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Hydropower Licensing
 Dam
Safety and Security
Endangered
Species Act
Clean Water Act
Energy Policy Act
Dam Safety & Security
In the United States, the safety of dams is regulated by a
number of different agencies. Which agency oversees a dam can depend on
the ownership of the dam and its purpose. For example, the U.S. Bureau of
Reclamation (BOR) self-regulates the major power producing and irrigation-based
dams it owns (for example, Grand Coulee Dam). The U.S. Army Corps (Corps)
also self-regulates its power producing projects (for example, Chief Joseph
Dam). The Federal Emergency Management Agency
(FEMA) administers the National Dam Safety Program, which was established in 1996
to coordinate federal efforts to assist state dam safety programs through
financial grants, fund research, and facilitate technology transfer. The
National Dam Safety Program was recently reauthorized until 2011.
Non-Federal dams that also produce hydroelectric power are regulated by the
Federal Energy Regulatory Commission (FERC. Dams that do not produce
power and are not owned or operated by the BOR or the Corps are generally
regulated by a state authority. The extent of regulatory authority wielded
by state varies. For example, in Washington State the Department of
Ecology regulates projects that are non-jurisdictional and have over 10-feet of
height and/or impound at least 10 acre-feet of water. Other states have
different regulatory thresholds. California owns some of the dams it regulates
and also regulates FERC jurisdictional dams. Some dams are not regulated because
they are privately-owned, do not produce power, and are either less than 10-feet
high or do not impound more than 10-acre feet of water.
Because the Northwest Hydroelectric Association membership is generally
comprised of entities that have hydro-producing dams regulated by FERC, the
majority of the following information relates to FERC regulation of dam safety.
For additional information on state and federal regulation of dams, consider
visiting the Association of State Dam Safety Officials at
www.damsafety.org. Another source
of information on the performance of dams is the
National Program for Dam
Performance at Stanford University.
FERC actively regulates the safety of hydropower facilities. See FERC's
Part 12 regulations relating to the safety of water power and water power works.
Before projects are constructed, FERC staff reviews and approves the designs,
plans, and specifications of dams, powerhouses, and other structures. During
construction, FERC engineers frequently inspect a project. Once
construction is complete and a project is operational, FERC engineers continue
inspections on a regular basis. In addition, FERC requires periodic
inspection by an independent consultant under Part 12(D) of its regulations.
It is the ongoing responsibility of a licensee to ensure that its projects are
operated and maintained in compliance with FERC regulations and the terms and
conditions of its license.
Owners of FERC-licensed projects are required to notify FERC when a condition
affecting the safety of a project is discovered. Some such conditions
might include gate operation failure, seepage, slides, unusual instrument
readings or control malfunctions, sinkholes, sabotage, and natural disaster.
To detect certain failures at a project, licensees must install performance
monitoring instrumentation. Licensees must also report any emergency
modifications that were performed to address a safety situation. All plans
for major maintenance work must be forwarded to FERC so that the regulator can
determine whether preconstruction approvals are needed. Licensees must
notify FERC of any planned drawdown activities outside the operational
conditions of the license, including dewatering of project facilities.
Since river operations are a key component of dam safety, licensees are required
to document compliance with project flows and reservoir operation plan
requirements. Violations must be reported immediately.
Licensees must also develop public safety plans and install and maintain
safety devices necessary to adequately warn and protect the public of potential
dangers related to project lands and waters. Serious injuries or deaths
that occur at the project must be reported to FERC (an example might be a boater
who drowns while recreating in the project reservoir).
In addition, because the failure of a hydropower dam has the potential to
significantly impact surrounding communities and emergency personnel, licensees
are required to develop and maintain and Emergency Action Plan (EAP). An
EAP must be "developed in consultation and cooperation with appropriate federal,
state and local agencies responsible for public health and safety" and "designed
to provide early warning to upstream and downstream inhabitants, property
owners, operators of water-related facilities, recreational users, and other
persons in the vicinity who by be affected by a project emergency.." [18CFR
12.20]. Licensees must submit an EAP
to FERC each year. While FERC's EAP guidelines were first established in 1979,
they have been revised over time, in 1985, 1988, and 1998.
After the terrorist attacks of September 11, 2001, federal dam regulators
have placed a new emphasis on not only keeping dams safe from structural
failure, but also safe from deliberate attacks such as terrorism and sabotage.
