Download version 0.1 of EP 1130-2-500 Partners and Support Work Management Guidance and Procedures.pdf

Download version 0.1 of EP 1130-2-500 Partners and Support Work Management Guidance and Procedures.pdf
CECW-O
Department of the Army
EP 1130-2-500
U.S. Army Corps of Engineers
Pamphlet No.
1130-2-500
Washington, DC 20314-1000
Project Operations
PARTNERS AND SUPPORT
(WORK MANAGEMENT GUIDANCE
AND PROCEDURES)
Distribution Restriction Statement
Approved for public release; distribution is unlimited.
27 Dec 96
DEPARTMENT OF THE ARMY
U.S. Army Corps of Engineers
Washington, D.C. 20314-1000
CECW-O
EP 1130-2-500
Pamphlet
No. 1130-2-500
27 December 1996
Project Operations
PARTNERS AND SUPPORT
(WORK MANAGEMENT GUIDANCE AND PROCEDURES)
TABLE OF CONTENTS
Paragraph
Page
1-1
1-2
1-3
1-4
1-1
1-1
1-1
1-3
CHAPTER 1 - Introduction
Purpose
Applicability
References
Glossary
CHAPTER 2 - Project Manuals
Reserved.
2-1
CHAPTER 3 - Major Rehabilitation Program
Purpose
Background
Rehabilitation Categories
Guidance
3-1
3-2
3-3
3-4
3-1
3-1
3-1
3-1
CHAPTER 4 - Program Evaluation Through a Peer Review Process
Reserved
4-1
CHAPTER 5 - Project Maintenance
Reserved.
5-1
CHAPTER 6 - Sign Standards Program for Civil Works Projects
Purpose
Background
Guidance
6-1
6-2
6-3
i
6-1
6-1
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Paragraph
Page
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7-2
7-1
7-1
7-3
7-4
7-5
7-6
7-7
7-1
7-1
7-1
7-5
7-7
CHAPTER 7 - Plant
Purpose
Guidance
Section I. Design, Acquisition, and Construction
Purpose
Background
Guidance - Improvement Programs and Authorities
Guidance - Designs, Plans, and Specifications
Guidance - Standards and Inspection of Construction
Section II. Floating Plant Identification and Record Information
Purpose
Guidance
Descriptive Data
Photographs of Plant
Vessel Registration
7-8
7-9
7-10
7-11
7-12
7-9
7-9
7-14
7-19
7-20
Section III. Floating Plant Inspection, Maintenance, Operation, and Repair
Purpose
Guidance
Authorities for Acquisition and Repair
7-13
7-14
7-15
7-20
7-20
7-25
7-16
7-17
7-18
7-19
7-25
7-25
7-26
7-26
Section IV. Corps of Engineers Marine Engineering Board
Purpose
Background and Composition
Functions of the Board
Responsibilities
CHAPTER 8 - Corps of Engineers Energy Program (CEEP)
Reserved.
8-1
CHAPTER 9 - Cooperating Associations Program
Purpose
Guidance - General
Guidance - Administration
9-1
9-2
9-3
9-1
9-1
9-1
10-1
10-2
10-1
10-1
CHAPTER 10 - The Corps of Engineers Volunteer Program
Purpose
Background
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Paragraph
Guidance
Protection and Benefits
Identification
Reports
Forms
Page
10-3
10-4
10-5
10-6
10-7
10-1
10-3
10-4
10-4
10-4
11-1
11-2
11-3
11-4
11-5
11-6
11-1
11-1
11-1
11-2
11-3
11-3
12-1
12-2
12-3
12-4
12-5
12-6
12-1
12-1
12-1
12-2
12-2
12-2
CHAPTER 11 - Contributions Program
Purpose
Background
Guidance
Accounting and Reports
Promotion
Recognition and Publicity
CHAPTER 12 - Challenge Cost-sharing Program
Purpose
Background
Guidance
Accounting and Reports
Promotion
Recognition
CHAPTER 13 - Civil Works Housing
Reserved
13-1
CHAPTER 14 - Aquatic Plant Control Program
Purpose
Background
Guidance
Management Operations
Reviews and Reports
14-1
14-2
14-3
14-4
14-5
14-1
14-1
14-1
14-3
14-3
CHAPTER 15 - Acquisition of Plant, Ownership, and Financial Management
Reserved.
15-1
CHAPTER 16 - Accessibility
Reserved.
16-1
APPENDIX A - References
A-1
APPENDIX B - Rehabilitation Evaluation Report
B-1
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APPENDIX C - Conceptual Approach for Analyzing Rehabilitation.
C-1
APPENDIX D - Introduction to an Assessment of Structural Reliability
D-1
APPENDIX E - Benefits Evaluation Procedures
E-1
APPENDIX F - Example of Combining Risks and Consequences
F-1
APPENDIX G - Examples of Potential Entries and Descriptive Footnotes to
Support Table 3-1 of Appendix B.
G-1
APPENDIX H - Hydropower Evaluations Considerations
H-1
APPENDIX I - Outline of a Typical Design Memorandum for a Hopper Dredge
I-1
APPENDIX J - Typical Plant Identification Illustrations
J-1
APPENDIX K - Size and Spacing of Identification Designations
K-1
APPENDIX L - Agreement Between USACE and US Coast Guard
L-1
APPENDIX M - COE Motorboat License- General Requirements
M-1
APPENDIX N - Coast Guard Approved Personal Floatation Devices
N-1
APPENDIX O - Corps of Engineers Marine Engineering Board Membership
O-1
APPENDIX P - Sample Agreement
P-1
APPENDIX Q - Sample Cooperating Association Articles of Incorporation and By-Laws
Q-1
APPENDIX R - ENG Forms 4880-R, 4881-R, 4882-R and 4883-R
R-1
APPENDIX S - Sample Certificate of Appreciation
S-1
APPENDIX T - Sample Challenge Cost-Sharing Financial Work Sheet
T-1
APPENDIX U - Sample Challenge Cost-Sharing Agreement
U-1
APPENDIX V - Reconnaissance Reports Information Requirements
V-1
APPENDIX W - Model Detailed Study Cost-Sharing Agreement
W-1
APPENDIX X - Model Local Cooperation Agreement
X-1
APPENDIX Y - Information Requirements for Environmental Assessments
and Impact Statements
Y-1
APPENDIX Z - Minimum Work Requirements
Z-1
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APPENDIX AA - Annual Work Plans
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CHAPTER 1 - INTRODUCTION
1-1. Purpose. This operations and maintenance (O&M) pamphlet establishes guidance and
procedures for the management of activities at U.S. Army Corps of Engineers water resource
development projects and supplements Engineer Regulation (ER) 1130-2-500.
1-2. Applicability. This pamphlet is applicable to all USACE commands having responsibility for
civil works functions.
1-3. References. See Appendix A.
1-4. Glossary.
a. Accepting official. The accepting official is the Corps staff member designated to
accept the services of volunteers and responsible for the proper observance of regulations while
services are performed.
b. Hosted worker. A hosted worker is an individual who performs services for the Corps
of Engineers for no compensation, but is compensated in some way by another organization or
agency. A hosted worker is considered a volunteer.
c. Incidental expenses. Incidental expenses are those out-of-pocket expenses which a
volunteer may incur in performing a service for the Corps. Incidental expenses are different from
the expenses the Corps would accrue in providing materials or overhead associated with the
service a volunteer performs.
d. Voluntary Service. Voluntary service is official Government business, having some
value to the Corps, conducted by volunteers under the direction of a paid Corps staff member.
e. Volunteer. A volunteer is any person who performs work for the Corps of Engineers
for which he or she receives no pay from the Corps. A volunteer is not an employee of the United
States Government except for the purposes of Chapter 171 of Title 28 of the United States Code,
relating to tort claims, and Chapter 81 of Title 5 of the United States Code, relating to
compensation for work injuries.
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CHAPTER 2 - PROJECT MANUALS
Reserved.
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CHAPTER 3 - MAJOR REHABILITATION PROJECTS
3-1. Purpose. This chapter establishes guidance for preparation and submission of Major
Rehabilitation Project Evaluation Reports for annual program and budget submissions.
3-2. Background. Major rehabilitation projects began to be budgeted under Construction,
General and Flood Control, Mississippi River and Tributaries (construction element)
appropriation accounts in FY 1993. Major rehabilitation new starts have to compete with other
types of new construction starts for scarce resources. To successfully compete as new starts,
Rehabilitation Evaluation Reports and supplemental information sheets will have to provide a
level of detail and evidence of criticality commensurate with other Civil Works new starts.
3-3. Rehabilitation Categories. Major rehabilitation shall consist of either one or both of two
mutually exclusive categories - Reliability or Efficiency Improvement.
a. Reliability:
(1) Rehabilitation is major project feature restoration consisting of structural work on a
Corps operated and maintained facility such as a lock, dam, hydropower plant, etc., intended to
improve reliability of an existing structure, the result of which will be a deferral of capital
expenditures to replace the structure.
(2) Rehabilitation will be considered as an alternative when it can significantly extend the
physical life of the feature and can be economically justified by benefit-cost analysis. The work
will extend over at least two full construction seasons and will require over $5.0 million in capital
outlays; for Inland Navigation Projects initially funded in FY 1994, the reliability threshold will be
over $8.0 million.
b. Efficiency Improvement: The Efficiency Improvement category will enhance
operational efficiency of major project components. Operational efficiency will increase outputs
beyond the original project design. Efficiency Improvements will require over one million dollars
funded in FY 1994 in capital outlays on a component which does not exhibit reliability problems.
c. The dollar amounts referred in paragraphs above shall be adjusted annually according
to the economic assumption published each year as guidance in the Annual Program and Budget
Request for Civil Works Activities of the Corps of Engineers.
3-4. Guidance.
a. Required document preparation. Features recommended for new starts will be
complete with PB-2a, project map, and an approved Rehabilitation Evaluation Report. Fifteen
copies of the Major Rehabilitation Evaluation Report will be submitted for approval to CECWAR by 15 March of the BY-2. Preparation guidance for the Rehabilitation Evaluation Report is
contained in Appendix B.
b. Rehabilitation will not consist of routine or deferred maintenance, which will continue
to be considered in the U.S. Army Corps of Engineers Operation and Maintenance, General
budget appropriations.
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c. In determining whether project work falls within the dollar thresholds set forth in
paragraphs 3-3., the dollar value of work on separate projects shall not be aggregated, even if
within the same river or waterway system.
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CHAPTER 4 - PROGRAM EVALUATION THROUGH A PEER REVIEW PROCESS
Reserved.
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CHAPTER 5 - PROJECT MAINTENANCE
Reserved.
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1 June 2006
CHAPTER 6 - SIGN STANDARDS PROGRAM FOR CIVIL WORKS PROJECTS
6-1. Purpose. This chapter establishes guidance for the management of the Corps Sign
Standards Program.
6-2. Background. The Corps of Engineers Sign Standards Program is designed to provide
consistency in signing at Corps Civil Works projects and allow the Corps to present a national
image, which is easily recognized by the public. The materials, size, typeface, color and legends
were adopted after extensive study and testing for distance viewing and clarity of content. Use
of the specified signs is intended to result in significant cost savings, enhance visitors’ aesthetic
experience, and provide additional safety protection.
6-3. Guidance.
a. The U.S. Army Corps of Engineers Sign Standards Manual (EP 310-1-6a and 6b) is to
be used in the planning, design, fabrication, and maintenance of all signs installed at Corps Civil
Works projects. The sign legends and formats shown in the Sign Standards Manual have been
chosen for ease in understanding, visual appeal, economy of scale, and to comply with legal
standards governing tort liability.
b. All caution, warning, and danger signs shall be used exactly as shown in the Sign
Standards Manual with no changes whatsoever in the wording. Legends for restricted area signs
may be approved at the district level. This tight constraint is necessary to provide a safer
environment for public use, to reduce overall costs, and to provide national consistency.
Requests for deviations will be considered on a case-by-case basis with the final decision being
made by HQUSACE (CECW-CON). All requests will be placed on the “Request Procedure for
Non-Standard Safety Signs” form (page 1-13 in the Sign Standards Manual) and must include
the proposed new wording, complete justification describing the situation and the reasons the
proposed new wording is needed, photographs of any existing signs currently used to solve the
problem, maps showing the proposed locations of the signs, and any other materials deemed
appropriate. Any requested variation and accompanying justification along with other
appropriate materials will be submitted through the chain of command and must be accompanied
by concurrences from the district and division sign program managers. These submittals will be
made to HQUSACE (CECW-CON).
c. Safety messages will not be placed on “Notice” signs.
d. Signs may be fabricated at in-house sign shops. Otherwise, the district contracting
officer must determine whether Federal Prison Industries (UNICOR) can best meet the Corps
needs in terms of price, quality and time of delivery for all signs ordered directly by the Corps,
except wood routed signs, flexible sign posts and porcelain/enamel signs. If the contracting
officer determines (in writing) that UNICOR signs are not comparable to signs available from
the private sector, he or she shall use competitive procedures to buy the signs from vendors who
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1 July 2006
meet Corps sign standards. If the UNICOR signs are comparable, the contracting officer must
follow the policy in FAR 8.602 (a). This policy requires agencies to buy signs from UNICOR at
prices not to exceed current market prices. Contractors may order signs from UNICOR or from
private sector fabricators who meet Corps standards. Wood routed signs, flexible sign posts and
porcelain/enamel signs may be ordered through the normal procurement process from a private
sector fabricator or fabricated at in-house sign shops.
e. All signs will be mounted in accordance with the Corps Sign Standards Manual.
f. In those rare instances where it is deemed inappropriate to replace existing identification
signs for historical or other reasons, a request for deviation must be submitted through the
normal chain of command, including the National Sign Program Manager, to HQUSACE
(CECW-CON) for consideration. Concurrences from both the district and division sign program
managers must accompany the request.
g. The district sign program manager will submit recommended changes to the manual
with justification through the chain of command to the division sign program manager who is
responsible for consolidating and recommending changes to HQUSACE (CECW-CON) through
the National Sign Program Manager.
h. The Corps Sign Standards Manual will be updated periodically using the Corps standard
procedure for changing regulations. The manual is available in electronic format through the
USACE Electronic Publications and the Natural Resources Management Gateway web sites.
i. The Corps SignPro software is the tool to use to manage the Sign Standards Program at
the project level. Project sign plans, inventories and orders shall be kept current using SignPro.
j. The Corps Sign Standards Manual allows flexibility in selecting low maintenance/low
cost substitutes, mounting materials, and anti-theft mounting hardware.
k. When implementing baseline security posture (BSP), Headquarters Homeland Security
Office has determined that Corps Civil Works projects should comply with the Sign Standards
Manual EP 310-1-6a and 6b rather than the sign guidance in AR 190-13 and FM 3-19.30.
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CHAPTER 7 - PLANT
7-1. Purpose. This chapter is comprised of three subchapters and establishes guidance for
appropriate aspects of Civil Works plant.
7-2. Guidance.
a. Section I addresses Design, Acquisition, and Construction of USACE plant.
b. Section I addresses Floating Plant Identification and Record Information.
c. Section III addresses Plant Inspection, Maintenance, Operation and Repair.
Section I. Design, Acquisition, and Construction
7-3. Purpose. This section establishes guidance for the design, acquisition, construction, and
alteration of all Civil Works plant.
7-4. Background.
a. Design of Civil Works plant and equipment is limited by HQUSACE to those major
items which are not readily available on the commercial market or for which manufacturers'
standard designs are not suitable for use.
b. Designs for the construction, or alteration of all types of dredges and for other floating
plant requiring acquisition authority of HQUSACE, will be submitted to the Marine Engineering
Board for a recommendation to the Director of Civil Works and will be prepared by the USACE
Marine Design Center, unless an exception is obtained from CECW-OD.
c. General criteria for design and construction, and for maintenance and operation of
floating plant of the Corps of Engineers are outlined on sections 7-6 and 7-7 (following) and ER
1130-2-500, Chapter 7, Section 3, Inspection, Maintenance, Operations and Repair, respectively.
7-5. Guidance - Improvement Programs and Authorities.
a. Programs for the Improvement of Plant and Operations Procedures.
(1) Hopper Dredge Improvement Program.
(a) Request for authority to initiate and proceed with development and improvement
projects relating to hopper dredges and their operation procedures, including comments and
recommendations as to necessity and feasibility, method of accomplishment, financing and
suggested assignment, will be submitted to the Commander, HQUSACE (CECW-OD) for
approval. All projects and engineering investigations on hopper dredges and dredging requiring
the procurement of equipment or fund expenditure for additions and betterments or alteration of
plant, will be scheduled in the applicable Acquisition of Plant, Ownership, and Financial
Management Program (see ER 1130-2-500, Chapter 15), and authorities will be obtained as
outlined in paragraph 8 of that regulation.
7-1
(b) MSCs and districts, in carrying out their assigned projects, will make all detailed
studies, procure the necessary equipment, conduct all tests, evaluate the results and prepare the
necessary reports. The final report will include the design criteria, guide plans, specifications and
other information as necessary to facilitate dissemination of the findings. Drafts of all final reports
will be coordinated with the Marine Design Center for review and comments. Final reports will
be submitted to CECW-OD for review approval prior to publication of the final reports.
(c) The Marine Design Center will provide the necessary technical assistance and will
disseminate pertinent findings relating to hopper dredge improvement projects to the applicable
MSCs and districts of the Corps. Periodic visits to the work sites by representatives of the
Marine Design Center will be made as necessary. Reports by that staff on the scope of proposed
tests, design of proposed models, progress of the work and other appropriate technical and
informative subjects will be furnished to the Marine Engineering Board and the applicable MSC
and district.
(d) Each suggested study and request for authority for the accomplishment of a hopper
dredge improvement project shall include at least the following, as applicable:
- A statement of the objective in terms of use, effect to be accomplished, information to
be obtained, and other related results anticipated.
- A statement regarding the limitation and deficiencies of present practices.
- An experience record including reports, references, photographs, maintenance, and/or
repair costs and other information which will adequately outline related efforts to date and
deficiencies of previous attempts at improvement.
- A firm justification for the proposed project based on improvements in hopper dredging
efficiency, economic benefits and safety considerations.
- A program outline suggesting an approach to the problem, tests to be conducted,
availability of qualified contractors, availability of qualified field personnel, etc.
- Recommendations regarding the proposed method of financing.
- Upon receipt of assignment of a hopper dredge or dredging improvement task, the
District Engineer will prepare a plan and schedule which shall include the complete description of
salient details, scheduled commencement and completion dates of the principal phases of the
assignment and an estimate of quarterly expenditures.
- Quarterly status reports for all projects will be prepared by the Marine Design Center in
accordance with the reporting procedures established by the Marine Engineering Board for
project management.
(2) Other Plant Improvement Programs (excluding hopper dredges). Any study or
investigation of an innovation, experiment, modification, alteration or betterment which is
proposed to provide a significant improvement or change in a recognized concept relating to the
subject plant will be submitted to CECW-OD for approval. The initial report after authorization
will contain sufficient information to describe the nature, purpose, benefits expected, and the
basis for considering the feasibility of the improvement undertaken. After completion or trials
and/or tests of the improvement, a completion report will be furnished CECW-OD describing the
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27 Dec 96
results obtained, whether favorable or unfavorable. In selected cases, the reports will be
distributed by CECW-OD to all MSCs which may have a requirement for the improvement
developed.
b. Corps of Engineers Marine Engineering Board. The policy and guidance for the
Marine Engineering Board are contained in Chapter 8 of ER 1530-2-520, and EP 1130-2-520.
c. Authority for the Acquisition of Land, Structures, Aircraft, Floating Plant, Land Plant,
Tools, Automatic Data Processing Equipment (ADPE), Office Furniture and Equipment.
Delegations of authority for acquisition by purchase, construction, and transfer or loan from other
Federal agencies are tabulated below. All requests for acquisition of Revolving Fund equipment
not included in an approved Plant Replacement and Improvement Program will be submitted to
the Commander, HQUSACE (CECW-OM-B) for approval. Cost computations for this purpose
should be based on total charge to the asset account. No additional authorities are required for
acquisition of project owned equipment which is listed as an approved item in a DETAILED
PROJECT SCHEDULE ENG Form 2201a (PB-2a).
(1) Land. No delegation of authority.
(2) Structures.
(a) MSC Commander. If cost is $25,000 or more, but less than $400,000 for any building
or structure.
(b) District Commander. Up to fifty percent (50%) of the MSC Commander’s delegated
authority.
(3) Airplanes. No delegation of Authority.
(4) Dredges. No delegation of authority.
(5) Other Floating Plant.
(a) MSC Commander. If cost is $25,000 or more but less than $400,000 per unit.
(b) District Commander. Up to fifty percent (50%) of the MSC Commander’s delegated
authority.
(c) Plant Acquired on a Loan Basis from Other Federal Agencies. MSCs acquiring
floating plant on a loan basis from other Federal Agencies shall assure that the borrowed units are
operated, maintained and reported in accordance with the provisions of the loan agreements
covering this plant, and that all major modifications thereto are coordinated in advance with the
owning agency through CECW-OD. CECW-OD will be notified annually of floating plant items
on loan from another agency. (Exempt report, paragraph 7-20, AR 335-15).
(d) Renewal of Loan Agreements. When the provisions of a loan agreement with another
Federal agency require periodic renewal of that loan, the renewal request shall be forwarded
directly to the owning agency, with a copy to CECW-OD, at least 60 days prior to the end of the
load period established by the owning agency. The request shall include the name of the District
processing the plant; date of expiration of the loan period; and proper type designation, using
descriptive nomenclature utilized by the owning agency, as well as name or number assigned.
7-3
(6) Land Plant and Facilities. Mobile and Fixed Land Plant & Equipment.
(a) MSC Commander. If cost is more than $25,000 but less than $200,000 per unit.
(b) District Commander. Up to fifty percent (50%) of the MSC Commander’s delegated
authority.
(7) Tools, Office Furniture and Equipment for General District use for Continuous
Assignment to Plant and Facilities.
(a) Definition. General Office Use. See Paragraph 15-5b, ER 37-2-10.
(b) Delegation of Authority.
- MSC Commander. If cost is more than $25,000 and less than $200,000 per unit.
- District Commander. Up to fifty percent (50%) of the MSC Commander’s delegated
authority.
d. Authority for Additions and Betterments.
(1) Definition. See Chapter 15, ER 37-2-10.
(2) General. Except as delegated herein, authority will be obtained from the Commander,
HQUSACE (CECW-O) for additions and betterments to Revolving Fund owned Land,
Structures, and Operating Equipment such as airplanes, floating plant, mobile land plant, fixed
land plant (see Chapter 15, ER 37-2-10), including the purchase and installation of equipment and
machinery which is in the nature of an addition and betterment and not a replacement.
(3) Operating Equipment Under the Revolving Fund. (Airplanes, Dredges, Other
Floating Plant, Mobile Land Plant, and Fixed Land Plant, ADP, etc.)
(a) Dredges. Authority is delegated to MSC Commanders, if the total cost of all
additions and betterments per dredge is less than $200,000 per year.
(b) Other Operating Equipment. Authority is delegated to MSC Commanders, if cost per
item of plant is less than $200,000 per year or fifty per cent (50%) of the current book value of
the plant, whichever is less.
(c) Redelegation of Authority. MSC Commanders are authorized to redelegate to
District Commanders up to fifty percent (50%) of the foregoing authorities.
(d) Additions and Betterments. All requests for additions and betterments to dredges and
floating plant will be accompanied by properly executed ENG Form 1475 (and 1475A) either
independently or with information incorporated on the forms used for authorization of repairs and
replacements. Additions and betterments accomplished during the preceding fiscal year will also
be shown on the form in the same manner required for reporting repairs and replacements.
Request for authority will be coordinated with the Acquisition of Plant, Ownership, and Financial
Management, ER 1130-2-500, Chapter 15.
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27 Dec 96
(4) Land, Structures and Utilities.
(a) MSC Commander. Authority is delegated to MSC commanders, if the cost of
improvement and betterment is less than $200,000 for any one building or structure.
(b) District Commander. Authority is delegated to district commanders, up to fifty
percent (50%) of the MSC Commander’s delegated authority.
7-6. Guidance - Designs, Plans, and Specifications.
a. In the design and construction of all types of plant, applicable provisions of the Safety
and Health Requirements Manual, EM 385-1-1, will be complied with unless an exception is
granted by HQUSACE.
b. Submission of Requests for Acquisition, Alterations or Additions or Betterment
Authority.
(1) Requests for authority for the acquisition or alteration or Revolving Fund owned
aircraft, floating and land plant, and equipment, when required, will be submitted to the
Commander, HQUSACE (CECW-OM-B), with the following information:
(a) Acquisition of Plant, Ownership, and Financial Management Program reference or
recommended adjustment to the Plant Program.
(b) Proposed method of acquisition (construction, purchase or transfer).
(c) A complete description of the plant to be acquired or the alteration to be made will be
furnished. If acquisition is to be by procurement or transfer, description will include basic
characteristics, descriptive literatures, estimated cost, proposed use, and economic justification. If
acquisition is to be by construction, the general characteristics, design criteria, preliminary
estimate of cost, and economic justification will be furnished. Design of major floating plant by
other than Marine Design Center will be fully justified.
(2) Design Memorandums will be submitted through the Marine Engineering Board to
HQUSACE for approval of all plant to be acquired by construction, unless otherwise specified in
the HQUSACE correspondence authorizing construction. Design memorandums for major
alterations will be prepared when requested in HQUSACE construction authorizations. All
design memorandums will be prepared by the Marine Design Center unless a waiver is obtained.
The scope and coverage of each Design Memorandum will be determined by the design
organization, in coordination with the procuring office, to adequately reflect the complexity of the
plant involved. Attached as Appendix I is an outline of a typical design memorandum for a
Hopper Dredge to be used as a format guide. Design memorandums for smaller items of plant
need not be so detailed but should follow the applicable sections of Appendix I and contain the
following:
(a) Authorization
(b) Proposed service and use, including number of shifts and number of months plant will
be worked.
(c) Pertinent physical data.
7-5
(d) Special construction requirements and equipment.
(e) Design and Construction Cost Estimates.
(f) Design and Construction Schedules.
(g) Normal and special performance requirements.
(h) Estimated monthly operating costs.
(i) Recommendations, including justification data.
(3) Requests for authority for the acquisition of land and acquisition and/or major
alterations of structures will include or be accompanied by:
(a) Site map.
(b) General plans and description.
(c) Estimate of cost, to include all appurtenances except tools and shop equipment.
(d) Proposed dates for preparation of detailed plans and specifications.
(e) Approximate date desired to commence construction, and total estimated construction
period.
(f) Availability of funds for completion of plans and for construction.
c. Preparation and Approval of Plans and Specifications.
(1) The preparation and approval of plans and specifications for the construction and/or
alteration of all plant and equipment will be in accordance with the provisions stated below.
Where design memorandums are required, plans and specifications will be based upon the
provisions of the approved design memorandums.
(2) Plans and specifications for floating plant within the MSC Commander delegation of
authority (paragraph 7-5.d) will be prepared by, or under the jurisdiction of the using District and
approved by the MSC Commander having jurisdiction. However, all designs incorporating
inboard mounted internal combustion engines will be forwarded to the Marine Design Center for
review and comment prior to advertising. Vessels less than 26 feet in length may be excepted
from this review provided certification can be furnished that construction will be in compliance
with applicable standards of the American Boat and Yacht Council (ABYC). This review will
include evaluation of safety equipment and requirements along with the mechanical, electrical,
and structural details of the plant. A copy of the final plans, specification, and shop drawings will
be furnished directly to the Marine Design Center for information and record purposes.
(3) Plans and specifications for floating plant for which an exception has been granted
under (2) above will be prepared by, or under the supervision of the using District and approved
by the MSC Commander having the jurisdiction. A copy of the approved plans and specifications
will be furnished the Marine Design Center for review and comment prior to advertising. A copy
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of final plans and specifications as issued for advertising purposes will be furnished the Marine
Design Center for information and record purposes.
d. Structures. Plans and specifications for structures to be constructed or modified,
within MSC Commander delegation of authority (paragraph 7-5.d. above) will be prepared by, or
under the jurisdiction of, the using District and approved by the MSC Commander having
jurisdiction. HQUSACE will review plans and specification for structures requiring approval for
acquisition, construction or modification.
e. Disposal of Floating Plant. No item of floating plant, having an original cost of
$50,000 or more, shall be sold, transferred, declare excess, or otherwise disposed of, without
obtaining prior authority from HQUSACE, CECW-OD.
7-7. Guidance - Standards and Inspection of Construction.
a. Construction of new floating plant and replacements and alterations to existing plant
will be in accordance with the applicable current rules of the American Bureau of Shipping, the
rules and regulations of the U.S. Coast Guard, the rules of the U.S. Public Health Services, and
the American Boat and Yacht Council, as applicable.
(1) All major floating plant will comply with U.S. Coast Guard rules and regulations and
other applicable regulations as contained in Title 46 Code of Federal Regulations.
(2) In board mounted internal combustion engines on Corps of Engineer vessels whether
for propulsion or auxiliary power requirements shall not be of the type requiring gasoline or other
highly volatile fuels for operation unless authorized by the Commander, HQUSACE (CECWOD).
b. District Commanders will make arrangements direct with representatives of the U.S.
Coast Guard for the time, place and other details of inspection and certification of floating plant.
Any deficiencies reported by the inspectors shall be corrected without delay in order that the
required certificate may be issued. Difference in interpretation of the rules and regulations which
cannot be resolved at local level shall be referred to CECW-OD for coordination with the
Commandant, U.S. Coast Guard.
c. The color scheme as set forth below will be used for the exterior painting of all Corps
of Engineers major floating plant. Skiffs, rowboats, launches, small boats and other similar craft
which are mass produced in standard colors and which would require substantial additional costs
to comply with the Corps' color scheme, are exempt from these requirements. Numbers in
parentheses refer to color spots and supplemental color chips as shown in Federal Standard No.
595, COLORS, and are included in order to define the particular shade and intensity of color
desired. Slight variations in the shades shown, resulting from standards determined and approved
at Division level, utilization of existing stocks, or local procurement practices, are
acceptable. However, in the interest of uniformity, efforts will be made to comply as closely as
practicable with the colors as defined in this regulation.
(1) Hull above water-line:
Black (17038).
(2) Steel decks: Deck Red. (10076) Except that where special types of deck coatings
have been approved for use, the resultant color will be acceptable.
7-7
(3) Deck Fittings: Yellow (13655).
(4) Houses: Deck house will be old ivory (17855) with red (11136) margin facings. As
an option, a band of slate grey (16187) may be applied on the deck house extending 36 inches
above deck or along the line of bottom window frames.
(5) Interior of cowls: Red (11136).
(6) Smoke and exhaust stacks: Black (17038) (heat-resisting paint) with red (11136)
band, trimmed with aluminum, and with castle in aluminum. The width of the red band will be
twice the height of the castle with 6-inch aluminum bands above and below the red. The
communication mark (castle) should be mounted on the outboard side of the stack(s).
(7) Galley Stack: Black (17038) (heat-resisting paint).
(8) Masts, kingposts, ventilators, cowls, boat davits, deck tanks, "A" frames, gallows
frames, spud frames and back legs, derricks and cranes. Old ivory (17855) to match deckhouse
exterior. An optional band of slate grey (16187) can be used as specified in para 7-7c(4) above.
(9) Staffs and booms: Old ivory (17855) except as noted in (8) above.
(10) Life rafts and lifeboats: Old ivory (17855) and red (11136) margin facings.
(11) Parts of plant as specified in (8), (9), and (10) above may be painted black or slate
gray if experience has proved that the old ivory causes reflection of light and attendant glare upon
the vision of the navigator or operator. Some parts may also be painted black or slate gray if on
hurricane deck, or in locations where experience has proved that frequent scrubbing and painting
will not keep these clean or present an appearance similar to the remainder of the plant due to
soot and smoke from stacks and exhausts.
(12) Booms, "A" frames, and other parts of dipper dredges, derrick-boats and similar
plant, likely to be discolored by oil and grease from operating cables or chains: Black (17038).
(13) Forward and after davits for drag pipes on hopper dredges: Black. (Option: Due to
discoloration by oil and grease from operating cables: slate gray or aluminum).
(14) Wheel shafts and flanges for paddlewheel boats. Old ivory with wooden parts black.
(15) Suction pipes and sponsons on pipeline and seagoing hopper dredges: Black.
(16) Name board: See ER 1130-2-500, Chapter 7, Section II, Floating Plant
Identification and Record Information.
(17) Interiors: Colors of interiors, including interior decks, are optional.
(18) Coaming of hoppers on hopper dredges: Old ivory.
(19) The prescribed coloring will be applied in such a manner as to obtain the most
attractive appearance with due regard to serviceability.
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(20) The information contained in EM 1110-2-3400 and other pertinent publications
should be used to assist in the selection of an appropriate paint system. Paint ingredients may be
varied as experience dictates because of climate conditions but final color should match the
referenced color spots and supplemental color chips.
Section II. Floating Plant Identification And Record Information
7-8. Purpose. This section establishes guidance for naming, marking, and recording items of
Corps of Engineers floating plant.
7-9. Guidance.
a. Names, Numbers or Other Identifications of Floating Plant.
(1) Recommendations for proposed identification will provide at least one and preferably
two alternate selections. Adequate basic biographical or other data will be furnished for each
selection submitted. Without exception, no item of floating plant will be named in honor of a
living person. Ordinarily, only numerical designations will be assigned to barges, scows, flats and
minor item of plant such as small boats, skiffs, etc.
(a) Preference will be given to names of deceased officers and employees of the Corps of
Engineers, or to waterways or other geographical features of regions in which the items of
floating plant are to operate, or historical names directly connected therewith.
(b) Ordinarily, when the name of a deceased person is to be assigned, the use of the
surname only is desirable. This view is based on the facts that the surname usually identifies
adequately the person so memorialized, simplifies correspondence, reduces upkeep, is easier to
comprehend, and assigned full names are rarely utilized in references. Also, the military title held
by the deceased person so honored may differ at the time of his/her death from that held when
he/she was associated with the locality in which the craft is to be employed.
(2) Historical or geographical names for items of floating plant will be confined to single
words wherever practicable. Names which are unwieldy or uncommonly long or which consist of
combinations which include physical features such "River", "Bay", "Point", etc., will be avoided.
(3) Whenever an item of floating plant is renamed or renumbered, all official
correspondence referring to the vessel will include both the revised and former name or number
for a period of 5 years following date of redesignation. One copy of the approving or assigning
document, or the notification of assignment of each vessel designation will be furnished the
Commander, HQUSACE, Attention: CECW-OD.
(4) When a newly acquired floating plant item is to carry a name identical to that of the
plant which it replaces, the name will be followed by a dash and appropriate Roman Numeral to
indicate that it is a replacement, i.e., IOWA-II would be the name for a vessel replacing one
named IOWA.
(5) Duplications or close similarities with existing names will be avoided. District
Commanders are authorized to assign numbers or combinations of numbers and letters consistent
with a uniform numbering procedure for minor items of plant.
7-9
b. Standards for Marking Floating Plant.
(1) All floating plant will be appropriately marked for easy identification with only the
authorized designation. Acceptable markings for various types of floating plant can be found in
Appendix J. Markings may be adjusted for acceptable locations based on vessel design and
arrangement as appropriate. Colors that contrast with background coloring will be used for
marks. All lettering will be Gothic block capitals and all numbers will be Arabic. Lettering may
be painted on, stenciled, inlaid, burned in, welded, attached with studs, etc., to suit. The sizing
and spacing of the lettering will preferably be as indicated in Table K-1, Table K-2, and Table K-3
in Appendix K. However, smaller size lettering may be used where the table size results in an
impractical or disproportionate arrangement. In no case, will the lettering size be reduced to less
than one half the table size, or less than four inches.
