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General Investigations

General Investigation studies refer to the traditional and most common way for the Corps of Engineers to assist a community in addressing large-scale, complex water resource problems.

A General Investigation study often begins with a request for assistance from a community or a local or state government entity with a water resource need (e.g., navigation, flood protection or ecosystem restoration) beyond its capability. Before initiating a study, the Corps generally requires two types of congressional authority - authorization and appropriations.

If the Corps has previously conducted a study in the geographic area of concern, a new study can be authorized through a House Transportation and Infrastructure Committee or Senate Environment and Public Works Committee resolution.

If the Corps has not previously conducted a study in the geographic area of concern, a new study would need to be authorized through legislation, typically a Water Resources Development Act (WRDA). Once authorized, appropriations for General Investigation studies are appropriated as individual line items in the annual Energy and Water Development Appropriations Act.

There are three phases that a project passes through before construction begins using General Investigation funding: reconnaissance, feasibility and preconstruction engineering and design. These three phases, described below, are conducted under a single congressional authority.

Collapse All Expand All
Click here to expand contentClick here to collapse content  Reconnaissance Phase

The reconnaissance phase report, called a "905(b) report," serves the primary purpose of determining whether there is federal interest in proceeding with the feasibility phase. The reconnaissance phase accomplishes the following four essential tasks:

  1. determines if the water resource problem(s) warrant federal participation in feasibility studies;
  2. determines federal interest based on a preliminary appraisal of costs, benefits and environmental impacts of potential alternatives and documents it in a 905(b) report;
  3. prepares a Feasibility Cost Sharing Agreement (FCSA) and a Project Management Plan (PMP) outlining responsibilities, guidelines, tasks, estimated costs and schedule for the feasibility phase; and
  4. assesses the level of interest and support from non-federal entities in the potential alternatives identified and cost sharing of the feasibility phase and construction.

The reconnaissance phase is fully funded by the federal government and is generally completed in 12-18 months.

Click here to expand contentClick here to collapse content  Feasibility Phase

The feasibility phase serves to more fully define problems and opportunities and formulate and evaluate alternative plans culminating in a detailed presentation of a recommended project. Feasibility phase planning is guided by the requirements of the "Economic and Environmental Principles and Guidelines for Water and Related Land Resources Implementation Studies" (commonly referred to as the "Principles and Guidelines" or P&G).

The Principles and Guidelines define the federal objective of Corps project planning, which is to contribute to national economic development consistent with protecting the nation's environment, pursuant to national environmental statutes, applicable executive orders and other federal planning requirements. The feasibility phase follows the Corps' six-step planning process outlined below:

  1. specify problems and opportunities associated with the federal objective and specific state, Tribal and local concerns;
  2. inventory, forecast and analyze existing and future conditions relevant to the identified problems and opportunities;
  3. formulate alternative plans to address the problems and capitalize on the opportunities;
  4. evaluate the economic, environmental and other effects of each alternative plan;
  5. compare the alternative plans and their effects; and
  6. select a recommended plan.

Feasibility phase investigations are cost-shared equally between the Corps and a non-federal sponsor, and both parties sign a Feasibility Cost Share Agreement (FCSA) that details the responsibilities of each party. This phase concludes with a feasibility report that describes the Corps' proposed action. The feasibility phase is usually completed in 36-60 months depending upon the complexity of the issue and the availability of funding.

The final feasibility report is submitted to the Corps' Headquarters for a multi-step review and approval process (referred to as Washington Level Review). Upon completion of the review and approval, the Assistant Secretary of the Army for Civil Works [ASA(CW)] transmits the final report to Congress for consideration of authorizing the recommended project for construction in the next Water Resources Development Act (WRDA).

Click here to expand contentClick here to collapse content  Preconstruction Engineering and Design Phase

The purpose of the preconstruction engineering and design (PED) phase is to complete any additional planning studies and all of the detailed technical studies and design needed to begin construction of the project. The PED phase typically initiates under GI funding, which allows for continuation of project design and preparation of detailed plans and specifications while awaiting construction authorization through a Water Resources Development Act (WRDA).

The PED phase initiates with the negotiation of a Design Agreement (DA) and can last until completion of plans and specifications or receipt of Construction General (CG) funding. It is during the PED phase that the Project Partnership Agreement (PPA) is developed, which outlines the sponsor's and Corps' responsibilities for project construction and operation and maintenance after construction is complete. The execution of the PPA cannot occur until after Congress has authorized the project for construction.
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