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“The views, opinions and findings contained in this report are

those of the authors(s) and should not be construed as an

official Department of the Army position, policy or decision,

unless so designated by other official documentation.”

Prepared by Bonnie Jennings, P.E., PMP

Louisville District Section 408 Coordinator

6 December 2018

ALTERATIONS –

SECTION 408 AND LNOs

TIPS TO EXPEDITE YOUR

REQUEST

1

INTRODUCTION

My goal:• Share my LESSONS LEARNED for all alterations

• Assist to expedite alterations

What is an Alteration?

– Any action by any entity other than USACE that builds

upon, alters, improves, moves, obstructs, or occupies an

existing USACE project.

-Includes Section 408s and Letters of No Objection (LNO)

2

SECTION 408 VS LNO

Maintenance, Operations, and Repair activities conducted

by the levee sponsor does not fall under Section 408

permission but generally will require coordination and

concurrence from USACE.

Examples:

3

Section 408 LNO

trail on top of levee upgrade pump station

levee lighting replace headwall and pipe outfall

new utility line through sill flapgate replacement

new closure in floodwall slipline existing pipe

remove low head dam in river slope repair on levee

DISCLAIMER

THE PHOTOS INCLUDED IN THIS POWER POINT ARE USED FOR LEARNING PURPOSES.

THE NAMES HAVE BEEN CHANGED TO PROTECT THE INNOCENT.

4

WHY DOES THE CORPS NEED TO REVIEW?

PROTECTING THE INVESTMENT

5

New Albany Indiana Levee

The Great Flood of 1937-The Federal Government has

invested billions of $$ in our levees

and floodwalls. We need to ensure

alterations do not impair the

usefulness of any levee / floodwall

system.

New Albany

Levee

System

functioning as

designed

WHY DOES THE CORPS NEED TO REVIEW?

HISTORICAL PHOTOS DATABASE

-USACE has thousands of

historical photos in our

database that we refer to

6

Newport Levee

Washington Street Pump Station

29 Sept 1949 and 7 Dec 1949

WHY DOES THE CORPS NEED TO REVIEW?

AS-BUILT DATABASE

-levee / floodwall as-built drawings are critical in knowing

what was constructed decades ago

7

Gill Township Levee System

As-built drawing of Rogers Ditch Pump Station

22 May 1939

WHY DOES THE CORPS NEED TO REVIEW?

USACE LEVEE SAFETY KNOWLEDGE BASE

Our team has about 250 years of combined USACE

experience

Take advantage of our knowledge and expertise!

8

POP QUIZ

A gas company is constructing a new gas line that runs parallel to the levee/floodwall. Utility engineers realize they may need to get Section 408 approval from USACE. How far from the levee/floodwall does the gas line need to be in order to avoid a USACE Section 408 evaluation?

a. 15 feetb. 1000 feetc. 50 feetd. No approval is needed unless it actually crosses the levee

Answer: c

9

POP QUIZ

WHY? Seepage problems, wall stability issues, etc…

10

WHAT’S NEW?

11

ENGINEERING CIRCULAR 1165-2-220 GUIDANCE

EC 1165-2-220 Policy and Procedural Guidance for Processing Requests to Alter USACE Civil Works Projects Pursuant to 33 USC 408 (dated 10 September 2018), application to Section 408s only.

https://www.publications.usace.army.mil/Portals/76/Publications/EngineerCirculars/EC_1165-2-220.pdf?ver=2018-09-07-115729-890

12

SECTION 408 AND LNO ALTERATION WEBPAGE

https://www.lrl.usace.army.mil/Missions/Civil-

Works/Levee-Safety/Alterations/

13

POP QUIZ

USACE has approved an LNO for flapgate replacements for twin 60-inch pipes. Construction is scheduled to begin in August. However, due to a backlog at the manufacturers, the flapgates will not be delivered until late November. What should the levee sponsor do next?

a. Speed up the construction schedule to have the work completed no later than Christmas.

b. Contact USACE ASAP when you learn about the delivery delay.c. Revise the specifications to allow the Contractor to work 12 hour

days. d. Hope the Corps doesn‘t find out.

Answer: bWhy? Risk of flooding increases during the winter months. Schedule matters!

14

LRL-803 REQUEST FORMS

-Use this form for all Section

408 alterations

-Incorporates the new

Section 408 guidance

-New size is 8.5” x 11”

-Fillable or printable

-Easy to follow Instructions

are included (demo)

15

REVISED!

REQUEST FORMS – INSTRUCTIONS16

Common Mistakes

-Requester Information - provide the name of the entity,

organization or company requesting the alteration. The

engineering design firm is not the Requester.

-Alteration Description – do not write “see attached”

-Alteration Description – provide a description of the

proposed alteration and reference the existing levee

stationing and GPS coordinates

-Local Sponsor Signature - Be sure to have the levee

sponsor approve and sign-off

-Requester Signature – This is not the design firm.

