Order Code RL33108
CRS Report for Congress
Received through the CRS Web
Aging Infrastructure: Dam Safety
Updated July 3, 2006
Nic Lane
Analyst in Environment and Resources Management
Resources, Science, and Industry Division
Congressional Research Service ˜ The Library of Congress
Aging Infrastructure: Dam Safety
Summary
While dams have multiple benefits, they also represent a risk to public safety
and economic infrastructure. This risk stems from two sources: the likelihood of a
dam failure and the damage it would cause. While dam failures are infrequent, age,
construction deficiencies, inadequate maintenance, and seismic or weather events
contribute to the likelihood. To reduce the risk, regular inspections are necessary to
identify deficiencies. Corrective action then can be taken to remedy those
deficiencies.
To identify deficiencies that could cause dam failures, the federal government
established inspection requirements for the nation’s federal dams. Once deficiencies
are identified, most agencies finance repairs through their operation and maintenance
accounts. Funding mechanisms vary for larger rehabilitation activities. At the
Bureau of Reclamation, for example, most larger repairs are conducted with annual
appropriations to its dam safety program. At some other agencies, dam rehabilitation
must compete with other construction projects for funding.
The federal agencies with dam safety responsibilities include the Tennessee
Valley Authority, the Federal Energy Regulatory Commission, and the Departments
of Agriculture, Defense, Energy, the Interior, Labor, and State. At nonfederal dams,
safety is generally a state responsibility, though some federal assistance has been
provided. Funding through the National Dam Safety Program, which is authorized
through FY2006 (pending legislation would extend funding through FY2011), helps
states improve their dam safety programs and train inspectors. In addition, the
Federal Energy Regulatory Commission and the Department of Labor’s Mine Safety
and Health Administration require regular inspections at the nonfederal dams within
their jurisdiction. Even so, there are concerns that most state dam safety programs
have inadequate staff and funds to effectively inspect or monitor all of the dams for
which they are responsible. Further, there are concerns that states, local governments,
and other nonfederal dam owners may not have the financial resources to maintain
and rehabilitate their dams.
The failure of levees at Lake Pontchartrain, Louisiana, in 2005, led to increased
scrutiny of flood control infrastructure and the structural stability of high hazard-
potential dams. Further, Congress has periodically been pressured to pass legislation
authorizing federal support for rehabilitation work at nonfederal dams. Demand for
such assistance is likely to increase, but currently no federal policy describes the
conditions under which federal funding is appropriate, nor has Congress established
criteria for prioritizing funding among nonfederal projects.
To help inform discussions on the federal role in dam safety, this report provides
background information on the nation’s dam safety activities and funding
mechanisms. Pending dam safety legislation in the 109th Congress includes H.R.
1105, S. 2444, H.R. 4981, and S. 2735. This report will be updated as appropriate.
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Dam Failure Risk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Potential Damage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Likelihood of Failure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Managing Dam Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Federal Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
State Dam Safety Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Federal Support for State Dam Safety Programs . . . . . . . . . . . . . . . . . . 7
Reducing Dam Failures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Identifying Unsafe Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Inspections of Federal Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Inspection of Nonfederal Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Dam Rehabilitation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Federal Dam Rehabilitation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Department of Defense, U.S. Army Corps of Engineers . . . . . . . . . . . 12
U.S. Department of the Interior, Bureau of Reclamation . . . . . . . . . . 13
Rehabilitating Nonfederal Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
State Rehabilitation Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Federal Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
List of Figures
Figure 1. Dam Ownership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Figure 2. Construction of Federal and Nonfederal Dams . . . . . . . . . . . . . . . . . . . 5
List of Tables
Table 1. Hazard Level: Description and Number . . . . . . . . . . . . . . . . . . . . . . . . . 4
Table 2. Agency-Owned Dams by Hazard Level and Frequency of
Formal Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Table 3. State Grants for Dam Rehabilitation as of October 2003 . . . . . . . . . . . 14
Aging Infrastructure: Dam Safety
Introduction1
Dams provide broad economic and social benefits, including flood control,
hydroelectric power, recreation, navigation, and water supply for drinking, irrigation,
and industrial uses. Dams also can present a risk to public safety, local and regional
economies, and the environment.
Prior to the events of September 11, 2001, Congress had expressed an increasing
interest over several decades in dam safety. In recent years, congressional interest
has focused largely on securing and protecting U.S. dams and water storage facilities
from terror attacks. Hurricane Katrina and the disastrous failure of levees that once
protected New Orleans, however, have renewed interest in the structural integrity of
major water infrastructure.
The modern period of congressional concern began in the 1970s with dam
failures that resulted in loss of life and billions of dollars in property losses.2
Congress and private groups interested in dam safety noted that, while states and
localities are responsible for the maintenance and safety of 95% of the nation’s dams,
large numbers of older dams lacked the maintenance needed to guarantee operational
integrity and prevent failure. These aging dams presented then — and continue to
present — a potential hazard to downstream populations.
