Module 10Module 10

Step 3Step 3Initial Study FundingInitial Study Funding

(incl. Civil Works Budget Process)(incl. Civil Works Budget Process)

Module 10Module 10

Step 3Step 3Initial Study FundingInitial Study Funding

(incl. Civil Works Budget Process)(incl. Civil Works Budget Process)

Civil Works Orientation Course - FY 11

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

TERMINOLOGY:TERMINOLOGY: TERMINOLOGY:TERMINOLOGY:

Congress gives permission to undertake a study or project! (Step 2 - Module 9)

House/Senate Committee Resolution - Studies

Water Resources Development Acts - Studies and Projects

TERMINOLOGY:TERMINOLOGY: TERMINOLOGY:TERMINOLOGY:

Congress provides funding for a study or project!

Energy and Water Development Appropriations Act

Appropriation Acts:Appropriation Acts: Appropriation Acts:Appropriation Acts:

FYxx Appropriations Act (Public Law 10x-xx) EXAMPLE

Appropriation Acts:Appropriation Acts: Appropriation Acts: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:Appropriation Acts: Appropriation Acts: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:Appropriation Acts: Appropriation Acts: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 DevelopmentChairman Ranking

HOUSE - Committee on Appropriations

Chairman Ranking

HOUSE - Subcommittee on Energy & Water Development

Chairman Ranking

FY 11 President’s Budget =FY 11 President’s Budget =FY 11 President’s Budget =FY 11 President’s Budget =

Fiscal Year 2011 “Press Release”

2011

2011

Fiscal Year 2011 Budget by “Business Line”

Example Page from Press Release

Recon & Feas Studies

BUDGET Categories:BUDGET Categories:BUDGET Categories:BUDGET Categories:

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

BUDGET Categories:BUDGET Categories:BUDGET Categories:BUDGET Categories:

Funds to complete Funds to complete

engineering/design engineering/design after award of after award of first construction first construction contract and contract and all remaining project all remaining project construction/implementation. construction/implementation.

Funds to complete Funds to complete

engineering/design engineering/design after award of after award of first construction first construction contract and contract and all remaining project all remaining project construction/implementation. construction/implementation.

BUDGET Categories:BUDGET Categories:BUDGET Categories:BUDGET Categories:

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

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

BUDGET Categories:BUDGET Categories:BUDGET Categories:BUDGET Categories:

Funds for studies, design, construction, Funds for studies, design, construction,

rehabilitation, and maintenance of projects in rehabilitation, and maintenance of projects in the Mississippi River valley, under the the Mississippi River valley, under the Mississippi River Commission. Mississippi River Commission.

Funds for studies, design, construction, Funds for studies, design, construction,

rehabilitation, and maintenance of projects in rehabilitation, and maintenance of projects in the Mississippi River valley, under the the Mississippi River valley, under the Mississippi River Commission. Mississippi River Commission.

BUDGET Categories:BUDGET Categories:BUDGET Categories:BUDGET Categories:

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

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

BUDGET Categories:BUDGET Categories:BUDGET Categories:BUDGET Categories:

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

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

BUDGET Categories:BUDGET Categories:BUDGET Categories:BUDGET Categories:

Funds for expenses necessary for emergency Funds for expenses necessary for emergency

flood control, response to hurricanes and other flood control, response to hurricanes and other natural disasters, and related activities, including natural disasters, and related activities, including activities to ensure readiness to respond to such activities to ensure readiness to respond to such emergencies. (re: PL 84-99)emergencies. (re: PL 84-99)

Funds for expenses necessary for emergency Funds for expenses necessary for emergency

flood control, response to hurricanes and other flood control, response to hurricanes and other natural disasters, and related activities, including natural disasters, and related activities, including activities to ensure readiness to respond to such activities to ensure readiness to respond to such emergencies. (re: PL 84-99)emergencies. (re: PL 84-99)

BUDGET Categories:BUDGET Categories:BUDGET Categories:BUDGET Categories:

Funds for expenses necessary to clean up Funds for expenses necessary to clean up

contamination from sites in the United States contamination from sites in the United States resulting from work performed as part of the resulting from work performed as part of the Nation’s early atomic energy program. Nation’s early atomic energy program.

Funds for expenses necessary to clean up Funds for expenses necessary to clean up

contamination from sites in the United States contamination from sites in the United States resulting from work performed as part of the resulting from work performed as part of the Nation’s early atomic energy program. Nation’s early atomic energy program.