(a) Name Boards - General. Name or number of vessel, of suitable size and with at least
a one-inch margin at top, bottom and ends of board(s). Name boards will normally have blue
background with gold lettering. The material used for this purpose may be patent gold leaf letters
with a Prussian blue smalt preparation background, or appropriate modern blue and gold
reflective or illuminating paint.
(b) Letters of a color that contrasts with background coloring will universally be used on
the hull, life rings, etc.
(c) An uninterrupted appearance of the vessel identification will be obtained by
considering all interfering or projecting structural members or fittings, such as port-holes,
stanchions, rubbing stakes, fenders, etc.
(2) The Classes of Corps of Engineers floating plant are designated as follows:
Class
A
1
2
3
4
Determination
vessels under 16'-0" in length overall
vessels 16'-0" or over in length overall but less than 26'-0"
vessels 26'-0" or over in length overall but less than 40'-0"
vessels 40'-0" or over in length overall but less than 65'-0"
vessels 65'-0" or over in length overall
c. Class 3 and Class 4 Self-Propelled Plant.
(1) Name Boards. Names of vessels will be displayed on name boards located above the
weather deck on both port and starboard sides preferably abreast of, or on top of, the pilothouse
at the outboard rails. Name boards shall be wood or steel or other acceptable product for exterior
use and shall be rectangular in shape. The vertical dimension shall be twice the height of the
lettering used. The designation marking shall be as indicated in Fig. K-1, Table K-1, page K-1,
except that if the resulting name board would be disproportionately large, the lettering may be
reduced in height to not less than one-half that specified. The board should have a Prussian blue
background with gold color letters, or modern blue background with gold color letters.
(2) Port and Starboard Bows. Identification designation will be displayed on both sides
of the bow in the following preferred manner:
CORPS OF ENGINEERS
U.S. ARMY
7-10
EP 1130-2-500
27 Dec 96
See Fig. K-2 and Table K-1, page K-1, for preferred six lettering and spacing. Where the above
arrangement is not practical, a single line may be used as follows:
CORPS OF ENGINEERS U.S. ARMY
See Fig. K-3, Table K-1, page K-1, for preferred size lettering.
(3) Stern. Identification on, or on the port and starboard sides near the stern will be as
indicated below. The preferred method of indication is three lines with letters centered on the
stern of the hull. See Fig. K-4, Table K-2, page K-2, for size lettering and spacing.
NAME OF VESSEL
CORPS OF ENGINEERS
U.S. ARMY
An acceptable alternate lettering arrangement will be as indicated below.
NAME OF VESSEL
CORPS OF ENGINEERS U.S. ARMY
See Fig. K-5, Table K-2, page K-2, for size lettering and spacing.
In cases where the above identification on the hull at the stern is impractical, a name board facing
aft mounted above the weather deck or above the next highest deck in the vicinity of the stern
may be used.
(4) Plaques. Self-propelled plant 65'-0", or more, in length (Class 4 vessels), may be
equipped with a plaque mounted inside the deckhouse in a conspicuous place such as a main
passageway, recreation room or mess room, etc. The plaque should be not less than 8" x 10 ½"
minimum dimensions and include the name of the vessel and biography of the person for whom
the vessel is named, or a brief historical statement of the geographical location, when so named.
d. Class 3 and Class 4 Non-Propelled Plant. Non-propelled vessels with ship-shaped hulls
shall have exterior designation markings as specified for Class 3 and Class 4 self-propelled
plant.
e. Class A, Class 1 and Class 2 Plant.
(1) With Pilothouse.
(a) Name or Number Designation. Small plant with a pilothouse shall have name boards
on top of the pilothouse, port and starboard, with the name or number as required. See Fig. K-1,
and Table K-1, page K-1, for size lettering and spacing.
(b) Port and Starboard Bows. Small plant with a pilothouse shall have the designations
on each side of the bow as follows:
CORPS OF ENGINEERS
U.S. ARMY
7-11
See Fig. K-4, Table K-2, page K-2, for size lettering and spacing. An alternative acceptable
method will be as follows:
CORPS OF ENGINEERS U.S. ARMY
See Fig. K-5, Table K-2, page K-2, for size letters.
The name, number of Corps of Engineers, U.S. Army designation shall be placed three-fourths of
the height between the loaded waterline and the top of the forward gunwale, deck or bulwark and
approximately 18 inches or more back from the stern or forwardmost part of the hull, will be as
indicated below.
(c) Stern Designation. Identification, centered on the above water portion of the vertical
or sloping stern of the hull, will be as indicated below. The preferred method is three lines.
NAME OR NUMBER
CORPS OF ENGINEERS
U.S. ARMY
See Fig. K-4, Table K-2, page K-2, for size lettering and spacing.
NAME OR NUMBER
CORPS OF ENGINEERS U.S. ARMY
See Fig. K-5, Table K-2, page K-2, for size lettering and spacing.
(2) Without Pilothouse.
(a) Name or Number Designation. Small plant with no distinct pilothouse shall have the
name or number of the vessel on the bow, port and starboard in letters not less than 4" high.
(b) Stern Designation. See 7-9.e.(1)(c), above.
(3) In those cases where the above identification on the stern is impractical, a name board
facing aft mounted above the deck in the vicinity of the stern will be used, or in the case of a tug,
the designation may be centered on the aft bulkhead of the house.
(4) Vehicles designated by numbers rather than names shall not use the prefix "No" or
"CE" ahead of the number.
(5) Launches and small boats on Class 3 and Class 4 plant will have the name of the plant
on the port and starboard bows applied with the procedure noted in 7-9.e.(1)(b) above, and
across the stern, or on the port and starboard sides, the designation shall be as stated in
7-9.e.(2)(a), above. Where more than one boat exists on the plant, they will be designated after
the name with a Roman numeral dash I and dash II.
f. Barges.
(1) Barges with Long Deckhouses. When the length of the deckhouse is more than onehalf the length of the hull of a double or single raked barge, the numerical designation of the barge
will be indicated on the house sides port and starboard near the ends. The size of the barge
numbers will be indicated in Fig. K-7, Table K-3, page K-3. On the longitudinal center of the
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house above the doors and/or windows the markings will preferably be in two lines as follows
with the size and spacing of the lines as shown in Fig. K-8, Table K-3, page K-3.
CORPS OF ENGINEERS
U.S. ARMY
An accepted alternative will be a single line as follows with the size lettering as indicated in Fig.
K-6, Table K-3, page K-3.
CORPS OF ENGINEERS U.S. ARMY
No designation will be applied to the hull proper.
(2) Barges with Deckhouse One-Quarter to One-Half Barge Length. When the length of
a deckhouse is one-quarter to and including one-half of the overall length of the hull of a double
or single raked barge, the designation will be as shown below:
BARGE NUMBER
CORPS OF ENGINEERS
U.S. ARMY
Size of lettering and spacing will be as indicated in Fig. K-7, Table K-3, page K-3, and shall be
centered longitudinally on the port and starboard sides of the house and athwartship at the
forward and aft sides of the house. No markings will be applied to the hull proper.
(3) Barges with Deckhouses Less Than One-Quarter Barge Length. When the length of
the deckhouse is less than one-quarter of the overall length of a double or single raked barge, the
barge number and markings similar to those of Fig. K-7, Table K-3, page K-3, will be centered on
the aft end of the house only. In addition, the hull of the barge will have the number and
designation markings similar to those for a single or double raked hull as applicable. The size of
the lettering will be as indicated in Fig. K-6, Table K-3, page K-3.
(4) Flat Deck Barges. Barges with a rake at each end of the hull and without any
appurtenances above the deck such as cargo bins, bulwarks, deckhouses, etc., will have the
number of the barge on the sides at each end port and starboard. One line designation "CORPS
OF ENGINEERS, U.S. ARMY" will be centered longitudinally at amidships, port and starboard.
The markings will be centered vertically preferably at 12 inches below the deck at side.
Identification designations will not be applied to rubbing strips or fenders. The size of the
designation will be as shown in Fig. K-6, Table K-3, page K-3. If sufficient space is not available
on the sides at the ends for the number designation, the size of the number designation may be
reduced to not less than one-half the size of the markings at amidships, but not less than 4" in
height.
&
Barges with a single rake at one end of the hull shall have the number designation
on the side at the bow, port and starboard. One line designation "CORPS OF
ENGINEERS, U.S. ARMY" shall be on the side, port and starboard at the stern.
See Fig. 6, Table 3, page K-3, for size of the designations.
&
No designation markings shall be applied to the transverse forward or aft ends of
either a single or double raked barge hull.
7-13
(5) Barges with Cargo Bins and/or Bulwarks. Barges with a rake at each end of the hull
and cargo bins or bulwarks above the deck shall have designation markings similar to that for flat
deck barged with a rake at each end, except that the markings shall be located near the top of the
cargo bin or bulwarks in lieu of on the hull proper. See Fig. K-6, Table K-3, page K-3, for size
lettering. In addition, the designation in a single line "CORPS OF ENGINEERS, U.S. ARMY"
with size lettering as shown in Fig. K-6, Table K-3, page K-3, shall be located on the forward and
aft transverse ends of the cargo bins and/or bulwarks. In lieu of the single line designation a
double line markings may be used of the forward and after transverse ends of the bins and/or
bulwarks with size lettering and spacing to be as shown on Fig. K-8, Table K-3, page K-3.
(6) Barges with a rake at one end of the hull and with a cargo bin and/or bulwark on the
deck, will have the designation markings as specified for single-rake flat deck barges with a rake
at one end except that the markings shall be located port and starboard near the top of the
longitudinal sides of the bin or bulwark. See Fig. K-6, Table K-3, page K-3. In addition, the
forward and after transverse ends of the bins or bulwarks will have the designation markings as
specified above for the double raked barges with bins or bulwarks.
(7) Crane Barges. The crane with no deckhouse will have number and designation
markings as specified for double or single raked hulls of flat deck barges as applicable. In
addition, the designation shown below and as in Fig. K-7, page K-3, will be centered on both
sides of the crane cab.
NUMBER OF BARGE
CORPS OF ENGINEERS
U.S. ARMY
Crane barges with deckhouses will have number and designation markings as specified under
preceding paragraph for barges with long or short deckhouses as applicable plus the crane
markings indicated above on both sides of the crane.
(8) Fuel Barges. Oil barges will have number and designation markings similar to those
specified for flat deck barges with single or double rakes as applicable.
7-10. Descriptive Data.
a. Whenever items of floating plant, both Revolving Fund and Project owned, of the types
indicated below are constructed or otherwise acquired, data thereon will be compiled on the
applicable ENG Form 33A through E, "Description of Plant", and a copy thereof shall be
transmitted to HQUSACE, Attention: CECW-OD within 30 days after the plant is placed in
service. In the event alterations made to plant require correction of data previously submitted,
copies of revised forms will be transmitted within 30 days after completion of the alterations.
b. Applicable forms for submission of data are as follows:
ENG Form 33A - Seagoing hopper dredges, sidecaster dredges and vessels resulting from
the conversion of hopper dredges.
ENG Form 33B - Hydraulic pipeline dredges and booster barges.
ENG Form 33C - Dipper and bucket dredges, derrickboats, maneuver boats, piledrivers,
graders, drill boats and jet probing barges.
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ENG Form 33D - Towboats, tugs, tenders, survey boats, patrol boats, launches,
snagboats, fireboats, and hyacinth plant.
ENG Form 33E - Dump scows, quarterboats, and barges.
c. Stocks of ENG Forms 33A through E will be requisitioned from the Corps of
Engineers Publications Depot as needed.
d. In order that the information entered on the forms may be directly comparable for
evaluation and design purposes, the following definitions are provided for those items where
differences in interpretation may occur. Where definitions of terms are not provided, entries
required are considered to be self-explanatory. Information entered on "Description of Plant"
cards for new or altered plant requiring resubmission of data shall be in accordance with the
following definitions, with local entry of supplemental wording as necessary.
(1) DATE: In lieu of single line entry at top of card to show date of submittal, show two
line items as follows:
Date of Original Submittal
Date of Revised Submittal
_______________19___
_______________19___
(2) LENGTH OVERALL: ENG Forms 33A and 33E - The overall length of the hull
proper from bow to stern measured from outside to outside of plating, fenders, or other
permanently installed structure which is part of the hull.
ENG Form 33B - Same as for 33A and E above, except that where vessel is fitted
with sternwheel, dustpan, or cutter head and ladder or other such appurtenance, the distance from
the forwardmost end of the cutter or dustpan head, when the ladder is in stowed position, to the
aftermost fixed hull structure, sternwheel, or wheel support.
ENG Form 33C - Same as for 33B above, except that for vessels fitted with a
fixed A-frame or boom which overhangs the hull, the distance from the forwardmost point of this
structure, in stowed position, to the aftermost fixed hull structure.
ENG Form 33D - Same as for 33A and E above except that where cutting blades
are installed as in the case of hyacinth plant or where towing knees are installed, the overall length
shall include these items or other like items which are an integral part of the vessel.
(3) LENGTH BETWEEN PERPENDICULARS: ENG Forms 33A and 33D, as
applicable - The distance between the forward perpendicular and the after perpendicular defined
on the lines plan as the LBP, or the molded length.
(4) LENGTH OF HULL: ENG Forms 33B through 33E - The length of the hull proper,
from inside to inside of hull plating on metal boats, or from outside to outside of planking on
wood boats, but not including fenders, towing knees or other appurtenances on the wood hull.
(5) BEAM, MOLDED: ENG Form 33A - The maximum hull width, amidship, measured
from inside to inside of shell plating.
7-15
(6) BEAM, OVERALL: ENG Forms 33B through 33E - The maximum width of the
vessel measured from the outside to outside of plating, planking, fenders or other permanently
installed structure which is part of the hull.
(7) DEPTH AMIDSHIP, MOLDED: ENG Forms 33A through 33E - The depth of the
hull, amidships, measured from the underside of the bulkhead deck plating (or planking) to the
molded base line.
(8) DISPLACEMENT, LIGHT - LONG TONS:
(a) ENG Forms 33A - The weight, in long tons (2240 pounds), of the vessel complete
and ready for service. It includes: water in boilers to steaming level; lubricating oil, fuel oil and
water in machinery, fire, sanitary, and fuel lines; and water in suction pipes, dredge pumps, and
hopper discharge system, as would obtain after the dredge had stopped pumping water, the drags
raised to the stowed position, and the hoppers completely unwatered. It also includes the weight
of all engine room spare parts, boatswains and deck stores, mattresses and bedding, the weight of
all life boats, rafts and floats fully provisioned, and the weight of any permanently installed ballast.
The light ship weight does not include the weight of fuel oil or lubricating oil in settling or storage
tanks, fresh water in potable, culinary or feed water tanks, consumable refrigerated dry stores, the
crew, nor their personal effects.
(b) ENG Form 33B - Same as 33A, except that in the case of hydraulic pipeline dredges,
booster barges, the light ship weight will include the weight of residual water in the suction and
discharge lines and in the pumps to a level which would obtain upon shutting down after pumping
water. Spuds should be considered raised and, in the case of dredges, the ladder shall also be
considered raised to the stowed position.
(c) ENG Forms 33C through 33E - Same as 33A or 33B, as applicable.
(9) DISPLACEMENT, LOADED:
(a) ENG Form 33A - The weight in long tons (2240 pounds) of the ship in light
condition, plus the normal loading of fuel oil, lubricating oil, water, consumables, crew and
effects, and hopper spaces filled to normal overflow capacity with material considered to have a
density of 125#/cu. ft.
(b) ENG Form 33B - The weight, in long tons, of the light ship plus the normal loading of
fuel oil, lubricating oil, water, crew and effects. Spuds and ladder shall be considered lowered to
maximum working positions.
(c) ENG Form 33C through 33E - Same as 33B, except that in the case of water, oil, and
cargo barges, the loaded displacement shall include the weight of cargo based on the design
capacity of the vessel.
(10) KEEL, DRAFT, LIGHT, FORWARD, F.W. OR S.W.:
(a) ENG Form 33A - The light draft forward shall be reported as the mean of the port and
starboard drafts as read from the forward draft marks to the nearest ½ inch with the vessel in the
condition as reported under DISPLACEMENT, LIGHT. Show by deletion of non-applicable
designation whether drafts as read apply to fresh (F.W.) or salt water (S.W.).
(b) ENG Forms 33B through 33E - Same as for ENG Form 33A.
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27 Dec 96
(11) KEEL, DRAFT, LIGHT, AFT, F.W. OR S.W.:
(a) ENG Form 33A - The light draft aft shall be reported as the mean of the port and
starboard drafts as measured from the after draft marks to the nearest ½ inch with the vessel in
the condition as reported under DISPLACEMENT, LIGHT. Show by deletion of non-applicable
designation whether drafts as read apply to fresh or salt water.
(b) ENG Forms 33B through 33E - Same as for ENG Form 33A.
(12) KEEL, DRAFT, LOADED, FORWARD, F.W. OR S.W.:
(a) ENG Form 33A - The loaded draft forward shall be reported as the mean of the port
and starboard drafts as read from the forward draft marks to the nearest ½ inch with the vessel in
the condition as reported under DISPLACEMENT, LIGHT. Show by deletion of non-applicable
designation whether drafts as read apply to fresh or salt water. Show normal capacity in cubic
yards of 125#/cu. ft. material in hoppers.
(b) ENG Forms 33B through 33E - Same as for ENG Form 33A as applicable.
(13) KEEL, DRAFT, LOADED, AFT, F.W. OR S.W.:
(a) ENG Form 33A - The loaded draft aft shall be reported as the mean of the port and
starboard drafts as read from the after draft marks to the nearest ½ inch with the vessel in the
condition as reported under DISPLACEMENT, LIGHT. Show by deletion of non-applicable
designation whether drafts as read apply to fresh or salt water. Show normal capacity in cubic
yards of 125#/cu. ft. material in hoppers.
(b) ENG Forms 33B through 33E - Same as for ENG Form 33A as applicable.
(14) MATERIAL OF HULL:
(a) ENG Form 33A - Show the principal structural material, or combination of principal
structural materials, used in the fabrication of the house or superstructure.
(b) ENG Forms 33B through 33E - Same as for ENG Form 33A as applicable.
(15) WHEN BUILT: ENG Forms 33A through 33E - Show month and year of
completion of original construction and also show, as necessary, month and year of completion of
major conversion.
(16) WHERE BUILT: ENG Forms 33A through 33E - Show city and state of site of
original construction.
(17) BUILDER: ENG Forms 33A through 33E - Show name of contractor, or indicate if
built with Government plant and hired labor.
(18) PURCHASED OR ACQUIRED FROM: ENG Forms 33B through 33E - Show
builder if vessel was contracted for, or show previous owner or owning district if vessel acquired
by direct purchase, transfer, or loan. Show date (month and year) of transaction.
7-17
(19) CONSTRUCTION COST: ENG Forms 33A through 33E - For vessels acquired as
a result of a construction contract, show total of funds paid to the contractor for vessel as
delivered.
(20) PURCHASE PRICE: ENG Forms 33B through 33E - For vessels acquired by other
than construction contract, show total of funds expended for the vessel as acquired.
(21) OTHER FIRST COSTS: ENG Forms 33A through 33E - Show total of all costs,
other than construction or purchase costs, expended to date the plant was put into productive
service. The total of construction cost or purchase price plus other first costs will equal the figure
shown under Item 3, Original Cost, on Form 22 (Costs).
(22) COST TO DATE: ENG Forms 33A through 33E - Show total of construction or
purchase costs, other first costs, and all other costs of additions and betterments or alteration
costs to date of latest submittal of Description of Plant card.
(23) GROSS TONNAGE: ENG Forms 33A through 33D - Show U.S. gross tonnage.
(24) NET TONNAGE: ENG Forms 33A through 33D - Show U.S. net tonnage.
(25) CREW REQUIRED:
(a) ONE SHIFT OPERATION: ENG Forms 33A through 33E - Show total number of
personnel formally required for a nominal eight-hour day, five-day week operation while vessel is
utilized in its normal function.
(b) THREE SHIFT OPERATION: ENG Forms 33A through 33E - Show total number
of personnel formally required for a 24 hour day, seven-day week operation while vessel is
utilized in its normal function.
(26) ACCOMMODATIONS OF VESSEL:
(a) OFFICERS: ENG Forms 33A through 33E - Show number of berths provided for
and assigned specifically for use by officers. Also show in parentheses the additional officer
berths provided as spares.
(b) CREW: ENG Forms 33A through 33E - Show number of berths provided for and
assigned specifically for use by members of the crew. Also show in parentheses the additional
crew berths provided as spares.
(27) UNWATERING: ENG Form 33A - Indicate "yes" or "none" whether hopper
unwatering system is installed on vessel.
(28) DEGASSING: ENG Form 33A - Indicate by type of system or "none" whether
degassing system is installed on vessel.
(29) RADIO CALL LETTERS: ENG Forms 33A through 33E - Show assigned radio
call letters.
(30) RADAR: ENG Forms 33A through 33E - If vessel is equipped with radar, show
manufacturer's name and equipment designation; if no radar, so indicate.
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(31) HOPPERS, NUMBER: ENG Form 33A - Show number of individual hopper
spaces as defined by the principal longitudinal and transverse hopper bulkheads.
(32) TOTAL CAPACITY IN CUBIC YARDS: ENG Form 33A - Show both normal
capacity without flash boards, and show in parentheses the total capacity with flash boards in
place.
(33) DRAGS:
(a) NUMBER: ENG Form 33A - Self-explanatory.
(b) LOCATION: ENG Form 33A - Show distance from amidships to center line of
trunnion in feet.
(c) TYPE: ENG Form 33A - Show type of draghead used in normal service in the
owning district.
(34) CRUISING RANGE: Show the estimated maximum distance, in status miles, that
the vessel can run on its full bunker capacity.
(35) TYPE OF PLANT - OWNERSHIP: ENG Forms 33B through 33E - In addition to
defining the type of plant, show in same space either ownership under Revolving Fund or
ownership by specific project, identified by project name.
(36) VERTICAL CLEARANCE REQUIRED: The maximum height of a vessel, above
the waterline, for bridge clearance purposes. This height shall be measured to the highest fixed
point of the vessel in the light condition. Moveable masts, A-frames, booms, antennae, etc. shall
be in a lowered position in determining this figure.
NOTE: All other information required on both front and back of all ENG Forms 33 Series
is factual to the extent that no definition of terms appears necessary. The information entered
should, however, be as complete as possible and should show horsepower, voltage, amperage,
dimensions, etc. as rated and shown by the equipment manufacturer of the device installed.
7-11. Photographs of Plant. Whenever items of floating plant, Revolving Fund and Project
owned, of the types listed in para. 7-12 below are constructed or otherwise acquired, record
photographs shall be made and submitted to HQUSACE, Attention: CECW-OD.
7-12. Vessel Registration. When a vessel is purchased or otherwise acquired, the District
Commander shall determine the requirements for registering the vessel with the United States
Coast Guard (USCG), American Bureau of Shipping (ABS), and the United States Public Health
Service (USPHS).
Section III. Floating Plant Inspection, Maintenance, Operation, and Repair
7-13. Purpose. This section establishes guidance for the inspection, maintenance, operation, and
repair of Civil Works Revolving Fund and Project-owned floating plant.
7-14. Guidance.
7-19
a. Inspection.
(1) District Commanders shall arrange for inspection and certification by the U.S. Coast
Guard (USCG) Officer in Charge of Marine Inspection (OCMI) of all vessels in accordance with
applicable provisions of 46 CFR and the provisions of the Inspection Agreement found in
Appendix L unless a waiver is obtained from CECW-OD. Any deficiencies reported by Coast
Guard inspectors shall be corrected without delay so that required documents may be obtained.
When plant is not in use, inspection and certification is at the option of the District Commander.
(2) All floating plant not covered in paragraph 7-14.a.(1) above, and those for which a
waiver has been obtained shall be maintained and operated in accordance with the regulations of
the USCG. This requirement does not contemplate registry of such craft with the USCG,
American Bureau of Shipping (ABS), and the U.S. Public Health Service (USPHS), nor
inspection by the Coast Guard. In lieu of such registry or inspection, each vessel in this category
will be initially inspected by a representative of the District Commander to develop the equipment
required for safe operation and the permissible number of persons that may be carried on board.
This information will be included on an ENG Form 3579, Certification of Inspection, which will
be posted near the operating controls of the vessel. An annual inspection of vessels in this
category will also be made by a representative of the District Commander to assure conformance
with the cited criteria. In cases where it is not practical to post the certificate on the vessel, such
as skiffs propelled by outboard motors, the ENG Form will be available at the resident or project
office operating the vessel or aboard the major floating plant to which the small craft is assigned.
(3) Floating plant steam boilers and unfired pressure tanks shall be inspected in
accordance with USCG Regulations and ASME code. A record of such inspections shall be
posted, under glass, in the engine room.
(4) When a major conversion or rehabilitation is accomplished which involves the safety
of the vessel, the District Commander shall determine whether an inspection by the Coast Guard
is warranted.
(5) All floating plant on which employees are quartered or subsisted, and for which no
standards of safety and sanitation are otherwise prescribed, shall be maintained with proper regard
for the safety, health and comfort of the employees. All floating plant where persons are
quartered or subsisted will be inspected annually by a representative of the District Commander
and any deficiencies in maintenance, operation, construction, and equipment will be recorded and
corrected promptly. When in operation, such plant will have at least one employee assigned at all
times who is directly responsible for protection against fire, theft, or sinking.
(6) Differences which cannot be resolved between the District and the OCMI over Coast
Guard inspection regulations or requirements will be referred to the Commander, HQUSACE
(CECW-OD) with adequate detail to justify an exemption from inspection or development of a
solution with the Commandant, U.S. Coast Guard.
b. Maintenance and Repairs.
(1) All floating plant shall be maintained and repaired to meet the requirements imposed
by HQUSACE, applicable provisions of 46 CFR, and the laws of the United States, and any State
in which it is operated. Additions, betterments and repairs will be performed in accordance with
applicable rules or regulations of HQUSACE, ABS, USCG, and the USPHS.
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27 Dec 96
(2) Survey of Repairs Required.
(a) Floating plant will be evaluated annually to determine which units will require repairs
or replacements and/or additions and betterments during the next repair period.
(b) The annual evaluation prescribed in paragraph 7-14.b.(2)(a) above should not be
considered a requirement for dry-docking or overhauling a vessel every year. District
Commanders should establish varying repair cycles for different items of plant which are based on
the location, type of utilization, and the degree of maintenance required for an economical and
efficient operation. In order to avoid extended shipyard-repair periods and minimize overhaul-repair costs, crew members should be regularly assigned maintenance and repair duties within
their respective capabilities whenever they are in a duty status. Division Commanders will closely
supervise the plant-repair programs of their Districts with a view to accomplishing repairs on an
as-needed basis to the fullest extent practicable. Insurance or extensive preventive repairs, in
anticipation of possible breakdowns during operations, should be kept to a minimum.
(c) In connection with the above annual evaluation, group and nongroup plant estimates
will be prepared on ENG Form 1475, Plant Repairs, and ENG Form 1475A, Plant Repairs
Continuation Sheet, only for those items of plant for which repairs or replacements are scheduled
and/or additions and betterments are programmed for the next repair season and for which
approval by higher authority is required. At their discretion, MSC Commanders may arrange for
the temporary detail of especially qualified personnel from their staff, other MSCs, or from
HQUSACE, for assistance in making these estimates. For comparative purposes, a description of
the repairs and/or additions and betterments accomplished on non-group plant, along with actual
costs, will be shown on each required ENG Form 1475, for the most recent repair period.
Requests for authority for additions and betterments will be coordinated with the Acquisition of
Plant, Ownership, and Financial Management Program as outlined in Chapter 15 of ER 1130-2500, and requests for approval for additions and betterments will be made as outlined in Chapter 7
of ER 1130-2-500.
(d) ENG Form 1475 will be submitted promptly for review and approval by appropriate
higher authority in accordance with the limitations outlined in Chapter 7, Section 3 of ER 1130-2500. Repair factors included in Plant Rate Computations, ENG Form 22 (Costs), and Plant
Record Card-Grouped Items, ENG Form 2438, will be reviewed and analyzed in accordance with
EM 1125-2-306 and Chapter 7 of ER 1130-2-500. The original of each ENG Form 22 (Costs)
and ENG Form 2438, or revision thereof, will be furnished CECW-OM-B.
(e) MSC commanders will issue instructions for adapting ENG Form 1475 for use in
connection with repair estimates for Group Plant indicating the manner and frequency of
submission, the detail required, whether prior year total group costs are to be shown, and whether
submission is to be on a group or individual item basis.
(f) Any repair or addition and betterment item of work accomplished which would
significantly improve the efficiency of similar existing plant or the design of future plant applicable
to other MSCs should be reported to CECW-OD for evaluation and direction by the Marine
Engineering Board. The report should include sufficient details and, if appropriate, drawings or
other data which could be readily disseminated. (Exempt report, para 7-2y, AR 335-15).
c. Operations.
7-21
(1) Operators of uninspected self-propelled floating plant, up to and including vessels 65
feet in length, will be qualified and licensed by the USCG, or the District Commander as required
by ER 385-1-91. If a Corps of Engineers licensing program is established in a District, a Corps of
Engineers Motorboat Operators License, ENG Form 3962 and an Operators identification,
Optional Form 346, will be issued to all qualified operators in accordance with the instructions in
Appendix M of this pamphlet.
(2) Hopper dredge allowable draft is limited to ABS loadline limits
(3) Officers and crewmen of self-propelled floating plant, inspected and certificated by the
U.S. Coast Guard will be licensed and/or documented by the U.S. Coast Guard.
(4) The operation of all floating plant shall be in accordance with the requirements of EM
385-1-1, Safety and Health Requirements Manual. Also see ER 1130-2-500, Chapter 7, Section
4, Use, Loan, Lease, and Hire of Plant regarding the limitation of floating plant to official
business.
(5) Recognized, industry-accepted procedures will be followed so that the efficiency of
boilers may be increased by reducing the amount of time lost in cleaning boilers resulting from
deterioration of tubes, shells, and other parts by the action of impurities in boiler water. Required
analysis and corrective action as a result of tests and treatment will be carried out in accordance
with manufacturers' recommendations.
(6) The following ENG Forms will be utilized as required on major items of floating
plant:
(a) ENG Form 2198, Operating Log
(b) ENG Form 3398, Hopper Dredge Log Book
(c) ENG Form 3702, Engine Room Log-Major Floating Plant
(d) ENG Form 3703, Operating Record of Main Engines and Other Equipment (Diesel
Electric with 2 main engines)
(e) ENG Form 3703-A, Operating Record of Auxiliary Diesel Engine Generator
(f) ENG Form 3703-B, Operating Record of Main Engines and Other Equipment (Diesel
Electric with 4 main engines)
(g) ENG Form 3735-A, Daily Report of Operations-Sidecasting Dredge
(h) DA Form 5273, Harbor Boat - Deck and Engine Log for Class “B” Vessels.
(7) EM 1125-2-312, Manual of Instructions for Hopper Dredge Operations and Standard
Reporting Procedures, was issued for the purpose of developing data and reports that will reflect
accurately the performance of hopper dredges and for making evaluations of the effectiveness of
hopper dredges.
(8) Minimum Fleet Dredge Location Reports. District Commanders shall report in the
Dredging Information System database, the annual schedule and each significant change in
location of the Corps Minimum Fleet dredges.
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(9) Reports of Plant Operations. Reports of operation of Corps Minimum Fleet dredges
will be prepared and submitted as follows:
(a) When the work schedule indicates a continuous assignment of 60 calendar days or
more on one project, a Status Report will be submitted monthly. A Completion Report will be
submitted, in lieu of Status Reports, in those cases when the dredging or drilling work on a
project is completed in less than 60 days.
(b) Status or Completion Reports and the Annual Reports of Operations for Hopper and
Sidecasting Dredges, will be prepared in accordance with instructions contained in EM 1125-2312, Manual of Instructions-Hopper and Sidecasting Dredge Operations and Standard Reporting
Procedures. Hopper Dredge reports will be prepared on ENG Form 27, Report of OperationsHopper Dredges. Sidecasting Dredge reports will be prepared on ENG Form 3735A, Report of
Operations - Sidecasting Dredges. An annual report will be furnished to CECW-OD.
(c) Status or Completion Reports and the Annual Report of Operations Pipeline, Dipper
or Bucket Dredges, ENG Form 4267 will be submitted to the MSC Commander for review. An
annual report will be furnished to HQUSACE (CECW-OD).
(10) In accordance with Chapter 9 of ER 1130-2-520, Navigation and Dredging
Operations and Maintenance Policies, foul-weather gear consisting of trousers, coats, headgear,
boots, and gloves may be issued to personnel on floating plant whose duties require frequent and
extended exposure to the elements. All of the foul weather gear, shall meet the requirements of
46 CFR for retroreflective material. This gear will be issued on a personal basis and the
individual to whom custody is given will be held responsible for its care and availability. The use
of foul weather gear will be restricted to duties connected with the dredge operation, repair, and
maintenance. The equipment will be turned in for salvage or reissue whenever personnel are
transferred or are otherwise separated from the vessel. Replacement of worn or damaged
equipment for permanent personnel will also require the turn-in of previously furnished gear.
(11) During a hopper dredge port watch, one licensed deck officer and one licensed
engine room officer will be required to remain aboard the dredge. The Chief Electrician or an
Assistant Electrician may also be required to remain aboard the dredge. These personnel will
perform regularly assigned duties during daylight hours, preferably during their normal scheduled
tour. During this period, the employees involved will be responsible for supervision of required
maintenance and repair work. These employees will remain aboard during the port watch, but
will not normally be assigned any regular duties outside the specified scheduled tour and will be
free to remain in quarters or elsewhere aboard the dredge. If they are required to perform any
routine duty or emergency work outside their specified tour, they will be compensated in
accordance with normal overtime regulations. A minimum number of unlicensed personnel,
consistent with work requirements, will be assigned to a port watch, but will normally be
permitted to leave the dredge after their specified tour. Other unlicensed personnel will also
normally be permitted to leave the dredge; however, if an emergency exists, or if convenient and
safe access to the shore is not available, or if their absence will jeopardize the safety of the plant,
the Master or Senior Deck Officer may require them to remain aboard.
(12) Launch service will normally be provided to and from hopper dredges once each day
during daylight hours, weather, sea conditions, locations, and other conditions permitting. Offduty crew members may avail themselves of this service on a space available basis, if they are not
required to be on board to meet the minimum-staffing requirements. The District Commander or
his authorized representative, at his discretion, may provide additional launch service, the extent
7-23
of which will depend upon distances, costs, weather and sea conditions, safety, and other pertinent factors involved. Since residence aboard the dredge is a condition of employment, launch
service is an auxiliary benefit and not a right of the employee. This service is in addition to launch
transportation to and from the plant to be provided personnel before the beginning and after the
end of their weekly or bi-weekly tours of duty in instances where the dredge does not dock for
repairs, supplies, or lay periods. When possible, a single launch will provide all services on crew
change days.
(13) Manning and Licensing.
