Module 10 Step 3 Initial Study Funding incl

Module 10 Step 3 Initial Study Funding (incl. Civil Works Budget Process) Civil Works Orientation Course - FY 11

OBJECTIVES: Discuss how Corps studies, projects, and programs are funded by Congress! Provide a synopsis of the Civil Works budgeting and funding process. Present a “brief” overview of the budgetary documents and terms used.

TOPICS COVERED: Study Funding Fiscal Year 2011 “President’s Budget” Budget Categories The “Budget Cycle” Budget Documents Terminology

TERMINOLOGY: Congress gives permission to undertake a study or project! (Step 2 - Module 9) House/Senate Committee Resolution Studies Water Resources Development Acts and Projects

TERMINOLOGY: Congress provides funding for a study or project! Energy and Water Development Appropriations Act

Appropriation Acts:

FYxx Appropriations Act (Public Law 10 x-xx)

Appropriation Acts: Project specific direction in either House and/or Senate Committee Reports on “what to do with the money!” (Note: Not all studies/projects have report language)

House Report - Energy and Water Development Appropriations Bill EXAMPLE

House Report - General Investigations EXAMPLE Note: “Investigations” - Recon / Feas Studies; “Planning” - PED

House Report Language Example

Senate Report - EXAMPLE

Appropriation Acts: How the Committee Conferees settled differences in funding amounts and “What to do with this money!”

Conference Report EXAMPLE

Conference Report - EXAMPLE Note: “Investigations” - Recon / Feas Studies; “Planning” - PED

Appropriation Acts: Stopgap funding measure in lieu of normal appropriations acts. Allows Federal agencies to generally continuing spending at the same rate as previous fiscal year until Congress passes actual spending bill(s). (Note: Can cover either portions of or entire fiscal year)

SENATE - Committee on Appropriations Chairman Ranking SENATE - Subcommittee on Energy & Water Development Chairman Ranking

HOUSE - Committee on Appropriations Chairman Ranking HOUSE - Subcommittee on Energy & Water Development Chairman Ranking

FY 11 President’s Budget =

2011 Fiscal Year 2011 “Press

Fiscal Year 2011 Budget by “Business Line”

Recon & Feas Studies Example Page from Press

BUDGET Categories: Funds for all preconstruction studies, eg. reconnaissance and feasibility studies and preconstruction engineering and design (PED) phase, up to award of first construction contract.

BUDGET Categories: Funds to complete engineering/design after award of first construction contract and all remaining project construction/implementation.

BUDGET Categories: Funds for the operations and maintenance of all Corps owned and operated projects, along with the Inspection of Completed Works program.

BUDGET Categories: Funds for studies, design, construction, rehabilitation, and maintenance of projects in the Mississippi River valley, under the Mississippi River Commission.

BUDGET Categories: Funds for the review of applications and issuance of permits for structures in navigable waters of the United States.

BUDGET Categories: Funds for operating expenses and labor for HQUSACE, Divisions, and Corps laboratories.

BUDGET Categories: Funds for expenses necessary for emergency flood control, response to hurricanes and other natural disasters, and related activities, including activities to ensure readiness to respond to such emergencies. (re: PL 84 -99)

BUDGET Categories: Funds for expenses necessary to clean up contamination from sites in the United States resulting from work performed as part of the Nation’s early atomic energy program.

BUDGET Categories: Operating expenses for collection of users fees such as the Inland Waterway Trust Fund and the Harbor Maintenance Trust Fund.

Operations & Maintenance $ 2, 361, 000 (47. 8%) Construction General $ 1, 690, 000 (34. 2%) General Investigations $ 104, 000 ( 2. 1%) MR&T $ 240, 000 ( 4. 9%) Regulatory $ 193, 000 ( 3. 9%) $ 4, 939, 000 General Expenses/ASA(CW) - $ 191, 000 ( 3. 9%)

Operations & Maintenance $ 2, 504, 000 (48. 9%) Construction General $ 1, 718, 000 (33. 5%) General Investigations $ 100, 000 ( 2. 0%) MR&T $ 248, 000 ( 4. 8%) Regulatory $ 190, 000 ( 3. 7%) $ 5, 125, 000 General Expenses/ASA(CW) - $ 190, 000 ( 3. 7%)

Operations & Maintenance $ 2, 400, 000 (44. 1%) Construction General $ 2, 031, 000 (37. 3%) General Investigations $ 160, 000 ( 2. 9%) MR&T $ 340, 000 ( 6. 2%) Regulatory $ 190, 000 ( 3. 5%) $ 5, 445, 000 General Expenses/ASA(CW) - $ 190, 000 ( 3. 5%)

Operations & Maintenance $ 2, 475, 000 (52. 2%) Construction General $ 1, 402, 000 (29. 6%) General Investigations $ 91, 000 ( 1. 9%) MR&T $ 240, 000 ( 5. 1%) Regulatory $ 180, 000 ( 3. 8%) $ 4, 741, 000 General Expenses/ASA(CW) - $ 183, 000 ( 3. 9%)

