1.   Corps of Engineers Planning/Study Processes

  1. General – The Corps of Engineers civil works water resources planning process is divided into two phases – the reconnaissance phase and the feasibility phase. The reconnaissance study phase is first, the feasibility study phase is second. Through the development of these two study phases, the Corps of Engineers determines whether or not the Federal government should spend Federal money on a water resources development project. Those projects could involve reduction of flood damages, inland waterway navigation or restoration of river ecosystems. The Ohio River Basin Comprehensive Study is a reconnaissance level study, but it does consider the operation of existing Corps of Engineers projects as well as the potential for new projects. Both study phases are described in more detail below.
  2. Reconnaissance Study Phase – The reconnaissance planning phase is initiated through Congressional legislation and is funded 100% by the Federal Government. The purposes of the reconnaissance study are:
    1. to assess what water resources problems, needs and opportunities exist within a defined study area such as the Ohio River Basin,
    2. whether there are feasible solutions to those problems and3) whether there is a defined Federal Interest in the potential solution(s) to the problem.

    The determination of a Federal Interest in a variety of project situations has been defined by Congressional legislation. Also the reconnaissance study must identify a willing and financially capable sponsor (city, county, or state agency) that can cost share in the next study phase – the feasibility study phase. This reconnaissance study phase usually lasts 12 months but can be extended to 18 months. Study expenditures are limited to $100,000, but can be increased with approval for large or very complex studies. This Ohio River Basin Study has been approved for both time extensions and cost increases to complete the study.

  3. Feasibility Study Phase – The feasibility study phase normally follows the reconnaissance study phase when a feasible project is identified. The feasibility study cost is shared between the Federal Government and a project sponsor on a 50%-50% matching basis. The non-federal sponsor may be a city, county, or state government or an eligible non-profit organization. Feasibility studies include engineering, hydrology and hydraulic analyses, geotechnical (geology and soils) analyses, plan development, environmental assessments, and economic analyses of an array of potential project alternatives. The purpose of the feasibility study is to identify the best plan for construction. The feasibility phase can take 2-3 years to complete depending upon the scope and complexity of the study. The environmental impacts of the project are assessed through the requirements of the National Environmental Policy Act, as amended. Whether there will be any feasibility studies following the Ohio River Basin Comprehensive Study is unknown at this time.

2.    Corps of Engineers Project/Study Authorities

  1. General – The Corps of Engineers is divided into two separate but cooperating components of the US Army. There is the civil works component that addresses water resources projects such as dams, levees, and navigation locks and dams on the Ohio River and the military projects component that works on development of military installations and facilities. As a planning, design and construction arm of the United States Army, the civil works component requires two Congressionally-provided pieces of legislation to do its work, they are:
    1. Congressional authority in legislation passed by the Congress (signed by the President) to plan, design and construct a water resources project, and
    2. Annual appropriations of Federal funds by Congressional legislation (also signed by the President) that can be used as a match with local funding to plan, design and build the project (see section e. below on appropriations).

    The Corps has two types of project development authorities: one is a “standing authority” and one is a “project specific authority”. Both types of authorities are provided to the Corps of Engineers by the Congress. Standing authorities allow the Corps to engage in certain small projects without going back to Congress for approval. For much larger, more expensive and complex projects like dams and levees and navigation locks, the Corps must request a specific authority from Congress to construct the project. Usually, the feasibility study described above is the document that Congress uses to authorize a project for construction. The standing authorities and project specific authorities are described below.