(a) Hopper dredges of the Corps of Engineers shall be staffed with the following positions
with U.S. Coast Guard license requirements as indicated. Future assignees to these positions
must hold the licenses shown below:
POSITION
Master
Assistant Master
Chief Mate (for 7-day
/week operation)
2nd Mate
3rd Mate (As required)
Chief Engineer
Assistant Chief Engineer
1st Assistant Engineer
(for 7-day/week operation)
2nd Assistant Engineer
3rd Assistant Engineer
(as required)
LICENSE REQUIRED
Master
Master
Chief Mate (1st class Pilot for
Great Lakes)
2nd Mate (1st class Pilot for
Great Lakes)
3rd Mate (1st class Pilot for
Great Lakes)
Chief Engineer
Chief Engineer
1st Assistant Engineer
2nd Assistant Engineer
3rd Assistant Engineer
(b) Assignments will not be made to Assistant Master or Assistant Chief Engineer jobs
unless the individual proposed holds the required license and, in fact, is required to assume the
duties of the Master or Chief Engineer in his absence. The license requirement and the
requirement to "act for" will be clearly stated in applicable job description.
(c) Jobs involving the full duties and responsibilities of Assistant Master or Assistant
Chief Engineer will be evaluated in accordance with an approved personnel ladder diagram.
(d) Sidecasting dredges and other major floating plant engaged in ocean and coastwise
service may be staffed in accordance with the position alignment indicated in paragraph
7-14c(13)(a).
d. General.
(1) The permissible number of passengers in skiffs of the Corps of Engineers will be in
accordance with EM 385-1-1.
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27 Dec 96
(2) The use and procurement of personal flotation devices will be in accordance with the
applicable provisions of 46 CFR and EM 385-1-1 and the procedures outlined in Appendix D.
(c) ER 840-1-1 describes the procedures for flags for vessels.
(d) Equipment and Stores for Vessels.
(1) Masters, superintendents, launchmen, or others designated in charge of Corps of
Engineers vessels will be held responsible that the equipment required by law or safety of the
vessel and its crew is always on board when their vessels are in use.
(2) The Department of the Navy has authorized Commandants of Navy Yards to issue
from stock such marine stores as naval fittings and equipage, as may be required for use on Corps
of Engineers vessels.
7-15. Authorities for Acquisition and Repair. See ER 1130-2-500, Chapter 7, Section 1, Plant
Design, Acquisition, and Construction; ER 1130-2-500, Chapter 7, Section 3, Plant Inspection,
Maintenance, Operation and Repair; and ER 1130-2-500, Chapter 15, Acquisition of Plant,
Ownership, and Financial Management.
Section IV. Corps of Engineers Marine Engineering Board
7-16. Purpose. This section establishes guidance for the USACE Marine Engineering Board.
7-17. Background and Composition of the Board.
a. The Marine Engineering Board was initially established as a continuing body on 25
February 1944 under the title Hopper Dredge Board. The title was changed to Dredge Board on
18 March 1963 and subsequently changed to its present designation, Marine Engineering Board,
on 26 July 1974.
b. The Marine Engineering Board was established by the Director of Civil Works and is
administered by the Operations, Construction and Readiness Division, HQUSACE.
c. Membership of the Board is shown in Appendix P. The Chairperson shall be Chief of
the Dredging and Navigation Branch, Operations, Construction and Readiness Division,
HQUSACE.
7-18. Functions of the Board. The Board is responsible for the following functions which are
applicable to all USACE marine plant. Findings and recommendations are to be submitted
through the Chief, Operations, Construction and Readiness Division, to the Director of Civil
Works, HQUSACE for approval.
a. Establishes fundamental principles for the design, construction, and operation of marine
plant.
b. Recommends policies and major design features for new construction and major
alterations to marine plant.
7-25
c. Reviews requests for waivers to standard designs.
d. Reviews innovative design concepts and objectives for
major items of floating plant.
e. Recommends policies for acquisition, replacement, or rehabilitation of major items of
floating plant.
f. Reviews requests for waivers for Major Subordinate Commands/District Commands
design of major items of floating plant (ER 1130-2-500, Chapter 7, Section I, Design,
Acquisition, and Construction).
g. Performs program review and establishes project priorities for the USACE Marine
Design Center.
h. Performs other functions in connection with dredges and other marine plant, dredging
techniques, work practices, and operational procedures as assigned by the Director of Civil
Works, HQUSACE.
7-19. Responsibilities.
a. The Chairperson of the Board will report through the Chief, Operations, Construction
and Readiness Division to the Director of Civil Works, HQUSACE.
b. The Chairperson will convene meetings as required to accomplish the Board objectives,
normally semi-annually. The minutes and transactions of the Board will be agreed upon by voting
members, and forwarded to HQUSACE for approval.
c. The Chief, Operations, Construction and Readiness Division will implement the Board
transactions once approved by the Director of Civil Works.
d. Appropriate staff from the USACE Marine Design Center will attend meetings and will
serve as the technical representatives and provide recommendations to the Board.
e. An executive assistant will be appointed by the Chairperson to serve as Secretary to the
Marine Engineering Board to provide functional and administrative support for the Board.
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CHAPTER 8 - CORPS OF ENGINEERS ENERGY PROGRAM (CEEP)
Reserved.
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EP 1130-2-500
27 Dec 96
CHAPTER 9 - COOPERATING ASSOCIATIONS PROGRAM
9-1. Purpose. This chapter establishes guidance for the USACE Cooperating Associations
Program.
9-2. Guidance - General.
a. Cooperating Associations are encouraged at Civil Works water resource projects, fee
owned lands and other areas for which the Corps has administrative and management
responsibilities.
b. Associations are non-profit, tax-exempt corporations whose partnership with the Corps
results in the enhancement of and contributions to the Corps mission, particularly in regard to
natural resource management. Agreements will be entered into as determined appropriate by the
District Commander.
c. Associations are encouraged at all levels within the Corps Headquarters, Districts,
MSCs and Laboratories to accomplish broad goals, natural resource management, interpretation,
and visitor service activities.
d. Corps facilities are provided to the Association at no cost if such use is incidental to
the normal operation of the facility. This is in recognition of the services that the Association is
contributing to the public. If the Association's use of the Corps facility is over and above normal
Corps operation costs for the facility, the Corps will be reimbursed at an agreed upon, but
nominal cost in recognition of the services that the Association is contributing to the public. Any
necessary real estate instruments will be a separate document from the cooperative agreement.
e. Associations encompass organizations which have a wide variety of objectives.
Therefore, at any one location the Corps may determine that multiple Cooperative Agreements
with an assortment of suitable organizations would be in the public interest.
f. A wide range of programs may be pursued under Agreements, for example; special
event planning and sponsorship, habitat improvement, staff and volunteer training, scientific
research, membership activities, publications, archeological activities, trail construction and
maintenance, interpretive programming, support, and technical assistance. This list should be
used as an indicator of possibilities, not as all inclusive.
9-3. Guidance - Administration. An Agreement is required for each Association working with a
Corps Civil Works element (see Appendix P). Appendix P is a typical example; however,
Agreements should be designed to reflect the specific nature of the activities and/or programs for
each Association. At a minimum, the Agreement should provide for the following:
a. Associations will follow all appropriate state and federal laws and regulations to
establish and maintain their nonprofit and tax-exempt status. Appendix Q is a sample of a typical
Association's articles of incorporation and by-laws.
b. All Agreements will contain provisions for termination, should an Association fail to
acquire or maintain its non-profit, tax-exempt status, or to fulfill its purpose as stated in the
Agreement.
9-1
c. Associations will carry appropriate liability insurance which indemnifies, saves, holds
harmless and defends the United States against all fines, claims, damages, losses, judgements and
expenses arising out of, or from any omission, or activity of the Association in connection with
their Agreement with the Corps.
d. The Association will exercise reasonable care to prevent damage to any government
property used, or occupied during its operation and shall, insofar as possible, protect all such
property.
e. Donations of services by Associations to the Corps may be accepted consistent with
Section 203 of the reference in paragraph o. of Appendix A.
f. The Association will not sell any original artifacts, sacred items, or antiquities to which
the Archeological Resources Protection Act, as amended, would apply whether or not such items
were discovered on lands owned or controlled by the United States.
g. Corps personnel may not:
(1) serve as voting members of the Board of an Association.
(2) serve as the Treasurer of an Association.
(3) act as the official representative of an Association in any matter with the Corps.
h. Corps personnel may assist the board of an Association, but only in an advisory
capacity. However, if an Association has a membership program, Corps personnel may join and
participate in membership activities.
i. The Agreement will designate where the Associations may conduct their activities.
(Cooperating Associations are encouraged at Civil Works water resource projects, fee owned
land, and other areas for which the Corps has administrative and management responsibilities.
j. Associations may provide educational programs and materials that further public
understanding of the Corps and/or project mission and its relationship to archeological, natural,
historical, cultural, environmental and recreational resources.
k. Associations may conduct activities, special events, or programs which assist the Corps
in fulfilling their responsibilities for natural resources management.
l. If any revenues are collected from the Association's activities, memberships, or sales of
publications and materials as part of their Agreement with the Corps, they will be used to support
the continued operation of the Association and the Corps management effort as detailed in the
Agreement.
m. Associations will conduct their fiscal operations in accordance with accepted business
practices. This includes the appropriate use of a funds accountability system, purchase orders,
receipts, invoices and inventory records. The Corps may review and audit any and all fiscal
records at any time during the term of the agreement.
n. As applicable, all activities, special events, programs, hours of operation, logistics,
prices, standards of service, and merchandise to be sold are subject to prior approval by the
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EP 1130-2-500
27 Dec 96
District Commander, or an authorized representative. Approval should be based upon maximum
benefit and service to the public, and if appropriate, quality, suitability and fair-market value of the
merchandise.
o. The responsibilities of the Corps and the Association will be clearly and distinctly
maintained throughout the life of the Agreement. Specifically:
(1) Principal and alternate points of contact for the Corps and the Association at each
location will be established, identified and maintained. The principal point of contact for the
Corps should be the individual most directly related with coordinating the Association's activities.
For example, at a field project, the Operations Project Manager, or Park Ranger could be the
principal point of contact.
(2) Development and management of sales activities, if any, are the responsibility of the
Association. However, all aspects of sales activities are subject to prior approval by the District
Commander.
(3) Association employees or volunteers will not wear the Corps uniform, nor items of
clothing that resemble the uniform.
(4) The Corps will provide the information, support and training necessary to ensure that
all Association activities are in compliance with the Corps safety standards, EM 385-1-1. The
Association is responsible for conducting all its activities and ensuring that all its personnel
comply with all Corps safety requirements.
p. The Association may be granted a license, easement or lease, as appropriate in
accordance with ER 405-1-12 for the use of government owned property. (See also paragraph 93.d. above.)
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27 Dec 96
CHAPTER 10 - THE CORPS OF ENGINEERS VOLUNTEER PROGRAM
10-1. Purpose. This chapter establishes guidance on accepting the services of volunteers.
10-2. Background.
a. PL 98-63 authorizes the Chief of Engineers to accept the services of volunteers and to
provide for their incidental expenses to carry out any activity of the Army Corps of Engineers
except policy making or law/regulatory enforcement. The Corps objective is to utilize voluntary
services having some value to the Corps in a manner mutually beneficial to the volunteer and the
public interest. MSC offices have the responsibility for the coordination of volunteer programs
within their MSC, including monitoring and evaluating volunteer programs within their districts,
providing assistance to district counterparts, and acting as a liaison between the districts and
HQUSACE. Administration of each district's volunteer program is the responsibility of a
designated Coordinator.
b. Volunteers may carry out many activities for the Corps of Engineers. Voluntary
service may include work that would not otherwise be accomplished because of funding or
personnel limitations. Volunteers may produce products for the Corps at off-site locations.
10-3. Guidance.
a. A successful volunteer program requires a step-by-step approach to assess Corps
needs, develop a plan to accomplish those needs, and evaluate program success. The program
should also tailor Corps needs to the volunteer talents available in the local area. The major steps
in this procedure are:
(1) Assess overall needs. Define the tasks that need to be done at the individual project
or office.
(2) Evaluate costs and benefits. This program is not "free." It will require staff time and
administrative support. Regulate the size of the program to match individual organizational
capability.
(3) Refine task descriptions. The supervisor will develop simple descriptions for the tasks
that need to be accomplished. Existing information will be used to the greatest extent possible.
The level of work described will be used to establish a value of the service performed. This
replacement cost classification determination, as well as the number of hours volunteered, will
give the accepting official the means to determine the value of each volunteer's work effort.
(4) Recruit and select. Advertise the volunteer program through public service
announcements, news releases, personal contact and brochures. Screen all applicants and identify
the talents that are available. Match the volunteer applicants with the tasks identified and finish
the acceptance process.
(5) Provide orientation (training). Provide initial orientation and follow-up training
commensurate with the type of job, length of proposed service and the requirements for safety.
10-1
(6) Provide supervision. Identify supervisory channels for the volunteer and clearly
describe the work to be accomplished. Follow up on the job as you would with a paid staff
member.
(7) Keep records. The supervisor will monitor the hours worked by each volunteer.
(8) Develop a volunteer plan. A volunteer plan is a synopsis of the information resulting
from paragraphs 10-3a(1) through (7) above. Such a plan should be included as an appendix to
the project "Operational Management Plan." A Corps Volunteer Coordinator's Handbook (EP
1130-2-429), has been developed to assist coordinators in the formation of the volunteer plan and
the overall operation of the volunteer program.
b. Most individuals can qualify to become volunteers for the Corps. It doesn't matter if
the person is receiving pay, academic credit, or other types of compensation from sources other
than the Corps; if the Corps is not paying for the work that is done, the person can be considered
a volunteer. Individuals convicted of crimes and participating in court-approved probation, work
release, or alternate sentencing programs may serve as volunteers at the discretion of the
accepting official; however, no person referred from a court-approved program, who has been
convicted of any violent crime, crime against person, or crime involving the use of a weapon shall
be utilized in the Corps of Engineers volunteer program in any manner.
c. Volunteers must be qualified to perform the work assigned. Additionally, they must be
physically able to do the work. The accepting official may request the volunteer to complete a
Standard Form 256, Self-identification of Handicap, or obtain a medical examination if there is a
question regarding the volunteer's ability to perform assigned work. In special circumstances, the
cost of medical examinations may be considered incidental expenses of the volunteer. These
circumstances should reflect the need for medical examination and the value of the voluntary
services that the Corps would receive.
d. Volunteers will not be used to displace any personnel of the Corps of Engineers. They
may, however, perform duties which once were, or are presently, performed by Corps personnel
or contractors. Volunteers should not be required to perform any type of work that he or she
does not feel comfortable doing or does not willingly agree to do. Volunteers who are assigned
to operate machinery or equipment (such as chain saws, power shop tools, or specialized
equipment) must first have demonstrated their proficiency in the operation of that equipment and
their understanding of safety requirements to the satisfaction of the supervisor and the accepting
official.
e. Voluntary service may be accepted by any official designated by Commanders or their
representatives.
f. Voluntary service may be accepted from individuals or from members of organized
groups. Volunteers will be recruited and service accepted without regard to race, creed, religion,
age, sex, color, national origin, or handicap.
g. Whenever possible, volunteers will be provided a work environment which is
equivalent to that provided for Corps personnel performing similar duties. Volunteers will not
normally be used in work assignments in which Corps personnel would receive hazardous duty
pay. The same safety training and briefings provided to Corps personnel in a given circumstance
will also be provided to volunteers. This should include the review of an "Activity Hazard
Analysis." Injuries to volunteers will be reported in the same manner as those involving Corps
personnel. The reporting procedures will be the same except that item 17 of ENG Form 3394,
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27 Dec 96
U.S. Army Corps of Engineers Accident Investigation Report, will be checked "other-volunteer."
The activity will also report all hours of volunteer work (reported as USACE personnel workhours) for accident statistical analysis purposes.
h. Volunteers will not be used for policy making or law or regulatory enforcement.
i. Voluntary service is to be carried out in conformance with Federal, State and local laws
and standards regarding the employment of minors.
j. The agreement for volunteer services may be terminated at any time by the accepting
official or the volunteer.
k. A large event which is sponsored and coordinated by multiple organizations and
attracts large numbers of participants may be considered a volunteer activity when the overall
event is coordinated by the Corps and the requirements of this guidance are met.
10-4. Protection and Benefits.
a. Volunteers receive the same benefits and protection as federal employees under the
Federal Employees Compensation Act (5 USC, Chapter 81) and the Tort Claims Act (28 USC,
2671-2680) and are considered to be federal employees for only those purposes. Since volunteers
are considered the same as paid personnel for the purpose of this Act, they are offered the
protection of the Act for personal liability as long as the volunteer is within the scope of his/her
responsibilities.
b. Federal Employees Compensation Act. Volunteers are entitled to first aid and medical
treatment for on-the-job injuries, as well as hospital care when necessary. When travel for
receiving medical care is necessary, transportation may be furnished or travel expenses
reimbursed.
c. If death results from an on-the-job injury, burial and funeral expenses may be paid.
Burial and funeral payment, however, as well as other possible compensations are regulated by the
Office of Worker Compensation Programs. Volunteers do not receive compensation for lost
wages. (Note: This paragraph does not apply to any prisoner work program. Such programs
would be covered by a separate formal agreement and other regulations and statutes.)
d. Federal Tort Claims Act. This Act provides a means whereby damages may be
awarded as a result of claims against the Corps for injury or loss of property or personal injury or
death caused by the negligent or wrongful act or omission of any employee of the Corps. Such
damages could be awarded if a private person would be liable to the claimant in accordance with
the law of the place where the act or omission occurred.
e. Incidental Expenses. PL 98-63 grants the Corps authority to provide for the incidental
expenses of volunteers. Reimbursement of incidental expenses is not to be understood as salary.
Many volunteers do not want or need reimbursement for their out-of-pocket expenses; others
could not volunteer without some financial assistance. Reimbursement should be handled on a
case-by-case basis. Accepting officials and volunteers should enter into volunteer agreements
with the understanding that reimbursement is not mandatory. Volunteers may be reimbursed for
actual out-of-pocket expenses they incur in performing voluntary service when approved in
advance.
10-3
f. Long distance travel expenses may be reimbursed in cases where it can be shown that
the services of the volunteer will be of exceptional value to the Corps, and then only with the
approval of the commander.
g. The rate at which volunteers may be reimbursed for incidental expenses will not exceed
the amount authorized by the Joint Travel Regulation for Government employees under similar
circumstances.
h. Volunteers may be housed in Government provided quarters. They will not normally
be charged for such occupancy. Volunteers may also be provided campsites at Civil Works
projects where their voluntary service occurs and not be required to pay a user fee.
10-5. Identification. Individual volunteers who are likely to come into contact with the public
must be recognizable as volunteers. To do this, three kinds of identification may be used:
a. A 3" x 1" name tag showing the individual's name and the word "volunteer".
b. The Corps of Engineers volunteer emblem, which will be available as either a patch for
garments or decal for hardhats. A baseball cap (color optional) with a patch or other suitable
identifying garment. Otherwise, regular personal clothing which is neat and appropriate for the
work performed is acceptable. Volunteer emblems will be available through central procurement.
c. A white uniform shirt with the volunteer patch on the left shoulder may be provided to
volunteers in special situations when the value of the volunteer being recognized by the public
outweighs the cost of the uniform. District commanders will authorize such procurement on a
case-by-case basis. The shirt may be similar in design to the authorized Class B Park Ranger gray
uniform shirt, however, under no circumstances shall a volunteer wear the authorized Corps patch
or any other item of the official Natural Resources Management Class A-B-C Park
Manager/Ranger uniform, or the Operations/Maintenance uniform.
10-6. Reports.
a. It is important to maintain accurate records regarding the number of volunteers
utilized, and the cost to the Government of this volunteer service. This information will be
tracked by project and reported via the Natural Resources Management System annually (RCS:
CECW-0-39). Letter reports may be required more frequently by district or division offices.
b. For the purpose of determining the value of volunteer services, the following rates will be
used at the comparable base rate (not to include overhead).
Laborer - Minimum wage or WG-3
Skilled Maintenance - WG-9
Student/Clerical - GS-4
Technical Specialist - GS-7 or GS-9
Consultant - GS-11 or GS-13
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10-7. Forms.
a. Optional Form 301, Volunteer Application for Natural Resources Agencies. This form
should be provided to all people who request information about the volunteer program. It is
designed to gather pertinent information on a potential volunteer's background and areas of
interest and skills. It can be used to screen applicants, to develop a file of potential volunteers or
to refer volunteers to other areas or agencies. Optional Form 301 can be obtained locally from
GSA sources.
b. ENG Form 4880-R, Agreement for Individual/Group Voluntary Services. This form is
the official document that legally enrolls an individual in the program and provides him or her with
federal protection in case of injury or tort claim. It must be completed and signed prior to
commencement of work by both the volunteer or organized group representative and the
accepting official for all volunteers, even for work projects of only a few hours duration. This
form is to be used when dealing with individual volunteers or sponsored groups. A list,
containing the name, address and signature of each group member who will be participating must
be attached. Also a complete, detailed description of the duties, conditions, and responsibilities
should be attached to this form. This is important in case questions arise on whether the
volunteer was acting within the scope of his/her assigned responsibilities. The document can be
modified at any time by mutual consent, but it must accurately reflect the duties of the volunteers
at all times. The acceptance/termination line at the bottom of the form serves two purposes. It
provides the accepting official with a means of officially terminating an agreement, if appropriate,
and it provides a legal record of when an agreement was terminated in case of a law suit or injury
claim. A copy of the agreement along with any revisions or amendments should be given to the
volunteer for his/her records. The original should be retained by the accepting official for a threeyear period. The inactive file is to protect against possible law suit or injury claim.
c. ENG Form 4881-R, Parental Approval. This form must be completed, signed, and
attached to the volunteer agreement of all volunteers under the age of eighteen years. This
requirement also applies to volunteers of organized groups. However, if the group leader has
already obtained a signed parental release, this can be used in place of ENG Form 4881-R.
d. ENG Form 4882-R, Volunteer Service Record. This form may be used to record
information regarding the service of individual volunteers.
e. ENG Form 4883-R, Certificate of Appreciation. This form may be used to recognize
the efforts of volunteers. Locally designed certificates may also be used.
f. Standard Form 1164, Claim for Reimbursement for Expenditures on Official Business.
Claims for reimbursement of a volunteer's incidental expenses should be submitted on Standard
Form 1164, and, when practicable, paid from imprest funds. Claims for travel expenses such as
per diem, lodging or air fare should be submitted on DD Form 1351-2, Travel Voucher or
Subvoucher.
g. Appendix R contains illustrations of the ENG Forms prescribed by this guidance.
Procedures for the use of these forms will be found in the Volunteer Coordinator's Handbook, EP
1130-2-429. Reproducible copies of ENG Forms 4880-R, 4881-R, 4882-R and 4883-R may be
obtained through the local forms management officer (FMO).
10-5
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CHAPTER 11 - CONTRIBUTIONS PROGRAM
11-1. Purpose. This chapter establishes guidance on accepting contributions.
11-2. Background. The contributions program, authorized by Section 203 of the Water
Resources Development Act of 1992, authorizes the Corps to accept contributions from groups
and individuals in connection with carrying out water resources projects for environmental
protection and restoration or for recreation.
11-3. Guidance.
a. Although Section 203 of the Water Resources Development Act authorizes
contributions of services, the acceptance of service from volunteers was previously authorized by
Section 569C of the Supplemental Appropriations Act of 1983. The guidance contained in ER
1130-2-500, Chapter 10, Volunteer Program, should be used to accept contributions of services.
b. Locations that are not required to prepare a Master Plan, such as district offices,
division offices, and HQUSACE, should prepare a contributions plan that describes the work that
will be accomplished with any potential contributions that are received. Contributions supplement
budget allocations as another means to accomplish approved work.
c. Prior coordination with Logistics Management should occur before contributed
personal property is accepted. Personal property is property of any kind except lands and
improvements that are permanently attached and ordinarily regarded as real estate. Recording,
accounting, and management of property items will be in accordance with ER 700-1-1.
d. Major Subordinate Commands are responsible for the coordination of the contributions
program within their command. The Commander may accept or decline contributions. The
Commander may assign coordination of these duties to a command coordinator within the Civil
Works operations element. The coordinator will monitor and evaluate the district contributions
programs, provide assistance to the district counterparts, and act as a liaison between the districts
and HQUSACE.
e. District commanders are responsible for administering the contributions program within
their district. The Commander may accept or decline contributions. The Commander may
delegate responsibilities of the program at his/her discretion and assign coordination of these
duties to a district coordinator within the Civil Works operations element. The district
coordinator is responsible for keeping the district program running smoothly and efficiently, and
ensuring that it meets the needs of the Corps of Engineers and the participants. The coordinator
helps in assessing needs and identifying work that can be accomplished with contributions,
provides guidance, handles inquiries regarding the program, and keeps the district and project
staff current on ideas and procedures for using contributions.
f. Contributions may be used to provide brochures or other publications for the Corps.
Periodicals or pamphlets intended primarily for distribution outside the Corps must be approved
by the HQUSACE Publications Advisory Committee before printing or reprinting. Requests for
publications should go through channels to be reviewed by the HQUSACE committee. The
request should include the text, intended audience, plan for distribution, estimated total cost to
produce the publication, partner's contribution, and benefit to the public and the Corps.
11-1
g. Materials and Equipment. For record-keeping purposes, the value of materials and
equipment should be determined using the local market value that comparable items could be
purchased, or rented if for short-term use.
h. Expenditure. All contributions received at the project will be available for expenditure
at the water resource development project where they are collected. Contributions received at the
district, MSC, and headquarters offices will be distributed as is deemed best to meet the goals
described in the contributions plan.
i. Earmarked Contributions. Commanders may, at their discretion, accept a contribution
earmarked for a particular project purpose providing the purpose is consistent with the project
Master Plan or Operational Management Plan.
j. Contribution Box. A contribution box may be set up at field offices, visitor centers, and
other appropriate locations. The installation of a contributions box is optional, at the manager's
discretion. The box should be of a similar design used in many museums. The contribution box
should be locked and have a sign stating the use of the contributions. It should be clear to the
visitor that any money collected is a voluntary contribution and is not required for touring the
visitor center, receiving brochures or pamphlets, or any other services.
k. Cooperating associations may accept contributions to the association but shall not
handle Corps funds or accept contributions given to the Corps. The association may accept
contributions and use them for the continued operation of the association or donate the funds for
the Corps management effort, as detailed in their cooperative agreement. The Corps may permit
the association to install a contributions box provided the sign states that the funds received go to
the association and their use.
l. Tax Information. The Corps does not provide tax advice. If a contributor asks for tax
information, the Corps representative should ask the contributor to consult their tax advisor. If
requested, a receipt should be furnished to contributors for their contribution. A letter
acknowledging the acceptance of a contribution should be written for any contribution over $100.
11-4. Accounting and Reports.
a. Revenue. Revenue collected from contributors will be deposited into account 96x8862
of U.S. Treasury according to the requirements outlined in ER 37-2-10, Chapter 4. Collections
will be transmitted not later than Friday of each week, or each day the total amount collected but
not transmitted exceeds $1,000. ENG Form 3313 (Remittance Register) or DD Form 1131 and a
copy of the SF 215 (Deposit Ticket) are the authorized forms for transmittal to the finance and
accounting officer. These funds are immediately available to the collecting installation for
obligation and expenditure without further action by HQUSACE after the confirmed receipt is
received from the Federal Reserve Board. All funds will be accounted for and disbursed under
the same standards of accountability as appropriated funds.
b. Authorized Collectors. Appointment of authorized collectors for receiving
contributions must be made in writing by the finance and accounting officer in accordance with
ER 37-2-10, Chapter 4.
c. Reports. Each water resources project office will maintain accurate records on
contributions according to ER 37-2-10. The project office will annually report the total amount
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EP 1130-2-500
27 Dec 96
of contributions via the Natural Resources Management System (RCS: CECW-O-39). Division
or district offices may require more frequent reports of greater detail.
11-5. Promotion. The Corps may encourage participation in the contributions program by
informing potential partners in a diplomatic manner of the opportunities that are available. The
potential for participants is tremendous and includes civic organizations, conservation clubs,
cooperating associations, local business, corporations, and individuals.
11-6. Recognition and Publicity.
a. Recognition. Recognition is encouraged as a way to express appreciation to
contributors and acknowledge the public support that has been received. The Corps will
acknowledge its appreciation in a manner consistent with the mission and goals of the Corps and
the standards of ethical conduct. This may include letters or certificates of appreciation (ENG
Form 4883-R as in Appendix S or a locally designed certificate), news releases, photo
opportunities, ribbon cutting ceremonies, articles in the project news briefs, or other appropriate
means. Recognition will avoid any suggestion of commercialization, advertising, endorsement of
a product, service or organization. Corps personnel may recommend exceptional contributors to
HQUSACE (CECW-ON) for possible special recognition.
b. On-site Recognition. The Corps will avoid on-site recognition that might clutter,
detract or interfere with the scenic value of the environment or project facilities. Limited use of
small markers or plaques may be appropriate on some locations as a way to provide recognition
of a contributor, express gratitude, and encourage others to contribute.
c. Contributor's Publicity. The Corps should advise contributors to appraise the Corps of
any publicity they initiate.
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CHAPTER 12 - CHALLENGE COST SHARING PROGRAM
12-1. Purpose. This chapter establishes guidance for challenge cost-sharing agreements.
12-2. Background. The challenge cost-sharing program, authorized by Section 225 of the Water
Resources Development Act of 1992, provides opportunities for public and non-Federal groups
and individuals to contribute to and participate in the operation and/or management of recreation
facilities and natural resources at Corps water resource development projects. Partnering with
others provides a way to stretch the Corps of Engineers budget by sharing the cost of operating
and managing recreation facilities and natural resources.
12-3. Guidance.
a. A sample financial work sheet that itemizes the monetary value of each party's
contribution is in Appendix T and will be completed as part of the agreement. A sample challenge
cost-sharing agreement is included in Appendix U.
b. Discretion to Decline. Challenge cost-sharing opportunities may, due to the nature of
the proposal; its use; conditions imposed; profit motive or the character or notoriety of the
contributor; appearance contrary to, compromising or inconsistent with the laws, regulations,
purposes, principles, integrity, standing, or reputation of the Corps of Engineers, the United
States Army or the Government, be declined at the discretion of the Commander or a designated
representative. Challenge cost-sharing opportunities that would create or give the appearance of
a conflict of interest or have conditions inconsistent with the Corps mission must be declined.
c. Services. Services that the partner performs as a part of the challenge cost-sharing
program are to be carried out in conformance with Federal, State and local laws and standards.
For the purpose of determining the value of the partner's services, the actual labor cost will be
used.
d. Materials and Equipment. The value of materials and equipment should be determined
using the local market value of comparable items for purchase, or rent if for short-term use.
e. Operation of Vehicles, Vessels and Equipment. Partners may be authorized to operate
Government-owned or leased vehicles, vessels or other equipment if deemed appropriate and
beneficial. In such cases, the same licensing policies and procedures that apply to Corps
personnel in similar situations will apply to partners. Partners who are assigned to operate
machinery or equipment (such as chain saws, power shop tools, or specialized equipment) must
first have demonstrated proficiency in the operation of that equipment and understanding of safety
requirements to the satisfaction of the Corps.
f. Safety. All safety rules and regulations apply to work accomplished with challenge
cost-sharing agreements. Safety training provided to Corps personnel will also be provided to
partners performing services, including review of the "Activity Hazard Analysis." Injuries to
partners performing services will be reported in the same manner as those involving Corps
personnel. The reporting procedures will be the same except that item 17 on ENG Form 3394,
U.S. Army Corps of Engineers Accident Investigation Report, will be checked "other - partner."
12-1
g. Quality of Work. Challenge cost sharing agreements are a means of completing a task.
These accomplishments will be of the same quality as if carried out under any other Corps
program. Challenge cost-sharing agreements should be administered according to good business
practices and sound financial controls. The activities and products should be inspected, and the
schedule and specifications monitored, to assure that they are accomplished as indicated in the
agreement.
h. Tax Information. The Corps does not provide tax advice. If solicited, Corps
representatives should suggest partners consult their tax advisors to determine if their share of a
challenge cost-sharing agreement is charitable for tax purposes or deductible for any other reason.
i. Procurement and Contracting Requirements. Challenge cost-sharing agreements will
not be used as a substitute for contracts or procurements subject to the Federal Acquisition
Regulations and other applicable procurement statutes and regulations.
12-4. Accounting and Reports.
a. Revenue. Revenue collected from challenge cost-sharing partners will be deposited
into account 96x8862 of the U.S. Treasury according to the requirements outlined in ER 37-2-10,
Chapter 4. ENG Form 3313 (Remittance Register) or DD Form 1131 and a copy of the SF 215
(Deposit Ticket) are the authorized forms for transmittal to the finance and accounting officer.
b. Funds Availability. These funds are immediately available to the collecting installation
for obligation and expenditure without further action by HQUSACE after the confirmed receipt is
received from the Federal Reserve Board. All funds will be disbursed under the same standards of
accountability as appropriated funds.
c. Accepting Officials. Appointment of authorized collectors and accepting officials for
receiving funds from challenge cost-sharing agreements must be made in writing by the Finance
and Accounting Officer in accordance with ER 37-2-10, Chapter 4.
d. Reports. Each water resources project office will maintain accurate records on
challenge cost-sharing agreements according to ER 37-2-10 and Chapter 12 of ER 1130-2-550.
Reports will consist of the name of the partner(s), the project undertaken, the total amount of
challenge cost-sharing agreements, the partners' amount, and the Corps amount. This information
will be reported annually via the Natural Resources Management System (RCS: CECW-0-39).
Divisions or districts may require more frequent reports of greater detail.
12-5. Promotion. The Corps may encourage participation in the challenge cost-sharing program
by informing prospective partners of the opportunities that are available. Potential participants
include non-Federal public and private entities such as civic organizations, conservation clubs,
cooperating associations, local businesses, universities, corporations, state and local governments,
and individuals.
12-6. Recognition.
a. Recognition. The Corps will express its appreciation in a manner consistent with the
mission and goals of the Corps and the standards of ethical conduct. This may include letters or
certificates of appreciation, (ENG Form 4883-R or a locally designed certificate), news releases,
photo opportunities, ribbon cutting ceremonies, articles in the project news briefs, or other
appropriate means.
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27 Dec 96
b. Recognition will avoid any suggestion of commercialization, advertising, or
endorsement of a product, service, or organization. Corps personnel may recommend exceptional
partners to HQUSACE (CECW-ON) for possible special recognition.
c. On-site Recognition. On-site recognition that might clutter, detract or interfere with
the scenic value of the environment or project facilities is not permitted. An honor roll of
challenge cost-share partners may be placed in the project visitor center. Other on-site
recognition may be done on a limited basis to provide recognition for special partners. This onsite recognition may be a small plaque, marker, or sign that blends with the environment and
project facilities.
d. Partner's Publicity. Partners should be advised to keep the Corps appraised of any
publicity that they initiate. All publicity will be a joint effort by the partner and the Corps to
include review and change authority.
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CHAPTER 13 - CIVIL WORKS HOUSING
Reserved.
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27 Dec 96
CHAPTER 14 - AQUATIC PLANT CONTROL PROGRAM
14-1. Purpose. This chapter establishes guidance for research, planning and operations for the
USACE Aquatic Plant Control Program.