Following the first of these dam failures, an essential first task was to develop
accurate data on the nation’s dams: their number, type, structural condition, and other
information useful for making decisions about dam safety policy and priorities. This
was achieved through the creation in 1972 of the National Inventory of Dams (NID)3
— a computerized, periodically updated4 catalogue of U.S. dams, maintained by the
U.S. Army Corps of Engineers, that presently lists 79,777 public and private “dams.”5
For the purposes of the NID, a dam is defined as “any artificial barrier that has the
1 This report was originally written by Kyna Powers with assistance from Richard Sachs.
2 In 1972, failure of a mine tailings dam at Buffalo Creek, WV flooded a 16-mile valley and
killed 125 people. In 1976, Teton Dam in Idaho failed, causing $1 billion in property
damage and killing 11. Kelley Barnes Dam, GA failed in 1977.
3 The NID was first authorized in the National Dam Inspection Act of 1972, P.L. 92-367
and later consolidated under the Water Resources Development Act of 1996, National Dam
Safety Program Act, P.L. 104-303, Title II §215 (33 U.S.C. §467). The NID is available at
[http://crunch.tec.army.mil/nid/webpages/nid.cfm].
4 The NID was last updated in Feb. 2005.
5 Other sources cite different figures; the online NID data is used throughout this report
unless otherwise specified. When appropriate, this data is referred to as NID Data, 2006.
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ability to impound water ... for the purpose of storage or control of water” that (1) is
greater than 25 feet in height with a storage capacity of more than 15 acre-feet6 (af),
(2) is greater than 6 feet in height with a storage capacity of more than 50 af, or (3)
poses a significant threat to human life or property should it fail.
Federal and nonfederal dams in the NID were constructed for a variety of
purposes. By far, the greatest number of dams — more than 40% — were
constructed primarily for recreational purposes. Other purposes served by dams, in
descending order, include fire protection (20.0%), flood control (19.8%); irrigation
(11.8%); water supply (9.3%); fish and wildlife (4.2%); hydroelectric (2.8%); debris
control (2.0%); mining (tailings dams) (1.8%); and navigation (0.1%). Many dams
serve multiple purposes. For approximately 9.7% of the dams in the NID, the
purposes are unspecified.7
Over 56% of dams in the NID are privately owned. (See Figure 1.) Slightly
more than 20% are owned and operated by local — county or municipal —
governments. About 4.8 % of dams are owned by states and 2.4% by public utility
companies. The federal government owns only 4.7% of all NID dams, but this small
number (3,771) includes the dams many Americans view as iconic: the great
hydroelectric dams of the West, like Grand Coulee and Hoover.8 The ownership of
some NID dams is not indicated in the database because that information was not
reported to the Corps.
While the federal government owns less than 5% of NID dams, more than 30%
of all dams in the NID inventory were funded, designed, or constructed with federal
resources, most of them through the Department of Agriculture’s Natural Resources
Conservation Service (NRCS). NRCS’s involvement in dam construction stems
primarily from the Watershed Protection and Flood Prevention Act of 1954,9 which
authorized it to cooperate with states and local agencies to undertake works of
improvement for flood prevention and other purposes. Under this act and an earlier
law to build projects in 11 designated watersheds, NRCS has helped build more than
10,000 upstream flood control dams beginning in 1948. These are generally
relatively small dams owned by public or private entities other than the federal
government. These nonfederal entities are principally responsible for the dams’
operation, maintenance, and security.10
6 One acre-foot of water is the amount of water that will cover an acre of land to a depth of
one foot, approximately 326,000 gallons.
7 NID Data, 2006.
8 U.S. Dept. of Homeland Security, Federal Emergency Management Agency, The National
Dam Safety Program Fiscal Years 2000-2001(Washington, DC: December 2001), p. 6
(Hereafter, cited as FEMA report, 2000-2001).
9 Watershed Protection and Flood Prevention Act, P.L. 83-566.
10 U.S. Dept. of Agriculture, Natural Resources Conservation Service, A Report to Congress
on Aging Watershed Infrastructure (Washington, DC: June, 2000), pp. 1-2. Hereafter cited
as NRCS Report, 2000.
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Figure 1. Dam Ownership
Unknown/
Public Utility
Other
2.4%
State
11.5%
4.8%
Federal
4.7%
Local
20.1%
Private
56.4%
Excluding the NRCS, which does not own any dams, nine federal agencies own,
operate, or regulate dam safety at approximately 8,500 sites (including non-NID
dams).11 Six federal agencies own NID dams. These are the Department of Defense
(862), Department of the Interior (751), Department of Agriculture (326), Tennessee
Valley Authority (83), Department of Energy (16), and State Department (7). In
addition, three agencies regulate but do not own NID dams: the Federal Energy
Regulatory Commission (FERC) regulates 1,775 hydropower dams; the Department
of Labor’s Mine Safety and Health Administration regulates 745 dams; and the
Nuclear Regulatory Commission regulates 11 dams. While dams owned by one
agency are not generally regulated by another agency, there are cases where private
hydroelectric projects, regulated by FERC, are located at federal dams.
Congressional interest in dam safety generally falls into three areas: (1) dam
security and the potential for acts of terrorism at major U.S. dam sites; (2) prevention
of potential dam failures due to structural deficiencies; and (3) recovery from dam
failures. This report focuses on the second category because it is a topic that will
likely become more important as the nation’s dams age; further, it has gained
additional attention in the aftermath of Hurricane Katrina.