Operations & Maintenance $ 2, 201, 900, 000 (40. 8%) Construction General $ 2, 141, 677, 000 (39. 6%) General Investigations $ 168, 100, 000 ( 3. 1%) MR&T $ 383, 823, 000 ( 7. 1%) Regulatory $ 183, 000 ( 3. 4%) $ 5, 402, 365, 000 General Expenses/ASA(CW) - $ 183, 865, 000 ( 3. 4%)

Operations & Maintenance $ 5, 016, 900, 000 (39. 3%) Construction General $ 5, 680, 477, 000 (44. 5%) General Investigations $ 183, 100, 000 ( 1. 4%) MR&T $ 841, 233, 000 ( 6. 6%) Regulatory $ 208, 000 ( 1. 6%) $ 12, 779, 165, 000 General Expenses/ASA(CW) - $ *2009 Omnibus (PL 111 -8), ARRA (PL 111 -5) & 2008 Consol. Secur. & Disaster (PL 110 -329) 183, 865, 000 ( 1. 4%)

Operations & Maintenance $ 2, 471, 000 (50. 7%) Construction General $ 1, 523, 000 (31. 3%) General Investigations $ 90, 000 ( 1. 9%) MR&T $ 260, 000 ( 5. 3%) Regulatory $ 180, 000 ( 3. 7%) $ 4, 871, 000 General Expenses $ 177, 000 ( 3. 6%)

Operations & Maintenance $ 2, 244, 000 (40. 2%) Construction General $ 2, 289, 000 (41. 0%) General Investigations $ 167, 000 ( 3. 0%) MR&T $ 387, 000 ( 6. 9%) Regulatory $ 180, 000 ( 3. 2%) $ 5, 587, 000 General Expenses $ 180, 000 ( 3. 2%)

USACE CW Program Trends & Outlook Support for Others ( Reimbursable ) ARRA Funds Non-Federal Cost Sharing Flood Control Miss. R. & Tribs. FUSRAP Investigations Expenses Flood & Coastal Emergencies & Regulatory Operation & Maintenance Construction

TERMINOLOGY: Provides the detailed guidance, instructions, and submittal dates for preparing the President’s Budget. Issued every year in late February or early March

Annual Budget EC - EXAMPLE Note: Changes from one year to next are marked with underlines/mark throughs

TERMINOLOGY: Additional funds that could be used above the amount requested on a study or project

TERMINOLOGY: Studies and/or projects which are not budgeted. Typically involve low budgetary priorities, unjustified projects, etc.

EARMARKS l EO: Protecting American Taxpayers From Government Spending on Wasteful Earmarks (January 29, 2008) l Agency decisions regarding funds for any earmark are based on bill language, and in particular, are not based on language in any report of a committee of Congress, joint explanatory statement of a committee of conference of the Congress, statement of managers concerning a bill in the Congress, or any other non-statutory statement or indication of views of the Congress.

TERMINOLOGY: Limited authority to transfer funds among studies or projects within a budget category Congress has been unhappy with the Corps’ past reprogramming actions. FY 10 appropriations act guidance: GI – 25% per study (up to $150 K maximum) CG – 15% per project (up to $3 M maximum) O&M - 15% per project (up to $5 M maximum) but does not apply to “emergencies”

TERMINOLOGY: Amount of funds Congress has withheld in the past based on the Congressional budget resolution ceiling and past performance of the Corps. (Note: S&S is not applied to Act language studies or projects)

Savings & Slippage - EXAMPLE Note: Each Budget Category will have its own separate S&S factor

Appropriation Acts: Specific study/project funding by appropriation title…by state.

Conference Report - EXAMPLE Note: “Investigations” - Recon / Feas Studies; “Planning” - PED

TERMINOLOGY: Contains information on study or project descriptions, authority, funding requirements, schedules, and work to be accomplished during the budget year.

TERMINOLOGY: Study Cost Estimate Detailed Project Schedule Project Data Summary

Other Budget Decisions: Feasibility studies and Preconstruction Engineering and Design (PED) are budgeted on a basis. Called…

HQ Review & Approval ( May -Jun ) HQ Provides Budget Guidance ( Mar ) OMB Provides Budget Guidance ( Jan ) Funding Alloc. To Field Offices ( Oct - Dec ) Field Offices Develop Program Requirements ( Mar - Apr ) Budget Presented to Sec. Army (Jul - Aug ) Cong. Hearings ( Mar Apr ) Budget Submitted to OMB ( Sep ) OMB President Passback Signs Approp. ( Nov ) Bill Appropriations Bills President’s Budget ( Sep - Oct ) ( Jul - Sep ) to Congress ( Feb ) Budget Resolutions

US ARMY CORPS OF ENGINEERS PROGRAM AND FUNDING TIMETABLE

JUSTIFICATION SHEETS: This is all HQ & ASA(CW) see to make decisions! So…be very careful ! Make it correct the first time !

JUSTIFICATION SHEETS: All justification sheets for NEW STARTS are reviewed by. . . - ASA(CW) staff - HQUSACE staff