LRL-LNO REQUEST FORMS

-Use this form for LNOs only.

-Fillable or printable

17

REVISED!

REQUEST FORMS – SUGGESTIONS

File Name

18

POP QUIZ

True or False:

The LRL-803 (alteration permission request form) does not need to be signed in order for USACE to begin review of the alteration submittal package.

Answer: False

WHY?

Levee Sponsor approval of the LRL-803 form indicates approvaland support for the proposed alteration.

19

DO I NEED A PRE-COORDINATION MEETING?

Early coordination between USACE, levee sponsor, and requester (developer) may be required.

Does the alteration fall under Section 408? Is this a large alteration? (see LRD Procedural Review Plan) Is the alteration broken into phases? Is the alteration driven to enhance business opportunities?USACE will not meet a developer or AE without the Levee Sponsor. We

ALWAYS need the Levee Sponsor’s input.

Contact your Levee Safety Area Representative (LSAR) or Section 408 coordinator to set up a pre-coordination meeting.

20

MEMORANDUM OF AGREEMENTS (MOA)

What is a memorandum of agreement (MOA)?

– An authority which allows USACE to accept and expend funds to expedite the review and evaluation of a Section 408 request.

– MOAs do not apply to low-impact alterations or LNOs

– Alterations which require a Pre-Coordination Meeting are likely candidates for MOA

– The District Levee Safety Officer (LSO) will determine if an Section 408 meets requirements for an MOA.

21

MEMORANDUM OF AGREEMENTS (MOA)

– Contributed funds pay for USACE efforts for the following: Plan, Specs, Calculation Review

Environmental Review

Review of Real Estate Documents

Construction Oversight

As-built Review

O&M Manuals Updates

Two alterations currently covered under an MOA

22

DO I NEED A MEMORANDUM OF AGREEMENT (MOA)?

Be PROACTIVE to avoid delays.

Be sure the Levee Sponsor has an executed MOA in place BEFORE you begin planning a large alteration.

WHY?

USACE will need funding in-place before any reviews can occur. Avoid delays.

23

POP QUIZ

A well-known developer is designing a multi-million dollar theme park around the downtown portion of the earthen levee. They want to remove 1500 feet of levee and replace it with a new floodwall and closures. What should the levee sponsor do?

a. Start selling the levee right of way to the developer to help the project move faster

b. Offer USACE discount season tickets to the theme parkc. Meet with USACE to discuss executing an MOAd. Ask the developer to complete final plans

Answer: c

24

REGULATORY COORDINATION

25

REGULATORY COORDINATION

You may need to obtain USACE Regulatory Program

permission:

– Section 10 of the Rivers and Harbors Act of 1899

– Section 404 of the Clean Water Act

– Is your project located near or in:• Below Ordinary High Water?

• Wetlands?

• Swamps?

• Rivers or Lakes?

26

REGULATORY COORDINATION

– Regulatory Phone 502-315-6686

– https://www.lrl.usace.army.mil/Missions/Regulatory/

27

Plan 3-4 months in advance for a routine

Regulatory review, but larger projects will

require a longer review period.

POP QUIZ

True or False

A levee sponsor has received Section 408 approval from

USACE to construct a new headwall along the Ohio River.

The Contractor can not begin work until USACE Regulatory

provides approval of the work below OHW.

New headwall and A-Jacks

28

Answer: True

FOR LARGE MUNICIPALITIES ...

INTERNAL COORDINATION ISSUES

– Have an internal process of who will manage alterations.

– Who’s doing what? Or who is on first? And on second?

– Inform other offices

(i.e., zoning, permits, etc)

29

PLANS

AND

SUBMITTALS CHECKLIST

30

PLANS - CHECKLIST

USING THE CORRECT GUIDANCE

– Use USACE Louisville Standard Operating Procedures

(SOPs) and state requirements in the plans

https://www.lrl.usace.army.mil/Missions/Civil-Works/Levee-

Safety/Guidance/

– Use USACE design guidance

https://www.publications.usace.army.mil/

31

PLANS – CHECKLIST

– Will you need an emergency closure plan? (SOP)

– Have you checked as-built drawings? toe drains?

– Did you include a project schedule? Construction

phasing?

– Did you correctly label the Levee/Floodwall and show

the centerline stationing?

32

PLANS – CHECKLIST

– Include a note on the drawings that the Contractor will

take photographs before, during and after construction.

– Include a note in the plans that the Contractor is to

provide digital as-built drawings of the completed

alteration.

33

PLANS – CHECKLIST

– Is there a USACE point of contact in the plans?

– Include pertinent as-built plans as reference drawings to

assist the Contractor.

Drilling??

Don’t miss Thursday morning at 10:45 a.m.