Dam Failure Risk
While dams have multiple benefits, their failure or misoperation could threaten
public safety, local and regional economies, and the environment. Risk has two
primary components: (1) the damage and deaths associated with dam failure or
misoperation, and (2) the likelihood of such a failure.
11 FEMA Report, 2000-2001, p. 8-9. This figure differs from the NID-based data on dam
ownership shown in Table 2. Some of these dams may not qualify for inclusion in the NID.
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Potential Damage
To quantify the potential harm associated with a dam’s failure, the Interagency
Committee on Dam Safety prepared a hazard potential classification system.12 As
described in Table 1, the three hazard ratings (low, significant, and high) do not
indicate the likelihood of failure, but reflect the amount and type of damage that a
failure would cause. Hazard ratings for each dam are included in the NID. From
2000 to 2006 the number of high-hazard dams increased from 9,921 to 11,811.
According to the Federal Emergency Management Agency (FEMA), development
below dams is the primary factor increasing dams’ hazard potential.13
Table 1. Hazard Level: Description and Number
Hazard Classification
Result of Failure or Misoperation
Number of Dams
High Hazard
— Loss of life is probable.
11,811
— Other economic or environmental loss
possible, but not necessary for this
classification.
Significant Hazard
— No probable loss of human life.
13,407
— Could result in economic loss,
environmental damage, and disruption of
lifeline facilities, etc.
Low Hazard
— No probable loss of human life.
54,349
— Few economic or environmental losses;
losses are generally limited to the owner.
Source: NID Data, 2006. The hazard level of 210 dams was not reported to the Corps for inclusion
in the NID.
Likelihood of Failure
While catastrophic dam failures are fairly infrequent, states reported 1,090 dam
safety incidents — including 125 failures — between 1999 and 2004.14 A number
of factors, including age, construction deficiencies, inadequate maintenance, and
seismic or weather events, contribute to the likelihood of dam failure. For example,
12 Interagency Committee on Dam Safety, FEMA 333. Federal Guidelines on Dam Safety:
Hazard Potential Classification System for Dams (Oct. 1998, reprinted Jan. 2004).
13 Federal Emergency Management Agency, FEMA 466: Dam Safety and Security in the
United States: A Progress Report on the National Dam Safety Program in FY 2002 and
2003.
14 National Performance of Dams, Dam Incidents Statistics Calculator. See [http://npdp.
stanford.edu/index.html]. This database provides a low estimate of dam safety incidents,
since reporting is voluntary; few private or local dams are included.
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some failures are the direct result of flows larger than the dams were built to
withstand. With the exception of seismic or weather events, age is a leading indicator
of dam failure. In particular, the structural integrity and operational effectiveness of
dams may deteriorate with age, and some older dams do not necessarily comply with
current dam safety standards established in the 1970s.15 Overall, more than 30% of
all dams in the National Inventory are at least 50 years old, the designed lifespan of
many dams, and more than 17,000 will cross this threshold over the next 10 years.
(See Figure 2.) According to the Association of State Dam Safety Officials, in 2003,
approximately 3,243 U.S. dams had deficiencies that left them more susceptible to
failure.16 In 2000, another report estimated that more than $30 billion will be needed
to repair and rehabilitate the nation’s aging dams.17
Figure 2. Construction of Federal
and Nonfederal Dams
20,000
d
te 18,000
uc 16,000
tr 14,000
12,000
ons
50+ years old
10,000
C
s
8,000
m
6,000
a
4,000
2,000
of D
#
-
<1806
1816-25
1836-45
1856-65
1876-85
1896-05
1916-25
1936-45
1956-65
1976-85
1996-05
Year Completed
15 Eugene P. Zeizel and Robert H. Dalton, “Aging of Dams and Urban Development Require
Major Dam Rehabilitation Efforts: A Growing Problem in Floodplain Management,”
presented at the Annual Conference of the Association of State Flood Plain Managers,
Charlotte, NC (June 3-8, 2001). This report indicated that 85% of all U.S. dams (not just
NID dams) will be more than 50 years old by 2020.
16 Association of State Dam Safety Officials, State by State Statistics on Dams and State
Safety Regulation , 2004. See [http://www.damsafety.org/documents/Word/2004Stats.doc].
In 2003, FEMA reported that there were more than 2,600 unsafe dams based on a report by
the American Society of Civil Engineers entitled The 2003 Progress Report for America’s
Infrastructure (Sept. 4, 2003).
17 Raul F. Silva, “A Methodology and Estimate of the National Cost for Dam Safety
Rehabilitation,” presented at a conference of the Association of State Dam Safety Officials,
Providence, RI (Sept. 27, 2000).
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Managing Dam Safety
Following dam failures at Buffalo Creek (WV, 1972), Teton Dam (ID, 1976),
and Kelly Barnes Dam (GA, 1977), legislative and executive actions established a
program for monitoring the nation’s dams and set guidelines for dam safety at federal
facilities. Subsequent legislation promotes state dam safety programs and facilitates
rehabilitation activities at federal and some nonfederal dams.
Federal Management
Through legislative and executive actions, the federal government has become
involved in multiple areas of dam safety. First, in 1972, Congress passed the
National Dam Inspection Act (P.L. 92-367), which authorized the Corps to undertake
a program of national dam inspections and to establish the National Inventory of
Dams. Activities under this law provided the impetus for broad scale monitoring and
a centralized location for information on many of the nation’s dams.