14-2. Background.
a. An Aquatic Plant Control (APC) Program is maintained by the Corps to control
specific types of aquatic plant infestations of major economic significance, or weed infestations
that have, or potentially may, reached such economic significance, in navigable waters, tributaries,
streams, connecting channels and all allied waters. The APC Program is authorized under Section
104 of the Rivers and Harbors Act of 1958 (PL 85-500), as amended, and Sections 103, 105, and
712 of the Water Resources Development Act of 1986 (PL 99-662).
b. Initial problem appraisal is to be directed toward investigation of the specific aquatic
plant problem, not generalized surveys of aquatic vegetation. The common indigenous
submersed, floating, and emergent species do not generally meet the program criteria merely
because they may qualify as "obnoxious aquatic plants" under the language of the authorizing
legislation.
c. Work Not Eligible Under This Program. The APC Program authorized by Section 104
of PL 85-500, as amended, and as modified by Sections 103, 105, and 712 of PL 99-662, is not
an Operation and Maintenance (O&M) program. Aquatic plant control necessary for O&M of
authorized reservoirs, channels, harbors, or other water areas under the jurisdiction of the Corps
of Engineers or other Federal agencies, will not be undertaken as part of this program except as
such areas may be used for experimental purposes. Subordinate commands will fund aquatic plant
control work required for O&M of Corps operating projects through the normal O&M budget
process.
d. Intergovernmental Review. The APC Program is specifically included under the
purview of EO 12372, Intergovernmental Review of Federal Programs (para 3). This executive
order requires Federal agencies to provide opportunities for consultation by those State and local
governments which provide non-Federal funds for, or that would be directly affected by, proposed
Federal financial assistance or direct Federal development.
14-3. Guidance.
a. Authorization of Planning Studies. The Office of the Assistant Secretary of the Army
(Civil Works) authorizes reconnaissance and feasibility studies. Upon authorization, HQUSACE
(CECW-ON) approves work allowances and allocates funds based on district requests. Districts
may request funds for these studies in annual budget submissions or by special request through
division to HQUSACE (CECW-ON).
b. Planning Studies. Planning studies determine if sufficient justification exists for Federal
(Corps) involvement with an aquatic plant problem and identify the most efficient means of
aquatic plant management. Consult ER 1105-2-100, Guidance for Conducting Civil Works
Planning Studies, for specific details on policies and procedures for conducting these planning
studies. The three planning studies and associated reports are (1) initial appraisal (Letter
14-1
Report); (2) reconnaissance studies (Reconnaissance Report); and (3) feasibility studies (Detailed
Study Report).
(1) Initial Appraisal. Conducted at 100 percent Federal cost, the initial appraisal is a brief
analysis conducted in response to the receipt of a State request for investigation of a new aquatic
plant problem or additional problems not covered by previously approved control agreements.
The district identifies the type, location, magnitude and impact(s) of the aquatic plant problem and
documents the district determination of need for further study. If further study is justified, a
request for authorization and funding for a reconnaissance study is forwarded through division
and HQUSACE (CECW-ON) to the OASA(CW) in the Letter Report.
(2) Reconnaissance Studies. Conducted at 100 percent Federal cost and cost normally
restricted to no more than $15,000, reconnaissance studies are limited to 12 months in duration,
with possible extension to 18 months under unusual circumstances. Studies are confined to
readily available information required to determine Federal interest and should include, but not be
limited to, the information described in Appendix V. These studies also determine the potential
for an environmentally and economically feasible management program, and identify a sponsor
willing to cost-share the feasibility studies. Where findings and conclusions of the reconnaissance
study are unfavorable to undertaking feasibility study, a brief follow-up to the Letter Report
summarizing the problem and findings will be submitted through division and HQUSACE
(CECW-ON) to the OASA(CW). If the findings indicate advancement to the feasibility study
phase, the report is submitted through division and HQUSACE (CECW-ON) to the OASA(CW)
for review and approval. Reconnaissance Reports will include an analysis of the cost of preparing
the Detailed Study Report (DSR), a negotiated Detailed Study Cost-Sharing Agreement
(DSCSA) wherein the sponsor agrees to contribute 50 percent of the study cost of the DSR, and
a letter from the local sponsor indicating willingness and intent to sign the agreement upon
approval. The model DSCSA is at Appendix W. If the model is utilized as a form contract, the
District Commander may execute it without additional HQUSACE clearance provided no
modifications, additions, or deletions are made to the form contract. If the conditions of the
agreement vary from the form contract, review and approval by HQUSACE and the OASA(CW)
must take place prior to execution by the District Commander. The DSCSA shall identify the
time necessary to complete the DSR.
(3) Feasibility Studies. When authorized by the OASA(CW), the district will conduct a
feasibility study addressing details of the aquatic plant problem and a proposed plan of action.
Conducted at 50 percent Federal/50 percent sponsor cost (at least half of which must be cash),
the study determines whether an APC program is justified; if so, plans of sufficient detail will be
developed to assure a comprehensive management program. Feasibility studies will consider
physical, mechanical, chemical, biological and integrated control technology. Priority will be
given to biological control where feasible. A negotiated Local Cooperative Agreement (LCA) for
Operations wherein the local sponsor agrees to contribute 50 percent of the cost of control
operations, and a letter from the sponsor indicating willingness and intent to sign the agreement
upon approval will accompany the findings in the Detailed Study Report (DSR). Upon
completion, the DSR will be reviewed by the division and then forwarded to HQUSACE
(CECW-ON) for review and approval.
(4) National Environmental Policy Act (NEPA) Requirements. The feasibility study
phase includes preparation of an Environmental Assessment (EA) and, if needed, an
Environmental Impact Statement (EIS). These studies are also cost-shared. The EA will
conclude with either a Finding of No Significant Impact (FONSI) or a recommendation for
preparation of an EIS. The EA or EIS may either be a self supporting document combined with
and bound within the feasibility report (Detailed Study Report) or integrated into the text of the
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feasibility report. The EIS should be integrated into the text unless complex environmental
impacts preclude this alternative. Appendix Y contains information that must be addressed in the
EA or EIS.
(5) Criteria for Recommending Federal Involvement. A recommendation favorable to
initiation of an APC program under legislative authority will be warranted when:
(a) There is a clear and definite Federal interest for participation under the purview of
Section 104 of PL 85-500, as amended, as modified by Sections 103, 105, and 712 of PL 99-662.
(b) Analysis based on sound ecological principles clearly indicates that the program will
effect satisfactory management of the target aquatic plants.
(c) Each separable element of the project, as well as the entire project, is economically
justifiable.
(d) The state is legally and financially able and willing to fully meet all local cooperation
requirements.
(e) The work involved is not the type normally provided by local entities or private
interests as a local responsibility.
14-4. Management Operations.
a. Where Federal involvement is indicated, management operations are cost-shared 50/50
with the sponsor in accordance with an approved DSR, LCA and Annual Work Plan (AWP). The
LCA for management operations shall be for a duration of one year. District Commanders may
amend the LCA for the succeeding year without resubmission to HQUSACE for approval
provided there are no changes in the basic LCA conditions. Each amendment will be for one year
duration and shall include an AWP and cost estimate for the period covered by the amendment.
Appendix Z provides information guidelines for the AWP. The State will be the signatory on the
LCA; however, the State may, by separate agreement, delegate its financial responsibilities to
local governmental interests. Operations can be done by Federal, state, and/or private sector
entities, under an AWP specifying the details and standards of work to be performed and
requiring compliance with all applicable Federal and State laws and regulations.
b. Herbicide Applications. All herbicide applications are to be performed in compliance
with applicable Federal and state laws, including the Federal Insecticide, Fungicide and
Rodenticide Act of 1972, as amended, and the Occupational Safety and Health Act of 1970. All
Federal pesticide applicators and their supervisors must comply with the reporting requirements,
safety provisions, training and certification requirements outlined in ER 1130-2-540, Chapter 3,
Pest Control Management for Civil Works Projects. Questions concerning the safe application of
herbicides should be referred to the District Safety Officer.
14-5. Reviews and Reports.
a. A research and operations review will be held each year to provide for professional
presentation and review of current research projects and operations activities, conduct of the
Civil Works R&D Program Review, and to review new research proposals to provide input for
planning the future APC Program. APC Program managers of operating districts and divisions
are authorized to attend the meetings.
14-3
b. The APCOSC will present an annual report of operations at the Annual Research and
Operations Review (paragraph 14-5.a. above). The report will describe the activities of the
Center by major categories (planning, operations, research, and training), the Center's function
and overall APC program trends.
c. The APC Program is a continuing activity funded under Construction, General, and
subject to an annual expenditure ceiling of $12,000,000. Recommendations and supporting data
will be submitted in accordance with ER 11-2-240 (RCS CECW-B-13). The amounts requested
should be the minimum necessary to meet essential program needs. Funds should be within the
district's capability to utilize within the budget year, taking into account the foreseeable
availability of local cost-sharing funds for planning purposes or management operations.
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CHAPTER 15 - ACQUISITION OF PLANT, OWNERSHIP, AND FINANCIAL
MANAGEMENT
Reserved.
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CHAPTER 16- ACCESSIBILITY
Reserved.
FOR THE COMMANDER:
OTIS WILLIAMS
Colonel, Corps of Engineers
Chief of Staff
27 APPENDIXES
See Table of Contents
I
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APPENDIX A
REFERENCES
a. 16 USC 4601-13, Federal Water Project Recreation Act, (79 Stat. 213, PL 89-72).
b. 16 USC 460d, The Flood Control Act of 1944, as amended, (58 Stat. 887, PL 78-534).
c. 31 USC 6301, Currency and Foreign Transactions Reporting Act, (96 Stat. 1003, PL 97-258).
d. 33 USC 2325, 2328, Sec. 203, 225, Water Resources Development Act, 1992 (106 Stat.
4838, PL 102-580).
e. PL 85-500, Section 104, Rivers and Harbors Act of 1958, as amended.
f. PL 89-298, Section 302, Rivers and Harbors Act of 1965.
g. PL 89-665, The National Historic Preservation Act, as amended, (80 Stat. 915).
h. PL 91-190, The National Environmental Policy Act, (83 Stat. 852).
i. PL 91-596, Occupational Safety and Health Act of 1970, as amended.
j. PL 92-516, Federal Insecticide, Fungicide and Rodenticide Act of 1972, as amended.
k. PL 93-112, Section 504, 29 U.S. Code 706, Rehabilitation Act of 1973.
l. PL 96-95, The Archeological Resource Protection Act, as amended, (102 Stat. 2983).
m. PL 98-63, Supplemental Appropriations Act of 1983, (97 Stat. 312).
n. PL 99-662, Water Resources Development Act of 1986.
o. PL 102-580, Water Resources Development Act of 1992.
p. PL 208-75, War Department Civil Appropriations Act of 1938 (50 Stat. 518).
q. PL 291-63, The Rivers and Harbors Act of 1915, (38 Stat. 1053).
r. EO 12372, 14 July 1982.
s. 33 CFR, Chapter II, Sec 208-10.
t. 46 CFR, Shipping.
u. 48 CFR 29156, 24 June 1983, Appendix A, Aquatic Plant Control, List of Programs Subject
to EO 12372.
v. AR 335-15, Management Information Control System (USACE Suppl. 1).
A-1
w. ER 5-7-1(FR), Project Management.
x. ER 11-2-240, Civil Works Activities Construction & Design.
y. ER 25-1-90, Visual Information Management.
z. ER 37-2-10, Accounting and Reporting- Civil Works.
aa. ER 56-2-1, Administrative Vehicles Management - Civil Works.
ab. ER 200-2-2, Policy and Procedures for Implementing NEPA.
ac. ER 200-2-3, Environmental Compliance.
ad. ER 360-1-1, Public Affairs.
ae. ER 385-1-40, Safety - Occupational Health Program.
af. ER 385-1-91, Training, Testing, and Licensing of Boat Operators.
ag. ER 405-1-12, Real Estate Handbook.
ah. ER 840-1-1, Use and Display of Flags by the U.S. Army Corps of Engineers.
ai. ER 1105-2-100, Guidance for Conducting Civil Works Planning Studies.
aj. ER 1110-2-109, Hydroelectric Design Center
ak. ER 1110-2-400, Design of Recreation Sites, Areas and Facilities.
al. ER 1130-2-500, Partners and Support (Work Management Policies).
am. ER 1130-2-510, Hydroelectric Power Operations and Maintenance.
an. ER 1130-2-520, Navigation and Dredging Operations and Maintenance Policies.
ao. ER 1130-2-530, Flood Control Operations and Maintenance Policies.
ap. ER 1130-2-540, Environmental Stewardship Operations and Maintenance Policies.
aq. ER 1130-2-550, Recreation Operations and Maintenance Policies.
ar. ER 1140-2-301, Acceptance and Return of Contributed or Advanced Funds.
as. ER 1165-2-30, Acceptance and Return of Required, Contributed or Advanced Funds for
Construction or Operation.
at. ER 1165-2-131, Local Cooperation Agreements for New Start Construction Projects.
au. ER 1165-2-132, Hazardous, Toxic and Radioactive Waste (HTRW) Guidance for Civil
Works Projects.
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av. ER 1165-2-400, Recreational Planning, Development, and Management Policies.
aw. ER 1180-1-6, Construction Quality Management.
ax. EP 310-1-6, Graphic Standards Manual.
ay. EP 310-1-6A, Sign Standards Manual, Vol. 1.
az. EP 310-1-6B, Sign Standards Manual, Vol. 2.
ba. EP 690-1-11, Command -wide recruitment and Outreach Materials.
bb. EP 1130-2-434, Interpretive Services and Outreach Program, Volumes 1-5, JS, DI, and FS.
bc. EM 385-1-1, Safety and Health Requirements Manual
bd. EM 1125-2-312, Manual for Instructions - Hopper Dredge Operations and Standard
Reporting Procedures.
be. “Guidance for Major Rehabilitation Projects for Fiscal Year 1998,” issued with the letter
(same subject) from Mr. Daniel R. Burns, P.E., Chief, Operations, Construction, and Readiness
Division, Directorate of Civil Works, dated 29 September 1995.
bf. Interpreter’s Handbook Series - Contact: Dr. Michael Gross, College of Natural Resources,
University of Wisconsin - Stevens Point, Stevens Point, WI, 54481.
bg. Interpreting Our Heritage, Tilden, Freeman; The University of North Carolina Press, 1967.
bh. The Great Outdoors Funbook, U.S. Army Corps of Engineers, 1993.
bi. Interagency Agreement of Operations and Guidelines Between Federal Prison Industries, U.S.
Bureau of Prisons and U.S. Army Corps of Engineers, October 27, 1992.
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APPENDIX B
REHABILITATION EVALUATION REPORT
B-1. Study Procedures and Reports. Major Rehabilitation Evaluation Reports will include
engineering, environmental, and economic studies. Studies should be undertaken and the reports
prepared in coordination with the Planning, Engineering, Operations and Project Management
elements. Early coordination should occur with the potential cost sharing partners and other
affected agencies. Engineering reliability studies should be prepared in consultation with
CECW-E. However, a coordinated team effort among all functional elements will be utilized
throughout the entire study process.
a. Report Name. The evaluation report will be called by the project’s authorized name
followed by the words Major Rehabilitation Evaluation Report.
b. Funding. The Rehabilitation Evaluation and report preparation will be funded under
the Operation and Maintenance, General, appropriation.
c. Illustrations. The use of color photographs in the reports to illustrate features for
proposed rehabilitation and to highlight specific problems is highly recommended. Photographs
should be accompanied by narrative description that explain what is being depicted.
B-2. Study Objectives. The rehabilitation study requires rigorous analysis and reporting. The
level of detail should be commensurate with the proposed action. The objectives of the study are
as follows:
a. Establish the overall engineering condition and reliability of the project and all major
project features at the current time. Analyses should identify reliability problems associated with
critical project features as well as identify those project features which are not unreliable. This
analysis should be conducted given the current and anticipated future “without project” condition
of the features to establish a base condition. The results of the reliability analysis will be
considered in conjunction with the economic and environmental studies to establish priorities for
funding and to establish the objectives of the rehabilitation project.
b. Identify and define the operational and/or potential reliability problems and/or
opportunities for efficiency improvement.
c. Identify alternative methods to resolve or manage the problem.
d. Develop cost estimates for the proposed solutions.
e. Determine if the proposed project is eligible for funding under the major rehabilitation
program and if so under which categories.
f. Estimate the total economic cost and benefits of the base condition and alternative
solutions.
g. Identify cost sharing requirements, if applicable.
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h. Identify all environmental concerns and complete all environmental reporting
requirements.
i. Identify the recommended plan. The recommended plan will identify the optimum
investment, both in terms of proposed actions and timing of proposed actions, given the risk and
uncertainty identified during the study. There may be circumstances where the risk and
uncertainty is such that more than one plan of action may be considered to reasonably maximize
net benefits. There may also be circumstances where priorities for Federal investments and
alternative financing may be an appropriate mechanism to obtain full NED level of development.
These should also be identified and fully described in the report.
j. For the recommended plan of action, develop a M-CACES cost estimate.
k. Prepare a proposed draft Project Cooperation Agreement (PCA) with a non-Federal
cost-sharing partner if required.
1. Prepare a Project Management Plan (PMP) for the recommended alternative. The
project manager, in coordination with Planning, Engineering, Operations and other functional
elements will develop a PMP in accordance with ER 5-7-1 (FR). The plan will identify the
timing of proposed investment, outlays and physical completion through the implementation
period.
B-3. Format and Content of Rehabilitation Evaluation Reports.
a. Project Authorization. Provide pertinent information on the project authorization,
including any modifications.
b. Location and Description. Describe the project location and provide a vicinity map,
plan and elevation of the structure as an enclosure. Provide a narrative description of the current
operation and use of the project, the associated project benefits and the recipient of project
benefits.
c. Identification of Problems and Opportunities. Describe the physical characteristics of
all significant project features. Special attention should be given to features which have
experienced unsatisfactory performance and which receive special emphasis in the report. In the
case of efficiency improvement, describe the opportunity for efficiency improvement (Reference
ER 1105-2-100, Section 5-4, Summary of the Planning Process\.
d. Project History.
(1) Current and Historical Conditions, Maintenance, Repairs and Modification.
(a) Describe the physical condition of the project and project features including an
assessment of the engineering condition and reliability of each. Table 3-1 provides an example
for summarizing this information. The current condition review should include a narrative
description of the condition and reliability of each feature. The purposes of the narrative and
Table 1 are to support special attention to the feature or features proposed for major rehabilitation
by this report. Of particular importance is the role of the feature in the performance of the
project and the feature’s function in the operation of the project. Diagrams, drawings and
photographs in sufficient detail to portray the project and proposed rehabilitation features in their
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current condition, should be included in this description. High quality color photographs are
especially important to enable the reviewer to visualize and appreciate the features and their
condition. The reviewers are normally unfamiliar with the project and are relying solely on the
content of the report to make investment decisions.
(b) Provide a history of project cost. Describe and display on an annual basis the
operation, maintenance, repair and rehabilitation cost history of the project. The maintenance,
repair and rehabilitation costs for the feature(s) proposed for rehabilitation should be shown
separately. Include a description of the important repair and maintenance activities on the
project.
(c) Describe and display instances of service disruption and emergency repairs. This
should include all significant episodes of service disruption. Describe the consequences to the
system (i.e., describe the socioeconomic effects of the disruption in service). The description of
each event should contain all the conditions that are relevant to the disruption of service, not only
those that are related to the feature’s physical condition. These might include ice build-up,
impact damage from barges or debris, or rare natural events. The description and display should
include length of time the project and/or project feature was out of service and the costs
associated with each event. These costs are the emergency repairs and increased O&M after the
event, but attributable to the event, and project benefits which would be lost if this disruption of
service occurred under current conditions. State all figures in current dollars. The repair may
also change (reduce or increase) the frequency of future service disruptions and may reduce
future O&M costs. These possibilities should be considered and included in the analysis, if
warranted.
(d) Describe and document quantitatively historical changes in the service level capable
of being provided by the project. This should provide documentation on any chronic decline in
the capability of the project to produce beneficial outputs due to deterioration or other factors
related to a feature’s physical condition. This information should be provided for at least the last
10 years. Special attention should be paid to the contribution of the feature(s) proposed for
rehabilitation, and to the degradation in service level.
e. Economic Considerations.
(1) Federal Interest. For the majority of cases, the Federal interest in an existing project
will be obvious. However, reasonable argument which shows a Federal interest, and in some
cases, a non-Federal interest (i.e., proposed cost sharing), will be provided in the report.
Emphasis shall be placed on project outputs and whether they serve priority purposes as defined
in the Annual Program and Budget request for Civil Works Activities, Corps of Engineers.
(2) Base Condition. The base condition is the alternative which all other plans will be
measured against. In comparison to other Corps planning studies, the base condition is
synonymous with the “without project” condition. The base condition assumes that the project
will be operated in the most efficient manner possible without the proposed rehabilitation.
Should the project benefit stream be interrupted due to unsatisfactory feature performance, it is
assumed that emergency funds will be available to fix the feature. For the economic analysis,
allowance must be made for the effect of the repair on the reliability of the feature. Considerable
risk and uncertainty is inherent in the base condition. The timing, frequency, and consequences
of system disruption are all unknown and must be estimated. The analysis should explicitly
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show the effects of reasonable alternative assumptions
concerning these variables. Portray the
—
base condition in the following manner.
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Step 1. Based upon the reliability index (see paragraph f, Engineering Considerations)
calculated for the current physical condition, select the probability of unsatisfactory performance
for each feature, or component, from Table D-1 of Appendix D. If the probability of
unsatisfactory performance is due to a combination of events, provide the method used to
determine these probabilities. Both the probability of unsatisfactory performance of a feature
and the probability of occurrence of an event which results in load conditions causing the
unsatisfactory performance shall be explicitly discussed and displayed. Reporting requirements
to support the reliability analysis are addressed in Appendix D.
Step 2. Based on the existing physical condition of, and the current and forecasted
demands on the features, estimate the frequency of service disruption and the physical
consequences resulting over the planning period. Frequencies and consequences should be
expressed in terms which are unambiguous and which facilitate analysis. For example, estimate
the percent chance of disruption per year (annual probability) or probability of disruption per
event (per event probability).
Step 3. Develop an event tree. A useful way of presenting information of alternative
future pathways is an event tree diagram. The event tree is used to display the possible outcomes
from some initiating event. Figure C-1 is an event tree for a hydroelectric generating facility.
Step 4. Estimate all costs necessary to correct the service disruption. The repair should
be the least cost fix necessary (as considered reasonable for the circumstances) to continue
service.
Step 5. Estimate the economic cost for each disruption. (See Appendix E)
Step 6. Combine the frequency of service disruption with the consequences of disruption.
Monte Carlo simulation is one technique for combining risks and determining expected values.
This technique is especially useful when the arithmetic of the expected value calculation is
highly complex or intractable. Under some, perhaps many situations, the standard statistical
procedure of summing the products of the probabilities and corresponding consequences is
sufficient. That is, calculating the value analytically may be more expedient and transparent than
estimating by simulation. An advantage of the Monte Carlo approach is that it yields both the
expected value and the variance. The fundamental point of the analysis however, is to explicitly
consider the likelihoods and consequences of the base condition. See Appendix F for further
consideration of this approach.
(3) With Rehabilitation Condition.
(a) General. As previously stated, the base condition [email protected] describe an immediate
or certain failure. Nor is the only project alternative immediate and full scheduled rehabilitation.
There are a variety of intermediate strategies that should be evaluated. In addition, the
rehabilitation decision must give consideration to the choice of timing and extent of
rehabilitation. Therefore, the approach is to develop alternatives to solve the problems. This
does not predetermine that one major rehabilitation scenario is the only alternative.
(b) Alternatives Considered. Discuss the alternatives considered. The narrative should
address the level of detail developed for each alternative, the data available, assumptions made
and the level of reliability y, risk and uncertainty associated with the alternative. Present the
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results of the analysis for each alternative. The following represent some potential alternative
plans that should be evaluated and compared.
- Advance maintenance strategy. Advance maintenance consists of expenditures in
excess of routine O&M that reduces the likelihood of some emergency repairs and temporary
service losses, or the rate of service degradation. Under this scenario, one must evaluate the
effect that probabilities and consequences of the strategy have on expected service disruptions
and reliability.
- Scheduled repair strategy. Assess the components of the feature in terms of the service
disruption probabilities and consequences to the reliability of the structure. Based on this
assessment, stockpile replacement parts and make other preparations on this assessment to
reduce the time of expected project service disruption.
- Scheduled rehabilitation strategy. The scheduled rehabilitation strategy requires that
the “optimum” rehabilitation timing be identified based on service disruption rates, service
degradation and their economic cost.
- Immediate rehabilitation strategy.
(4) Summary Statistics. Provide a table to illustrate the cost, benefits, net benefits and
benefit to cost ratios of the base condition and each alternative considered.
f. Engineering Considerations.
(1) Reliability Analysis
(a) General. Present a summary of the reliability analysis for the base condition and each
alternative. The reliability of the various alternatives must be investigated in order to evaluate
the relative merit of each alternative with respect to the base condition. In addition, if the base
condition assumes that emergency repairs will be made to unreliable components or features, a
post emergency repair reliability analysis must be made of the component or feature. Enclosure
2 provides an introduction to the principles and procedures to follow in conducting a reliability
analysis, and the reporting requirements. Additional considerations are provided below.
(b) Probability of Unsatisfactory Performance. The reliability of a component or
structure shall be stated in terms of the probability y of unsatisfactory performance of the feature.
Unsatisfactory performance of a component maybe indicated at various levels of performance,
depending upon the consequences of that performance level, from minor deflections to complete
collapse of a structure. Probabilities of unsatisfactory performance should be calculated for a
range of performance levels, however, failure scenarios which indicate threats to public safety
should not be assigned probabilities using the procedures outlined herein. While these situations
may be identified using reliability analysis techniques, they should be considered to be
emergency situations and remediated outside to the major rehabilitation program. Probabilities
of unsatisfactory performance must be calculated using the analytical procedures outlined in
Appendix D, using one of four methods;(1) Reliability Indices; (2) Hazard Functions; (3)
Historical Frequency of Occurrence Analyses and (4) Expert Elicitation. Expert Elicitation
should only be used to establish subjective probabilities of unsatisfactory performance for
preliminary screening purposes to determine the components or features which need further
study, or when there is insufficient data to develop the probabilities from historical frequencies
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of occurrence or analytical procedures. Expert Elicitation should only be used in consultation
with CECW-E.
(c) Calibration of Reliability Models. Performance function models used to evaluate the
project component or feature reliability should be calibrated by applying the model to at least
two similar components whose performance is known. Reliability should be calculated for a
similar component known to have suffered distress, and for another similar component known to
meet current design criteria. If the performance function model does not accurately predict the
known structural performance levels, the assumptions, conditions, simplifications and parameters
used in the model should be reexamined and adjusted to realistically provide an accurate
prediction.
(d) Time Dependent Reliability. The reliability of a component or feature varies with
time due to many factors including environmental conditions, component stress history,
corrosive resistance of the materials, as well as maintenance history. Therefore, a timedependent reliability analysis must be conducted in order to consider the impact of these factors
on project performance and service life. Projections of future changes in reliability should be
based upon the calculation of performance functions using the procedures outlined in Appendix
D. Rates of degradation in random variable properties should be based upon available existing
data, industry practice and experience at similar projects. If available project data is scarce or
non-existent, then estimating rates of degradation will require that considerable engineering
judgement be exercised in consultation with CECW-ED.
(e) Engineering Characterization of Structural Features. The complex nature, time and
cost of reliability analyses require that the number of elements analyzed for any project or feature
be reduced to the critical elements, or to representative groups or sections. In some cases this can
be done by grouping together elements or components which are similar and can be represented
by a single element, or a small portion of a large element, i.e., the reliability of an entire length of
lock wall might be represented by a typical one foot section of the wall. In other cases, it may be
possible to group related elements together and represent the group by a single critical element.
The reliability of the critical element (and its associated probability of unsatisfactory
performance) would then be assumed to govern the reliability of the entire group of elements and
they would then be considered as one element or component in the economic risk analysis. An
example of this is in a steel miter gate or a steel truss which is dependent on the satisfactory
performance of all members to resist loads. The unsatisfactory performance of one or more
critical members would lead to the unsatisfactory performance of the entire structure.
(2) Engineering Consequences. The engineering, or physical, consequences of the
expected level of performance should be described in detail for each performance function
evaluated. The sequence of events caused by the unsatisfactory performance of a component
should be reasonable, with consideration given to the importance of the component to the overall
performance of the structure or feature. While “worst case” unsatisfactory performance scenarios
need to be evaluated and described, lesser events should also be included since these higher
probability events may have greater impact upon the service life of the structure and the
economics of the project. If the unsatisfactory performance of components or features is
expected to result in emergency repairs, provide an assessment of the impact of the repairs upon
both the reliability of the repaired elements and those elements not included in the repairs.
(3) Engineering Evaluation of Alternatives. Alternative schemes for repair and
rehabilitation must be fully investigated. Alternatives investigated should include the use of new
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materials, new repair techniques and innovative designs as well as all reasonable alternative
configurations. The schemes investigated must address and resolve concerns which have led up
to the major rehabilitation proposal, such as declining reliability and consequences of
unsatisfactory performance of the structure or component. Since complete reliability analyses
must be conducted on all alternative schemes, only reasonable and technically feasible
alternatives should be investigated. This requires a screening process to eliminate less
reasonable schemes from consideration. Factors considered in the screening process should
include, but not be limited to, technical feasibility, constructibility, and impacts upon appurtenant
structures. Alternative schemes eliminated during this process for engineering reasons should be
briefly described, along with the factors which resulted in elimination.
(4) Guidance.
(a) Basic reliability principles and an example for a steel miter gate are presented in ETL
1110-2-532, “Reliability Assessment of Navigation Structures”, 1 May 1992. Additional
guidance is also presented in ETL 1110-2-321 “Reliability Assessment of Navigation Structures,
Stability of Existing Gravity Structures”, 31 December 1993, and ETL 1110-2-354, “Reliability
Assessment of Pile-Founded Navigation Structures”, 31 August 1995.
(b) Hydropower. The reliability of turbines and generators, and other
electrical/mechanical equipment may be determined by using “survivor curves. ” Estimates of the
initial reliability and the annual rate of change in reliability should be made for both the base
condition and all rehabilitation alternatives. ETL 1110-2-337, Reliability Analysis of
Hydropower Equipment, should be used and the Hydroelectric Design Center (HDC) should be
contacted for guidance in the use of survivor curves and other reliability tools. (See Appendixes
F and H for further discussion.) The reliability of appurtenant structures such as powerhouses,
penstocks, gates, dams, etc. should be determined in accordance with Appendix D.
g. Environmental Considerations.
(1) Environmental Effects. Provide a brief description of the existing affected
environment. Highlight significant resources that are likely to be affected as well as any that are
covered by a specific law (e.g., endangered species, clean air, clean water, cultural and historical,
etc). Identify potential hazardous and toxic wastes concerns, conduct studies and prepare
appropriate reports in accordance with ER 1165-2-132. Identify the location and significance of
impacts and justify any mitigation requirements including the mitigation cost estimate. Indicate
the concurrence or nonconcurrence given by resource agencies on impact assessments and
proposed mitigation plans. Identify any environmental constraints (project stoppers) that would
render an alternative infeasible. Present a matrix of the alternative environmental considerations.
(2) Coordination and Correspondence. Provide a table indicating who was contacted,
their affiliation, and a synopsis of their general concerns. Copies of all pertinent correspondence
should be included in Appendix C of the report.
(3) Reports and Studies. This section summarizes the studies conducted to evaluate the
environmental effects of the rehabilitation plan (e.g., biological, cultural, social, HTRW, studies,
etc.).
(4) The reporting officer will be responsible for determining NEPA documentation (e.g.,
Environmental Assessment, Finding of No Significant Impact, Environmental Impact Statement)
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based upon Corps regulations and 40 CFR Parts 1500-1508. All NEPA documents should be
submitted with the Major Rehabilitation Report.
(5) Preparers. List who prepared which parts of the document report and their role.
h. Assessment of Alternatives.
(1) Critical Assumptions and Key Variables. For the Base Condition and each
alternative considered, there are critical assumptions and key variables that are influential in
estimating rehabilitation benefits and costs. In most instances these fall into the following
categories:
(a) the initial risk (base condition and other
alternatives),
(b) the annual rate of change in risk (base condition and
other alternatives),
(c) the risk after repair,
(d) the cost of repair,
(e) the opportunity costs during repair and rehabilitation,
(f) the change in annual O&M cost with rehabilitation or
other strategies, and
(g) the cost of each alternative.
The assessment should identify which of these variables is critical to reported economic
evaluation of each rehabilitation alternative. The assessment should display the reasonable range
for each of the critical variables identified and the sensitivity of the benefit-cost ratio and net
benefits over these possible values.
(2) Reporting of Statistical Results. The output from the analysis of reliability based
costs and benefits are statistics generated by analytical procedures or simulations involving
probabilities. The resulting estimated benefits (and costs), therefore, are statistics in the form of
means, variances, skews, etc. The reporting of the results of all alternatives should include a
tabular display of the mean net benefits and standard errors. In addition, the display should
provide a 90% confidence interval for the mean net benefits (mean+ 1.64x standard error)
assuming that net benefits are normally distributed. Appendix F provides displays for a
simplified example that can assist in developing the display of results for decision purposes.
i. Recommended Plan. Provide a recommendation supported by the engineering,
economic and environmental analysis. Present the benefit to cost ratio and net benefits using the
current Federal discount rate.
j. Major Rehabilitation Classification. Describe how the proposed project meets the
requirements for Major Rehabilitation funding and the Reliability and Efficiency Improvement
classification(s). Display benefits attributable to each classification and how costs are allocated
to each classification.
k. Project Cost Estimate. Show a schedule of fully funded project costs and a breakdown
of the Federal and non-Federal cost share, if applicable.
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1. Cost Sharing Considerations. For navigation projects, major rehabilitation will be cost
shared by the Inland Waterway Trust fund or the Harbor Maintenance Trust Fund in accordance
with the WRDA 1986 as amended. Other cost sharing will be in accordance with any local
(project) cooperation agreements related to the original project authorization. For hydropower
rehabilitation, costs are reimbursed, over time, by the affected Power Marketing Agency (PMA).
Some rehabilitation projects, in particular hydropower, may include both reliability and
efficiency improvements. In this case, care must taken to clearly quantify the benefits and costs
associated with each type of improvement. If efficiency improvement benefits are not incidental
to a reliability based rehabilitation, special cost sharing maybe required. HQUSACE should be
consulted early in the study process to clarify any cost sharing questions. See Appendix H for
specific hydropower guidance.
m. As Appendix A to the report, present the results of the reliability analysis.
n. As Appendix B to the report, present detailed economic analysis.
o. As Appendix C to the report, present complete environmental documentation.
p. As Appendix D to the report, provide a M-CACES cost estimate of recommended
plan.
q. As Appendix E to the report, provide a Project Cooperation Agreement with nonFederal cost-sharing partner, if applicable in accordance with paragraph 12 and tailored to the
model shown in Appendix A of ER 1165-2-131.
r. As Appendix F to the report, provide a Project Management Plan. (Note: When the
recommended plan has been identified and a M-CACES cost estimate prepared, a Project
Management Plan must then be developed and submitted with the major rehabilitation report.
Reports submitted without a Project Management Plan will not be considered for finding).
s. As Appendix G to the report, provide a schedule of fully funded project costs by fiscal
year and a breakdown of the Federal and non-Federal cost share, if applicable.