Topic: Drilling in Earth Embankment Dams and Levees

Requirements and Processes

34

SUBMITTAL PACKAGE

– Alterations may also need Section 10 or 404 approval

– Plans

– Specs

– Calculations

– Existing photos of the project area

– LRL-803 or LRL-LNO request form – signed by the

sponsor

35

POP QUIZ

A local recreational department is proposing to construct an improved bike path on the levee crown that will benefit the community. Will a Section 408 review be necessary if the levee is being replaced with gabion baskets?

a. No, gabion baskets provide additional stability to the leveeb. No, the local sponsor has agreed to the alterationc. No, The USACE process takes too long d. Yes, the local sponsor and USACE needs to support and

approve the levee alteration.

Answer: D

36

REAL ESTATE

Any alteration within levee right-of-way shall have

subordinate rights to the Operation and Maintenance of

the Levee System.

For alterations, USACE may require a Real Estate

agreement (as per EC 1165-2-220) for an

encroachment.

37

REAL ESTATE

Per LRL-803, any alteration located within levee right-of-

way may be damaged, removed or destroyed by the

local sponsor during a flood emergency. And…

The local sponsor is not liable for such damage or

destruction.

This includes unauthorized encroachments.

38

POP QUIZ

True or False:

During the construction process for an approved

alteration, the contractor discovered differing site

conditions in the floodwall footer area. The design will

need to be modified. Since USACE has already

approved the alteration, no additional coordination is

needed for them to evaluate the design change.

Answer: False

39

CHANGES IN THE APPROVED ALTERATION

Changes in the approved alteration will need additional

evaluation by USACE to determine if it still meets USACE

design guidelines.

STOP WORK and contact the LSAR and Section 408

coordinator ASAP.

40

TIPS TO EXPEDITE THE REVIEW

41

HOW NOT TO SEND FILES

-Do not send thumb drives

-Do not send hard copies only and ask us to scan

-Do not break up the plans into MULTIPLE emails

42

HOW TO SEND FILES – DO THIS

• -Place files on a CD and mail to us. Be sure to

put to the

• ATTN: LSAR and 408 Coordinator

• -AMRDEC Safe site for file exchange is disabled.

Sorry about that.

• -Send in an email if the file is small enough.

43

EMAILS TIPS

WHAT TO INCLUDE IN YOUR EMAIL

Name of the Levee System (EX: Muncie Levee System)

Alteration Name (EX: Repair of Muncie Outfall pipe at Station 100+00)

Alteration Number (EX: Alteration #2019001.MUN)

PLEASE include your POC at the bottom of the email

Include the LSAR on the email

Include the Levee Sponsor on the email. After all, it’s their levee system

44

EMAIL EXAMPLE

File Name

45

RESPONSES TO USACE COMMENTS –DO THIS

Be sure to include a response with your revised submittal.

EXAMPLE:

USACE COMMENT: Sheet C-100, Areas to receive revetment other than riprap need to

be underlain with a bedding material as specified by the manufacturer.

DESIGN FIRM RESPONSE: See detail sheet, C-100. Erosion control mats (Flexamat or

approved equivalent) are specified at outfalls. The manufacturer’s installation detail is

provided on Sheet MD2 which specifies preparation of the subgrade surface.

USACE: CLOSED

46

-Include sheet reference or page number in your response

-Provide responses in word or email format (not .pdf)

WHAT’S COMING IN THE FUTURE

47

WHAT TO LOOK FOR...48

SECTION 408 ENVIRONMENTAL ASSESSMENTS

-As per the new Section 408 guidance (EC 1165-2-220),

alterations will require an Environmental Assessment (EA).

-This would mean every alteration would need SHPO and

an Endangered Species Act review (and maybe additional

environmental reviews in order to obtain USACE approval).

-LRL is currently working on a Programmatic EA which will

include the majority of all low-impact alterations. This

means low-impact alterations would be exempt from further

in-depth environmental evaluations.

WHAT TO LOOK FOR...49

Environmental Assessment requirements for large

alterations would be on a case-by-case review and

would be based on the guidance (EC 1165-2-220)

SECTION 408 ENVIRONMENTAL ASSESSMENTS

WHAT TO LOOK FOR...

https://section408.usace.army.mil/

50

-USACE Headquarters creating a NEW

Tracker System for Section 408 Alterations

-You will be able to track the progress of your

alterations!

NEW HQ TRACKING SYSTEM

POP QUIZ

True or False:The local sanitary district plans to construct 200-feet of new sewer line 5 feet from the toe of the levee. The construction will only take 2 days to complete. Since the construction is considered low-impact, the sanitary district does not need a Section 408 approval and they do not need to inform the levee sponsor.

Answer: False

WHY? -Contractor may damage existing toe drain. -Levee Sponsor needs to be aware

51

I’M HERE TO HELP YOU!

52

QUESTIONS?

53