In 1977, following the failure of Teton Dam and Kelly Barnes Dam, President
Jimmy Carter ordered a review of federal dam safety activities, and subsequently the
ad hoc Interagency Committee on Dam Safety released safety guidelines for dams
regulated by federal agencies.18 The Federal Guidelines for Dam Safety establish a
basic structure for agencies’ dam safety programs. In general, the guidelines
encourage federal agencies and dam owners regulated by federal agencies to abide
by uniform safety standards. They direct that each agency with dam safety
responsibilities19 have a dam safety officer and that the agencies coordinate with
other agencies. They also establish guidelines for staff training, periodic evaluations,
documenting dam safety activities, and operation and maintenance.
In addition to the Federal Guidelines for Dam Safety, Congress enacted the
Reclamation Safety of Dams Act (P.L. 95-578, 43 U.S.C. §508) in 1978 to set more
detailed guidelines for the Bureau of Reclamation.20 This act authorizes Reclamation
to preserve the structural stability of its dams and related facilities by performing
modifications.
State Dam Safety Programs
States have primary responsibility for the safety of 95% of the nation’s dams.
According to the Association of State Dam Safety Officials, every state but Alabama
18 Interagency Committee on Dam Safety, and U. S. Dept. of Homeland Security, Federal
Emergency Management Agency, Federal Guidelines for Dam Safety (June 1979 reprinted
April 2004).
19 Agencies with dam safety responsibilities include the Tennessee Valley Authority, Federal
Energy Regulatory Commission, and the Departments of Agriculture, Defense, Energy, the
Interior, Labor, and State.
20 While the Bureau of Reclamation owns the most dams, the U.S. Army Corps of Engineers
owns the most NID dams.
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and Delaware21 has a dam safety regulatory program.22 Typically these programs
include “(1) safety evaluations of existing dams, (2) review of plans and
specifications for dam construction and major repair work, (3) periodic inspections
of construction work on new and existing dams, and (4) review and approval of
emergency action plans.”23 Many state dam safety programs are poorly funded. In
2004, state budgets for dam safety — which averaged $742,00024 — ranged from less
than $50 per state regulated dam (IA, IN, KS, MS, OK and TX) to more than $16,000
per dam regulated by Puerto Rico.25
Federal Support for State Dam Safety Programs. While federal
activities in the 1970s generally focused on increasing dam safety information and
strengthening requirements at the nation’s federal dams, subsequent legislation began
to address the safety of nonfederal dams. In 1996, Congress created the National
Dam Safety Program (NDSP)26 and assigned responsibility for administering it to
FEMA. The NDSP is the nation’s principal dam safety program; prior to creation of
the program, there was no comprehensive national effort devoted to dam safety and
the safety of downstream populations.
Management of the NDSP. The NDSP is a mechanism for federal and state
cooperation that includes an Interagency Committee on Dam Safety (ICODS) with
the Director of FEMA as its chair. ICODS, which was initially formed in 1980, is
composed of representatives from FERC, the International Boundary Water
Commission, the Nuclear Regulatory Commission, the Tennessee Valley Authority,
and the Departments of Agriculture, Defense, Energy, the Interior, Labor, and
Homeland Security (FEMA). ICODS is responsible for coordinating information
exchange among federal dam safety agencies.27
The act also established a National Dam Safety Review Board (NDSRB)
consisting of five representatives appointed from federal agencies, five state dam
safety officials, and one representative from the U.S. Society on Dams. All the
representatives are appointed by the director of FEMA. This board advises the
FEMA director on dam safety issues, including the allocation of grants.28
21 Alabama has 1,403 dams and Delaware has 61 dams.
22 Association of State Dam Safety Officials, State by State Statistics on Dams and State
Safety Regulation — 2004.
23 Ibid.
24 Average of reported state budgets. Excludes Delaware, Louisiana, Michigan, Nevada,
South Carolina, and South Dakota did not report their dam safety budgets. Association of
State Dam Safety Officials, State by State Statistics on Dams and State Safety Regulation
— 2004.
25 Ibid.
26 National Dam Safety Program Act, P.L. 104-303, Title II §215 (33 U.S.C. §467).
27 Under legislation passed in the 107th Congress (P.L. 107-310), ICODS’ authority is limited
to coordination among federal entities only.
28 National Dam Safety Program Act, P.L. 104-303, Title II §215 (33 U.S.C. §467)
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Assistance to States. The National Dam Safety Act establishes two state
assistance programs with budget authorizations. These include:
! Training for State Inspectors. At the request of states, FEMA
provides technical training to dam safety inspectors.
! Assistance to State Dam Safety Programs. States working toward or
meeting minimal requirements are eligible for assistance grants. The
objective of these grants is to upgrade state programs using the
ASDSO Model State Dam Safety Program as a guide. The model
state dam safety program includes a recommendation that dams be
inspected at least every five years.
Allocation of state assistance grants is determined by the NDSRB and the
director of FEMA. In FY2000 and FY2001, FEMA distributed $8 million to states
with existing dam safety programs to assist with buying equipment, conducting dam
inspections, and developing Emergency Action Plans (EAPs).29 This money is not
available for rehabilitation activities.
