FY2021 High Hazard Potential Dams Rehab Grant - July 28, 2021 1:00 PM - SCDHEC

FY2021 High
Hazard
Potential Dams
Rehab Grant
July 28, 2021   1:00 PM

Your Presenter

                     John M. McCain, P.E.
                     Section Manager
                     SC Dam Safety Program

                     (803) 898-8178
                     mccainjm@dhec.sc.gov

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Agenda
• Background and available funds
• Dam eligibility
• Applicant eligibility
• Eligible/allowable activities
• State and Federal requirements of a grant award
• Grant application process and timeline
• DHEC’s application review and award selection
  process
• Questions and Answers

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Background
• National High Hazard Potential Dams (HHPD) Rehabilitation
  Grant Program created December 16, 2016 with passage of the
  Water Infrastructure Improvements for the Nation (WIIN) Act
• While authorized in Calendar Year 2016 (Fiscal Year 2017), no
  money appropriated until Federal Fiscal Year 2019
  ($10,000,000)
• Subsequent Appropriations:
   • FY20 $10,000,000
   • FY21 $11,640,000     This grant
• WIIN Act authorizes up to $60,000,000 for Fiscal Years 2021-
  2026

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Background, Cont’d
• State HHPD Rehab Grant administered by SCDHEC
  for owners of SC dams
• First year, FY19, SCDHEC utilizing grant funds to
  perform risk analysis on state and local government-
  owned dams
   • $301,821 FEMA grant, $162,519 state match
• Second year, FY20, SCDHEC started a sub-award
  program, and issued a Notice of Funding
  Opportunity on October 2, 2020
   • $585,694 Federal grant, $315,374 non-Federal match
                             5

Available Funds for FY21
• Too early to know for sure
• Total Federal appropriation: $11,640,000
  • 1/3 divided evenly among all state applicants
     • $3,880,000 / 15(?) = $258,667(?)
  • 2/3 divided among states based on application’s
    share of eligible dams (our application had 9
    eligible dams)
     • $7,760,000 x (9 dams / ??? dams) = ???

                             6

Dam Eligibility
• Regardless of ownership, a dam is eligible for
  grant funding if:
  1. The dam meets the Federal definition of “dam”
     found in the US Code of Laws, Title 33, Chapter
     9, Section 467(3);

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Source: https://www.law.cornell.edu/uscode/text/33/467
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Dam Eligibility, Cont’d
 2. It is a non-Federal dam;
 3. The dam is located in a state with a State dam
    safety program;
 4. The dam is classified as “high hazard potential”
    by the State dam safety agency;
 5. The dam has an Emergency Action Plan (EAP)
    approved by the State dam safety agency;
 6. The dam fails to meet minimum state dam
    safety standards and poses an unacceptable risk
    to the public;
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Dam Eligibility, Cont’d
 7. The dam is NOT a licensed hydroelectric
    dam;
 8. The dam was not built under the
    authority of the Secretary of Agriculture;
 9. The dam’s deficiencies are not solely the
    result of a lack of or deferred
    maintenance; and,

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Dam Eligibility, Cont’d
      10. (New for FY21) The dam meets FEMA’s
      risk-based eligibility criteria.

“Likelihood of                     Dam must plot in the
Failure” =                         Red boxes to be eligible
Condition Rating
from DHEC
inspection
                                      “Consequences –
                                      Population at
                                      Risk” is estimate
                                      of lives at-risk
                        11            from dam failure

Dam Eligibility, Cont’d
                          •   Currently 9 dams that
  (Unsatisfactory)            are eligible based on
                              DHEC inspection
    (Poor)
                              condition and the
                              Population-at-Risk
                              from DSS-WISE Lite
    (Fair)
                              software

   (Satisfactory)         •   Does not mean other
                              dams cannot prove
                              eligibility! Will need
                              documentation of
                              deficiencies that DHEC
                              inspection does not
                              reveal
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Applicant Eligibility
• If a dam is eligible for the grant, who can
  submit a grant application?
  • A non-Federal government (e.g., State Agency,
    County, Municipality, Tribal government, Special
    Purpose District)
  • A non-profit organization
     • From FEMA: “Eligible nonprofit organizations are those
       organizations that are described under section
       501(c)(3) of the Internal Revenue Code of 1986 (IRC)
       and exempt from tax under section 501(a) of such
       code.”
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Applicant Eligibility, Cont’d
• So what is a private dam owner to do?
  • An individual/private citizen cannot apply directly
  • Must find a Project Sponsor (eligible applicant
    willing to apply on dam owner’s behalf)
  • As applicant, the Project Sponsor is assuming
    responsibility for the project, to include
    compliance with grant requirements and Federal
    laws and regulations, receiving and spending
    grant funds, and more (to be revisited later in
    this presentation)
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Eligible/Allowable Activities
• “Rehabilitation” includes repair, replacement,
  reconstruction, or removal of a dam.
• What activities can be funded under this
  grant?                           FEMA HAS
  • Planning                               EXCLUDED
                                         CONSTRUCTION
  • Preliminary Engineering              FROM THE FY21
  • Final Design*                           GRANT
  *For final design to be considered, a complete risk analysis
  must have been performed that identifies all dam
  deficiencies with a completed evaluation of alternative
  remediation actions.        15

Eligible/Allowable Activities, Cont’d

• Period of Performance
  • Activities must be completed within the Period of
    Performance:

           End Date: 9/14/2024

  All activities must be completed by this date;
  however, extensions are possible, but are subject
  to FEMA review and approval.

