimes forced to
make difficult choices among competing authorized activities as they prepare annual
appropriations. One consequence of limited resources may be that the appropriated
funds for an individual study or project are insufficient to permit the optimum
programming of work by the Corps. Members of Congress may request that
appropriations for a Corps activity be included (or altered) in an Energy and Water
12 Congress generally receives the Administration’s WRDA proposal during February of
the second year of a Congress, at the same time as the President’s budget.
13 For example, the civil works budget has experienced a substantial decline in real dollar
amounts; the annual funding (in 2004 dollars) for the Corps’ construction account fell from
an average of $4.5 billion in the mid-1970s to $1.8 billion in the mid-2000s.
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Development appropriations bill by sending a letter to the subcommittee chair or the
ranking member of the Appropriations Subcommittee on Energy and Water
Development. In recent years, recommended deadlines for these requests have been
in March or April for both the House and Senate. Once appropriations have been
allocated for a Corps activity, funding requests for subsequent years are typically
accorded priority until the study or construction is complete. However, fiscal
constraints and Administrative priorities in recent years have resulted in deviations
from this pattern.
Natural Disaster and Emergency Response Activities
and Appropriations
National Response Plan Activities. The Stafford Act (42 U.S.C. §5170b)
authorizes FEMA to direct Department of Defense to use its resources to provide
assistance in the event of a major disaster or emergency declaration by the President.
Under the National Response Plan,14 the Corps is designated as the coordinator for
emergency support for public works and engineering. Public works and engineering
support include technical assistance, engineering, and construction management as
well as emergency contracting, power, and repair of wastewater and solid waste
facilities. The Corps also is charged with providing assistance in monitoring and
stabilizing damaged structures and demolishing structures designated as immediate
hazards to public health and safety. The Corps’ funding for these activities is
provided through FEMA appropriations, often through supplemental appropriations
legislation.
Under the National Response Plan, the Corps’ responsibilities include
managing, monitoring, and providing technical assistance in clearing, removing, and
disposing of contaminated and uncontaminated debris from public property, and the
establishing of ground and water routes into affected areas. The management of
contaminated debris is coordinated with the U.S. Environmental Protection Agency
(EPA) which is responsible for hazardous materials. Similarly, as part of the Corps’
role in emergency response for public works and engineering, the agency manages
the repair, replacement, and restoration of public water and wastewater systems in
conjunction with other federal agencies, such as EPA, and state and local authorities,
as appropriate.
Corps Natural Disaster and Emergency Response Authority. In
addition to work performed as part of the National Response Plan, P.L. 84-99 (33
U.S.C. §701n) provides the Corps authority for emergency response and disaster
assistance.15 It authorizes disaster preparedness, advance measures, emergency
operations (disaster response and post-flood response), rehabilitation of flood control
14 Section 502(6) of the Homeland Security Act of 2002 authorized the Secretary of
Homeland Security to consolidate federal government emergency response plans into a
single, coordinated National Response Plan. The text was available at
[http://www.dhs.gov/dhspublic/display?theme+14&content=4264].
15 The Corps also has other authorities that have emergency response (e.g., an Emergency
Streambank and Shoreline Erosion Protection program) and recovery-related components
(e.g., a Snagging and Clearing for Flood Control program).
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works threatened or destroyed by floods, protection or repair of federally authorized
shore protection works threatened or destroyed by coastal storms, emergency
dredging, and flood-related rescue operations. These activities are limited to actions
to save lives and protect improved property (public facilities/services and residential
or commercial developments). Although the Corps’ account paying for these
activities may receive some appropriations in the annual Energy and Water
Development Appropriations acts, this initial appropriation is often supplemented
with emergency appropriations based on the specifics of the emergencies being
addressed.