  2. Planning Assistance to States (PAS) – Planning Assistance to States (PAS) is a Corps of Engineers standing authority conferred by Congress that enables the Corps to provide planning services to individual states. The planning work must concern water resources issues that would not otherwise be addressed through the reconnaissance and feasibility study phases above. The cost of PAS studies are shared with the state government at a 50%-50% matching rate. Planning studies can include floodplain delineations, mapping, hydrology studies, watershed assessments, and other water resources related studies as the state(s) may be willing to cost share in. The Federal share limit for the PAS program is $2.0 million dollars per state.
  3. Continuing Authorities Program (CAP) – The Continuing Authorities Program (CAP) is a standing authority for the Corps of Engineers created through Congressional legislation. The CAP authorities are divided into categories such as small flood control projects, emergency streambank protection, aquatic ecosystem restoration, navigation, snagging and clearing of stream corridors, modifications of existing projects for improving the environment and several others. These small projects can be initiated by qualified non-Federal sponsors through a written request to the local Corps District. Initial planning studies are 100% Federally-funded, but all detailed planning, design and construction is cost shared. Contributed work and services provided by the non-Federal sponsor may be applicable for certain categories of the CAP authority.
  4. Section 216 of the River and Harbor and Flood Control Act of 1970 – The Section 216 authority is a standing authority that is used to investigate the modification of existing projects or their operational characteristics when found advisable due to significantly changed physical or economic conditions or for improving the quality of the environment in the overall public interest. The initial project investigations are conducted using 100% Federal funds. The results of the initial investigation can be used to support initiation of a reconnaissance report and following feasibility study as described above to address any necessary modifications to the existing project. This authority can be used to address issues at both operating dams and local protection projects such as levees and floodwalls.
  5. Water Resources Development Acts –The Water Resources Development Acts (WRDA) are federal legislation enacted by Congress and signed into law by the President on a recurring basis. The last WRDA legislation was passed in 2007. Specifically named authorities for project construction, planning studies, project design, and other civil works water resources development can be included in the Acts by Congress. Generally projects included for construction in the Water Resources Development Acts have moved successfully through the Corps’ two-phase planning process (reconnaissance and feasibility phases) described above. Project construction or study authorities may be different sizes covering an entire river basin, a watershed, an entire county or a city/town. The WRDA authorities can address flooding damages, navigation, ecosystem restoration, recreation, hydropower, water supply and other purposes. Many of the current projects operating within the Ohio River Basin (dams and reservoirs, locks and dams for navigation and levees and floodwalls) were approved through the enactment of a Water Resources Development Act by Congress.
  6. Water Resources Development Appropriations Acts – All of the Corps of Engineers’ Federal funds for planning, design, construction of new projects and operation and maintenance of existing project comes through annual Water Resources Development Appropriations Acts initiated by Congress and signed by the President. Most new projects require that the costs of the project be shared with another non-Federal government entity such as a state, county or city. The annual Water Resources Development Appropriations Act provides the Federal share of the project and state, county or city funds provide the matching amounts. Planning studies such as the Ohio River Basin Comprehensive Study described in this web site are funded through these annual Federal appropriations acts.

3.   The Ohio River Basin Comprehensive Study (ORBCS)

  1. General – The last time that the Corps of Engineers studied the Ohio River Basin flood protection system for reducing flood damages was in 1968. Many aspects of American life and people’s needs and expectations of the existing system of dams, reservoirs and levees and floodwalls have changed in those past 40 years. This study is meant to assess what those new needs are and to forge a pathway forward for making the system reliable and relevant to this region and the nation for the future. The Ohio River Basin Comprehensive Study is a Corps of Engineers’ planning effort at the reconnaissance study level (see the reconnaissance study description above). This study process will not result directly in construction of any new projects or rehabilitation of an existing project and should not be considered a cure-all for the many problems in the region. The study was initially funded by Congress in 2008 and received additional funds in 2009. As a reconnaissance study the funding is 100% federal without any non-Federal funding match. The study is scheduled to be completed in December 2009.
  2. Study Purposes – The purposes of the Ohio River Basin Comprehensive Recon Study are to:
    1. Assess what the problems, needs and opportunities of the existing flood protection infrastructure are (from the viewpoint of the Corps of Engineers, and the stakeholders) and determine what addition infrastructure/programs/projects may be needed to address gaps in the system;
    2. Define a Federal Interest in pursuing additional water resources studies that would address solutions to the defined problems, needs and opportunities;
    3. Identify willing and capable non-federal sponsors that would share in the costs of the additional studies.
  3. Objectives – There are several preliminary objectives developed for the Ohio River Basin Comprehensive Study. Those objectives include the following :
    • Identify problems, needs & opportunities
    • Determine Federal Interest/do potential solutions fall within the missions of the Corps
    • Identify key stakeholders within the basin
    • Support formation of a collaborative partnership
    • Develop a strategic plan framework for addressing basin-wide water resource issues
    • Complete an inventory of all Corps flood control projects
    • Develop a comprehensive GIS database that identifies the private & public assets
    • Identify sources of funding to ensure availability of resources to maintain the Basin projects
  4. Corps of Engineers Study Team – The Corps of Engineers study team for the Ohio River Basin Comprehensive Study is composed of experienced water resources planning professionals from 4 Corps of Engineers Districts within the Great Lakes and Ohio River Division. Those 4 Districts include Huntington, Louisville, Nashville and Pittsburgh. In addition, advisory assistance is being provided during the study by the three Great Lakes Corps Districts (Buffalo, Chicago and Detroit) as well as the senior staff at the Great Lakes and Ohio River Division office in Cincinnati, OH.
  5. Anticipated Study Outputs – Since the Ohio River Basin Comprehensive Study is a reconnaissance level study the Corps is restricted to making recommendations only to conduct further studies (the feasibility study discussed above) to better define problems and develop more detailed plans for solving those problems. Also the Corps can proceed to initiate a project through one of the standing authorities also mentioned above provided that the project is eligible under the rules of the standing authorities. Neither project design nor project construction can be recommended from the reconnaissance study phase. Therefore the study outputs from the Ohio River Basin Comprehensive Plan may be a variety of further study recommendations for various water-related problems common to the basin, one or more separate and distinct watershed(s) in the basin, or a county or a city or town in the basin. The studies may take the form of a feasibility study (see above) or a watershed assessment and management plan or more detailed planning and design of small project under a standing authority such as the CAP or PAS programs mentioned above.