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Eligible/Allowable Activities, Cont’d

• Examples of Planning Activities that are
  allowable:
  • Development of evacuation plans, flood
    management plans, emergency action plans, etc.
  • Studies and investigations designed to determine
    and quantify risks associated with different dam
    failure modes
  • Environmental studies for NEPA compliance
  • Public education and awareness activities
    regarding flood risks associated with the dam
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Eligible/Allowable Activities, Cont’d

• Examples of Preliminary Engineering
  activities that are allowable:
  •   Dam risk and consequence assessments
  •   Surveys/mapping
  •   Geotechnical investigations
  •   Hydrologic and dam breach inundation modeling
  •   Rehabilitation Alternatives Analysis

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Eligible/Allowable Activities, Cont’d

• Examples of Final Design Engineering:
   • Development of engineering plans/drawings for a chosen
     rehabilitation method
   • Development of technical and material specifications
• Unless the dam has already been well studied, all
  deficiencies are known, and a risk analysis
  completed, a grant app for final engineering design
  is likely to be denied
• Better to apply for the planning and preliminary
  engineering now, and final design in a future grant
  cycle
                            19

Eligible/Allowable Activities, Cont’d

• What is required for a final design project to be
  approved?
   • The dam must be completely investigated (i.e.,
     geotechnical, hydrologic, hydraulic, structural) so that all
     deficiencies and potential failure modes are known
   • The consequences of dam failure must be clearly
     understood (may require dam breach modeling)
   • All practical alternatives to rehabilitate the dam must be
     evaluated, and cost estimates for each alternative
     established
   • Alternatives analysis to include removing downstream
     populations or infrastructure instead of rehabilitating the
     dam                         20

Eligible Allowable Activities, Cont’d

• Once the failure modes, consequences, and
  rehabilitation alternatives are known:
                          D1, D2, D3 are all dams that
                          have applied for a grant

                          D2P1 and D2P1 are two potential
                          rehabilitation projects for Dam 2

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Eligible Allowable Activities, Cont’d

• Likelihood of Failure
  •   Remote: Annual Probability < 1:1,000,000
  •   Low: >1:1,000,000 but 1:100,000 but 1:10,000 but 1:1,000

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Eligible Allowable Activities, Cont’d

• Consequence of Failure
  • Temporary: Loss of Life = 0, Temporary minor
    flooding
  • Limited: Loss of Life not expected, but life-
    threatening release occurs
  • Moderate: Loss of Life  1,000
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Example
     Alternatives Evaluated:

     • D2P1 – Spillway
       Upgrades ($10
       million)

     • D2P2 – Reduce
       height of dam ($15
       million)

     • D2P3 – Relocate 15
       homes downstream
       ($5 million)

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Eligible/Allowable Activities, Cont’d

• Examples of Non-structural Activities that are
  allowed:
  • Purchasing downstream property(ies) for the
    purpose of removing/relocating at-risk
    populations or infrastructure
  • Must be supported by an alternatives analysis
    that shows this alternative represents most cost-
    effective risk reduction

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Eligible/Allowable Activities, Cont’d

• Examples of Construction Activities that are
  authorized by the Law but NOT ALLOWED for
  this grant opportunity:
  •   Structural repair or rehabilitation of a dam
  •   Dam removal
  •   Construction monitoring
  •   Installation of early warning systems associated
      with the eligible dam project

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Eligible/Allowable Activities, Cont’d

• Examples of Activities that are NOT Allowable
  by Law:
  • Rehabilitate a Federal dam
  • Rehabilitate a breached dam
  • Perform routine maintenance and operation of a
    dam
  • Modify a dam to produce hydroelectric power
  • Increase water supply storage capacity
  • Make any other modification that does not also
    improve the safety of the dam
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State and Federal Requirements

• As with any Federal grant, there is a long list
  of laws, regulations, Executive Orders, and
  programmatic requirements that must be
  met either before, during, after (or all of the
  above) a grant-funded project
• The Project Sponsor is responsible for
  compliance with all State and Federal
  Requirements, even if Project Sponsor is not
  the dam owner
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State and Federal Requirements, Cont’d