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APPENDIX C
CONCEPTUAL APPROACH FOR ANALYZING REHABILITATION
C-1. Background. In thinking about major rehabilitation it is important to remember that the
evaluation considers alternative future streams of project services and costs and the reliabilities of
those services and costs. Any rehabilitation plan results in a different stream of these variables.
The purpose of a risk-based benefit-cost analysis is to determine the economic efficiency of
alternative rehabilitation plans. The evaluation must account for the fact that each plan may differ
in terms of its effects on project future service levels, O&M costs, and/or project reliability.
C-2. The Base Condition. A useful approach to describing the rehabilitation evaluation problem
is to examine the time paths of project services under alternative rehabilitation scenarios. Figure
C-1 shows time paths of the expected value of project services under 4 different scenarios. The
expected value for each year is calculated by weighing the possible service level in each year by its
reliability. As shown in Figure C-2, a frequency distribution is associated with each point on each
path in Figure C-1.
a. Each time path begins at time 0 when the original project service flow begins. The
straight line labeled b indicates the "as built" expected value of service flows. The curved solid
line beginning at time 0 indicates a decline over time in either the level of service flows, their
reliability or both. The straight line labeled a represents the current condition and for purposes of
this discussion it also represents some "reliability" associated with condition a that could be used
as a trigger to consider rehabilitation for reliability. Although the paths all begin at time 0 the
rehabilitation analysis only considers path segments from t to t+n.
b. If a project is not rehabilitated it can still be expected to continue functioning albeit
with possibly reduced service levels and reduced reliability. Under this condition maintenance is
increased as needed (but within limits) and components or sub-features are repaired on an
emergency basis. This essentially represents the current O&M practice. The solid curve in Figure
C-1 labeled I shows the time stream of the expected value of services under this emergency repair
scenario. For the evaluation of rehabilitation alternatives this time path is called the Base
Condition. There is also some corresponding time stream of O&M costs in the Base Condition.
The Base Condition is conceptually equivalent to the "without condition" for new project
evaluation in the sense that the benefits and costs of all alternatives are measured by comparison
with this condition. Notice that Path I indicates that the expected value of the service flow is
permitted to fall and remain below the current condition but that the project continues to function.
It is possible, however, that emergency repairs may restore the expected value of service flow to
level a or it might even result in exceeding level a.
C-3. Rehabilitation Plans. Path II in Figure C-1 shows a rehabilitation alternative that returns
the service flows and reliability to the current level, shown by line a. Notice that Path II does
not return the expected service flows to the original project level but it does improve the
reliability of the flows.
C-1
Figure C-1: Expected Value of Service Flows and Rehabilitation
a. Path III shows a different rehabilitation alternative that restores the expected service
level to the original condition, shown by line b, realized when the project was built. This may be
described as a full, in-kind replacement of the project feature or features.
b. Path IV shows a rehabilitation alternative that clearly "upgrades" the project in relation
to the original condition denoted by line b. Thus, the service flows and reliability are improved
compared to the Base Condition. This rehabilitation would be Reliability with Efficiency
Improvements.
C-4. Reliability. Figure C-2 shows a clearer representation of a reliability rehabilitation. The
figure represents the 3-dimensional aspects of service level, time, and probability in 2dimensions. The vertical axis measures the actual service flow. The figure shows that for Path I,
the Base Condition, the expected value of service level declines and the variance increases. At
time t the reliability of service that triggers a rehabilitation study could be displayed in Figure C-2
by comparing the area under the probability distribution with service flow less than a with
C-2
EP 1130-2-500
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some risk-based criteria. This comparison might result in an initiation of a rehabilitation study but
would not be sufficient to recommend any rehabilitation. The distribution of services shifts from
being positively skewed to negatively skewed so that the frequency of lower service levels
increases over time. Service level a could still be produced under ideal circumstances, e.g. no
break-downs, balky equipment functions properly, etc., but the likelihood of level a declines.
Thus, the Base Condition shows a reduced level of reliability but does keep the project producing
some services.
a. The dashed line in Figure C-2, labeled II, shows that the rehabilitation shifts the yearly
distribution of project services, increasing the mean and reducing the variance (not shown).
Notice, however, that the rehabilitation does not increase the "potential" service flow from the
Base Condition since under ideal circumstances the Base Condition could still produce level a.
b. In fact, any rehabilitation that results in a time path between II and III in Figure 1
could be described as Reliability rehabilitation. Note also that reliability rehabilitation might
consider a scheduled future, rather than an immediate, rehabilitation. The time path for this
alternative would follow Path I until some point after time t then trace a path such as shown by II
in Figure C-1. Thus, rehabilitation planning should consider the appropriate timing for
implementation as well as an expected value of service less than provided by level b and more
than provided by level a.
C-3
C-5. Costs. The foregoing description of rehabilitation focused exclusively on service flows in
describing the Base Condition and the range of rehabilitation alternatives. O&M and repair costs
also have time paths such as those shown in Figures C-1 and C-2. One would expect, however,
that the cost path, at least for the Base Condition, would be increasing over time and would
display increasing variance. The risk-based benefit-cost analysis must incorporate uncertainties in
project costs in each year for the Base Condition and all rehabilitation alternatives.
C-6. Conclusion. All rehabilitation plans result in some time path between Path II and Path IV.
Each plan contains elements that increase expected service levels by both increasing the reliability
of a fixed service flow, (with reduced frequency of repairs and costs), and by increasing the level
of "potential" service flows from the Base Condition. The analytical procedures for evaluating
any rehabilitation plan are the same. The analyst must first be able to quantitatively describe the
Base Condition in terms of service levels, costs and reliabilities both now and over the planning
period. Correspondingly, any rehabilitation option must also be quantitatively described in these
same terms.
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APPENDIX D
INTRODUCTION TO AN ASSESSMENT OF STRUCTURAL RELIABILITY
D-1. Introduction. The objective is to introduce methodology to be used to evaluate the
reliability of civil works structures for various modes of performance. These reliability measures
are intended to be used in analyses for prioritizing structural rehabilitation. The results of a
reliability analysis are used to provide a condition ranking of the structure or component. Basic
references are provided herein. A decision making flow chart is provided as Figure D-1, and
reporting requirements for reliability analyses are presented in paragraph D-8.
a. Traditionally, evaluations of structural adequacy have been expressed by safety factors.
A safety factor can always be expressed as the ratio of capacity to demand. The safety factor
concept, however, has shortcomings as a measure of the relative reliability of structures for
different performance modes. A primary deficiency is that parameters (material properties,
strengths, loads, etc.) must be assigned single, precise values when the appropriate values may in
fact be uncertain. The use of precisely defined single values in an analysis is the deterministic
approach. Thus, the safety factor reflects both the condition of the structure and the engineers'
judgement and degree of conservatism in assigning values to parameters.
b. The probabilistic approach extends the safety factor concept to explicitly incorporate
uncertainty in the parameters. This uncertainty can be quantified through statistical analysis of
existing data or judgmentally assigned. Even if judgmentally assigned, the probabilistic results
will be more meaningful than a deterministic analysis because the engineer provides a measure of
the certainty of his or her judgement in each parameter.
D-2. Basic Principles.
a. Random Variables. In the probabilistic approach the parameters are treated as random
variables. Random variables assume a range of values in accordance with a function termed a
probability density function or probability distribution. Although the value of a parameter is
uncertain or variable, the probability density function quantifies the likelihood that the value of the
random variable lies in any given interval. When parameters are defined as random variables,
functions of these parameters such as safety factor also become random variables and can be
expressed in probabilistic terms.
b. Probability of Unsatisfactory Performance. An engineering reliability analysis
determines the probability of unsatisfactory performance, Pr(u), defined as the probability that the
value of a function which characterizes the performance of the system exceeds some limit state.
These performance functions, or performance modes, are deterministic functions which are used
in design or analysis and should define reasonable performance levels expected to occur over the
service life of the project or component. Failure modes for civil works type structures are difficult
to define deterministically, however, and describe a condition which is unacceptable for USACE
projects, i.e., failure of a structure or component. Therefore, performance modes such as
calculation of deflections, cracking or loss of section which can be more readily defined
deterministically are used in order to detect adverse conditions prior to failure.
D-1
c. Limit States. Limit states define the point at which the performance function predicts
that unsatisfactory performance will occur, or that the engineering consequences will have some
adverse economic impact. Several limit states may apply to a particular performance function.
For example, the limit state for deflection of a gravity lock wall monolith could be taken as the
event representing excessive lateral movement which causes cracking, spalling or binding of
operating equipment. Several loading conditions and the corresponding deflections may be
required to be calculated to determine the range of deflections, their impact upon the operating
equipment, barge traffic and stability, in order to establish limit states.
d. Reliability. The reliability, R, is the probability that the unsatisfactory performance,
Pr(u), will not occur. Mathematically reliability is determined as follows:
R = 1 - Pr(u).
e. Safety Ratio. A concept used in the calculation of reliability is the safety ratio.
Important parameters should be defined as random variables, then the total capacity, C,
(resistance) and the total demand, D, (load) are also random variables. The safety ratio, SR, is the
quotient of the capacity and demand; or of the resistance and load. The probability of
unsatisfactory performance can then be expressed as the probability that the safety ratio will be
less than one, or:
Pr(u) = Pr (SR<1) = Pr[(C/D) < 1]
D-3. Calculation of Probability of Unsatisfactory Performance.
a. Methods. Four methods are available to calculate the probability of unsatisfactory
performance; (1) Reliability Index, (2) Hazard Function, (3) Historical Frequency of Occurrence,
and (4) Expert Elicitation (or subjective probabilities). The selection of the method to be used to
establish the probability of unsatisfactory performance will depend on the type of component or
structure, availability of project specific data and the level of study. Each of these methods are
briefly discussed below.
b. Reliability Index. In many applications of reliability analysis, the probability of
unsatisfactory performance is discarded in favor of the reliability index, , which is a measure of
how much the expected average value of the safety ratio exceeds the limit state at a particular
point in time. A value of 3.0 implies that the expected value of the performance function lies
three standard deviations above the limit state and structures, components and performance
modes with higher indices are considered to be more reliable than those with lower indices.
Expressing reliability in terms of the reliability index has several advantages:
(1) A reliability index can be calculated knowing only the means, standard deviations and
correlation coefficients of the variables.
(2) Analysis of recurring events and replicate components (such as failure of mechanical
parts or electric power), have a measurable and easily understood frequency of failure.
Many features of navigation structures are uniquely adapted to site conditions and are not
expected to fail due to foreseeable rare events, (i.e., observations and analyses can be
made and some remedial action will be undertaken before the reliability drops below a
tolerable value).
(3) Reliability index approach is consistent with recent structural design codes and
techniques used for highway bridge evaluation.
D-2
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The reliability index is converted to a probability of unsatisfactory performance for the assumed
distribution of the performance function. The probabilities determined in this manner are relative
probabilities considered to be adequate for ranking of investment priorities and should not be
confused with absolute measures of probability required for making safety decisions, nor are the
probabilities time-dependant. This procedure yields the reliability at a particular point in time, or
a snapshot of the current reliability, and assumes that the component has survived up to that time.
In order to determine the time-dependent nature of reliability as hazard function analysis must be
conducted.
c. Hazard Function. The reliability of a component or structure changes with time due to
environmental impacts, stress history and operational history. Therefore a time-dependent
reliability analysis should be conducted. While the reliability index approach outlined above
represents an approximation of the reliability at a point in, hazard functions more accurately
predict the reliability of degrading structures. The hazard function, or conditional failure rate, is
the probability that the component will survive in the next, or given, time period assuming it has
survived up to that time. The hazard function h(t) is expressed mathematically as a function of
the reliability function L(t) as follows:
d. Historical Frequency of Occurrence. Probabilities of unsatisfactory performance may
be established by examining historical data and/or test data. If the historical record is of sufficient
length and the sample size for the particular component and event under consideration is large
enough, historical rates of unsatisfactory performance may be generated by statistical analysis of
the data. Care must be exercised to ensure that the data used is applicable for the event and
performance mode under consideration. This is generally not the case for civil engineering
structures, i.e., the length of record is short and the sample size is small. Data and sample size
may be sufficient, however, for smaller components such as motors, electrical parts and
mechanical equipment, or industry data of testing on such items may be available. Survivor
curves have also been used to establish probabilities of unsatisfactory performance based upon
historical data. These curves are generated for specific types of electrical and mechanical
equipment, and show the number, or percentage of the total population, surviving as a function of
time. An analysis of the survivor curve for the particular type of equipment under consideration
can yield the probability of unsatisfactory performance in the next time period and in future time
periods. Care must be exercised in applying survivor curves to a particular piece of equipment to
insure that the survivor curve chosen is based upon the same operating and maintenance
conditions as have been experienced in the field. ETL 1110-1-337 and guidance on the
application of survivor curves to hydropower equipment are available from the Hydroelectric
Design Center (CENPD-PE-HD).
e. Expert Elicitation. Expert Elicitation is the use of expert judgement to establish
subjective probabilities to measure an individual’s degree of belief concerning the likelihood of
the occurrence of an event. Subjective probabilities are generally used whenever there is
insufficient data to develop the probability of an event from its historical frequency of occurrence
or to conduct an analytical assessment of the probability. The method is highly dependent upon
the experience and skill of the panel of experts selected and the procedures used to avoid biases in
the probabilities. The procedure is primarily used for events which have a probability of
occurrence between 0.1 and 0.9 since rare events with very low probabilities are more vulnerable
D-3
to bias. Methods are available to reduce this bias; however, they increase number of events which
must be analyzed and the time required by the expert panel. Guidance concerning the use of
expert elicitation should be obtained in consultation with CECW-ED.
D-4. Analysis Procedures. Guidance for conducting reliability analyses using hazard functions,
historical frequencies of occurrence and expert elicitation are available from various sources in the
literature and upon consultation with CECW-ED. The reliability index provides a means to
express reliability as a function of the means and standard deviations of C and D, where C and D
are functions expressing the capacity and demand associated with the performance mode. A
reliability index based analysis for a typical mode of performance should be conducted in
accordance with ETL 1110-2-532.
D-5. Overall System Reliability. Reliability for a number of components or a number of modes of
performance, may be used to estimate the overall reliability of a structure. To gain insight into
this approach, consider two extreme cases, the series system and the parallel system.
a. Series System. In a series system, the system will perform unsatisfactorily if any one
component performs unsatisfactorily. If a system has n components in series, the probability of
unsatisfactory performance of the ith component is pi and its reliability, Ri = 1 - pi, then the
reliability of the system, or probability that all components will perform satisfactorily, is the
product of the component reliabilities:
R = R1R2R3....Rn = (1-p1)(1-p2)(1-p3)...(1-pn)
b. Simple Parallel System. In a parallel system, the system will only perform
unsatisfactorily if all components perform unsatisfactorily. Thus, the reliability is unity minus the
probability that all components perform unsatisfactorily, or:
R = 1 - p1p2p3....pn
c. Parallel and Series Systems. Solutions are available for systems requiring r-out-of-n
operable components, which may be applicable to problems such as dewatering with multiple
pumps, or closing a gate bay with emergency bulkheads. Subsystems involving independent
parallel and series systems can be mathematically combined by standard techniques.
(1) Upper and lower bounds on system reliability can be determined by considering all
components to form parallel and series systems, respectively; however, the resulting bounds may
be so broad as to be unpractical. A number of procedures are found in the references to narrow
the bounds.
(2) Civil engineering systems such as locks and dams (or even building frames) are
complex and may have many performance modes. Some of these may not be independent; for
instance several performance modes may be correlated to the occurrence of a high or low pool
level. Earth pressures, sliding, and overturning performance are all correlated to shear strength.
Rational estimation of the overall reliability of a lock and dam is a topic that is undergoing further
research.
d. A Practical Approach. In many systems, the reliability of a few subsystems or
components may govern the reliability of the entire system; navigation systems and hydropower
plants are no exception. Thus, developing a means to characterize and compare the reliability of
these components as a function of time are sufficient to make engineering judgements to aid in
prioritizing O&M expenditures.
D-4
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(1) For steel design, major structural components are designed to a constant value of the
reliability index, typically about 3.0; however, connections are designed to higher reliability index
values, perhaps 5.0, as engineers have always desired to avoid problems at connections. A
complex steel frame is designed such that each component meets a target reliability index value,
which may vary, but a "system reliability" calculation is not routinely done in building design.
However, target reliability indices may be established for critical lock and dam or hydropower
components and performance modes, and O&M priorities will be directed at ensuring that these
targets are met or exceeded.
(2) For initial use in reliability assessment, the target reliability values presented in Table
D-1 should be used. A hazard function plot of reliability vs time for major performance modes
should be developed. The objective of the Operation and Maintenance program would be to keep
the reliability for each significant mode above its target value for the foreseeable future.
D-6. Target Reliability Values. Reliability indices are a relative measure of the current condition
and provide a qualitative estimate of the structural performance. Structures with relatively high
reliability indices will be expected to perform their function well. Structures with low reliability
indices will be expected to perform poorly and present major maintenance problems. If the
reliability indices are very low, the structure may be classified as a hazard. Working from a
sufficiently large experience base, it should be practical to make some estimates of expected
structural performance with some engineering judgement. A large experience base exists within
USACE and studies are planned to collect, organize and analyze these operation and maintenance
records. The target reliability values shown in Table 1 should be used in general. Case-by-Case
refinements should be conducted in consultation with and approved by CECW-ED.
D-7.
References.
a. AISC, Load & Resistance Factor Design, Manual of Steel Construction, 1st Edition
1986, AISC.
b. Beim, G.K. and Hobbs, B.F., June, 1995, Development and Use of Subjective
Probabilities and Event Trees for Water Resources Investments, Draft report to CEIWR, Ft.
Belvoir, VA.
c. Benjamin, J. and C.A. Cornell, (1970) Probability and Statistics, and Decision for Civil
Engineers, McGraw-Hill, New York.
d. Ellingwood, Bruce R., Engineering Reliability and Risk Analysis for Water Resources
Investments: Role of Structural Degradation in Time-Dependent Reliability Analysis, Contract
Report ITL-95-3, July 1995, Waterways Experiment Station, Vicksburg, MS.
e. Wolff, Thomas F. and Weijun Wang, Jan. 1992, Engineering Reliability of Navigation
Structures, Report prepared under DACW 39-91-C-0041.
Table D-1
TARGET RELIABILITY INDICES
EXPECTED
PERFORMANCE
BETA
PROBABILITY
OF UNSATISFACTORY
D-5
POTENTIAL
PHYSICAL
LEVEL
1/
PERFORMANCE 2/
CONSEQUENCES
HIGH
MAINTENANCE
5.0
0.0000001
NORMAL
GOOD
4.0
0.00003
MAINTENANCE WITH
TRAFFIC MAINTAINED
ABOVE AVERAGE
3.0
0.001
DOWNTIME FOR
REPAIRS
BELOW AVERAGE
2.5
0.006
FREQUENT OUTAGES
FOR REPAIRS
POOR
2.0
0.023
FREQUENT AND
EXTENDED OUTAGES
FOR REPAIRS
UNSATISFACTORY
REHAB
1.5
0.07
EXTENSIVE
REQUIRED
HAZARDOUS
1.0
0.16
EMERGENCY
ACTION TO
ALLEVIATE HAZARDS
1/ Beta = Reliability Index determined using a lognormal distribution of the performance
function.
2/ Probability of unsatisfactory performance is the probability that the value of the performance
function will exceed the limit state, or that an unsatisfactory event will occur. For example, if the
performance function is defined in terms of miter gate impacts, and the probability of
unsatisfactory performance is .023, then 23 of every 1000 impacts will result in damage which
causes a shutdown.
D-8. Outline for Reliability Analysis Report. The probability based Reliability Analysis Report
(RAR) should be presented in enough detail to fully substantiate the recommended plan. It should
contain complete checked computations and should contain the information described in the
following paragraphs.
a. Pertinent Information. The RAR should contain all data pertinent to the project or
component being evaluated. Pertinent data includes the following:
(1) Color photographs of the component being evaluated. These photographs should be
of sufficient detail to clearly indicate the problem being addressed and should be easily identified
with respect to the location on the structure.
(2) Repair data including cause of damage, method of repair, cost of repair, and the time
in which the structure was out of service to accomplish the repair.
(3) Survey data indicating any observed changes in alignment, and movement of the
component being investigated. The movement should be documented to indicate the changes
D-6
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with respect to time. Is the movement increasing with time? The survey data should also indicate
changes in the surroundings such as scour, changes in the backfill elevation, or changes in the
pool elevation.
(4) Instrumentation data indicating results of pressure meters, inclinometers, joint
movement indicators, and piezometers should be included.
(5) Information gathered during the life of the project that indicates a more exact
determination of loading than that used in the original design.
(6) Any other data pertinent to the component being investigated; concrete crack
mapping, condition index, etc.
b. Analysis. A probability based reliability analysis should be included for the existing (or
base) condition of the structure or component and the reliability reported. This should be based
on the available pertinent data described above. Also provide the following information:
(1) Tables showing the random variables and constants for each component or feature
analyzed.
(2) Tables showing the mean and coefficients selected for each random variable.
(3) Sample calculations showing the modes of performance, reliability calculations, etc. If
computerized spread sheets are utilized in the analysis, provide sufficient description of column
and row headings to allow for an understanding of the equations used in the spreadsheet.
(4) Tables showing the calibration of the performance functions. Show reliability
calculated for the distressed and design components used to calibrate the performance in
accordance with paragraph D-3.f(2).
(5) Provide an event tree showing the probabilities of unsatisfactory performance for each
mode of performance.
c. Alternative Studies. Alternative schemes for repair and rehabilitation must be fully
investigated. Alternatives investigated should include the use of new materials, new repair
techniques and innovative designs as well as all reasonable alternative configurations. The
schemes investigated must address and resolve concerns which have led up to the major
rehabilitation proposal, such as declining reliability and consequences of unsatisfactory
performance of the structure or component. Since complete reliability analyses must be
conducted on all alternative schemes, only reasonable and technically feasible alternatives should
be investigated. This requires a screening process to eliminate less reasonable schemes from
consideration. Factors considered in the screening process should include, but not be limited to,
technical feasibility, constructibility, and impacts upon appurtenant structures. Alternative
schemes eliminated during this process for engineering reasons should be briefly described, along
with the factors which resulted in elimination.
d. Recommended Plan. The recommended plan should be selected based upon the results
of the alternative studies and should be the plan which offers the greatest benefit to the project not
only with respect to economic, but also to restoring project reliability. A copy of the complete
reliability analysis for the selected plan should be included in the report.
D-7
Reliability Analysis Decision
Making Flow Charts
Identify Critical
Project
Features &
Components
Site Investigations
Condition Indices
Periodic Inspection
Reports
Design & Constr.
Reports
Compile Data
Conduct
Reliability
Analysis
See Sheet 2
for Details
RELIABILITY
See Sheet 3
No
Is
Project
Reliable?
Yes
A
Evaluate
EFFICIENCY
IMPROVEMENTS
See Sheet 4
Sheet 1 (Chart 1)
Recommend
Rehab or No Action
Transfer Results
to
Planning or Operations
Figure
D-1
D-8
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27 Dec 96
Reliability
Analysis
Use Available Data
Material Density
Material Strength
Water Level
Load Magnitude
& Location
Soil Strength
Identify Parameters
& Random Variables
Identify Performance
Modes & Limit States
for Investigation
Sliding
Resultant Magnitude
& Location
Operational or
Regulatory
Deficiency
Use Lognormal Distribution
Use
Point Estimate
Method
Calculated Mean & Standard
Deviation for Performance
Mode
Calculate Component
Reliability Index
Sheet 2 (Chart 2)
Assess Critical Components
Calibrate Performance Model
Return to
Sheet 1
Figure D-1 continued
D-9
RELIABILITY
Evaluate Need
for Additional
Data
Conduct
Investigations
Yes
Is
Additional
Data Needed?
Refine
Reliability
Analysis
Return to
Sheet 1
No
Classify as
RELIABILITY
Investigate
Restoration
Alternatives
Sheet3 (Chart 3)
A
Economic
Evaluation
Return to
Sheet 1
Figure D-1 continued
D-10
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Evaluate Efficiency
Improvement
Alternatives
Project, or Feature
Does not Qualify
for Major Rehabilitation
No
Do
Operational
Deficiencies
Exist?
Yes
Classify as
EFFICIENCY
IMPROVEMENTS
Investigate
Alternatives
No Action
Continue Current
O&M Program
Economic
Evaluation
Return to
Sheet 1
Figure D-1 continued
D-11
Sheet 4 (Chart 4)
EP 1130-2-500
27 Dec 96
APPENDIX E
BENEFITS EVALUATION PROCEDURES
E-1. It is expected that the majority of rehabilitation studies analyzed under this guidance will be
for navigation and hydropower projects. The following steps outline basic procedures that can be
used to evaluate rehabilitation for these project purposes. Deviation from these steps is
encouraged when other techniques are more appropriate.
E-2. Hydropower Analysis. The conceptual basis for evaluating the benefits from energy
produced by hydroelectric power plants is society's willingness to pay for these outputs.
Step 1. Determine the Energy and Capacity Values for the Project.
The energy and capacity values are based on the cost of the next best alternative. The
energy value is the measure of the systems energy production cost. When there exists a demand
for electric energy, adding a hydropower facility to a system instead of a thermal power source
typically results in reduced system production cost. The capacity value of a hydroelectric facility
reflects the greater reliability and operating flexibility of the hydropower system. The energy and
capacity values are estimated using systems analysis. This analysis should only be attempted by
those trained in hydroelectric benefit evaluation. Complete consideration of this technique is
found in ER 1105-2-100. For small facilities, previously calculated energy and capacity values
may be used. In the report Power Benefits Forgone Due to Water Supply Withdrawals White
River Basin Projects, by North Pacific Division, dated 22 June 1990, for Area 25 the capacity
value was estimated at $117,000 per megawatt of capacity annually and the energy value was
estimated at $35.40 per megawatt hour. For the Missouri River System, in the Institute for Water
Resources' report Economic Value Functions for Missouri River System Analysis Model, the
capacity value was estimated at $154,000 per megawatt annually and the energy value at $18 per
megawatt hour. The value used for major rehabilitation analysis should reflect conditions in the
project area.
One particular issue in economic evaluation is the industry response to temporary versus
permanent interruptions due to the unsatisfactory performance on individual hydropower units.
The question to be answered is whether temporary losses in generating capacity will result in the
electric generating industry building permanent replacement capacity. If so, there is a "capacity
loss" without major rehabilitation; if not, there is no capacity restoration as a source of benefit
from rehabilitation. The issue arises since the system contains some percentage of excess capacity
to compensate for unplanned outages. This issue is currently the subject of research. Until
procedures are established for calculating capacity losses due to unreliable performance, care
should be taken in including a capacity loss avoidance as a benefit from major rehabilitation.
Step 2. For the period of analysis determine the annual capacity and annual energy
outputs.
For each alternative, estimate the annual firm capacity and annual energy generation. This
should reflect planned outages, plant reliability, modernization and power loss during
rehabilitation or repair.
E-1
Step 3. Calculate the value of Hydropower.
This is the simple multiplication of step 1 and step 2. For each alternative, multiply the
capacity value times the estimated firm capacity and the energy value times the annual energy
produced.
Step 4. Calculate the average annual equivalent value (benefits).
Discount to the base year the future hydropower values using the Federal discount rate.
Sum the discounted values for energy and capacity. Amortize this sum over the period of analysis
using the Federal discount rate. Total annual benefits should also include benefits during
construction.
Step 5. Calculate the annual cost of each alternative.
Show a schedule of cost over the period of analysis for each alternative. Discount the
expenditures to the base year and amortize the present worth of the estimated cost over the period
of analysis using the Federal discount rate. For each alternative these costs should include
operation and maintenance, emergency repairs, interest during construction and scheduled
rehabilitation.
Step 6. Compare the benefits and cost and rank the alternatives.
Provide a table showing the annual benefits, cost, benefit-to-cost ratio and the net benefits
for each alternative.
Note: The treatment of capacity values and benefits when considering hydropower rehabilitation
for reliability is unsettled. In general, you must be able to demonstrate that the power grid does
not have sufficient flexibility to adapt to the reduced reliability of the project and that the
continuation of the base condition would result in the capital investment of a thermal facility to
replace the capacity lost due to unreliability. A small project will have a more difficult time
satisfying this criteria than a large project.
E-3. Navigation Analysis. The basic economic benefit of a navigation project is the reduction in
the value of resources (cost) required to transport commodities.
Step 1. Identify the commodities currently flowing through the waterway and those
expected to flow through the waterway over the period of analysis. This should be done for each
commodity, by origin and destination for all alternatives.
Step 2. Forecast the quantity of each commodity expected to pass through the waterway
by year for the planning period.
Step 3. Identify the current fleet using the waterway and forecast the future fleet. Identify
current and future fleet operating cost.
Step 4. Using the forecasted commodity flows and the future fleet analysis, estimate the
average annual cost of transporting the forecasted flow of commodities passing through the
waterway for each alternative.
Step 5. Estimate the average annual cost of transporting the forecasted flow of
commodities by the least cost alternative route.
E-2
EP 1130-2-500
27 Dec 96
Step 6. Compute benefits. The benefits of the waterway will be equal to the
transportation savings over the next best alternative.
Provide a table showing the annual benefits, cost, benefit-to-cost ratio and the net benefits
for each alternative.
E-3
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27 Dec 96
APPENDIX F
EXAMPLE OF COMBINING RISKS AND CONSEQUENCES
F-1. Introduction. The evaluation procedures for major rehabilitation require the Districts to use
risk-based benefit-cost analysis incorporating the existing and future risk of "unsatisfactory
performance" of structures and equipment. These risks are then combined with estimates of the
costs of unsatisfactory performance to generate an expected reliability based cost. Alternative
rehabilitation strategies are then proposed to reduce this cost. Each alternative can either change
the risk, change the cost of unsatisfactory performance or both. A complicating difficulty is that
the analysis must be carried out over the "life-cycle" to the project, up to 50 years. That is, the
cost estimated is the present value of all costs associated with the operation, maintenance, and
repair of the facility where each cost is weighted by the probability of occurrence.
F-2. Description of Simplified Evaluation Problem. Suppose that the rehabilitation problem is the
potential unsatisfactory performance of a hydropower plant. For simplicity, assume that the plant
is composed of two generating units. Each of these units, in turn, is composed of two
components: a turbine and a generator. The information available for each component of each
unit is shown in Table F-1. Table F-2 shows the system energy and capacity opportunity costs as
a function on the number of units out of service simultaneously. It is assumed that all the units
provide the same contribution to system energy and capacity. Sometimes, the energy and
capacity contributions will differ across the units. In addition, a rehabilitation strategy may
include efficiency improvements on a unit by unit basis.
Table F-1: Example Hydropower Rehabilitation Assumptions
Unit 1
Turbine
1
Unit 2
Generator 1
Turbine
2
Generator 2
Initial Risk
.01360
.01176
.01510
.02520
Annual rate of change in
risk
.00017
.00042
.00017
.00042
Risk after repair
.00017
.00042
.00017
.00042
Risk after rehabilitation
.00017
.00042
.00017
.00042
24
12
24
12
Number of months to
repair
F-1
a. As noted in Appendix E, the calculation of system energy and capacity values should be
undertaken only by individuals trained in hydroelectric benefit evaluation. One particular issue in
economic evaluation is the industry response to temporary versus permanent interruptions due to
the unsatisfactory performance on individual hydropower units. The question to be answered is
whether temporary losses in generating capacity will result in the electric generating industry
building permanent replacement capacity. If so, there is a "capacity loss avoidance benefit" from
major rehabilitation; if not, there is no capacity restoration as a source of benefit from
rehabilitation. The issue arises since the system contains some percentage of excess capacity to
compensate for unplanned outages. This issue is currently the subject of research. Until
procedures are established for calculating capacity losses due to unreliable performance, care
should be taken in including a capacity loss avoidance as a benefit from major rehabilitation. For
the purposes of this example, Table F-2 shows the assumed opportunity costs of unsatisfactory
performance.
Table F-2: Energy and Capacity Opportunity Costs
b. At any point in time, either or
both of the components of each unit could
perform unsatisfactorily or satisfactorily.
Units Down
Opportunity
The probability of the first occurrence of
Cost per Year
unsatisfactory performance for a
component is dependent on the initial risk,
0
0
the degradation in reliability (increase in
risk), and the number periods since the
1
300,000
beginning of the analysis. Following this
initial event for each component, the
2
10,000,000
probability of unsatisfactory performance
for the component is dependent on the risk
of the repaired component, the
degradation in reliability and the number
of periods since the last episode of
unsatisfactory performance.
c. If the turbine or generator performs satisfactorily, deterioration or degradation occurs
and is represented by the annual rate of change in the risk. This degradation rate may be a
constant added to the risk each year the component doesn't fail. The level of risk over the lifecycle could be a linear or nonlinear function of time.
d. Figure F-1 shows the level of
risk over the life-cycle of a component
assuming a linear degradation pattern.
Figure F-2 shows the level of risk for the
same component assuming a nonlinear
degradation. There are more than 1.1259
x 1015 (250) possible risk based life-cycles
for a single component.
e. At the end of each period, the
unit is either in service, or is out of service
due to the failure of one or both of the
components. The number of units out
simultaneously is important in terms of the
cost of energy losses and possibly system
capacity losses. These losses are generally
increasing functions of the number of
Figure F-1: Linear Risk Function
F-2
EP 1130-2-500
27 Dec 96
units out simultaneously since all units are typically not in operation simultaneously even when all
are available. Values assumed for this example are shown in Table F-2.
f. Since the repair costs and opportunity costs can occur in future years, the analysis
requires discounting the costs in each year to the base year. A discount rate of 8.5% is used in
this example. The current year Federal discount rate should be used in an actual evaluation,
(8.00% in FY94).
g. The evaluation problem is modeling the possible pathways or sequences of
performance that each component for each unit can take, including resetting of the risk after
failure of a component. In addition, the
model must be flexible to deal with
situations with multiple power units and
multiple components. The model must
account for:
(1) the change in reliability of a
component (increases in risk) over
time from the start of the analysis,
(2) the changed reliability of a
repaired component, (see Figure F3),
(3) the possible change in
degradation rate of the repaired
component,
(4) the present value of component
repair costs when a component
fails,
Figure F-2: Non-linear Risk Function
(5) the present value of foregone
project outputs (energy and
capacity) when some units are out
of service due to component
unsatisfactory performance,
(6) the time necessary to repair
components,
(7) the present value of regular
O&M costs while repairs are
undertaken, and
(8) the present value of regular
O&M costs after repairs are made.
h. Once these values are
determined, they can be used in a risk-
Figure F-3: Life-cycle Risk with One Repair
F-3
based model to estimate the base condition reliability costs. Any major rehabilitation strategy
changes at least some of the above listed values. The risk-based model can be rerun with the
revised values. Reductions in reliability costs resulting from the rehabilitation strategy represent
reliability benefits of the rehabilitation investment.
F-3. Description of Monte Carlo Simulation. The values shown in Tables F-1 and F-2 were
entered in a LOTUS macro written as a Monte Carlo simulation. In each year of the life-cycle,
the simulation generates a single random number for each unit. If a random number for a unit falls
between zero and the risk of Component 1 (between zero and .01360 for the turbine of Unit 1),
the unit performs unsatisfactorily due to mode or Component 1. If the random number falls
between the risk of Component 1 and the sum of the risks of Components 1 and 2 (between
.01360 and .01360+.01176), the unit performs unsatisfactorily due to mode or Component 2. If
the random number falls between the sum of the risk of Components 1 and 2 and one (between
.01360+.01176 and 1) the unit performs satisfactorily.
a. The initial risk, the degradation
rates, and the risk after unsatisfactorily
performance determine the risk of
Component 1 and 2 in each period. The risk
in any period depends on what happened to
each component in all the previous periods.