Reauthorization of the NDSP. The NDSP was reauthorized in 2002 as the
Dam Safety and Security Act of 2003 ( P.L. 107-310, 43 U.S.C. §467).30 P.L. 107-
310 made several changes to the existing program, including the addition of (1) a
new goal for the program that encompasses dam security; (2) a goal for states to
obtain authority to require owners to improve security; (3) a limitation on the
authority of ICODS to exchange information among federal entities only; (4) a
clearer definition of the role of the NDSRB in relation to the states, and
encouragement to maintain an effective national program to enhance dam safety and
protect human life and property; and (5) the addition of two new research
components on (a) information technology to store, query, and distribute dam safety
data related to dam performance (failures, large storm events, earthquakes, etc.), and
(b) dam safety vulnerability assessments and management of sensitive dam
information.
P.L. 107-310 authorized the program for an additional four years and increased
the total authorized funding to $8.6 million annually from FY2003 through FY2006.
These funds are to remain available until expended. Specified funding authorizations
include an increase for research from $1.0 million to $1.5 million for each fiscal year.
The program retains the authorized levels for dam safety training at $500,000, and
increases authorized funding for staff from $400,000 to $600,000 for the same time
period.
Pending legislation in the 109th Congress would extend the NDSP and authorize
funding through FY2011. H.R. 1105 and S. 2444 would provide a total of $350
29 FEMA Report, 2000-2001, p. 2-4.
30 U.S. Congress, House Committee on Transportation and Infrastructure, Dam Safety and
Security Act of 2003, H.Rept. 107-626, 107th Congress (Washington, DC: GPO, 2002). The
language of the House-passed version of the legislation, H.R. 4727, was signed into law by
President Bush on Dec. 2, 2002.
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million to FEMA for a grant program for states to rehabilitate and repair publicly
owned dams. Authorized funding would be $50 million for FY2007 and $100 million
annually through FY2011.
H.R. 4981 and S. 2735 would authorize an additional $8 million annually for
FY2007 through FY2011 for FEMA-administered research, dam safety training, and
maintaining the NID. The funding could not be used for dam repair or construction.
Reducing Dam Failures
As the nation’s dams age, they are likely to develop various deficiencies. For
example, dams’ foundations can show signs of seepage, cracking, and movement.
To prevent failure or misoperation, these deficiencies must be identified and
corrected.
Identifying Unsafe Dams
The first step toward rectifying dam-safety issues is to identify safety
deficiencies. Such deficiencies are often identified by engineers during informal
inspections, or during formal inspections conducted by senior engineers. Formal
inspections are generally conducted after major seismic or weather events, and on a
periodic basis. As described below, the frequency and type of periodic inspections
varies across agencies.
Inspections of Federal Dams. Each of the six federal agencies that owns
dams is responsible for maintaining dam safety by performing maintenance,
inspections, and rehabilitation work. The Federal Guidelines for Dam Safety,
established in 1979 by President Carter, provide basic guidance for agencies’ dam
safety programs. Specifically, this document recommends that agencies formally
inspect each dam at least once every five years. As shown in Table 2, however, most
agencies under the Department of the Interior require more frequent inspections.
These inspections are typically funded through the agencies’ operations and
maintenance (O&M) budgets.
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Table 2. Agency-Owned Dams by Hazard Level
and Frequency of Formal Inspections
Agency
Number of Dams by Hazard Level
Frequency of
Formal
Inspectionsa
Total
Significant High
Department of Agriculture
Forest Service
326
70
29
5 years
Department of Defense
Air Force
29
0
0
5 years
Army
191
24
30
5 years
Corps of Engineers
608
90
470
5 years
Navy
34
4
4
5 years
Department of the Interior
Bureau of Reclamation
435
24
343
3 years
Bureau of Indian Affairs
64
19
44
3 years
Bureau of Land Management
2
2
0
3 years
Fish and Wildlife Service
177
22
11
2.5 years
National Park Service
72
30
13
5 years
Department of State
International Boundary
7
1
5
5 years
Water Commission
Tennessee Valley Authority
83
15
63
5 years
Department of Energy
16
2
1
5 years
Source: NID Data, 2006.
a. Inspection frequency obtained from agency officials in Nov. 2004.
Inspection of Nonfederal Dams. Inspecting nonfederal dams is generally
a state responsibility, but the states are often poorly funded. According to the
Association of State Dam Safety Officials, 10 state regulators are needed for every
250 dams to do the best job of carrying out their responsibilities.31 However, the
average number of dams per FTE is 395 and only two states (CA and FL) and one
territory (PR) have the recommended number of staff.32
31 Association of State Dam Safety Officials, Model State Dam Safety Program (1998).
32 Association of State Dam Safety Officials, State By State Statistics on Dams and State
Safety Regulation — 2004.
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Federal Involvement. While regulating nonfederal dams is generally a state
responsibility, the federal government has assumed regulatory authority over certain
nonfederal dams. As described below, two federal agencies — the Federal Energy
Regulatory Commission (FERC) and the Department of Labor’s Mine Safety and
Health Administration (MSHA) — participate in inspections of certain private dams.
In addition, the NRCS may become involved with inspections at the dams it
constructed.