BUDGET Categories:BUDGET Categories:BUDGET Categories:BUDGET Categories:

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

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

Operations & Maintenance - $ 2,361,000,000 (47.8%) Construction General - $ 1,690,000,000 (34.2%) General Investigations - $ 104,000,000 ( 2.1%) MR&T - $ 240,000,000 ( 4.9%) Regulatory - $ 193,000,000 ( 3.9%) General Expenses/ASA(CW) - $ 191,000,000 ( 3.9%) FCCE $ 30,000,000 ( 0.6%) Other - (FUSRAP) $ 130,000,000 ( 2.6%)

Operations & Maintenance - $ 2,361,000,000 (47.8%) Construction General - $ 1,690,000,000 (34.2%) General Investigations - $ 104,000,000 ( 2.1%) MR&T - $ 240,000,000 ( 4.9%) Regulatory - $ 193,000,000 ( 3.9%) General Expenses/ASA(CW) - $ 191,000,000 ( 3.9%) FCCE $ 30,000,000 ( 0.6%) Other - (FUSRAP) $ 130,000,000 ( 2.6%)

$ 4,939,000,000

Operations & Maintenance - $ 2,504,000,000 (48.9%) Construction General - $ 1,718,000,000 (33.5%) General Investigations - $ 100,000,000 ( 2.0%) MR&T - $ 248,000,000 ( 4.8%) Regulatory - $ 190,000,000 ( 3.7%) General Expenses/ASA(CW) - $ 190,000,000 ( 3.7%) FCCE $ 41,000,000 ( 0.8%) Other - (FUSRAP) $ 134,000,000 ( 2.6%)

Operations & Maintenance - $ 2,504,000,000 (48.9%) Construction General - $ 1,718,000,000 (33.5%) General Investigations - $ 100,000,000 ( 2.0%) MR&T - $ 248,000,000 ( 4.8%) Regulatory - $ 190,000,000 ( 3.7%) General Expenses/ASA(CW) - $ 190,000,000 ( 3.7%) FCCE $ 41,000,000 ( 0.8%) Other - (FUSRAP) $ 134,000,000 ( 2.6%)

$ 5,125,000,000

Operations & Maintenance - $ 2,400,000,000 (44.1%) Construction General - $ 2,031,000,000 (37.3%) General Investigations - $ 160,000,000 ( 2.9%) MR&T - $ 340,000,000 ( 6.2%) Regulatory - $ 190,000,000 ( 3.5%) General Expenses/ASA(CW) - $ 190,000,000 ( 3.5%) FCCE $ 0 ( 0%) Other - (FUSRAP) $ 134,000,000 ( 2.5%)

Operations & Maintenance - $ 2,400,000,000 (44.1%) Construction General - $ 2,031,000,000 (37.3%) General Investigations - $ 160,000,000 ( 2.9%) MR&T - $ 340,000,000 ( 6.2%) Regulatory - $ 190,000,000 ( 3.5%) General Expenses/ASA(CW) - $ 190,000,000 ( 3.5%) FCCE $ 0 ( 0%) Other - (FUSRAP) $ 134,000,000 ( 2.5%)

$ 5,445,000,000

Operations & Maintenance - $ 2,475,000,000 (52.2%) Construction General - $ 1,402,000,000 (29.6%) General Investigations - $ 91,000,000 ( 1.9%) MR&T - $ 240,000,000 ( 5.1%) Regulatory - $ 180,000,000 ( 3.8%) General Expenses/ASA(CW) - $ 183,000,000 ( 3.9%) FCCE $ 40,000.000 ( 0.8%) Other - (FUSRAP) $ 130,000,000 ( 2.7%)

Operations & Maintenance - $ 2,475,000,000 (52.2%) Construction General - $ 1,402,000,000 (29.6%) General Investigations - $ 91,000,000 ( 1.9%) MR&T - $ 240,000,000 ( 5.1%) Regulatory - $ 180,000,000 ( 3.8%) General Expenses/ASA(CW) - $ 183,000,000 ( 3.9%) FCCE $ 40,000.000 ( 0.8%) Other - (FUSRAP) $ 130,000,000 ( 2.7%)

$ 4,741,000,000

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 - $ 183,000,000 ( 3.4%) General Expenses/ASA(CW) - $ 183,865,000 ( 3.4%) FCCE $ 0 ( 0%) Other - (FUSRAP) $ 140,000,000 ( 2.6%)

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 - $ 183,000,000 ( 3.4%) General Expenses/ASA(CW) - $ 183,865,000 ( 3.4%) FCCE $ 0 ( 0%) Other - (FUSRAP) $ 140,000,000 ( 2.6%)

$ 5,402,365,000

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 - $ 208,000,000 ( 1.6%) General Expenses/ASA(CW) - $ 183,865,000 ( 1.4%) FCCE $ 415,600,000 ( 3.3%) Other - (FUSRAP) $ 240,000,000 ( 1.9%)

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 - $ 208,000,000 ( 1.6%) General Expenses/ASA(CW) - $ 183,865,000 ( 1.4%) FCCE $ 415,600,000 ( 3.3%) Other - (FUSRAP) $ 240,000,000 ( 1.9%)

$ 12,779,165,000

*2009 Omnibus (PL 111-8), ARRA (PL 111-5) & 2008 Consol. Secur. & Disaster (PL 110-329)