If a unit performs unsatisfactorily, the
present value of the repair costs is
calculated. A running total of this value for
each component of each unit is calculated
over the life-cycle. In addition, the total
number of units out simultaneously in a
period, regardless of cause, is used to
determine system energy losses using a
simple lookup table. A running total of the
present worth of this value is also calculated
Figure F-4: Running Average Lifecycle Costs
over the life-cycle. The length of the lifecycle can be changed but is assumed to be
50 years in the macro.
1
In this example, the joint occurrence of both components performing unsatisfactorily is ignored.
F-4
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27 Dec 96
Table F-3: Base Condition Life-cycle Costs (Standard Errors in Parenthesis)
Unit 1
Reliability Cost
Expected Present value of
Life-cycle Repair Costs
Turbine
Unit 2
Generator
748,500
(16,119)
Turbine
346,900
(7,241)
Expected Present value of
Life-cycle Opportunity
Costs
553,800
(17,180)
Expected Present value of
Life-cycle O&M Costs
1,210,156
(454)
Total Life-cycle Costs
4,200,256
(30,590)
767,100
(15,876)
Generator
573,800
(8,728)
Values in dollars.
b. As was noted above, the number of possible life-cycles is very large. To reasonably
represent the distribution of possible life-cycle reliability costs, multiple life-cycles must be
simulated. The number of life-cycles required depends on the complexity of the risks being
modeled. The primary approach to deciding the required number of life-cycles to simulate is to
increase the number of life-cycles until the statistic of interest (the mean of life-cycle costs), is
stable. This statistic should asymptotically approach the "true" mean as the number life-cycles
increase. Figure F-4 shows the running average of the base condition calculated total reliability
costs. Table F-3 shows the results from 5000 life-cycles.
F-5
Table F-4: Immediate Rehabilitation Life-cycle Costs (Standard Errors in Parenthesis)
Unit 1
Reliability Cost
Turbine
Expected Present value
of Life-cycle Repair
Costs
Unit 2
Generator
77,300
(3,700)
Turbine
82,100
(2,600)
Expected Present value
of Life-cycle
Opportunity Costs
1,450,800
(30,400)
Expected Present value
of Life-cycle O&M
Costs
179,000
(450)
Total Life-cycle Costs
77,300
(3,700)
Generator
82,100
(2.600)
1,948,600
(31,069)
Values in dollars.
F-4. Major Rehabilitation Strategy.
a. For the purposes of this example, only one rehabilitation strategy is considered,
immediate rehabilitation of the turbines and generators in both units. In addition, construction
activities are initiated immediately to rehabilitate Unit 1. After 2 years, Unit 1 construction and
testing will be complete and Unit 2 will be rehabilitated. Both units will be available for service at
the end of the fourth year. Table F-1 lists the revisions in risks and costs due to the
rehabilitation. During the construction, only one unit is in operation so that the opportunity costs
shown in Table F-2 are incurred. Additionally, no regular O&M expenditures take place for a unit
that is out of service whether under repair or during rehabilitation construction. Table F-4 shows
the reliability costs with this rehabilitation strategy. Note that the opportunity costs with
rehabilitation, due to lost energy and capacity, exceed those that would have occurred without
rehabilitation. This stems from the fact that during the rehabilitation construction (4 years), one
of the units is out with certainty. Therefore, there is this certain loss plus the increased risk that
both units will be out during the construction. After rehabilitation the risk of an outage is greatly
reduced but the contribution to reducing the life-cycle present value is also less important due to
discounting.
b. From the results from Tables F-3 and F-4, the expected present value of benefits from
the proposed rehabilitation strategy are the difference in life-cycle costs. The summary statistics
F-6
EP 1130-2-500
27 Dec 96
for life-cycle benefits are presented in Table F-5. Note that this analysis does not include
additional benefits accruing from restoring lost generating efficiency nor from increasing
efficiency beyond the original design. These benefits can be approximated by the deterministic
amount of the present value of these efficiency gains over the 50-year time horizon. This would
only be approximate since there is still a chance that unsatisfactory performance could occur after
rehabilitation. Because of the efficiency improvement, any unsatisfactory performance after
rehabilitation results in larger opportunity costs. Therefore, the risk-based opportunity costs
after rehabilitation would be larger than that shown in Table F-4.
Table F-5: Summary Statistics of Rehabilitation Strategy
Base
Condition
Expected Present Value
of Life-cycle Costs
4,200,300
Immediate
Rehabilitation
Benefits
Standard
Error of
Benefits
1,948,600
2,251,700
43,602
Confidence Interval for Benefits
5%
2,180,200
95%
2,323,200
F-7
EP 1130-2-500
27 Dec 96
APPENDIX G
EXAMPLES OF POTENTIAL ENTRIES AND DESCRIPTIVE
FOOTNOTES TO SUPPORT TABLE B-1 OF APPENDIX B.
RELIABILITY
SUMMARY ASSESSMENT
- HIGH -- normal maintenance
- GOOD -- Maintenance with traffic maintained
- ABOVE AVERAGE -- Downtime for repairs
- BELOW AVERAGE -- Frequent outages for repairs
- POOR -- Frequent and extended outages for repairs
- UNSATISFACTORY -- Extensive rehab required
- HAZARDOUS -- Emergency action to alleviate hazards
BASIS FOR ASSESSMENT
ANALYSIS
TESTING
RECORDS
SITE INSPECTION
JUDGMENT
ENGINEERING
CURRENT BETA
VALUE (report number)
NE (not calculated)
CAUSE
IMPACT
FATIGUE - STRESS
ENVIRONMENTAL CONDITIONS
CORROSION/DETERIORATION
PREVIOUSLY UNANTICIPATED LOADS
ESTIMATED FUTURE BETA (STATE YEAR)
VALUE
NE (not calculated)
UNSATISFACTORY PERFORMANCE
MODE
G-1
SUDDEN/NO WARNING TIME
WARNING TIME
-slow, progressive (years) no remedial action possible [rehab will be required at
some time]
-slow, progressive, remedial actions possible [rehab may or may not be required at
some time]
-slow, progressive, remedial actions possible but short lived
-rapid with sufficient warning to rationally plan and budget
-rapid without sufficient warning time to rationally plan and follow normal budget
process
IMMEDIATE CAUSE
TOWBOAT IMPACT
FLOOD/PMF
ICE IMPACT/FLOATING DEBRIS
PIPING/ FOUNDATION DETERIORATION
CONSEQUENCE
LOW UNDER ANY CONDITION (progressive loss of efficiency)
LOW UNDER SPECIFIC CONDITION (valve breaks in open position)
HIGH UNDER ANY CONDITION (loss of pool)
HIGH UNDER THE SPECIFIC CONDITION (valve breaks in closed position)
ASSESSMENT
PROBABLE ACTION
- inspect annually
- set up monitoring/measurement program
- schedule detailed studies
- study in detail now
- emergency repairs
TIME FRAME
- immediately
- 2 years
- 10 years
COSTS
- annual costs (should be fairly well known)
- first cost (ballpark)
- emergency repairs costs
BENEFITS
ENVIRONMENTAL
G-2
EP 1130-2-500
27 Dec 96
Examples of narrative description that might be used to support the review of current
condition summarized in Table B-1 in Appendix B.
LOCKS
STRUCTURE
CONCRETE:
RELIABILITY - High - Reliability is estimated to be high based on site and annual inspection
records which do not identify any problem areas. Beta was not computed and no further analysis
was performed.
****alternately****
RELIABILITY
SUMMARY ASSESSMENT - POOR - The lock wall concrete was identified as the
critical problem and the assessment was supported by the reliability analysis. Records show
deterioration, cracking, deflection, etc. Lab testing has/has not/can/cannot, etc. be/been done.
CURRENT BETA - a beta of __ was computed and is consistent with the records on this
and similar structures.
CAUSE - the low reliability/deteriorated condition is due to freeze-thaw, alkaline
reactivity and erosion due to barge impacts.
FUTURE BETA - the beta is expected to /remain constant/ decrease at a constant rate of
___/decline at an increasing rate of ___ due to the barge impacts over the next ___ years.
UNSATISFACTORY PERFORMANCE
MODE - the wall could exhibit unsatisfactory performance several ways: excessive
deflection, deteriorate slowly requiring patching at an increasingly frequent rate, slide slowly or
rapidly without warning.
IMMEDIATE CAUSE - a number of immediate causes are possible: tow impact, ice, loss
of foundation materials. The immediate cause will be directly related to the mode of
unsatisfactory performance and its likely consequences.
CONSEQUENCES - The possible consequences range from need for repair during low
use periods to a complete loss of locking capability for up to 6 months.
ASSESSMENT
PROBABLE ACTION - continue annual inspection program/ intensify inspections/
schedule detail testing in 10 yr program because....
ESTIMATED TIME - immediately/ 2 years/ 10 years because of the high probability and
low consequences .....
G-3
COSTS - same as current O&M/ $40 K for testing using the hyperbubble model...
BENEFITS - benefits of preventing a rapid catastrophic event are approximately $xxx,xxx
with xxx,xxx people at risk from..../any benefits are expected to be minimal because everyone
moved out of the floodplain 20 years ago....
ENVIRONMENTAL - failure could result in ____ barrels of toxic chemicals being
spilled..../environmental impacts are minimal because complete failure would only change the
water surface elevation by 3" which is less than the weekly fluctuation....
G-4
EP 1130-2-500
27 Dec 96
APPENDIX H
HYDROPOWER EVALUATIONS CONSIDERATIONS
H-1. The following provides additional information specifically for preparing hydropower major
rehabilitation evaluation reports. The definitions provided in the guidance are general in nature.
The terminology used in these definitions may have different meanings within the power industry.
H-2. Reliability. For a hydropower project reliability can be further defined as the extent that the
generating equipment can be counted on to perform as originally intended. This includes (1) the
confidence in the integrity of the equipment based on maintenance cost, availability and forced
outage experience; (2) the output of the equipment in terms of energy, power output, and
efficiency (restoration of lost output); and (3) the dependability of the equipment in terms of
remaining service life (retirement of equipment).
H-3. Efficiency Improvement. This category is synonymous with uprating within the hydropower
industry. This involves increasing the project's output, in terms of energy and/or capacity, beyond
the original design. For reports submitted under this program and guidance, the efficiency
improvement (uprating) category should be used in connection with correction of a reliability
problem in that any proposed efficiency improvement (uprating) would be taking advantage of the
economic opportunities available. In many cases a reliability driven rehabilitation project for a
hydropower plant will have some incidental increase in outputs (capacity and/or energy) due to
improvement in technology. Such incidental increases should be documented as to what
additional costs, if any, are incurred, and what portion of the benefits are attributable to the
efficiency improvement (uprate). Presently uprating of power plants in the absence of an
identified and quantified reliability problem have low priority in this program.
H-4. Reliability/Risk Analysis. The reliability/risk analysis for hydropower (and other electromechanical) equipment takes a different form than what is used for structures. Much of the
hydropower analysis is based on a function of equipment condition indices and survivor curves,
instead of the calculations discussed in this guidance. The reliability analysis for hydropower
equipment should be prepared by the Hydroelectric Design Center (CENPD-PE-HD), in
accordance with ER 1110-2-109.
H-5. O&M Costs and Test Data. As a part of the evaluation report all relevant O&M costs
needs to be presented. The more historical cost data that is available the better the future
projections. These costs are especially important for auxiliary equipment that may not have a
major impact on power revenues or benefits.
a. Field test data for turbines and generators is mandatory to demonstrate the loss of
efficiency and/or capability. Test data on each unit is desirable. However, if it is not practical to
obtain individual data, an explanation of the rationale used to apply the assumed condition or
performance of untested equipment is needed.
b. All test data must be presented in a format that will show the results, the go/no go
values and the conclusions. A narrative on what tests were performed and the results will be
useful for the non-technical reviewer. Where appropriate, the complete test data may be
submitted with the report as an appendix or as a separate report.
H-1
H-6. Analysis of Existing Facilities. In order to fully develop an evaluation report, an analysis of
the existing components that will be affected by the proposed work is to be performed. Even if
the proposed work does not include an uprating of project capacity, a review of the existing
facilities is necessary. The required power train analysis is commonly referred to as "water to
wire." The economics of an uprating can be adversely affected by the necessity of replacing a
main power transformer or a turbine shaft and bearings because of inadequate component
capacities.
A partial list of items to be analyzed:
penstock water hammer
turbine and generator shafts and couplings
excitation equipment capacities
stator winding capabilities
equipment cooling requirements
power transformer rating
unit and switchyard switchgear
H-7. Economic Analysis. The economic analysis for hydropower major rehabilitation evaluation
is based on losses or gains in capacity and energy and avoided repair and O&M expenses. By not
doing the proposed rehabilitation, there will be a cost associated with the reduced reliability of the
power unit. Benefits can be lost by not restoring lost efficiency or taking advantage of additional
capacity and/or efficiency. A regional power benefits model must be used to reflect the value of
energy and capacity for the project being evaluated.
a. Realistic increases in capacity and efficiency must be presented. The results of the
power train analysis will show if there are additional modifications (and costs) associated with the
proposed project. For turbine replacements a sensitivity analysis is needed to show the affects of
a range of efficiencies, instead of assuming the highest possible value. Not all turbine
replacements are going to achieve 95% efficiency.
b. At this point in the development of the hydropower evaluation guidance, not all types
of equipment have well defined risk assessment methodologies. This, coupled with the issue of
separable elements of a power plant, leaves many major auxiliary components without fully
developed procedures. Efforts should be made to quantify NED benefits associated with the
replacement of a voltage regulator, hydraulic governor, alarm system and the like. Also, give
other justification if these benefits can not be economically quantified or justified.
H-2
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27 Dec 96
APPENDIX I
OUTLINE OF A TYPICAL DESIGN MEMORANDUM
FOR A HOPPER DREDGE
I-1. AUTHORIZATION - Cite authority for design, construction or both.
I-2. BASIC OBJECTIVES AND SCOPE
a. Proposed service and use
b. Pertinent physical data
(1) Length
(2) Breadth
(3) Depth
(4) Draft
(5) Hopper capacity
(6) Dredging depths
(7) Propulsion (type of drive, estimated horsepower)
(8) Speeds (light, loaded, dredging)
(9) Dredge pumps (number, size)
(10) Cruising radius and number of days vessel can operate with normal supply of
fuel, water, etc.
I-3. HULL AND SUPERSTRUCTURE
a. General
(1) Rules and regulations (ABS, USCG, etc)
(2) Model Tests
(3) Special Requirements
b. Hull Proper
(1)
(2)
(3)
(4)
Form
Type of Construction
Trim
Compartmentation
c. Fuel and Water Tanks
(1) Number
(2) Capacity
(3) Location
d. Storage
(1) Ship and supplies
I-1
(2) Operating stores
e. House and Superstructure
(1)
(2)
(3)
(a)
(b)
(c)
(4)
(5)
(a)
(b)
(c)
(d)
(e)
General arrangement
Pilot house
Quarters
Number in crew
Number and type of accommodations to be provided
Furniture
Mess facilities
Shops and workspaces
Boatswain and carpenter shop
Machine shop
Electrical shop
Welding shop
All other
f. Miscellaneous Hull and Deck Equipment
(1)
(2)
(3)
(4)
(5)
(6)
Rudders and steering gear
Hoists, cranes, booms, masts and kingposts
Lifeboats, launch and davits
Anchors, windlasses, winches, capstans and chain
Bitts and cleats
Fire fighting equipment
I-4. HOPPERS
a. Number
b. Capacity
c. Location
d. Shape and slopes
e. Dump doors (number, type)
f. Dump door operating gear (hydraulic, electric, etc.)
g. Unwatering system
h. Jetting (or Washout) system
I. Lower overflow or emergency discharge gates
j. Overflow system
k. Yardage (or load) measurement equipment
I-5. SUCTION AND DISCHARGE SYSTEMS
a.
b.
c.
d.
e.
f.
g.
Number and size of suction and discharge pipes
Type of trunnion (fixed, sliding)
Type dragarm and operating gear and stowage
Type of distribution system
Discharge control
Drag depth indicating system
Dredge production instrumentation
h. Dragheads
I-2
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i. Boom discharge - Type and dimensions (Where applicable)
I-6. MACHINERY
a. Propulsion
(1)
(2)
(3)
(4)
(5)
Number and size of boilers, if any
Number, size and type of engines, generators and/or motors
Number and type of propellers
Controls
Instruments
b. Dredging
(1)
(2)
(3)
(4)
Pump (Number, size, capacity, dynamic head, etc.)
Pump motors (number, size, characteristic)
Gas ejection system
Instruments
c. Miscellaneous
(1)
(2)
(3)
(4)
Auxiliary power
Heating and ventilation
Piping
Electronic Equipment (Radio, Radar, Depthfinder, Electronic Positioning, etc.)
I-7. CONSTRUCTION COST ESTIMATE
I-8. SCHEDULES FOR DESIGN AND CONSTRUCTION (including summary of fund
requirements)
I-9. ESTIMATED PRODUCTION (DREDGING)
I-10. ESTIMATED OPERATING COST
a. Estimated plant rental computation
b. Estimated monthly operating cost
(1)
(2)
(3)
(4)
(5)
(6)
(7)
Payrolls
Subsistence
Fuel
Plant rental
Other direct costs
Indirect costs (supervision, inspection and overhead)
Total
c. Estimated average unit costs
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I-11. RECOMMENDATIONS
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APPENDIX J
TYPICAL PLANT IDENTIFICATION ILLUSTRATIONS
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APPENDIX K
SIZE AND SPACING OF IDENTIFICATION DESIGNATIONS
Table of Contents
ITEM
PAGE
Bow Designation Arrangements of Floating Plant
Other Than Barges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . K-1
Stern Designation Arrangements of Floating Plant
Other Than Barges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . K-2
Barge Designation Arrangements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . K-3
Section Thru Insignia Fasteners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . K-4
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SECTION THRU INSIGNIA FASTENERS
General Notes
1. Shaded parts to be cut out.
2. Heavy lines of 1/8" and/or 3/16" width to be painted black.
3. Each side of the painted lines to be cut not less than 0.03" deep into the surface for guide in
painting. Painted lines shall be 1/8" wide up to and including 30" long plaque, and 3/16" wide for
sizes above.
4. Edges of plate to be finished true and smooth with no burrs.
5. The outlines of plate and cut outs to be machine cut.
6. Aluminum alloy surfaces in contact with other metals shall be insulated with asphalt impregnated
tape, or other approved insulating material to preclude metal-to-metal contact.
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APPENDIX L
INSPECTION AND CERTIFICATION AGREEMENT
BETWEEN
U. S. ARMY CORPS OF ENGINEERS
AND
U. S. COAST GUARD
1. Inspection Agreement. The Coast Guard upon proper application will inspect Corps of Engineers
vessels and issue Certificates of Inspection to such vessels when they are found to comply with the
applicable statutes and vessel inspection regulations. In any case where, after inspection, it is found
that a Certificate of Inspection cannot be issued, the applicant for inspection will be furnished with
a written statement setting forth the particulars in which the vessel fails to meet Coast Guard requirements.
2. Applicable Vessel Regulations.
a. The Rules and Regulations for Cargo and Miscellaneous Vessels (CG-257), and Rules and
Regulations for Tank Vessels (CG-123), will be considered the basic Coast Guard rules and
regulations applicable to Corps of Engineers vessels, insofar as they reasonably apply.
b. Corps of Engineers vessels being vessels of the Department of Defense and used for public
purposes, are not subject to the provisions of the International Convention for Safety of Life at Sea
and, accordingly, will not normally be furnished with Convention certificates.
3. Manning. The Coast Guard will specify the minimum manning requirements on the Certificate of
Inspection. A sufficient number of personnel will be properly licensed and certificated in accordance
with Rules and Regulations for Licensing and Certificating of Merchant Marine Personnel (CG-191)
to meet the minimum manning requirements. In addition, all other personnel in the deck, engine,
steward and other departments will possess United States Merchant Mariners Document (Certificate
of Identification) under the provisions of CG-191. Such licensing and/or certification will be required
as a condition of employment.
4. Shipment and Discharge. The employment of crew members will be in accordance with the laws
and regulations of the Civil Service Commission.
5. Casualty Review. Corps of Engineers vessels and their Masters will report marine casualties to
the Coast Guard and the Coast Guard will investigate such casualties in accordance with the laws and
regulations applicable to vessels of the United States.
6. Disciplinary Action. The Coast Guard will take action under R. S. 4450 as amended (46 USC 239)
against those crew members whose possession of valid seamen's documents issued by the Coast
Guard is a condition of employment. Any disciplinary action considered appropriate by the Corps
of Engineers will be taken under Civil Service Commission laws and regulations.
7. Modification of Standards.
a. Vessels of Special Design. In the case of Corps of Engineers vessels of special design, the
Coast Guard may, in individual cases, permit such variation from the requirements of law and
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regulations as may be shown to be necessary for the special purposes for which such vessels are
designed.
b. Lifesaving Equipment. Subject to prior agreement, as it pertains to existing vessels, it is
intended that all Corps of Engineers inspected vessels be equipped with lifesaving equipment in
accordance with the rules and regulations applicable to vessels of the United States. Life vests
constructed in accordance with military specification MIL-L-17653 (a) or (b), or subsequent
approved specification, are authorized and approved for use on vessels engaged in Rivers operations.
These life vests are also authorized and approved for use as work vests aboard vessels in Ocean,
Coastwise, and Great Lakes operations which are also equipped with U.S. Coast Guard approved life
preservers specified in the Coast Guard rules and regulations.
8. Plan Approval. Approval of plans for new construction, conversion and alteration will be carried
out in accordance with U.S. Coast Guard rules and regulations.
9. Repairs and Alterations. Required notice of repairs or alterations shall be carried out when
required by and in accordance with U.S. Coast Guard rules and regulations.
10. Modification of Agreement. Modifications or supplements to this basic agreement may be made
by mutual consent. Such modifications or supplements will be in the form of addendums to this basic
agreement.
/s/ William F. Cassidy
WILLIAM F. CASSIDY
Lieutenant General, USA
Chief of Engineers
/s/ T. R. Sargent
T. R. Sargent
Rear Admiral, U.S. Coast Guard
Chief of Staff
Date: 25 April 1969
Date: 19 May 1969
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APPENDIX M
CORPS OF ENGINEERS MOTORBOAT LICENSE
GENERAL REQUIREMENTS
M-1. General. Motorboat Operators License, ENG Form 3962 and Operators Identification Card
OF 346, will be issued to all motorboat operators covered under paragraph 4c(1), Chapter 7, ER
1130-2-500, who do not have a current motorboat license issued by the U.S. Coast Guard. The
licenses are serially numbered and Districts will maintain a permanent log record of all issuances. The
Operators Identification Card SF 46, used for this purpose will contain the same number as the
Motorboat Operators License and will be modified as follows:
a. Front of Form - Strike the words "MOTOR VEHICLE"; "vehicles and/or"; and
"Government vehicles."
b. Back of Form - Strike the words "VEHICLE AND/OR" and in that column, list
"Motorboat." Under the CAPACITY column indicate the class or size of motorboat.
The card will be carried by the operator whenever he is operating a boat. The license and card will
be valid for use in any Corps District and a transferee will not be required to renew until the
expiration date of his Corps of Engineers license, or U.S. Coast Guard license.
M-2. Qualifications.
a. One year experience in the operation of motorboats or the successful completion of a
training course as prescribed in ER 385-1-91.
b. Satisfactory completion of the tests and examinations required by ER 385-1-91.
M-3. Suspension or Revocation. District Commanders may suspend or permanently withdraw a
license when determined necessary for the following reasons:
a. Reckless, negligent, or careless operation.
b. Willful damage to a Corps of Engineers motorboat.
c. Violation of Coast Guard Rules of the Road in a manner to endanger life and property.
d. Misconduct which warrants suspension of license.
M-4. Posting. All licenses will be posted in accordance with the policy for Inspection Certificates
as outlined in paragraph 7-8a(1), Chapter 7, Section 3, ER 1130-2-500.
M-5. Renewal. The expiration date for an original license or renewal will be five years from date of
issue. Applicants for renewal will meet the following requirements:
a. Certify that they have operated a motorboat at least three months in the last two years.
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b. Pass a brief review test of the Coast Guard Rules of the Road. (Use of book for written
or oral test permitted.)
c. Have a current Operators Identification Card SF 46.
d. Have a Corps of Engineers or Coast Guard license with an expiration date that is not more
than one year prior to the date of application for renewal. If more than one year has elapsed since
the expiration date, the applicant will be required to again qualify by taking the test and examination
prescribed in ER 385-1-91, to the extent considered necessary by the District Commander.
e. No license will be renewed earlier than 90 days prior to the expiration date.
f. Original licenses will be marked "Issue No. l." Each five year renewal issue will increase
the issue number by one. Corps of Engineers licenses issued to replace Coast Guard licenses will give
credit for previous Coast Guard Issue Numbers and follow in consecutive order.
g. Attend a refresher course as appropriate for the license required.
M-6. Procurement. ENG Form 3962 will be requisitioned from HQUSACE, ATTN: CECW-OD.
These are accountable forms. The DA Form 17, Requisition for Publications and Blank Forms will
be used when requisitioning this form.
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APPENDIX N
U. S. COAST GUARD APPROVED
PERSONAL FLOATATION DEVICES
N-1. Requirements for Use. The use of U.S. Coast Guard approved personal floatation devices will
be as follows:
a. Personal Floatation Devices. Personal floatation devices are designed for emergency use
on vessels 40 feet or more in length which are involved in Ocean, Coastwise and Great Lakes
operations. They are not required to be worn except in the event of abandon-ship operations or
similar emergency conditions where survival equipment is necessary. They must be aboard and
readily accessible at all times on the basis of one personal floatation device per person.
b. Work Vests. Work vests shall be worn as prescribed by EM 385-1-1. They are authorized
and approved for use as personal floatation devices on vessels engaged in Lakes, Bays, Sounds and
Rivers operations. These work vests are also authorized and approved for use as work vests aboard
vessels in Ocean, Coastwise and Great Lakes operations which are also equipped with U.S. Coast
Guard approved personal floatation devices.
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APPENDIX O
CORPS OF ENGINEERS MARINE ENGINEERING BOARD MEMBERSHIP
The following individuals are designated as Members of the Marine Engineering Board:
Member
Installation
Chief, Dredging and Navigation Branch
Operations, Construction and
Readiness Division
HQ, USACE
Directorate of
Civil Works
Representative, Construction-Operations
Division
USACE Division,
Lower Mississippi
Valley
Representative, Construction-Operations
Division
USACE Division,
Missouri River
Representative, Construction-Operations
Division
USACE Division,
North Atlantic
Representative, Construction-Operations
Division
USACE Division,
North Central
Representative, Construction-Operations
Division
USACE Division,
North Pacific
Representative, Construction-Operations
Division
USACE Division,
Ohio River
Representative, Construction-Operations
Division
USACE Division,
South Atlantic
Representative, Construction-Operations
Division
USACE Division,
South Pacific
Representative, Operations Division
USACE Division,
Southwestern
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APPENDIX P
SAMPLE AGREEMENT
COOPERATIVE AGREEMENT BETWEEN THE
U.S. ARMY CORPS OF ENGINEERS AND THE
____________________________ ASSOCIATION
This Cooperative Agreement is for the mutual benefit of both parties and is between the United States
Army Corps of Engineers, ___________________ District (hereinafter referred to as the “Corps”)
and the ________________________ Association (hereinafter referred to as the “Association”),
acting through the Chairman of the Board of Directors or the Board’s designee.
WITNESSETH: (Select the most appropriate Whereas clause)
WHEREAS, The Corps operates the ______________ Visitor Center (or other facility) at the
(project name), (state), for public recreation and the understanding of the Corps mission at ( ); and,
WHEREAS, The Corps achieves its operational goals for natural resources management through a
wide range of activities, programs and events; and,
WHEREAS, the Corps operates its program for the benefit of the public. The public requires
information and facilities for the safe and appropriate use of Corps projects. This information is
conveyed through a variety of interpretive media such as; programs, exhibits, and displays which rely
heavily upon the use of audio visual materials, photographs, models, interactive displays, lectures,
artifacts and other materials which illustrate the Corps, its mission and activities in and around
(project name) as well as the archaeological, natural and cultural history of the area; and,
WHEREAS. The Corps and the Association mutually recognize there are significant national public
benefits to a visitor center (or other facility) which uses interpretive techniques and supports the
Corps goals for education, perpetuation of national pride, preservation of national heritage, safety,
and enjoyment of the people of the United States; and,
WHEREAS, the Corps natural resource management program fosters the stewardship of our natural
and cultural environment; and,
WHEREAS, the Association has as its purpose the enhancement of the environment through
research, education and scientific activities and intends to assist the Corps in the conduct of its natural
resource management programs and activities; and,
WHEREAS, the Association has as its purpose the interpretation for the public’s benefit and
education of the archeological, natural, cultural, and historical environment, and the Association
intends to assist the Corps in its interpretive activities at (project name) through the use of its
programs, exhibits, displays, and materials at the ______________ Visitor Center (or other facility):
WHEREAS, the Association has the authority to assist the Corps in its presentation to the public of
the natural, cultural, historical and project related features of the (project name) through programs,
exhibits and materials;
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WHEREAS, the Corps has authority, pursuant to Section 4 of the 1944 Flood Control Act, 16
U.S.C. 460d, to permit the maintenance and operation of recreation facilities at water resource
development projects by local interests and may enter into leases with non-profit organizations for
park and recreational purposes;
WHEREAS, the Corps has the authority, pursuant to the Federal Water Recreation Act, Public Law
89-72; the National Historic Preservation Act, as amended, Public Law 89-665; The National
Environmental Policy Act, Public Law 89-190; and the Archaeological Resource Protection Act, as
amended, Public Law 96-95, to provide Natural Resources Management programs, activities and
interpretive functions;
Whereas, the Corps wishes to accept and the Association wishes to provide the hereinafter described
interpretive and educational services to the visiting public at the (project name);
NOW, THEREFORE, the parties agree as follows:
1.
The Corps authorizes the Association to provide, and the Association agrees to provide, the
hereinafter described interpretive and educational services; and/or research and scientific services,
and/or maintenance services (select most appropriate) to the visiting public and/or the Corps (select
most appropriate).
2.
CORPS RESPONSIBILITIES.
A. Timely Review and Approval.
The Corps agrees to review and give necessary approvals or disapprovals in a timely manner
to the Association for any and all proposals, programs, special events, suggestions and other activities
that the Association might wish to engage in.
B. Use of Government Facilities (delete if inappropriate)
1. Should the Association, as part of its cooperative activities, require the use of Corps
facilities at the __________ Visitor Center (or other facility) the Corps agrees, that in recognition of
the services the Association is contributing to the public, provide at no cost to the Association such
facilities, utilities, janitorial services, and routine and general maintenance when incidental to the
normal operation of the facility by the Corps.
2. Should the Association require facilities, utilizes and services over and above what the
government would normally require for operation of the facility, or area used by the Association, the
Association will reimburse the Corps at an agreed upon, but nominal cost in recognition of the
services that the Association is contributing to the public.
3. A separate (insert appropriate type of real estate instrument) instrument will be granted
to the Association for the use of government owned real property. The instrument will not merge
with the Agreement.
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3.
ASSOCIATION RESPONSIBILITIES.
A. Corporate Requirements.
1. The Association’s Articles of Incorporation and By-Laws shall comply with the
requirements of the state(s) in which the Association is incorporated. Non-profit 501(c)(3) status
must be maintained in accordance with state and Federal laws. The Association will make available
for inspection, at the request of the Corps, documents demonstrating non-profit status.
2. This agreement will automatically terminate if non-profit 501(c)(3) status is not
maintained.
3. The Association shall have liability insurance which indemnifies, saves, holds harmless,
and defends the United States against all fines, claims, damages, losses, judgements and expenses
arising out of, or from any omission, or activity of the Association in connection with activities under
this Agreement. (Delete if covered by a Real Estate Document.)
4. The Association will exercise reasonable care to prevent damage to any Government
property used, or occupied during its operation and shall, insofar as possible, protect all such
property. (Delete if covered by a Real Estate Document.)
B. Interpretive Activities.
1. The Association may offer educational and interpretive services which support the
mission of the Corps and/or the project. This includes assisting, planning, designing, implementing
and conducting interpretive and educational programs, activities and exhibits. (Delete if
inappropriate.)
2. The Association may offer scientific, research, maintenance and/or other services which
support the mission of the Corps and their natural resource management program. This includes
assisting, planning, designing, implementing and conducting scientific and/or maintenance programs,
activities and exhibits. (Delete if inappropriate.)
3. The Association will cooperate with the Corps in the following activities: (Delete in total
or any parts deemed inappropriate.)
a. Produce and make available to visitors by sale or free distribution, suitable interpretive
and educational literature and aids to increase the visitors understanding and appreciation of the
natural history, cultural, historical, and man-made features of the project area (or other Corps site)
and the Corps of Engineers.
b. Acquire specimens and/or objects pertaining to the history, cultures, environment, or
recreational activities of the project area for the purpose of adding them to the exhibitry or programs
at Corps visitor centers (or other Corps facilities) and assist in preservation programs as appropriate.
c. Assist in the development and improvement of interpretive devices, and educational
materials including signs, exhibits, materials, and audio-visual aids.
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d. Assist in the sponsorship and coordination of professional workshops, training
opportunities and special events.
e. Assist in all practical ways the interpretive, educational and community programs of
the Corps and the project (or other Corps site) for the benefit of the American public.
C. Sales Option (delete if inappropriate)
1. As part of this Agreement, the Association may operate a sales area on a continuous or
intermittent basis.
2. The Association is hereby authorized to sell and/or distribute interpretive and educational
items such as publications, maps, audiovisual aids, crafts, and other objects directly related to the
interpretive and educational themes of the project, visitor center (or other facility), region and Corps.
The Corps may request the Association to sell specific items of interpretive value.
3. The Association shall order, receive, inventory, stock, and otherwise manage all items
offered for sale and/or distribution.
4. The Association will sell only items that are appropriate and of high quality. The
Association will not sell any item that has not been approved by the District Commander or his
authorized representative. The Association will sell items at their fair market value and prices of said
items will be submitted and approved in writing, in advance by the District Commander or his
authorized representative.
5. The Association will not sell any original artifacts, sacred items, or antiquities to which
the Archaeological Resource Protection Act, as amended, would apply, whether or not such items
were discovered on lands owned or controlled by the United States.
6. The Association will display the sales items in good taste and in keeping with the general
design and decor of the facility which houses the sales area.
7. Association sales are restricted to a location approved by the Corps, which will be kept
clean and presentable at all times.
D. Fiscal Management.
1. The Association will conduct its fiscal operations in accordance with accepted business
practices. This includes the appropriate use of a funds accountability system, purchase orders,
receipts, invoices, and inventory records.
2. The Association shall annually submit (within 135 days following the end of each fiscal
year) a complete financial report to the Corps which includes a written summary of Association
activities for the year.
3. The Corps may review the fiscal records of the Association at any time during the term
of this Agreement.
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4.
JOINT RESPONSIBILITIES.