Private Hydropower Dams. Under the 1920 Federal Power Act, FERC
(formerly the Federal Power Commission) regulates more than 2,500 nonfederal
hydropower dams.33 Pursuant to the Federal Guidelines on Dam Safety and FERC
Order 122,34 FERC’s regional engineers are to inspect each high-hazard dam annually
and outside consultants are to inspect these dams every five years. Low-hazard dams
are to be inspected every three years. The federal government recovers the costs of
these and FERC’s other activities from the hydropower industry. In general, FERC’s
dam safety program has received positive recognition.35
Private Mining Dams. Under the Mine Safety and Health Act (1977),36 the
Department of Labor’s Mine Safety and Health Administration regulates 745 private
dams. Under these regulations, dams used for surface mining are normally inspected
every two years and those used for underground coal mines are to be inspected every
four years.37
NRCS Constructed Flood Control Dams. Since 1948, the NRCS constructed
more than 10,500 flood control dams. These dams were turned over to local entities
under contracts that stipulate their responsibility for operation and maintenance of the
dams. Therefore, the dam owners are responsible for conducting inspections
pursuant to state regulations. As resources permit, however, NRCS may use funding
appropriated under the Small Watershed Rehabilitation Act38 to help dam owners
assess specific structural or operational problems. In certain situations, NRCS will
conduct an inspection as part of this assessment process.
33 FEMA Report, 2000-2001, pp. 8-9. Of these 1,775 are included in the NID (261
significant-hazard and 697 high-hazard dams).
34 Federal Energy Regulatory Commission, Order 122, 46 Fed. Reg. 9036 (Jan. 28, 1981),
18 C.F.R. §12.
35 U.S. Dept. of Energy, Office of the Inspector General, FERC Dam Safety Program,
DOE/IG 0486, (Oct. 2000).
36 Mine Safety and Health Act, P.L. 91-173, as amended by P.L. 95-164 (30 U.S.C. §801).
See [http://www.msha.gov/REGS/ACT/ACTTC.HTM].
37 Discussion with Kelvin Wu, Chief, Mine Waste & Geotechnical Engineering Division,
Mine Safety and Health Administration, Washington, DC, on Nov. 19, 2004.
38 Small Watershed Rehabilitation Act, part of the Grain Standards and Warehouse
Improvement Act of 2000, P.L. 106-472, § 313.
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As amended by §2505 of the 2002 farm bill (P.L. 107-171),39 the Small
Watershed Rehabilitation Program is authorized to receive both mandatory funding
through the Commodity Credit Corporation and discretionary funding to be
authorized through agriculture appropriations each year. Mandatory funding amounts
were to start at $45 million in FY2003 and increase by $5 million each year through
FY2007, while discretionary funding was to start at $45 million in FY2003 and grow
by $10 million each year through FY2007. To date, congressional appropriators have
prohibited mandatory funding each year while providing a portion of the
discretionary funding that had been authorized. Actual appropriations were $29.8
million in FY2003, $29.6 million in FY2004, $27.3 million in FY2005, and $31.2
million in FY2006. The FY2007 budget request was $15.3 million, but the House
authorized $31.2 million (H.Rept. 109-463) and the Senate the same amount as the
House (S.Rept. 109-266).
Dam Rehabilitation
Federal Dam Rehabilitation
After dam safety deficiencies have been identified, rehabilitation activities
should be undertaken. However, most federal agencies do not have funding available
to immediately undertake all non-urgent repairs. Rather, they generally prioritize
their rehabilitation needs — based on various forms of risk assessment — and
schedule these activities in conjunction with the budget process. At some agencies,
dam rehabilitation needs must compete for funding with other construction projects.
Rehabilitation activities at the two major dam-owning agencies are described below.
Department of Defense, U.S. Army Corps of Engineers. At the Corps,
most dam deficiencies are addressed through the normal operation and maintenance
(O&M) procedures. However, “rehabilitation or modification of Corps’ dams for
safety purposes is accomplished through the Major Rehabilitation Program and the
Dam Safety Assurance Program.”40 The purpose of the Major Rehabilitation
Program “is to allow accomplishment of significant, costly, one-time structural
rehabilitation or major replacement work (other repairs related to dam safety are
accomplished under the normal O&M program)” 41 This program does not apply to
facilities that were turned over to local interests for operation, maintenance, and
major replacements after they were constructed by the Corps. The Dam Safety
Assurance Program, however, applies to all dams built by the Corps regardless of
current ownership. Specifically, this program “provides for modification of
completed Corps dam projects which are potential safety hazards in light of current
engineering standards and criteria.... This program is intended to facilitate upgrading
39 Small Watershed Rehabilitation Program, part of the Farm Security and Rural Investment
Act of 2002 (2002 Farm Bill), P.L. 107-171 § 2505.
40 Army Corps of Engineers, Dam Safety Preparedness, EP1110-2-13 (June 1996), p. 5-1.
41 Ibid.
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of those project features which have design or construction deficiencies.”42 The
Corps schedules rehabilitation under all of these programs based on funding
availability.