Operations & Maintenance - $ 2,471,000,000 (50.7%) Construction General - $ 1,523,000,000 (31.3%) General Investigations - $ 90,000,000 ( 1.9%) MR&T - $ 260,000,000 ( 5.3%) Regulatory - $ 180,000,000 ( 3.7%) General Expenses - $ 177,000,000 ( 3.6%) FCCE $ 40,000.000 ( 0.8%) Other - (FUSRAP) $ 130,000,000 ( 2.7%)

Operations & Maintenance - $ 2,471,000,000 (50.7%) Construction General - $ 1,523,000,000 (31.3%) General Investigations - $ 90,000,000 ( 1.9%) MR&T - $ 260,000,000 ( 5.3%) Regulatory - $ 180,000,000 ( 3.7%) General Expenses - $ 177,000,000 ( 3.6%) FCCE $ 40,000.000 ( 0.8%) Other - (FUSRAP) $ 130,000,000 ( 2.7%)

$ 4,871,000,000

Operations & Maintenance - $ 2,244,000,000 (40.2%) Construction General - $ 2,289,000,000 (41.0%) General Investigations - $ 167,000,000 ( 3.0%) MR&T - $ 387,000,000 ( 6.9%) Regulatory - $ 180,000,000 ( 3.2%) General Expenses - $ 180,000,000 ( 3.2%) FCCE $ 0 ( 0%) Other - (FUSRAP) $ 140,000,000 ( 2.5%)

Operations & Maintenance - $ 2,244,000,000 (40.2%) Construction General - $ 2,289,000,000 (41.0%) General Investigations - $ 167,000,000 ( 3.0%) MR&T - $ 387,000,000 ( 6.9%) Regulatory - $ 180,000,000 ( 3.2%) General Expenses - $ 180,000,000 ( 3.2%) FCCE $ 0 ( 0%) Other - (FUSRAP) $ 140,000,000 ( 2.5%)

$ 5,587,000,000

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FY00 FY01 FY02 FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12 FY13

$ M

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ns

Non-Federal Cost Sharing

Operation & Maintenance

Construction

Support for

Others

( Reimbursable )

Expenses

FUSRAP

Flood Control

Miss. R. & Tribs.

Investigations

Flood &

Coastal

Emergencies

&

Regulatory

ARRA Funds

USACE CW Program Trends & Outlook

TERMINOLOGY:TERMINOLOGY: TERMINOLOGY: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:TERMINOLOGY: TERMINOLOGY:TERMINOLOGY:

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

TERMINOLOGY:TERMINOLOGY: TERMINOLOGY:TERMINOLOGY:

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

EARMARKSEARMARKS EO: Protecting American Taxpayers From Government

Spending on Wasteful Earmarks (January 29, 2008)

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.

Limited authority to transfer funds among studies or projects within a budget category

Congress has been unhappy with the Corps’ past reprogramming actions. FY10 appropriations act guidance:GI – 25% per study (up to $150K maximum)CG – 15% per project (up to $3M maximum)O&M - 15% per project (up to $5M maximum) but does not apply to “emergencies”

TERMINOLOGY:TERMINOLOGY: TERMINOLOGY:TERMINOLOGY:

TERMINOLOGY:TERMINOLOGY: TERMINOLOGY: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:Appropriation Acts: Appropriation Acts:Appropriation Acts:

Specific study/project funding by appropriation title…by state.

Conference Report - EXAMPLE

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

TERMINOLOGY:TERMINOLOGY: TERMINOLOGY:TERMINOLOGY:

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

TERMINOLOGY:TERMINOLOGY: TERMINOLOGY:TERMINOLOGY:

Study Cost Estimate Detailed Project Cost Estimate Detailed Project Schedule Project Data Summary

Feasibility studies and Preconstruction Engineering and Design (PED) are budgeted on a basis.

Called…

Other Budget Decisions: Other Budget Decisions:

HQ Provides Budget Guidance ( Mar )

HQ Review & Approval

( May -Jun )

Budget Presented to Sec. Army(Jul - Aug )

OMB Passback( Nov )

Budget Submitted to OMB ( Sep )

President’s Budgetto Congress ( Feb )

Field Offices DevelopProgram Requirements

( Mar - Apr )

Appropriations Bills( Jul - Sep )

Cong. Hearings ( Mar - Apr )

President Signs Approp. Bill ( Sep - Oct )

OMB Provides Budget Guidance ( Jan )

Funding Alloc. To Field Offices

( Oct - Dec )

Budget Resolutions

US ARMY CORPS OF ENGINEERSUS ARMY CORPS OF ENGINEERSPROGRAM AND FUNDING TIMETABLEPROGRAM AND FUNDING TIMETABLE

JUSTIFICATION SHEETS:JUSTIFICATION SHEETS:

This is all HQ & ASA(CW) see to make decisions!

So…be very careful !

Make it correct the first time !

All justification sheets for NEW STARTS are reviewed by...

JUSTIFICATION SHEETS:

- ASA(CW) staff- HQUSACE staff