A. Donation of Interpretive Services or Materials.
1. The Association may, at the discretion of its Governing Board, loan materials and/or
services to the Corps. The Corps reserves the right to accept or decline without obligation, any
service, or loan by the Association.
2. The Corps will take reasonable precautions to protect items loaned by the Association,
but assumes no other responsibility for these items. The Corps will return loaned property or items
as requested by the Association.
B. Personnel.
1. The Association and the Corps shall each designate, in writing, an Association member
and a Corps person and alternate who will act as points of contact for the purpose of implementing
this Agreement.
2. The Association will provide such personnel as are reasonably necessary to conduct,
operate and manage its cooperative activities. This does not preclude Corps personnel, during the
course of their normal duties, from assisting the Association with nominal duties, including sales.
3. Corps personnel may not serve in a voting capacity on the governing board, or as
Treasurer for the Association. Corps personnel may serve in an advisory capacity on the
Association’s governing board or committees. Corps personnel may not act as the official
representative of the Association in any matter relating to the Corps, or the terms of this Agreement.
However, if the Association has a membership program, Corps personnel may join and participate
in membership activities.
4. The Corps will orient all Association personnel, staff and/or volunteers with regard to
Corps rules, regulations, and requirements, particularly with regard to the project and facilities, safety,
and appropriate emergency procedures. Association staff and volunteers involved in visitor contact
will receive additional orientation in regard to interpretive services. All orientation will be conducted
prior to assumption of duties.
5. Association employees, or volunteers may not wear the Corps uniform, or items of
clothing that resemble the uniform. Employees and volunteers of the Association, when working at
duties that bring them into contact with the public, will wear visible identification that identifies them
as an Association employee or volunteer.
5.
ASSIGNMENT.
No transfer or assignment of this Agreement or any part thereof or interest therein, directly
or indirectly, voluntary or involuntary, shall be made by the Association unless approved in writing
by the Corps.
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6.
MODIFICATION AND AMENDMENTS.
Modifications and amendments to this agreement in the form of Supplemental Agreements
may be made from time to time upon the mutual written consent of the District Commander for the
Corps and the Board of Directors of the Association.
7.
DURATION.
This agreement shall be effective for five years commencing on the day following the
ratification of this agreement by the Corps. This agreement will automatically renew for another five
year period on October 1 of the last year, unless notice of cancellation is given by either party before
the date of renewal. The Corps reserves the right to terminate the agreement, or any part thereof,
at any time upon written notice. Prior to giving such notice, the Corps will meet with the Association
to set forth the reasons for such termination.
8.
MISCELLANEOUS
A. The rights and benefits conferred by this agreement shall be subject to the laws of the
United States governing the Corps of Engineers and to the rules and regulations promulgated
thereunder whether now in force or hereafter enacted or provided; and the mention of specific
restrictions, conditions, and stipulations herein shall not be construed as in any way impairing the
general powers of supervision, regulation and control by the Corps.
B. This Agreement in no way obviates the responsibilities of the Corps, or the Association
as may be required by a Lease Agreement. In situations where the Association leases facilities or
areas from the Corps, this Agreement would automatically become null and void upon the termination
or cancellation of the Lease Agreement.
C. The Association agrees that all its activities shall be conducted in accordance with all
applicable laws and regulations, both state and Federal.
IN WITNESS WHEREOF, the Association has caused this agreement to be executed this
_____________ day of ____________________, 19__.
__________________________ASSOCIATION
By __________________________________
Chairperson, Board of Directors
IN WITNESS WHEREOF, The Corps has caused this agreement to be ratified this
______________day of _________________, 19_____.
UNITED STATES ARMY CORPS OF ENGINEERS
By ____________________________________
District Commander
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APPENDIX Q
SAMPLE COOPERATING ASSOCIATION
ARTICLES OF INCORPORATION AND BY-LAWS
ARTICLES OF INCORPORATION
Purpose:
To provide for the visitor to Corps of Engineers sites every possible means of excellence in
interpretation of the theme of story through the following methods:
1. Stimulation of interest in the educational activities and encourage scientific investigation
and research in the fields of geology, botany, zoology, history, ethnology, engineering, cultural
resources and related subjects concerning the Corps Of Engineers site and adjacent region.
2.
Assistance:
(a) In the development of the Corps of Engineers natural resources program and interpretive
theme, the use of all Corps personnel and for the use of visitors while at the Corps site.
(b) In obtaining photographs, slides, motion pictures, video tapes and other materials for the
purpose of explaining and interpreting facts relating to the geology, botany, zoology, history,
ethnology, engineering, cultural resources, and related earth sciences pertaining to the Corps of
Engineers site.
3. Publishing, in cooperation with the Corps of Engineers, technical bulletins, maps, guides,
illustrated interpretive books, and other publications dealing with every phase of investigation in, or
related to, the Corps of Engineers site and its environs.
4. The purchasing and resale of Government and private publications dealing with the Corps
site and its environs; the production, purchase, if necessary, and sale of natural color transparencies
pertaining to historical events, and/or natural resources relating to the story of the Corps site. The
profits from these transactions will be used in the production of the aforementioned publications and
in the development of visitor facility exhibits, and in printing or purchasing of stationery,
miscellaneous supplies and equipment for the interpretation of Corps of Engineers sites and related
themes for the association.
5. Accepting, holding, and disbursing of funds received by donation or other means for the
purpose of the Association. The operations, business, property, and assets of the Association shall
be strictly limited to purposes which shall be scientific, educational, or for the benefit of the Corps
of Engineers site and no part of the net income of the Association shall inure to the financial benefit
of any member.
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BY-LAWS
Article I
Purposes
Section 1.
The Operations, business, property, and assets of the Association, Inc., shall be limited to
historical, scientific, interpretive, educational and recreational purposes.
Article II
Membership
Section 1.
There shall be three types of membership in the Association, namely, (1) voting, (2) nonvoting lifetime; and (3) complimentary. All members shall be furnished a suitable membership card
as evidence thereof.
Section 2.
Voting membership will be granted to any person upon payment of an initial membership fee
of five dollars ($5.00) and payment of one dollar ($1.00) annual dues each year thereafter. Failure
of any voting member to pay the annual dues shall result in said member automatically becoming a
non-voting lifetime member. Annual dues are payable before the month of January of the calendar
year for which payable.
Section 3.
Any person interested in the furtherance of the aims and purposes of the Association may
become a non-voting lifetime member upon payment of a membership fee of five dollars ($5.00). No
payment of annual dues shall be required of any such member. Should such a member, who is
otherwise qualified, desire to become a voting member, they may do so by payment of one dollar
($1.00) annual dues for the current year and retain voting membership for each year annual dues are
paid thereafter.
Section 4.
Any person may be granted complimentary membership upon resolution duly made and passed
by the Board of Directors. No initial or annual dues shall be paid by such member.
Section 5.
All members shall be entitled to receive all annual or other reports of the Association and all
members may attend the annual meeting of the Association. Only a voting member may become an
officer or director of the Association or vote in any election of any matter specified to be submitted
to the membership.
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Section 6.
Any member may withdraw from the Association upon giving notice in writing thereof to the
Board of Directors. Any member may be expelled from membership upon good cause and by the
unanimous vote of the Board of Directors.
Article III
Organization and Administration
Section 1.
The Association shall have the following officers, all of whom shall serve without
compensation:
A. A Board of Directors
B. A Corps of Engineers Association Coordinator
C. A Treasurer
D. An Advisory Committee
Section 2.
The Board of Directors shall consist of nine directors elected from the voting membership of
the Association. At the time of the adoption of these by-laws the existing Board of Directors shall
designate three of its number to serve for three years, three to serve for two years, and three to serve
for one year. Thereafter at each annual meeting three directors shall be elected to succeed those
directors whose terms will be next expiring. Each director thereafter elected shall take office on
January 1 following their election or appointment. Vacancies on the Board of Directors shall be filled
by selection and appointment by a majority of the remaining directors. Directors may not succeed
themselves for consecutive terms.
Section 3.
The Board of Directors shall meet as soon as practical after January 1 following the annual
meeting of the Association and at such other times as the Chairperson may call a meeting, or at any
time that the Corps of Engineers Association Coordinator may request a meeting with the
concurrence of three or more members of the Board of Directors. At the first meeting of the board
held after the annual meeting of the Association, the board shall elect one of its members as its
Chairperson for the ensuing year, and until a successor is elected. At any meeting held in the absence
of the Chairperson, a temporary Chairperson will be selected to preside.
The Board of Directors shall formulate all the operational policies of the Association and
shall direct its activities through the Corps of Engineers Association Coordinator and a hired
Business Manager. The powers of the board shall be limited only by law, the articles of
incorporation, by-laws of the Association, and the policies of the Corps of Engineers as articulated
through the Cooperative Agreement, dated ___________, and duly signed by the Chairperson of the
Board of Directors.
Q-3
Five or more members of the board shall constitute a quorum for any meeting of the board.
Section 4.
The Corps of Engineers Association Coordinator shall be the Interpretive Specialist for the
Corps of Engineers site or such other person as the Corps of Engineers Natural Resource Manager
shall appoint to this office with the concurrence of the Board of Directors. The term of office shall
be until replaced by the Corps of Engineers Natural Resources Manager. The Corps of Engineers
Association Coordinator shall serve as the Corps of Engineers representative to the Board of
Directors and shall advise the board on all Corps interpretive program needs. The Corps of Engineers
Association Coordinator shall supervise the day-to-day business activities of the Association through
the Business Manager and submit to the board such reports of its affairs as may be requested and
submit an annual report to the Board of Directors at the annual meeting each year. The Corps of
Engineers Association Coordinator shall serve as the editor of all the Association’s publications and
shall act as advisor on all publications activities. In keeping with the Cooperative Agreement between
the Association and the Corps of Engineers, the Corps of Engineers Association Coordinator shall
not sign checks or legal contracts as a representative of the Association. The Corps of Engineers
Association Coordinator shall meet with the Board of Directors, but shall have no vote on actions
taken by the board that concern the Corps of Engineers site or the Corps of Engineers as a whole.
Section 5.
A Business Manager will be hired by and serve at the pleasure of the Board of Directors. The
Business Manager will serve as the Association’s on site liaison with the Corps of Engineers and shall
represent the Association in all business and legal activities. The Business Manager shall authorize
the expenditure of Association funds for sale publications, printing, stationery, travel, employment
of clerks, and incidental expenses incurred in the conduct of the affairs of the Association, provided
that no individual expenditure exceed the sum of $100 without prior approval of the board or through
the authorized budget. The Business Manager shall hire and fire all Association employees and shall
conduct those necessary business transactions to hire and fire. The Business Manager shall be the
immediate supervisor of all persons employed by the Association, except when a person is hired for
specific interpretive duties, at which time that person shall be supervised by the chief interpretive
officer of the Corps of Engineers site. The Business Manager shall take and maintain minutes of all
meetings of the Board of Directors and all minutes shall be read and approved at the next following
meeting of the board.
Section 6.
The Treasurer may not be a member of the Corps of Engineers paid staff. The Treasurer shall
be appointed by the Board of Directors and shall administer the finances of the Association and
supervise the keeping of the Association’s books. The Treasurer shall submit an audited annual
financial statement to the Board of Directors for presentation and approval at the annual meeting of
the Association. Unless a member of the Board of Directors, the Treasurer shall have no vote in
actions taken by the board. The Treasurer shall furnish a bond to the Association in the sum of
$10,000 at the expense of the Association.
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Section 7.
The Advisory Committee shall be composed of interested scientists, historians, and friends
of the Corps of Engineers, available for consultation on Association matters and technical questions.
They shall represent the principal friends of the Association’s endeavor and shall be invited and
encouraged to offer suggestions and criticisms of the policies and work of the Association. The
members of the Advisory Committee shall be selected and appointed by the Board of Directors.
Members of this committee shall hold office for one year, subject to reappointment. All immediate
past Directors shall serve on this committee for one year.
The Corps of Engineers Natural Resources Manager or the Corps of Engineers Association
Coordinator shall be a member of this committee.
Any number of persons may serve on this committee. Inactive members may be replaced
upon notice by the Board of Directors.
Article IV
Meetings
Section 1.
The Association shall hold an annual meeting in an appropriate place during the month of
November. Notice of the time and place of such meeting and the agenda thereof shall be given by
mail to all members of the Association.
The Chairperson of the Board of Directors shall conduct the meeting. The Corps of
Engineers Association Coordinator shall present the annual report of the Association’s activities and
its plans for the future. The Treasurer shall present a financial report.
Three directors will be elected at the annual meeting in accordance with Article III, Section
2 of the By-Laws. Nominations for such positions shall have been made by the Chairperson on behalf
of the Board and included in the notice of the annual meeting. Other nominations may be made from
the floor at the meeting. Those three nominees receiving the highest number of valid votes cast will
be elected; a tie vote will be broken by the Chairperson. Only voting members present may vote on
the election of directors or other motions made at the annual meeting.
A quorum is not required at the annual meeting.
Section 2.
All meetings will be conducted according to Roberts Rules of Order.
Article V
Property, Funds, and Assets
Section 1.
All property, funds, and assets of any nature received or acquired by the Association shall be
taken, held, disposed of and expended in a manner hereinafter provided:
Q-5
All moneys received from membership fees and the sale of publications, or derived in any
manner from the business operations of the Association, shall be deposited in the operations fund and
shall be used for the publication of technical and popular publications and the development of the
visitor centers, exhibits, for the purchase of sales publications, stationery, miscellaneous supplies and
equipment, traveling expenses, secretarial employment, and other miscellaneous expenses incurred
by the Association in the usual course of business.
Moneys received by donations for specific operating purposes shall be expended only for the
purposes specified by the donor.
Article VI
Miscellaneous
Section 1.
The principal place of business of the Association shall be determined by the Board of
Directors.
Section 2.
The Association shall maintain all funds in any bank or savings and loan association whose
deposits are insured by an agency of the United States. The Board of Directors shall determine the
financial institutions used for this purpose. All checks drawn for checking accounts and withdrawals
from savings accounts shall require the signature of the Business Manager and/or the Treasurer.
Section 3.
The Board may adopt a corporate seal as it sees fit.
Article VII
Amendment of By-Laws
Section 1.
Power to repeal or amend these By-Laws and to adopt additional By-Laws is hereby
delegated to the Board of Directors, and may be executed in any meeting of the Board of Directors,
provided that proper notice has first been given to the individual Directors by mail at least one week
prior to the meeting. Such action must be executed by a unanimous vote of the Directors present.
Article VIII
Dissolution
Section 1.
In the event of dissolution of the Association, the Board of Directors will decide the
disposition of the net assets of the Association and the procedure used to dispose of them.
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APPENDIX R
EXAMPLES OF FORMS USED IN THE VOLUNTEER PROGRAM
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APPENDIX S
SAMPLE CERTIFICATE OF APPRECIATION
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APPENDIX T
SAMPLE CHALLENGE COST-SHARING FINANCIAL WORK SHEET
Project Name ______________________ Contact person
_______________________________
Address_______________________________________________________________________
Phone _________________________
Work Project Title_______________________________________________________________
Location______________________________________________________________________
Proposed date of work___________________________________________________________
Description of work_____________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
Partner ____________________________ Contact person ______________________________
Address ______________________________________________________________________
__________________________________ Phone _______________________________
Salaries
Travel
Materials and Supplies
Equipment Use
Cash/Funds
Personal Property
Other
Contingencies
Total
Share of total cost
Corps
Partner
Total
$_______
$_______
$_______
$_______
$_______
$_______
$_______
$_______
$_______
______ %
$________
$________
$________
$________
$________
$________
$________
$________
$________
_______ %
$_______
$_______
$_______
$_______
$_______
$_______
$_______
$_______
$_______
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APPENDIX U
SAMPLE CHALLENGE COST-SHARING AGREEMENT
(This is only an example of the type of agreement that can be written for challenge cost-sharing.
The agreement should be tailored to meet the needs of the particular arrangements negotiated.)
CHALLENGE COST-SHARING AGREEMENT
BETWEEN
THE DEPARTMENT OF THE ARMY
AND
__________________
THIS AGREEMENT, entered into this
day of
, 19 , by and between the
Department of the Army (hereinafter the "Government"), represented by the District Commander,
U.S. Army Engineer District
, and
, (hereinafter the "Partner"),
.
represented by
WITNESSETH, THAT:
WHEREAS, the Government manages lands and waters at Beautiful Lake which includes
recreational opportunities for the public, and
WHEREAS, the installation of an accessible fishing platform at Scenic Recreation Area on
Beautiful Lake will increase the recreational opportunities for the public, and
WHEREAS the Partner is interested in promoting and assisting the Government in
providing this accessible fishing platform, and
WHEREAS, it is mutually beneficial to the Government and the Partner to work
cooperatively to make this accessible fishing platform available to the public, and
WHEREAS, the Partner, in order to assist the Government in this project has voluntarily
agreed to pay a portion of the cost, and
WHEREAS, Section 225 of the Water Resources Development Act of 1992, PL 102-580,
(Oct 31, 1992), authorizes the Secretary of the Army to accept contributions from the Partner and
apply those contributions to the Project, and
WHEREAS, the Government and the Partner have the full authority and capability to
perform as hereinafter set forth and intend to cooperate in financing and challenge cost-sharing in
accordance with the terms of this agreement;
NOW THEREFORE, the Government and the Partner agree as follows:
ARTICLE I - DEFINITIONS AND GENERAL PROVISIONS
U-1
For purposes of this agreement:
a. The term "Project" shall mean a 12' x 16' fishing platform with a 5'x 20' platform
walkway, aluminum frame, pressure-treated wood surface, and 5'x 30'x4' concrete sidewalk
leading from the parking lot to the platform in Scenic Recreation Area on Beautiful Lake, as
generally described in the [Specify the approved project report], dated
, 19 and approved
by
on
, 19 .
b. The term "total project costs" shall mean all costs incurred by the Government and the
Partner directly related to construction of the project.
c. This agreement in no way restricts the Government from participating in similar
activities or arrangements with, or accepting contributions from, other public and private
agencies, organizations, and individuals.
d. All donated property, facilities and improvements placed on Government land as well
as any work accomplished under this agreement shall become the property of the Government.
ARTICLE II - OBLIGATIONS OF THE PARTIES
a. The Government, subject to and using funds appropriated by the Congress of the
United States (hereinafter the "Congress"), and using funds provided by the Partner, shall
expeditiously construct the Project, applying those procedures usually applied to Federal projects,
pursuant to Federal laws, regulations, and policies. The award of contracts, modifications or
change orders, and performance of all work on the Project (whether the work is performed under
contract or by the Government personnel) shall be exclusively within the control of the
Government.
b. The Government shall provide__________________________.
c. The Partner shall provide_____________________________.
d. The Government shall perform a final accounting to determine the contributions
provided by all parties to this agreement and to determine whether each has met its obligations
under paragraphs b and c of this Article.
e. No Federal funds may be used to meet the Partner's total project costs under this
Agreement.
ARTICLE III - METHOD OF PAYMENT
a. The Government shall maintain current records of contributions provided by the
Partner and a current projection of total project costs. At least quarterly, the Government shall
provide the Partner with a report setting forth all contributions provided to date and the current
projection of total project costs, of the components of total project costs, of each party's share of
total project costs, and of the Partner's contribution required in accordance with Article II.b. of
this Agreement. On the effective date of this Agreement, total project costs are projected to be $
, and the Partner's contribution required under Article II.b. of this Agreement is projected to
be $
. [NOTE: PROJECTIONS SHOULD BE ADJUSTED AS APPROPRIATE FOR
INFLATION THROUGH THE PERIOD OF CONSTRUCTION.] Such amounts are estimates
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27 Dec 96
subject to adjustment and are not to be construed as the total financial responsibilities of the
Government and the Partner.
b. The Partner shall provide the contribution required under Article II.b. of this
Agreement in accordance with the following provisions: Not less than [NUMBER OF DAYS, 30
OR MORE] calendar days prior to issuance of the solicitation for the first construction contract,
the Government shall notify the Partner of the funds required from the Partner to meet its
projected contribution, including its proportionate share of the Government's financial obligations
incurred prior to the commencement of the period of construction. Prior to the issuance of the
solicitation, the Partner shall provide the Government with the full amount of the required funds
by delivering a check payable to "FAO, USAED, [APPROPRIATE USACE DISTRICT]" to the
Government's [TITLE OF APPROPRIATE GOVERNMENT REPRESENTATIVE]. The
Government shall draw from the funds provided by the Partner such sums as the Government
deems necessary to cover: (a) the Partner's proportionate share of the Government's financial
obligations incurred prior to the commencement of the period of construction; and (b) the
Partner's proportionate share of the Government's contractual and in-house financial obligations
as they are incurred during the period of construction. In the event the Government determines
that the Partner must provide additional funds to meet its obligation, the Government shall notify
the Partner of the additional funds required. Within [NORMALLY 60] calendar days thereafter,
the Partner shall provide the Government with a check for the full amount of the additional
required funds.
c. Upon completion of the Project and resolution of all relevant claims and appeals, the
Government shall conduct a final accounting and furnish the Partner with the results of the final
accounting. The final accounting shall establish total project costs, each party's contribution
provided thereto, and each party's required share thereof.
1. In the event the final accounting shows that the total contribution provided by the
Partner is less than its required share of total project costs, the Partner shall, no later than 90
calendar days after receipt of written notice, make a payment to the Government of whatever sum
is required to meet the Partner's required share of total project costs.
2. In the event the final accounting shows that the total contribution provided by the
Partner exceeds its required share of total project costs, the Government shall, subject to the
availability of funds, refund the excess to the Partner no later than 90 calendar days after the final
accounting is complete. In the event existing funds are not available to refund the excess to the
Partner, the Government shall seek such appropriations as are necessary to make the refund.
ARTICLE IV - DISPUTE RESOLUTION
As a condition precedent to a party bringing any suit for breach of this Agreement, that
party must first notify the other party in writing of the nature of the purported breach and seek in
good faith to resolve the dispute through negotiation. If the parties cannot resolve the dispute
through negotiation, they may agree to a mutually acceptable method of non-binding alternative
dispute resolution with a qualified third party acceptable to both parties. The parties shall each
pay 50 percent of any costs for the services provided by such a third party as such costs are
incurred. The existence of a dispute shall not excuse the parties from performance pursuant to
this Agreement.
U-3
ARTICLE V - FEDERAL AND STATE LAWS
In exercise of their respective rights and obligations under this Agreement, the
Government and the Partner agree to comply with all applicable Federal and State laws and
regulations, including, but not limited to, Section 601 of Title VI of the Civil Rights Act of 1964,
PL 88-352, and the Department of Defense Directive 5500.11 issued pursuant thereto and
published in Part 300 of Title 32, Code of Federal Regulations, as well as Army Regulations
600.7, entitled "Non-discrimination on the Basis of Handicap in Programs and Activities Assisted
or Conducted by the Department of the Army.”
ARTICLE VI - RELATIONSHIP OF PARTIES
a. In the exercise of their respective rights and obligations under this Agreement, the
Government and the Partner each act in an independent capacity, and neither is to be considered
the officer, agent, or employee of the other.
b. In the exercise of its rights and obligations under this Agreement, neither party shall
provide, without the consent of the other party, any contractor with a release that waives or
purports to waive any rights such other party may have to seek relief or redress against such
contractor either pursuant to any cause of action that such other party may have or for violation
of any law.
ARTICLE VII - 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 VIII - INDEMNIFICATION
The Partner shall hold and save the Government free from all damages arising from
services it performs or provides for the construction, operation, maintenance, repair, replacement,
and rehabilitation of the Project, except for damages due to the fault or negligence of the
Government or its contractors.
ARTICLE IX - TERMINATION OR SUSPENSION
a. If at any time the Partner fails to fulfill its obligations under this Agreement, the District
Commander shall terminate this Agreement or suspend future performance under this Agreement
unless he/she determines that continuation of work on the Project 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 the Project.
b. If the Government fails to receive annual appropriations in amounts sufficient to meet
Project expenditures for the then-current or upcoming fiscal year, the Government shall so notify
the Partner, and 60 calendar days thereafter either party may elect without penalty to terminate
this Agreement or to suspend future performance under this Agreement. In the event that either
party elects to suspend future performance under this Agreement pursuant to this paragraph, such
suspension shall remain in effect until such time as the Government receives sufficient
appropriations or until either the Government or the Partner elects to terminate this Agreement.
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27 Dec 96
c. In the event that either party elects to terminate this Agreement pursuant to this
Article, both parties shall conclude their activities relating to the Project and proceed to a final
accounting in accordance with Article II of this Agreement.
d. Any termination of this Agreement or suspension of future performance under this
Agreement in accordance with this Article shall not relieve the parties of liability for any
obligation previously incurred. Any delinquent payment shall be charged interest at a rate, to be
determined by the Secretary of the Treasury, equal to 150 per centum of the average bond
equivalent rate of the 13-week Treasury bills auctioned immediately prior to the date on which
such payment became delinquent, or auctioned immediately prior to the beginning of each
additional 3-month period if the period of delinquency exceeds 3 months.
ARTICLE X - NOTICES
a. Any notice, request, demand, or other communication required or permitted to be
given under this Agreement shall be deemed to have been duly given if in writing and delivered
personally or by telegram, or mailed either by first-class, registered, or certified mail, as follows:
If to the Partner:
Mayor
City Hall
Address
City, State 00000
If to the Government: District Commander
U.S. Army Engineer District
Address
City, State 00000
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 the earlier of such time as it is actually
received or seven calendar days after it is mailed.
ARTICLE XI - CONFIDENTIALITY
To the extent permitted by the laws governing each party, the parties agree to maintain the
confidentiality of exchanged information when requested to do so by the providing party.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement, which shall
become effective upon the date it is signed by the Commander, ______________ District.
U-5
The Department of the Army
The City of __________
BY:
Joanna Q. Public
BY:
Patricia M. Brown
Colonel, Corps of Engineers
District Commander
Mayor
DATE:
DATE:
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APPENDIX V
RECONNAISSANCE REPORTS INFORMATION REQUIREMENTS
V-1. Provide a statement of the aquatic plant problem, including but not limited to: (1) location
and brief physical description of problem area(s), (2) a map of the problem area; (3) identification
by common and scientific name of the plant or plants involved; (4) estimated surface area covered
by problem plants; (5) depth or density of problem plants; (6) nature of physical, biological and
economic damages caused by the problem plants; and (7) any other information clarifying the
nature and magnitude of the problem.
V-2. Present a preliminary evaluation of procedures for management operations, including
applicable physical, mechanical, chemical, biological and integrated control technology, that may
be employed.
V-3. Document preliminary program cost estimates for management operations including
estimated Federal and Sponsor costs. Present sufficient data on cost estimates to allow review by
species, control technology and cost per acre if applicable.
V-4. Provide a preliminary economic evaluation with approximation of benefits and briefly
summarize supporting data.
V-5. Explain how/why Federal (Corps) involvement is or is not justified.
V-6. Provide cost estimates for preparation of a Detailed Study Report (DSR) and other required
NEPA documents. Include a schedule of funding by fiscal year(s) and an estimate of time needed
to complete studies after receipt of funds.
V-7. Identify any special problems that require resolution prior to initiation of the DSR.
V-8. Submit, along with any Reconnaissance Report submitted for review and approval that
recommends proceeding with preparation of an DSR, a negotiated Detailed Study Cost-Sharing
Agreement (DSCSA) and a letter from the Sponsor indicating willingness and intent to sign the
DSCSA upon approval of the Reconnaissance Report.
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APPENDIX W
MODEL
DETAILED STUDY COST-SHARING AGREEMENT
BETWEEN THE UNITED STATES OF AMERICA
AND
(THE SPONSORING STATE)
FOR A STUDY OF AQUATIC PLANT CONTROL IN
(NAME OF STATE OR OTHER AREA)
THIS AGREEMENT, entered into this ____ day of _____, 19__, by and between the
UNITED STATES OF AMERICA (hereinafter referred to as the "Government"), represented by
the Contracting Officer executing this Agreement, and the (SPONSORING STATE) (hereinafter
referred to as the "Sponsor"), acting by and through (designated state agency).
WITNESSETH, THAT
WHEREAS, Section 104 of the Rivers and Harbors Act of 1958 (PL 85-500), codified as
amended at 33 USC 610, authorizes a comprehensive program to provide for control of
undesirable aquatic plants from the navigable waters, tributary streams, connecting channels, and
other allied waters of the United States in the combined interest of navigation, flood control,
drainage, agriculture, fish and wildlife conservation, public health, and related purposes; and
WHEREAS, the Government has conducted a preliminary study of aquatic plant control
problems in the State of __________, pursuant to this authority, and has determined that further
study in the nature of an "Aquatic Plant Control Detailed Study" (hereafter called the "Study") is
required to fulfill the intent of the study authority and to complete the determination of the extent
of the Federal interest in aquatic plant control in the State of __________; and
WHEREAS, the Secretary of the Army is authorized to receive cash contributions of
funds tendered by non-Federal interests and to expend such contributions on studies pursuant to
Section 104 of PL 85-500, as amended, and Section 105 of PL 99-662; and
WHEREAS, the Sponsor has the authority and capability to furnish the cooperation
hereinafter set forth and is willing to participate in study cost sharing and financing in accordance
with the terms of this Agreement; and
WHEREAS, the Sponsor and the Government both understand that entering into this
Agreement in no way obligates either party to implement a project and that whether a project is
supported for authorization and budgeted for implementation depends upon the outcome of the
Study and whether the proposed solution is consistent with the Economic and Environmental
Principles and Guidelines for Water and Related Land Resources Implementation Studies and
with the budget priorities of the Administration; and
W-1
WHEREAS, the Water Resources Development Act of 1986 (PL 99-662) specifies the
cost sharing requirements applicable to the Study;
NOW, THEREFORE, the parties agree as follows:
ARTICLE I - DEFINITIONS
For the purposes of this Agreement:
a. The term "Study" shall mean all planning, engineering, and design work to be
completed prior to initiation of the aquatic plant control project pursuant to the requirements of
ER 1130-2-412 and other applicable guidance.
b. The term "Study Cost" shall mean all disbursements by the Government pursuant to
this Agreement, whether from Federal appropriations or from funds made available to the
Government by the Sponsor, and all Negotiated Costs of work performed by or contracted for by
the Sponsor pursuant to this Agreement. Such costs shall include, but not be limited to: labor
charges; direct costs; overhead expenses; supervision and administration costs; contracts with
third parties, including termination or suspension charges; and any termination or suspension costs
associated with this Agreement.
c. The term "Study Period" shall mean the time period for conducting the Study
commencing with the execution of this Agreement and ending with a determination: of insufficient
need; that a Federal interest does not exist; or of approval of the DSR by Office of the Assistant
Secretary of the Army (Civil Works).
d. The term "Negotiated Cost" is the cost of a work item to be accomplished by the
sponsor as in-kind services as specified in the Initial Project Management Plan incorporated herein
and which is acceptable to both parties.
e. The term "Contracting Officer" shall mean the Commander of the U.S. Army Engineer
District, ___________, or his designee.
f. The term "fiscal year" (FY) shall mean the fiscal year of the Federal Government
(October 1 through September 30 of the following calendar year).
ARTICLE II - OBLIGATIONS OF PARTIES
a. The Sponsor and the Government, using funds contributed by the Sponsor and
appropriated by the Congress, shall expeditiously prosecute and complete the Study, currently
estimated to be completed in __ months from the date of this Agreement, substantially in
compliance with Article III herein and in conformance with applicable Federal and state laws and
regulations, the Economic and Environmental Principles and Guidelines for Water and Related
Land Resources Implementation Studies, and mutually acceptable standards of engineering
practice.
b. The Government and the Sponsor shall each contribute, in cash and in-kind services,
fifty (50) percent of all Study Costs, for which the total cost is currently estimated to be
$_______, as specified in Article IV herein; provided, that the sponsor may, consistent with
applicable Federal statutes and regulations, contribute up to 25 percent of the Study Costs as in-
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kind services; provided further, that the Government shall not obligate any cash contribution by
the Sponsor toward Study Costs until such cash contribution has actually been made available to
it by the Sponsor.
c. No Federal funds may be used to meet the Sponsor share of Study Costs under this
Agreement unless the expenditure of such funds is expressly authorized by statute as verified by
the granting agency.
d. The award of any contract with a third party for services in furtherance of this
Agreement which obligates Federal appropriations shall be exclusively within the control of the
Government. The award of any contract by the Sponsor with a third party for services in
furtherance of this Agreement which obligates funds of the Sponsor and does not obligate Federal
appropriations shall be exclusively within the control of the Sponsor, but shall be subject to
applicable Federal statutes and regulations. The Government will have the opportunity to review
and comment on all contracts and modifications which the sponsor negotiates and awards in
furtherance of this agreement, including work to be done by any local unit or other designee of
the state.
e. The Government and the Sponsor shall each endeavor to assign the necessary
resources to provide for the prompt and proper execution of the Study and shall, within the limits
of law and regulation, conduct the study with maximum flexibility as directed by the Executive
Committee established by Article V, herein.
f. The Government shall not continue with the Study when it becomes evident that there
is no solution in which there is a Federal interest or which is not in accord with budget priorities
unless the Sponsor wishes to continue under the terms of this Agreement and the Department of
the Army grants an exception. If a study is discontinued, it shall be concluded according to
Article XII and all data and information shall be made available to both parties.
g. The Sponsor may wish to conclude the Study if it determines that there is no solution
in which it has an interest or which is not in accord with its current policies and budget priorities.
When such a case exists the Study shall be concluded according to Article XII and all data and
information shall be made available to both parties.
ARTICLE III - INITIAL PROJECT MANAGEMENT PLAN
Appendix A, the Initial Project Management Plan (IPMP), is hereby incorporated into this
Agreement. The parties to this Agreement shall substantially comply with the IPMP in
prosecuting work on this Study. The IPMP will negotiate the scope and schedule of study
services to be accomplished and the costs of in-kind services. The following modifications, to be
approved by the Executive Committee (see Article V), shall require an amendment to this
Agreement:
(1) any modification which increases the total Study Costs by more than (percentage to
be negotiated with 15% maximum) percent.
(2) any modification in the estimated cost of a Study work item or any obligation for a
Study work item, which changes the total cost of that work item by more than (percent to be
negotiated with 15% maximum) percent.
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(3) any extension of the completion schedule for a Study work item of more than thirty
(30) days; or
(4) any reassignment of work items between the Sponsor and the Government (see
Appendix A).
ARTICLE IV - METHOD OF PAYMENT
a. The Government shall endeavor to obtain during each fiscal year the appropriation for
that fiscal year at least in the amounts specified in the IPMP incorporated herein. Subject to the
enactment of Federal appropriations and the allotment of funds to the Contracting Officer, the
Government shall then fund the Study at least in the amounts specified in the IPMP.
b. The Sponsor shall endeavor to obtain during each fiscal year the cash contribution for
the fiscal year at least in the amounts specified in the IPMP incorporated herein and, once the
funds are obtained, will make such funds available to the Government. The Government shall
withdraw and disburse funds made available by the Sponsor subject to the provisions of this
Agreement.
c. Funds made available by the Sponsor to the Government and not disbursed by the
Government within a Government fiscal year shall be carried over and applied to the cash
contribution for the succeeding Government fiscal year; provided, that upon study termination any
excess cash contribution shall be reimbursed to the Sponsor after a final accounting, subject to the
availability of appropriations, as specified in Article XII herein.
d. Should either party fail to obtain funds sufficient to make obligations or cash
contributions or to incur Study Costs in accordance with the schedule included in the IPMP
incorporated herein, it shall at once notify the Executive Committee established under Article V
herein. The Executive Committee shall determine if the Agreement should be amended,
suspended or terminated under Article XII herein.