One month after the attacks, FERC announced its plans to allow regulated
entities to protect Critical Energy Infrastructure Information. Currently,
FERC is working with the Department of Homeland Security and regulated entities
in an effort to better unify dam safety and dam security efforts. Some of
the specific items being evaluated by federal and industry workgroups include 1)
how to address cyber security issues and potential impacts on hydropower
facilities; how to enhance emergency coordination and communication; 3) how to
retain institutional knowledge in hydropower operating plans in the event of an
emergency; 4) what to include in a hydropower recovery plan.
Recent developments in FERC's dam safety program are briefly described below.
The Division of Dam Safety and Inspections host workshops and training courses
for dam operators throughout the year. For additional information,
visit http://www.ferc.gov/industries/hydropower/safety.asp.
FERC, in cooperation with a team of dam owners and
independent consultants, has developed a revised and enhanced FERC Part 12D dam
safety inspection procedure. The Dam Safety Performance Monitoring Program,
Chapter 14 of the FERC Engineering Guidelines, now includes guidance for
Potential Failure Mode Analyses (PFMA), which is to be carried out as part of
the Part 12D Independent Consultant's Inspection Report. The new guidelines
were developed in 2002, and were last updated in July, 2005. The purpose of the
PFMA is to ensure that potential failure modes are properly identified and
addressed. See FERC’s web page at
http://www.ferc.gov/industries/hydropower/safety/guidelines/dspmp.asp.
In the Pacific Northwest, there is increasing concern about
the possible impact of earthquakes on area dams. Over the last 10 to 15 years,
it has been recognized that the subduction zone in the area of the coast (west
of the Olympic Peninsula - not Seattle) is capable of generating magnitude 9
earthquakes. The USGS has developed Seismic Hazard Maps indicating higher
accelerations in the Columbia River basin than previously known. For more
information on Northwest earthquake hazards, visit the USGS
website.
As a result of these and other
developments, FERC has undertaken a study of seismic hazards in the Pacific
Northwest. See FERC’s
web site.
On July 20, 2006, the North American Electric Reliability
Council was designated the Electric Reliability Organization for the United
States, pursuant to the Energy Policy Act of 2005. In exercising its
duties as the ERO, NERC has developed a number of electric system reliability
standards that are pending before FERC for approval. On September 18, 2006, FERC
issued a notice announcing a new rulemaking proceeding address eight proposed
CIP Reliability Standards. On December 11, 2006, FERC released a
preliminary staff assessment of the eight proposed standards. The comment period
closed on February 12, 2007. The eight cyber security reliability standards included
in this docket are:
CIP-002-1- Cyber Security - Critical Cyber Asset Identification
CIP-003-1- Cyber Security - Security Management Controls
CIP-004-1- Cyber Security - Personnel and Training
CIP-005-1- Cyber Security - Electronic Security Perimeter(s)
CIP-006-1- Cyber Security - Physical Security of Critical Cyber Assets
CIP-007-1- Cyber Security - Systems Security Management
CIP-008-1- Cyber Security - Incident Reporting and Response Planning
CIP-009-1- Cyber Security - Recovery Plans for Critical Cyber Assets
NERC held workshops around the country on these
standards to educate participants in what is needed to demonstrate compliance to
each of the cyber security standards. On July 20, 2007, FERC issued a NOPR
proposing to approve eight CIP standards and directing NERC to
modify certain standards.
FERC proposes to approve NERC's CIP implementation plan, which
includes a four-stage schedule for implementation over a 3-year
period.
Comments were due October 5, 2007. To
read details about the cyber security standards and compliance deadlines (or to
learn more about other electric reliability standards), go to
Reliability Standards.
FERC has issued a draft Recovery Plan Format for dealing
with mitigation and emergency repair of affected company structures and plan
facilities. While an Emergency Action Plan is
designed to facilitate early warning and evacuation of potentially affected
downstream areas, the draft Recovery Plan deals with mitigation and emergency
repair of affected company structures and plant facilities. The plan should be
utilized for any emergency arising at the site, whether from natural or manmade
causes. Recovery Plans should avoid duplication of existing plans (such as the
EAP) as much as possible. The Recovery Plan is intended for internal use and
response only. As currently proposed, all projects with a generating
capacity of 50 MW or more will be required to prepare a Recovery Plan, although
it is suggested that utilities consider preparing a plan for all projects.