U.S. Department of the Interior, Bureau of Reclamation. After
Reclamation’s engineers conduct dam safety inspections, through the Safety
Evaluation of Existing Dams (SEED) account, any corrective action is carried out
through the Initiate Safety of Dams Corrective Action program (ISCA).43 Authority
for Reclamation’s dam safety program originates in the Reclamation Safety of Dams
Act of 1978 (P.L. 95-578) and 1984 amendments (P.L. 98-404). Through ISCA
appropriations, Reclamation focuses funding on priority structures “based on an
evolving identification of risks and needs.” Prior to recent legislation, Reclamation
needed to submit a report to Congress for approval of modifications exceeding
$750,000. The 108th Congress increased that ceiling to $1,250,000.44 Costs incurred
due to “age and normal deterioration of the structure” are considered normal
operating costs and are cost-shared, with rates depending on the purposes for which
the structure was constructed (project purposes). Furthermore, “modifications
resulting from new hydrologic or seismic data or changes in the state of the art
criteria” are cost-shared, with 15% of the costs paid by the project purposes.
Rehabilitating Nonfederal Dams
In 2002, a Task Committee of the Association of State Dam Safety Officials
estimated that $36.2 billion is needed to rehabilitate nonfederal dams and that $10.1
billion is needed by 2014 for repairs to “the nation’s most critical dams.”45
Responsibility to undertake this rehabilitation generally falls to dam owners.
State Rehabilitation Funding. While the federal government does provide
some direct funding for rehabilitating nonfederal dams, states and dam-owners bear
the brunt of the costs. Most states have little funding to repair their own dams, let
alone those dams owned by local governments, public utilities, and private entities.
According to a Task Committee of the Association of State Dam Safety Officials (the
Task Committee), in 2003, nine states — AZ, MA, MD, NJ, NY, OH, PA, UT, and
WI — have loan or grant programs to repair unsafe dams. These programs generally
focus on publicly owned dams. Additional information on these programs is
provided in the Task Committee’s 2003 report and is recreated in Table 3.46
42 Ibid.
43 FY2001 Bureau of Reclamation Budget Justifications, p. BW-384.
44 A Bill to Authorize Additional Appropriations for the Reclamation Safety of Dams Act
of 1978, P.L. 108-439.
45 A Task Committee of the Association of State Dam Safety Officials, The Cost of
Rehabilitating our Nation’s Dams: A Methodology, Estimate, and Proposed Funding
Mechanisms (Dec. 2002, Revised Oct. 2003), p. 4. See [http://www.damsafetycoalition.org/
files/pdf/asdsoreport.pdf].
46 Ibid.
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Table 3. State Grants for Dam Rehabilitation as of October 2003
State
Program
Program
Source and
Eligibility
Loan/Grant
Term of Loan
Type
Name
Amount of
Amount
Funding
AZ
Loan or
Dam Repair
Legislature,
State engineer
Loan for the
Term of loan is
Grant
Lien fund,
determines dam
cost of the
up to 20 years at
Inspection
to be dangerous
project, or
3-6% interest
fees, filing
to life, non-
grant for a
depending on
fees, principal
emergency
portion of
the length
and interest
project costs
from previous
loans
MD
Loan and
Maryland
State Agency/
Counties,
planning
Environmental
Non-profit
utilities and
assistance
Service
Corporation
private groups.
Need to have
established
service district
for water
supply,
resource
reclamation,
dredging or
storm water
MA
Grants
Funding
Local
75% of the
through Dept.
communities
project, local
of
for repairs or
share can be
Environmental
removal
in-kind
Management.
contributions
No new
appropriation
as of Oct.
2003.
NJ
Revolving
Dam
$20M-$5M
Local units of
Cost of
Up to 20 years
loan fund
Restoration
for state high
governments,
project for
at 2% assessed
and Clean
hazard dams,
private owners
loans
against real
New grant
Water Trust
$15M loans.
can be co-
Up to 100%
estate benefitted
fund for
Fund
In 2000 an
applicants
for grants
municipally
additional
owned dams
$9.5a was
added
NY
Grants
Clean
$17M bonding
Municipality
75% of
Water/Clean
for dam safety
eligible
Air Bond Act
projects
project (25%
local match)
$300,000 cap
per project
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State
Program
Program
Source and
Eligibility
Loan/Grant
Term of Loan
Type
Name
Amount of
Amount
Funding
OH
Revolving
Ohio Water
Revolving
Owner must
5-25 years at
loan fund
Development
loan fund
under mandate
lower than
Authority
from ODNR
market rate
Dam Safety
Loan Program-
local units of
government,
state districts
Dam Safety
Linked Deposit
Program-
private
ownership/orgs
PA
Revolving
Pennvest
Revolving
Projects
Up to cost of
20-30 years at
loan fund
loan fund, $2B
associated with
project
low interest
from state
wastewater,
general
water supply or
purpose funds
stormwater
UT
Loans or
Utah Board of
$4.5a from
High hazard
80-95% grant
grants
Water
general
dam owners.
for irrigation
Resources
revenue and
Mandated
or water
0.8 cent sales
repairs
supply dams,
tax (created
loans or
originally to
grants for
deal with
other owners
flood control
problems)
WI
Grants
DNR
$11.5M of
Local units of
50-50 grants
Municipal
bonding over
government and
up to a
Dam Grant
10 years.