• Federal requirements:
  • Environmental and Historic Preservation
  • Non-Discrimination in the Workplace
  • Procurement
  • Cost Principles, Audit Requirements,
    Administrative Requirements
  • Debarment and Suspension Rules
  • Drug-Free Workplace

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State and Federal Requirements, Cont’d

• Federal requirements, cont’d:
  • Fair Wages and Labor Standards (applies to
    construction)
  • Federal Funding Accountability and Transparency
    Act (FFATA)
  • Single Audit Act
  • Uniform Relocation Assistance and Real Property
    Acquisition Act (for purchasing property)

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State and Federal Requirements, Cont’d

• Programmatic Requirements (from FEMA):
  • Maintenance and Operations agreement for the life of the
    rehabilitated dam (only applies to construction)
  • Local Hazard Mitigation Plan that addresses “all dam risk”
    (if not in place at time of application, must request 12
    month extension)
  • Flood Plain Management Plan that addresses flooding risks
    in the downstream area protected by the dam (must be
    developed within 12 months of award, and implemented
    within 12 months of completion of construction project)

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State Requirements
• Grant Program provides reimbursement only
  (no funds in advance of work being
  performed and paid for)
• State Procurement Code

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Application Process
• What constitutes an Application for this
  grant opportunity?
  1. Completed Application Form
  2. Eligibility Narrative
  3. Project Narrative
  4. Plan to advance project to final design and
     construction
  5. Project Milestones (for the proposed scope of
     work)
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Application Process, Cont’d
 6. Detailed Budget (for the proposed scope of
    work)
 7. Procurement Policy
 8. Description of Match (i.e., where will non-
    Federal funds come from)
 9. Match Commitment Letter
 10.FEMA Approval of Local Haz Mitigation Plan or
    Copy of Extension Request to FEMA (will be the
    latter) – will need to coordinate with County
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Application Process, Cont’d
 11. Copy of Dam’s Floodplain Management Plan
     (N/A if applicant certifies one will be developed
     within 12 months of award)
 12.Completed Environmental and Historic
    Preservation Checklist
 13.Signed Statements of Assurance/Certifications

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Application Process, Cont’d
• Application must be created with the
  assistance of a licensed Professional
  Engineer registered in South Carolina

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Estimated Application Timeline
• Sept 15 - FEMA grant award to DHEC
• Sept 22 - DHEC issues its Notice of Funding Opportunity and begins accepting grant
  applications from dam owners
• Nov 12 - application deadline
• Nov 19 - initial application screening completed (by DHEC) / list of finalists created / first
  meeting of review panel
• Nov 20 - Nov 30 - review panelists rank applications on "Finalists list"
• Dec 1 - second meeting of review panel / review total rankings and available funds / vote
  on "Cut off" i.e., what applications will be funded
• NO LATER THAN DEC 15 - DHEC submits amended grant application with proposed sub-
  awards to FEMA for approval
• Feb 1 - FEMA approves amended grant app and proposed sub-awards / notice of approval
  received in ND grants
• NO LATER THAN MAY 1 - Execute sub-awards
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Application Review and Selection
• DHEC’s Screening Level Risk Analysis (SLRA) will constitute 50%
  of the project’s score
• A review panel of 5 members will individually rank all
  applications – rankings will constitute 50% of project’s score
• Ties will be broken by vote of the review panel
• Applications for Dam Removal Projects will take priority (no
  other project can achieve as much risk reduction)
• List of awards to be based on available funds. Review panel to
  decide on the cut-off

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Application Review and Selection, Cont’d

• What is SLRA?
   • A system developed by DHEC to assign a risk score to every high
     hazard dam
   • Each dam gets a score from 0-500. Higher score = greater risk
     posed by the dam.
   • Risk is a function of three things: hazards that may act on the
     dam, dam’s ability to withstand the hazards, the consequences of
     the dam’s failure
   • Factors that influence the score:
       • The dam’s design, age, current condition - i.e., risk factors
       • Any defensive design features that may exist - i.e., risk reduction
         factors (e.g., dam is armored against erosion from overtopping)
       • The population-at-risk in the event of dam failure - i.e., consequence
         risk factors
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Application Review and Selection, Cont’d

• Review Panel
   • John McCain, P.E., Manager, Dam Safety Section
   • Jill Stewart, P.E., Director, Dam Safety and Stormwater
     Permitting Division
   • Denise Bunte-Bisnett, P.E., Engineer with Santee-Cooper
     and former President, US Society on Dams
   • Stephen Whiteside, P.E., Sr. Vice President, CDM Smith
   • Representative from SC Emergency Management Division

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Question and Answer
• If your question isn’t addressed during the
  webinar, we will follow-up with you
  afterwards.
• A summary of all questions and answers will
  be provided to all attendees after the event.

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John M. McCain, PE, Manager
SC Dam Safety Program
803-898-8178
mccainjm@dhec.sc.gov