Comments were due August 18, 2006. See the draft Recovery Plan Format at
Safety Guidelines.
On October 11, 2001, FEC issued a policy statement
(PL02-1-000) under which is removed certain information from public access that
it considered to be critical energy infrastructure information –or CEII. This
included detailed drawings of hydropower, natural gas and electric facilities.
On September 5, 2002, FERC issued a Notice of Proposed Rulemaking and Revised
Policy Statement regarding public availability of critical energy infrastructure
information in the wake of the 9-11 terrorist attacks. On February 21, 2003
FERC issued a final rule (Order No. 630) allowing companies to request
protection for CEII.
The order is broad enough to cover virtually all facilities
and proposed facilities within FERC’s jurisdiction, including components like
computer systems that control or form part of the energy infrastructure. FERC
later amended the rule on July 23, 2003 (Orders 630-A and 643). These orders
amended relicensing regulations to allow utilities to protect CEII materials
when documents are made available directly to the public, and incorporating
procedures for treatment of non-internet public information. FERC sought
additional public comment in February, 2004 (simplifying federal agencies’
access to CEII) before issuing another final order on August 3, 2004 (Order
649). On June 21, 2005 FERC issued another final rule (Order 662) that removes
federal agency requesters from having to file CEII requests with FERC, modified
the classification of non-internet public documents, and requires consultants
requesting certain CEII to provide a clear and detailed explanation of why data
from each utility or interconnection is needed, and how the data will be used.
On September 21, 2006, FERC
issued two CEII-related documents. The first, Order 683, is a final rule
clarifies the definition of CEII is clarified and requires requesters to submit
executed non-disclosure agreements with their requests. FERC has posted template
NDAs on its website. On the same day, FERC issued a
NOPR with proposed changes to CEII regulations. The NOPR would allow an annual
certification for repeat CEII requesters; allow an authorized representative to
file an executed NDA; make the FOIA fee schedule applicable to CEII requests;
provide CEII appeal rights compatible with FOIL appeal rights (i.e. eliminating
the practice of making CEII determinations by delegated orders and thus subject
to rehearing; under the NOPR the only recourse would be an appellate court, like
under FOIA); grant landowners the right to obtain alignment sheets directly from
Commission staff; and abolish the NIP category of information. In addition, the proposed rule
re-emphasizes the instructions in prior rules that filers must clearly explain
why information is labeled CEII. Significantly, this NOPR indicates that FERC-filed
applications can be rejected by FERC staff if CEII information is mislabeled as
CEII when it does not quality for protection. Comments on the
proposed rule were due November 2, 2006. FERC is currently reviewing
comments.
See
FERC’s
website for details
on CEII compliance.
The Department of Homeland Security (DHS) on June 30, 2006
issued the final NIPP, which provides a coordinated approach to critical
infrastructure and key resource protection roles and responsibilities for
federal, state, local, tribal, and private sector security partners. The NIPP
sets national priorities, goals, and requirements for effective distribution of
funding and resources, which will help ensure that government, economy, and
public services continue in the event of a terrorist attack or other disaster.
See Homeland Security’s web site.
On May 21, 2007, Sector-Specific Agencies (SSAs), including energy facilities,
developed and submitted Sector-Specific Plans (SSPs) detailing the application
of core NIPP processes tailored to the needs of each critical infrastructure or
key resource sector. DHS is encouraging all private sector owners and
operators to implement the NIPP framework for the assets under their control and
to provide related data to DHS to facilitate national protection program
implementation.
The National Dam Safety Program Act has been
reauthorized through 2011. Public Law 109-460 requires the U.S. Army
Corps of Engineers to maintain and update information on the inventory
of dams in the United States, including an assessment of each dam based
on inspections completed by either a federal agency or a state dam
safety agency. It also requires the strategic plan for dam safety
prepared by the Director of the Federal Emergency Management Agency (FEMA)
to establish performance measures, in addition to goals, priorities, and
target dates, toward effectively administering the Act to improve dam
safety. The law also authorizes significant funding for federal and
state safety programs.
Amendment to the National Dam Safety Program Act
Pending Dam-Safety and Security Legislation
See the Pending Legislation section of this web site for
Dam Safety and Security-related
bills in Congress.
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