ARTICLE V - MANAGEMENT AND COORDINATION
a. Overall study management shall be the responsibility of an Executive Committee.
Membership on the Executive Committee shall normally include the following district personnel
and their counterparts in the non-Federal sponsor: District Commander; Chief, Planning Division;
and Chief, Operations Division. The Executive Committee will meet in regularly scheduled
annual meetings. Interim meetings of the Committee will be scheduled as necessary to resolve
conflicts or policy issues.
b. To provide for consistent and effective communication and prosecution of the items in
the IPMP, the Executive Committee shall appoint representatives to serve on a Study
Management Team.
c. The District Study Manager will be responsible for the day-to-day study management.
She/he will maintain close coordination with the Federal and non-Federal members of the Study
Management Team to ensure timely prosecution of the study in compliance with this agreement.
She/he will maintain a written record of all telephone conversations and meetings with the other
members of the team.
d. The District Study Manager will, with input, review, and approval from the remainder
of the Study Management Team, prepare quarterly progress reports for the Executive Committee.
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The quarterly reports will delineate the progress of all work items and document all unresolved
conflicts or policy issues requiring resolution by the Executive Committee. The quarterly reports
will also report any modifications to the Scope of Study requiring amendments to this agreement.
e. The Study Management Team will coordinate on all matters relating to prosecution of
the Study and compliance with this Agreement, including cost estimates, schedules, prosecution
of work elements, financial transactions and recommendations to the Executive Committee for
termination, suspension or amendment to this Agreement.
f. The Study Management Team will prepare periodic reports on the progress of all work
items for the Executive Committee.
ARTICLE VI - DISPUTES
a. The Study Management Team shall endeavor in good faith to negotiate the resolution
of conflicts. Any dispute arising under this Agreement not disposed of by mutual consent shall be
referred to the Executive Committee. The Executive Committee shall resolve such conflicts or
determine a mutually agreeable process for reaching resolution or for termination under Article
XII herein.
b. Pending final decision of a dispute hereunder, or pending suspension or termination of
this Agreement under Article XII herein, the parties hereto shall proceed diligently with the
performance of this Agreement.
ARTICLE VII - MAINTENANCE OF RECORDS
The Government and the Sponsor shall keep books, records, documents and other
evidence pertaining to study costs and expenses incurred pursuant to this Agreement to the extent
and in such detail as will properly reflect total Study costs. The Government and the Sponsor
shall maintain such books, records, documents and other evidence for inspection and audit by
authorized representatives of the parties to this Agreement. Such material shall remain available
for review for a period of three (3) years following the termination of this Agreement.
ARTICLE VIII - RELATIONSHIP OF PARTIES
a. The parties to this Agreement shall act in an independent capacity in the performance
of their respective functions under this Agreement, and neither party will be considered the
officer, agent, or employee of the other.
b. To the extent permitted by applicable law, any reports, documents, data, findings,
conclusions, or recommendations pertaining to the Study will not be released outside the
Executive Committee or the Study Management Team; nor will they be represented as presenting
the views of either party unless both Parties shall indicate agreement thereto in writing.
ARTICLE IX - OFFICIALS NOT TO BENEFIT
No member of or delegate to the Congress, or other elected official, shall be admitted to
any share or part of this Agreement, or to any benefit that may arise therefrom.
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ARTICLE X - FEDERAL AND STATE LAWS
In acting under its rights and obligations hereunder, the Sponsor agrees to comply with all
applicable Federal and state laws and regulations, including section 601 of Title VI of the Civil
Rights Act of 1964 (PL 88-352) and Department of Defense Directive 5500.II issued pursuant
thereto and published in Part 300 of Title 32, CFR, as well as Army Regulation 600-7, entitled
"Nondiscrimination on the Basis of Handicap in Programs and Activities Assisted or Conducted
by the Department of the Army."
ARTICLE XI - COVENANT AGAINST CONTINGENT FEES
The 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 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 its discretion, to add to the agreement or consideration or otherwise recover, the
full amount of such commission, percentage, brokerage, or contingent fee.
ARTICLE XII - TERMINATION OR SUSPENSION
a. This Agreement shall terminate at the completion of the Study Period; provided, that
prior to such time and upon thirty (30) days written notice, either party may terminate or suspend
this Agreement without penalty.
b. Within ninety (90) days upon termination of this Agreement the Study Management
Team shall prepare a final accounting of Study Costs, which will display disbursements by the
Government of Federal funds, cash contributions by the Sponsor, and credits for Negotiated
Costs of the Sponsor. Subject to the availability of appropriations, within thirty (30) days
thereafter the Government shall reimburse the Sponsor for the excess, if any, of cash contributions
and credits given over fifty (50) percent of total Study Costs. Within thirty (30) days of the final
accounting, the Sponsor shall provide the Government with any cash contributions required so
that the total Sponsor share is fifty (50) percent of total Study Costs.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the day
and year first above written.
THE UNITED STATES OF AMERICA
STUDY SPONSOR
BY _________________________
Colonel, Corps of Engineers
District Engineer
Contracting Officer
BY ______________________
(Title)
Appendix A - Initial Project Management Plan
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INITIAL PROJECT MANAGEMENT PLAN
FOR A
MODEL
DETAILED STUDY COST-SHARING AGREEMENT
BETWEEN THE UNITED STATES OF AMERICA
AND
(THE SPONSORING STATE)
FOR A STUDY OF AQUATIC PLANT CONTROL IN
(NAME OF STATE OR OTHER AREA)
a. The Initial Project Management Plan (hereinafter referred to as the "Plan") documents
the plan for joint Federal and non-Federal efforts to conduct a feasibility study. The study will be
conducted in sufficient detail to provide a basis for a recommendation (favorable or unfavorable)
concerning implementation of aquatic plant control activities for name of aquatic plant(s) in the
waters of the State of _________. The Plan will establish the negotiated costs of in-kind services,
by either contract or in-house labor, and estimates of both the total study phase cost and the
respective Federal and non-Federal share. The Plan will control the allocation of dollars (effort)
among the tasks and assure that all interests are given appropriate attention during the conduct of
the study. Additionally, the Plan will address the following items:
(1) The work items, schedule, and responsibility for accomplishment.
(2) The estimated cost of work items, including the negotiated cost of work items to be
accomplished by the state, or its assigns, as in-kind services.
(3) Criteria to assess the adequacy of completed work items, including appropriate
references to Corps of Engineers guidance in support of work items for quality assurance
purposes.
(4) The specific coordination mechanism between the Corps of Engineers and the
cooperating state agency.
(5) Procedures for reviewing and accepting the work of both parties to this agreement.
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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 the 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, contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid by
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 sub-awards at all tiers (including sub-contracts, sub-grants, and contracts
under grants, loans, and cooperative agreements) and that all sub-recipients 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 failure.
______________________
Sponsor
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APPENDIX X
MODEL
LOCAL COOPERATION AGREEMENT
AQUATIC PLANT CONTROL OPERATIONS
BETWEEN THE DEPARTMENT OF THE ARMY
AND
(THE SPONSORING STATE)
FOR AQUATIC PLANT CONTROL IN
(NAME OF STATE OR OTHER AREA)
THIS AGREEMENT, entered into this ______ day of _____, 19__, by and between the
DEPARTMENT OF THE ARMY (hereinafter referred to as the "Government"), represented by
the District Commander,__________ District, and the (SPONSORING STATE) (hereinafter
referred to as "the State"), acting by and through (designated State agency).
WITNESSETH, THAT:
WHEREAS, a comprehensive program to provide for control and progressive eradication
of undesirable aquatic plants in the navigable waters, tributary streams, connecting channels, and
other allied waters of the United States in the combined interest of navigation, flood control,
drainage, agriculture, fish and wildlife conservation, public health, and related purposes; and was
authorized by Section 104 of the Rivers and Harbors Act of 1958 (PL 85-500), codified as
amended at 33 USC 610; and
WHEREAS, studies conducted by the Government under this authority have led to
development of a program (hereinafter referred to as the "Program") for the control of
undesirable aquatic plants in (name of State or area); and
WHEREAS, Section 103(c)(6) of the Water Resources Development Act of 1986, PL
99-662, specifies the cost-sharing requirements applicable to the Program; and
WHEREAS, the parties recognize that the non-Federal portion of the required cost share
shall be provided entirely by the (designated state governmental unit); and
WHEREAS, the State has the authority and capability to furnish the cooperation
hereinafter set forth and is willing to participate in Program cost-sharing and financing in
accordance with the terms of this Agreement;
NOW, THEREFORE, the parties agree as follows:
ARTICLE I - DEFINITIONS
For the purposes of this Agreement:
X-1
a. The term "Total Annual Operation Program Costs" and "Program" shall mean all
planning, engineering, design, and control operations related to the implementation of the control
plan described in the
Work Plan (Appendix A).
b. The term "Total Annual Operation Program Costs" and "Program Costs" shall mean all
costs incurred by the State and the Government directly related to the Total Annual Operation
Program, as described in the
Work Plan. Such costs shall include, but not necessarily be
limited to, the costs of actual control costs, costs of applicable engineering and design,
supervision and administration costs, costs associated with the provision of necessary transfer and
disposal sites for harvested materials, costs associated with Government inspection of program
Work Plan.
activities, and all costs for preparing the
c. The term "Contracting Officer" shall mean the Commander of the U.S. Army Engineer
District,
, or his designee.
d. The term "fiscal year" (FY) shall mean the fiscal year of the Federal Government
(October 1 through September 30).
ARTICLE II - OBLIGATIONS OF THE PARTIES
a. The performance of all activities and the provision of any lands, easements, or rightsof-way required for all activities covered by this Agreement shall be accomplished by the State in
accordance with the
Work Plan, subject to the appropriation of funds. Contracting
responsibilities (i.e., contracting for control operations by the Government, the State, or both) are
established in the
Work Plan.
b. As further specified in Article VI, the Government and the State shall each provide 50
percent of the total annual operational program costs incurred under the Aquatic Plant Control
Program by the Government and the State in performing the approved effort identified, assigned
and undertaken pursuant to this Agreement as described in the
Work Plan.
c. If applicable, prior to issuing invitations for bids, the State shall submit to the
Contracting Officer for approval the detailed plans, specifications, data for analysis of design, and
a general program outlining the order, rate of prosecution and method (contract or hired labor) of
accomplishing the major items of work and setting forth the estimated cost thereof. In the event
the State prosecutes the work herein by contract, all bids received and the proposed provisions of
any contract shall be subject to review by the Government prior to award. Any such contract
shall contain all applicable provisions required by Federal law and regulations, including, but not
limited to, applicable labor and equal opportunity provisions.
(1) The State shall secure competitive bids, by advertising, for all work to be performed
by contract, or with approval of the Contracting Officer, perform the necessary control operations
with its own forces or those of their local governmental unit designee.
(2) The State shall submit to the Contracting Officer a detailed estimate of costs, a
tabulation of all bids received, and a request for approval of award of a contract to the lowest
qualified bidder and furnish such copies of the contract as may be required and submit to the
Contracting Officer, for approval, any amendments or modifications thereof.
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(3) The State shall provide adequate continuous operations inspection, and submit
monthly progress reports showing the work done throughout the Program.
(4) The State shall provide necessary facilities and access for inspection of the Program
by the Contracting Officer.
(5) The State shall keep accurate and adequate cost accounts and records, open at all
times for inspection and audit by the Contracting Officer.
d. No Federal funds may be used to meet the State's share of project costs under this
Agreement unless the expenditures of such funds is expressly authorized by statute and verified in
writing by the granting agency.
ARTICLE III - LANDS, FACILITIES, AND RELOCATION ASSISTANCE
a. The State agrees to provide all lands, easements, rights-of-way, including dredged or
disposal areas and appropriate transfer sites for harvested materials, determined to be necessary
for the work covered by the
Work Plan. Such costs shall be apportioned in accordance with
the terms of Article VI, with the State bearing 50 percent of such costs.
b. The State shall comply with the applicable provisions of the Uniform Relocations
Assistance and Real Property Acquisition Policies Act of 1970, PL 91-646, as amended, in
acquiring any necessary lands, easements and rights-of-way for the control operations, and inform
all affected persons of applicable benefits, policies, and procedures in connection with said act.
ARTICLE IV - VALUE OF LANDS AND FACILITIES
In the event any lands, easements, and rights-of-way, including dredged or harvested
material disposal areas and appropriate transfer sites for harvested material, are needed for the
Program, the value of the lands, easements, and rights-of-way to be included in Total Annual
Program Costs and credited toward the State's share of Total Annual Program Costs will be
determined in accordance with the following procedures:
a. If the lands, easements, or rights-of-way are owned by the State as of the date this
Agreement is signed, the credit shall be the fair market value of the interest at the time such
interest is made available to the Government for the Program. The fair market value shall be
determined by an appraisal, to be obtained by the State, which has been prepared by an
independent and qualified appraiser who is acceptable to both the State and the Government. The
appraisal shall be reviewed and approved by the Government.
b. If the lands, easements, or rights-of-way are to be acquired by the State after the date
this Agreement is signed, the credit shall be the fair market value of the interest at the time such
interest is made available to the Government for the Program. The fair market value shall be
determined as specified in subparagraph a. above. If the State pays an amount in excess of the
appraised fair market value, it may be entitled to a credit for the excess if the State has secured
prior written approval from the Government of its offer to purchase such interest.
X-3
c. If the State acquires more lands, easements, or rights-of-way than are necessary for
project purposes, as determined by the Government, then only the value of such portions shall be
included in Total Annual Program Costs and credited to the State's share.
d. Credit for lands, easements, and rights-of-way in the case of involuntary acquisitions
which occur within a one-year period preceding the date this Agreement is signed or which occur
after the date this Agreement is signed will be based on court awards, or on stipulated settlements
that have received prior Government approval.
e. For lands, easements, or rights-of-way acquired by the State within a five-year period
preceding the date this Agreement is signed, or any time after this Agreement is signed, credits
provided under this paragraph will also include the actual incidental costs of acquiring the interest,
e.g., closing and title costs, appraisal costs, survey costs, attorney's fees, plat maps and mapping
costs, as well as the actual amounts expended for any relocation assistance provided in
accordance with the obligations under this Agreement.
ARTICLE V - CONTRACT MANAGEMENT
a. To provide for consistent and effective communication between the State and the
Government during the term of the control Program, the State and the Government shall appoint
representatives to coordinate on scheduling, plans, specifications, modifications, contract costs,
and other matters relating to the Program.
b. The representatives appointed above shall meet as necessary during the period of
construction (the contract for control operations), or the term of the Program, and shall make
such recommendations as they deem warranted to the Contracting Officer.
c. The Contracting Officer shall consider the recommendations of the representatives in
all matters relating to the Program, but the Contracting Officer, having ultimate responsibility for
conduct of the Program, has complete discretion to accept, reject, or modify the recommendation.
ARTICLE VI - METHOD OF PAYMENT
a. The State shall implement the Program in accordance with the
Work Plan and
the Government shall, during the period of construction and operation, subject to appropriations,
reimburse the State the amount necessary to ensure the Government's share equals 50 percent of
the total project cost.
b. The Government shall pay its share of total costs in proportion to the rate of
expenditures by the State in accordance with the following provisions:
(1) After initiation of the Program, the Government will, subject to paragraph b. below,
make monthly payments upon receipt from the State of properly executed and duly certified
invoices covering services satisfactorily performed during the preceding month. All monthly
payments by the Government shall take into account any project costs incurred by the
Government for the stated time period.
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(2) All work for payments requested by the State must be certified by the Contracting
Officer to have been performed in accordance with this Agreement before the Government shall
approve the request for payment.
c. Upon completion of the
Work Plan and resolution of all relevant contract claims
and appeals, the Government shall compute the total
Work Plan costs and tender to the
State a final accounting of Program costs. In the event that the total reimbursement by the
Government to the State results in the State contributing less than the required share of total
program costs at the time of final accounting, the State shall, within 90 calendar days after receipt
of written notice, make a cash payment to the Government of whatever sum is required to meet
their share of total Program costs. In the event the State is determined at the final accounting to
have provided more than 50 percent of the total Program costs, the Government shall, subject to
the availability of appropriations, refund the excess to the State within 90 calendar days of the
final accounting.
ARTICLE VII - DISPUTES
Before any party to this Agreement may bring suit in any court concerning an issue
relating to this Agreement, such party must first seek in good faith to resolve the issue through
negotiation or other forms of non-binding dispute resolution mutually acceptable to the parties.
ARTICLE VIII - RELEASE OF CLAIMS
The State shall hold and save the Government free from all damages arising from the Total
Annual Operation Program, except for damages due to the fault or negligence of the Government
or its contractors.
ARTICLE IX - MAINTENANCE OF RECORDS
The Government and the State shall maintain books, records, documents, and other
evidence pertaining to hours of equipment operation and costs and expenses as will properly
reflect all net costs, direct and indirect, of labor, materials, equipment, supplies, and services and
other costs and expenses of whatever nature involved therein. The Government and the State
shall maintain such books, records, documents, and other evidence for a minimum of three years
after completion of the control program and resolution of all claims arising therefrom, and shall
make available at their offices at reasonable times, such books, records, documents, and other
evidence for inspection and audit by authorized representatives of the parties to this Agreement.
ARTICLE X - FEDERAL AND STATE LAWS
In acting under its rights and obligations hereunder, the State agrees to comply with all
applicable Federal and state laws and regulations, including section 601 of Title VI of the Civil
Rights Act of 1964 (PL 88-352) and Department of Defense Directive 5500.II issued pursuant
thereto and published in Part 300 of Title 32, Code of Federal Regulations, as well as Army
Regulation 600-7, entitled "Nondiscrimination on the Basis of Handicap in Programs and
Activities Assisted or Conducted by the Department of the Army."
X-5
ARTICLE XI - RELATIONSHIP OF PARTIES
The parties to this Agreement shall act in an independent capacity in the performance of
their respective functions under this Agreement, and neither party will be considered the officer,
agent, or employee of the other.
ARTICLE XII - 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 XIII - COVENANT AGAINST CONTINGENT FEES
The State 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 State 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 its discretion, to add to the Agreement or consideration, or otherwise recover, the
full amount of such commission, percentage, brokerage, or contingent fee.
ARTICLE XIV - TERMINATION OR SUSPENSION
a. If the Government fails to receive annual appropriations for the Program in amounts
sufficient to meet Program expenditures for the then-current or upcoming fiscal year, the
Government shall so notify the State. If the State or its contractors(s) fail(s) to receive
appropriations for the Program in amounts sufficient to meet Program expenditures for the thencurrent or upcoming fiscal year, the State shall so notify the Government. After 90 days, either
party may elect without penalty to terminate this Agreement or to defer future performance
hereunder; however, deferral of future performance under this Agreement shall not affect existing
obligations or relieve the parties of liability for obligations previously incurred. In the event that
either party elects to terminate this Agreement, the parties shall conclude their activities relating
to the Program and proceed to a final accounting in accordance with Article VI.
b. It is understood and agreed that termination of this Agreement by any party for
whatever reason shall not end the obligation of the State to hold and save the Government free
from damages as provided herein in Article VIII.
ARTICLE XV - 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 State:
[ADDRESS]
If to the Government:
[ADDRESS]
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b. A party may change the address to which such communications are to be directed by
giving written notice to the other in the manner provided in this section.
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 personally delivered
or on the third business day after it is mailed, as the case may be.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date
signed by the
District Commander.
THE DEPARTMENT OF THE ARMY
THE STATE
*BY:________________________
BY: _________________________
DATE:______________________
DATE: ________________________
*Footnote: When submitting this agreement for approval, the District Commander may sign the
agreement if this model Local Cost-sharing Agreement is used as a form contract and not
modified in any manner. If the model Local Cost-sharing Agreement is altered or modified in any
way, this signature block will be left blank. ASA(CW) will determine who will sign for the Army.
X-7
CERTIFICATE OF AUTHORITY
I, (name of official), do hereby certify that I am the Attorney General of the State of
, that the (State designee) is a legally constituted public body with full authority and capability
to perform the terms of the Agreement between the Department of the Army and the (State
designee) in connection with the (state or area) Aquatic Plant Control Program, and to pay
damages, if necessary, in the event of the failure to perform in accordance with Section 221 of PL
91-611, and that the persons who have executed the Agreement on behalf of the (State designee)
have acted within their statutory authority.
IN WITNESS WHEREOF, I have made and executed this Certificate this
, 19 .
Attorney General of (State)
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APPENDIX Y
INFORMATION REQUIREMENTS FOR
ENVIRONMENTAL ASSESSMENTS AND ENVIRONMENTAL IMPACT STATEMENTS
Y-1. Description of the Problem.
a. Identify by scientific and common name the problem aquatic plant(s) to be managed.
b. Explain the history of the infestation.
c. Describe the location(s) and size of the infestation(s) as specifically as possible.
d. Discuss the severity and importance of the aquatic plant problem.
Y-2. Program Overview.
a. Discuss the APC program goals in terms of practical control levels.
b. Explain the environmental, sociological/political and economic criteria for selecting
treatment areas.
c. Explain monitoring proposed to measure program success.
Y-3. Pesticide Identification.
a. Identify all pesticides proposed for use by common, trade and chemical name.
b. Give name and percentage of active ingredient.
c. Give current EPA registration number.
Y-4. Pesticide Application.
a. Indicate formulation to be applied, i.e., granular, aqueous solution or liquid.
b. Discuss general details of proposed method of application, i.e., equipment and
techniques.
c. Give concentration of the active ingredient as proposed for application.
d. Give rate of application in pounds per acre, (kg/ha) or other rate.
e. Explain probable frequency of application.
f. Identify the area of the control site(s) in acres or other descriptive unit.
g. Provide site description, i.e., lake, river, drainage canal, irrigation canal.
Y-1
h. Identify sensitive areas of potential contamination and/or bioaccumulation. Identify
disposal requirements.
Y-5. Biological Control.
a. Identify the biological control agent(s) by scientific and common name.
b. Identify the country of origin of the agent, applicable quarantine studies, and when the
agent was cleared for release in the U.S.
c. Describe the target aquatic plant species, application technology, and areas where
release is expected to occur.
Y-6. Mechanical Control.
a. Discuss potential environmental impacts of operating mechanical devices in the harvest
areas.
b. Explain the impacts of harvested material on transfer sites and disposal sites for
harvested material.
Y-7. Alternatives.
a. Discuss alternative methods of control, including the "no action" option.
Y-8. Non-target Plants and Organisms.
a. Discuss the possible impact of control activities on non-target organisms (such as
humans, domestic or wild animals or fish, threatened or endangered species, and non-target
plants), the environment and biological agents being used as a part of an integrated control
program.
b. Discuss possible cumulative effects of the proposed actions in relation to other Federal
or non-Federal control activities in the treatment area.
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APPENDIX Z
MINIMUM WORK REQUIREMENTS
Z-1. General. Aquatic plant control operations conducted under Local Cooperation Agreements
(LCAs) are authorized by Section 104 of the Rivers and Harbors Act of 1958, codified as
amended at 33 USC 610, the Aquatic Plant Control (APC) program. Work performed under the
LCA shall be in conformance with all applicable Federal, State and local laws, regulations, and
ordinances. All operations carried out, or caused to be carried out, by the State pursuant to the
LCA shall conform as a minimum to the requirements in this Appendix which shall be attached
and made a part of the LCA. The State shall, within 60 days of the effective date of the LCA,
submit to the Corps for approval a Program Management Plan which demonstrates how these
minimum requirements will be met by the State in operations and management of the program.
Z-2. Eligibility. Water bodies eligible for treatment under the program are navigable waters
(including waterbodies navigable within themselves) that demonstrate a federal interest and a
positive benefit/cost ratio. Reservoirs, channels, harbors, and other waterbodies managed under
the Operations and Maintenance program of the Corps of Engineers or other Federal Agencies are
not eligible for inclusion under this program other than for experimental work. Federal interest
and navigability will be determined by the availability of the water body for use by the general
boating public. The specific eligibility criteria are:
a. The water body must have unrestricted access to the boating public by way of an
established boat ramp or directly navigable to, or from, another eligible waterbody.
b. The water body must have a sign at each boat ramp stating that it is a public boat ramp
or use area.
c. The water body must have at least one public directional sign on the nearest paved road
or main thoroughfare indicating the way to the area.
d. The boat ramp must have sufficient space to safely turn a vehicle and trailer around and
then park with enough room to avoid being struck by the next backing trailer.
e. There shall be no intimidating conditions in the boat ramp area which could be
construed as being threatening to the user (no trespassing signs, pillars with chains, etc.)
Z-3. Control Methods. Environmental manipulation, mechanical, chemical, biological, snagging
methods, or an integrated mixture of these methods may be used in accordance with this appendix
and the approved Annual Work Plan (see Appendix 14-F). The methods selected for use and
approval thereof will consider the demonstrated effectiveness, economic justification, selectivity
to target species, and potential adverse environmental effects. Research or unproven methods are
not allowable under the LCA except as they may be used to provide operational benefits.
a. Environmental Manipulation. Alteration of the physical environment of the target
species through dredging, water level manipulation, shading or other similar procedures may be
used to manage plants susceptible to these methods. Amortization over the anticipated period of
control may be used in the computation of benefit/cost ratio.
Z-1
b. Mechanical Control. Mechanical devices such as floating booms, underwater cutters
and mechanical harvesters may be used where their justification is economically justifiable.
Mechanical control can also be used in special areas where water use restriction or environmental
considerations select for this method of control.
c. Chemical Control. Herbicides used must be registered for the intended use by the U.S.
Environmental Protection Agency. The products must have full EPA registration, Special Local
Needs registration, Specific Exemption, or Experimental Use Permit, in accordance with the
Federal Insecticide, Fungicide, and Rodenticide Act (PL 92-516), as amended. Spray mixture
additives (adjuvants) are allowed when required by the product label or when the benefits to be
derived exceed the additional cost of the additive. Herbicides shall be used in a manner consistent
with label instructions and precautions and manufacturers Material Safety Data Sheets. Herbicide
selection will include consideration of the potential environmental damage, the label water use
restrictions and consistency with primary water usage. The public shall be notified of any water
use restrictions due to treatment and the dates the restrictions are to be in effect. Herbicide
application shall be controlled at all times to prevent drift onto non-target areas or species of
plants. No application will be made when prevailing winds make such operations hazardous to
non-target areas or plants. The use of aircraft for the application of herbicides will be restricted to
specific areas and weather conditions to prevent any possible hazard from drifting chemical.
d. Biological Control. Biological control agents such as insects, fish, bacterial or plant
pathogens may be used as they are proven to effectively assist in the control of aquatic plants and
have proven their ability to perform this task without undue harm to the ecosystem.
e. Snagging. Removal of physical obstructions such as wind fall timber to gain access to
pockets of target plants that are significant to the overall control effort or otherwise benefit the
program are allowable. Snagging operations specifically for the purpose of assisting APC
operations which require less than one day for a typical work crew to perform in one general area
may be undertaken without prior approval. More extensive snagging work must be agreed upon
by the Corps and the State whether in the Annual Work Plan or supplement thereof prior to
performance to be eligible under the LCA. Extended work periods of snag removal for the
general benefit of navigation are beyond the authority of the APC program.
f. Integrated control.
Z-4. Levels of Control. The level of control will vary with the growth potential and mobility of
the species, the potential impact on navigation, flood control, hydropower, protection of
environmental resources, and the benefit(s) accrued from the proposed control effort. Methods of
control that select for beneficial, native species will be used whenever possible. Treatment of
native species will normally be performed only when unavoidable or as a necessary part of the
control of problem exotic species.
Z-5. Public Notification. The State will inform residents adjacent to control areas and potential
users of the areas of the nature of the control program and any necessary restrictions.
Z-6. Inspection and Acceptance. APC program activities will be conducted in accordance with
the LCA and the Annual Work Plan. All operations are subject to normal inspection by the
Government to ensure that the work is accomplished as planned and the results obtained are
satisfactory. In addition, the State shall comply with inspection requirements as specified in the
Z-2
EP 1130-2-500
27 Dec 96
LCA for Control Operations and the Annual Work Plan. The Government shall have the right to
inspect the work to be performed at any time during its progress and to make final inspection
upon completion thereof. Failure of the Government to object within 20 days after final
inspection shall constitute satisfactory performance of the contract by the State.
Z-7. Procurement. Any materials and supplies used by the State or designated representatives on
that portion of the work assigned to it will be purchased by the State or designated representative.
Accepted methods of procurement will be followed and current inventories will be maintained.
Z-8. Plant and Equipment. If the State or its designated representatives furnish the plant and
equipment to perform that portion of the work coming under the State's contribution, the initial
purchase cost of said plant and equipment shall not be included as an integral part of the State's
contribution. However, an equitable rental charge for the plant and equipment (based on the
initial cost of the item, anticipated economic life, reasonable maintenance charges, and
amortization costs) may be included in the State's cost-sharing contribution. The same rental
arrangement shall be applied concerning any additional work assignments. Rental charges will be
made only on a daily use basis and will be applicable only to those items approved for the work.
Plant and equipment furnished by the State may be increased or decreased to meet existing needs
of the work by agreement of all parties concerned.
Z-9. Safety. Safety requirements, as a minimum, will be in accordance with Corps of Engineers
Manual EM 385-1-1, revised October 1993, and future revisions, entitled "Safety and Health
Requirements Manual."
Z-10. Reporting. The Corps and the State shall each provide to the other the number and types
of reports set forth below for their respective operations within the time frame specified.
a. Annual Work Plan. The State shall provide a draft Annual Work Plan of operations for
the next year to the Corps during the third quarter of the Federal fiscal year. A description of the
Annual Work Plan is provided in Appendix 14-F.
b. Weekly Schedule of Operations. At the beginning of each week, a schedule identifying
proposed operations for the week will be submitted to the Contracting Officer for any work
conducted or contracted by the State or the Government. The schedule will list the proposed
sites of work for the work crew or crews, and the type of control activities to be performed.
c. Weekly Report of Operations. This weekly report, which includes a daily log of
operations shall be maintained for each work crew. Information included in the log will describe
the treatment area, any chemicals or equipment used, the weather conditions, and any pertinent
observations. This report, as well as daily time sheets and vehicle operation logs shall be kept for
the use of Government inspectors in certifying completion of the job.
d. Survey/Inspection Reports. Surveys of waterbodies to determine extent of plant
growth for planning purposes or inspections of work performed will be recorded in a format and
level of detail agreeable to the Corps and the State.
Z-3
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27 Dec 96
APPENDIX AA
ANNUAL WORK PLANS
AA-1. General. The Annual Work Plan (AWP) is a projection of anticipated APC operations for
the upcoming Federal fiscal year. It should include, but not be limited to, the management
objectives of the proposed program, control technologies to be employed, public notification and
education, a list of management and operations personnel, a list of all equipment to be used and
approved rental rates, an estimate of acres to be controlled by species and water body, and maps
of each water body in the program showing location of public boat ramps. A detailed budget for
the upcoming fiscal year and the division of costs between the State and Government shall also be
included.
AA-2. Proposed Operations. Proposed operations will be based upon the most accurate and
current information available on the distribution of target aquatic plants and their relation to
observed or anticipated interference with navigation (commercial or recreational), flood control,
or water supply. All water bodies will meet the eligibility criteria listed in Appendix Z, Minimum
Work Requirements. The intent of the APC program is to conduct control operations as required
at all of the areas listed in the Annual Work Plan subject to the availability of funds.
AA-3. Annual Work Plan Review and Approval. All requirements, deadlines, and
responsibilities of the State and Government in preparing subsequent AWPs, Local Cooperation
Agreements (LCA) or amendments to the current LCA and AWP will be included in the AWP.
The State shall provide the Corps with a draft AWP for the upcoming Federal fiscal year for
review during the third quarter of the current fiscal year. In the event that the State has
designated representatives (cooperators) conducting operations on its behalf, the cooperators will
submit a draft AWP for their area of responsibility through the State to the Corps for review.
After review of the draft AWP, the Corps, State and cooperators, if applicable, will meet to
discuss the upcoming year's operations and determine program priorities in the event all requested
funds are not received. This meeting is also an appropriate forum for review of other responsible
agency comments regarding the APC program activities. After this meeting, follow-up guidance
will be forwarded to the State and cooperators. Upon receipt of the APC program allocation, the
Corps will notify the State of the funds available for cost-sharing, and if necessary, meet again
with the State to reconcile planned operations with the available funds. At this time the AWP(s)
will be finalized. Additional areas not included in the final AWP may be proposed for inclusion in
the program if agreeable to the State and the Government if an emergency or unanticipated
situation arises. If the proposed area has not previously been designated or determined eligible
for the APC Program, the Government will determine eligibility.
AA-4. Coordination, Implementation and Management. All State and Government
responsibilities concerning program coordination, implementation, and management of work
efforts with other agencies will be specified in the AWP. Operations should be planned in
advance to ensure the most effective and economical program possible. If more than one agency
is engaged in similar control work in the operations area, close coordination among all agencies is
required to avoid duplication of effort, maximize efficiency and prevent adverse environmental
impact.
AA-5. Control Methods. A full and complete description of the work to be performed, the
control method(s) and species of vegetation to be controlled, location of work areas, acreage
AA-1
proposed for treatment, and any plant surveys or field investigations necessary in support of the
program will be included in the AWP.
AA-6. Public Notification. All necessary and planned activities to keep the public and local
interests informed of program operations will be made part of the AWP. Such activities may
include, but are not limited to, newsletters, news releases, public meetings, and presentation of
APC program information. Specific responsibilities of the State or Government for public
notification are to be detailed. Designated program representatives will inform residents adjacent
to control areas and potential users of the areas of the nature of the control program and any
necessary use restrictions.
AA-7. Inspection. The Government shall have the right to inspect the work at any time during its
progress and to make final inspection upon completion thereof. Failure of the Government to
object within 20 days after final inspection shall constitute satisfactory performance of the
contract by the State.
AA-8. Plant and Equipment Rental Rates. If the State or its designated representatives furnish
the plant and equipment to perform that portion of the work coming under the State's
contribution, the initial purchase cost shall not be included as an integral part of the State's
contribution. Instead, an equitable rental charge for the plant and equipment (based on the initial
cost of the item, anticipated economic life, reasonable maintenance charges, and amortization
costs) will be negotiated. Rental charges will be made only on a daily/hourly use basis and will be
applicable only to those items approved for the work. Plant and equipment furnished by the State
may be increased or decreased to meet existing needs of the work by agreement of all parties
concerned.
AA-9. Safety. Safety requirements, as a minimum, will be in accordance with Corps of Engineers
Manual EM 385-1-1, revised October 1993, and all future revisions, entitled "Safety and Health
Requirements Manual."
AA-10. Reporting Requirements. Reporting requirements include the "Weekly Schedule of
Operations" and the "Daily Log of Operations." Weekly, a schedule identifying proposed
operations for the ensuing week will be submitted to the Contracting Officer for any work
conducted or contracted by the State or the Government. The schedule will list the proposed
sites of work for the work crew(s), method of control and target species. In addition, a daily log
of operations shall be submitted for each work crew. Information included in the log will describe
the treatment area, any chemicals or equipment used, the weather conditions, and any pertinent
observations. Also, daily time sheets and vehicle operation logs shall be kept for the use of
Government inspectors in certifying completion of the job.
AA-2
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