Lake Districts
$200,000
Program
Currently fully
maximum
subscribed
Source: Association of State Dam Safety Officials. The Cost of Rehabilitating Our Nation’s Dams: A Methodology,
Estimate and Proposed Funding Mechanism (Dec. 2002, Revised Oct. 2003). Appendix B. See
[http://www.damsafetycoalition.org/files/pdf/asdsoreport.pdf].
a Units not included in source table.
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Federal Funding. While the federal government does help fund
improvements to state dam programs, little federal funding is available for
rehabilitating nonfederal dams. FEMA and the NRCS are the primary sources of
federal support for nonfederal dam rehabilitation.
FEMA. As described above, the Department of Homeland Security, through
FEMA, runs the National Dam Safety Program which offers training and other
assistance to state dam safety programs, though it generally does not provide
rehabilitation funding. Pending legislation in the 109th Congress (H.R. 1105 and S.
2444) would extend the NDSP and authorize funding through FY2011 and would
provide a total of $350 million to FEMA for a grant program for states to rehabilitate
and repair publicly owned dams. Authorized funding would be $50 million for
FY2007 and $100 million annually through FY2011. Through other programs,
FEMA may provide assistance to reduce the flood damage a failure would cause.47
However, this assistance generally does not include funding for rebuilding or
rehabilitating dams.
NRCS. Many upstream flood control dams were built with assistance from the
NRCS and turned over to local sponsors. Many of these dams are now nearing the
end of their design life and some have significant rehabilitation needs. The NRCS
has estimated that more than $540 million is needed to rehabilitate these dams.48 In
2000, Congress passed, and the President signed, legislation authorizing $90 million
in discretionary funding over five years to rehabilitate aging flood-water retention
projects. Funds are to be allocated based on an annual ranking of requests for
rehabilitation assistance.49 For FY2002, Congress appropriated $10 million for this
dam rehabilitation program.
For FY2003, the Administration did not include the program in its budget
request. However, the Farm Security and Rural Investment Act of 2002,50 which
established the Small Watershed Rehabilitation Program, includes $275 million in
mandatory funding for the program through FY2007. The Small Watershed
Rehabilitation Program is significant because it is the first federal initiative to
dedicate funding assistance to repair nonfederal dams (rather than tear down or build
new dams). It uses a cost-share formula providing for 65% federal funding and 35%
local funding. In the past, cost sharing has been an equal responsibility of the federal
government and local sponsors for most purposes.
Other Agencies. In general, federal agencies such as the Corps and
Reclamation do not rehabilitate nonfederal dams. As described above, however, the
Corps does sometimes repair structural deficiencies that resulted from its
participation in the design or construction of the nonfederal dam. Though quite rare,
47 See FEMA’s Mitigation Grant Programs at [http://www.fema.gov/government/grant/
index.shtm].
48 NRCS Report, 2000, pp. 1, 15.
49 The Grain Standards and Warehouse Improvements Act of 2000, P.L. 106-472, §313.
50 Small Watershed Rehabilitation Program, part of the Farm Security and Rural Investment
Act, P.L. 107-171, §2505.
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Congress has also directed federal agencies to use their dam safety appropriations to
rehabilitate a nonfederal dam that it did not help design or build.51 However,
representatives from the Corps and Reclamation have testified that they do not
support such congressional direction.52
Conclusions
As the nation’s dams age and development continues in floodplains, the
structural integrity of this infrastructure will become a more significant public safety
issue. In the aftermath of Hurricane Katrina, it is likely that dams’ planned capacity
to withstand floods and other natural disasters will come under increased scrutiny.
However, it is unclear to what extent there will be a widespread re-evaluation of
flood and earthquake ratings at high-hazard dams. Such an evaluation could raise
additional policy questions. For example: (1) what criteria should be used to
determine whether current risks are acceptable; (2) if risks are not acceptable, should
the dam be improved, or should other activities (e.g., changes to the design and or
placement of downstream development) be undertaken; and (3) who will pay?
Regardless of whether dams were constructed to withstand an earthquake or
flood of appropriate magnitude, they may have age-related deficiencies that need to
be corrected to maintain current levels of safety. Therefore, it is likely that
appropriations requests for safety inspections and rehabilitation activities will
continue. It should be noted, however, that there currently are no clear criteria for
prioritizing dam rehabilitation funding across agencies.
It is also unclear to what extent the federal government will fund inspection and
rehabilitation activities at nonfederal dams. Through the National Dam Safety
Program, the federal government provides training and assistance to state dam safety
programs; authorization of appropriations for this program — absent reauthorization
by Congress — expires in FY2006. Further, Congress has authorized appropriations
for rehabilitation activities at several nonfederal dams. While there is likely to be an
increasing demand for such assistance, there is currently no federal policy that
describes the conditions under which federal funding is appropriate, nor has Congress
established criteria for prioritizing funding among nonfederal projects.
51 See, for example, Goshen Dam, VA. Information from Charles Pearre, U.S. Army Corps
of Engineers, Washington, DC, on Feb. 2, 2005.
52 U.S. Congress, Senate Committee on Energy and Natural Resources, Subcommittee on
Water and Power, Miscellaneous Water and Hydroelectric Project Bills, Hearing 108-271
(108th Congress), p. 28.