National Dam Safety Program (97.041)
Program
97.041 National Dam Safety Program
Federal Agency
DEPARTMENT OF HOMELAND SECURITY
Authorization
Water Resources Development Act of 1996, Section 215, Public Law 104-303.
Program Number
97.041
Last Known Status
Active
Objectives
To encourage the establishment and maintenance of effective State programs intended to ensure dam safety, to protect human life and property, and to improve State dam safety programs.
Types of Assistance
Project Grants.
Uses and Use Restrictions
A primary goal of Public Law 104-303 is to encourage the establishment and maintenance of effective State dam safety programs and to provide financial assistance incentives to States that are moving toward improved safety of nonfederal dams in their States. Public Law 104-303 provides for the two-tiered assistance program described below. Primary Assistance: For a State to be eligible for primary assistance under the National Dam Safety Program, the State's dam safety program must be working toward State dam safety program that is authorized by State legislation to include substantially at a minimum the following criteria and budgeting requirements: 1) The authority to approve plans and specifications to construct, enlarge, modify, remove, and abandon dams; (2) the authority to perform periodic inspections during dam construction to ensure compliance with approved plans and specifications; 3) a requirement on completion of dam construction, State approval be given before operation of the dam; 4) the authority to require or perform the inspection at least once every 5 years of all dams and reservoirs that would pose a significant threat to human life and property in case of failure to the dams and reservoirs to determine the continued safety of and a procedure for more detailed and frequent safety inspections; and 5) a requirement that all inspections be performed under the supervision of a State-registered professional engineer with related experience in dam design and construction; 6) the authority to issue notices, when appropriate, to require owners of dams to perform necessary maintenance or remedial work, revise operating procedures, or take other actions, including breaching dams when necessary; 7) regulations for carrying out the legislation of the State described in this paragraph; 8) the provision for necessary funds to ensure timely repairs or other changes to or removal of a dam to protect human life and property, if the owner of the dam does not take the action described above, to take appropriate action as expeditiously as possible; 9) A system of emergency procedures to be used if a dam fails or if the failure of a dam is imminent; and 10) an identification of each dam the failure of which could be reasonably expected to endanger human life, the maximum area that could be flooded if the dam failed, and necessary public facilities that would be affected by the flooding. For a State to qualify for primary assistance, State appropriations must be budgeted to carry out the legislation of the State as described in this paragraph. Advanced Assistance: For a State to qualify for advanced assistance under Public Law 104-303, the State dam safety program must meet the criteria and budgeting requirements listed above for primary assistance. Also, the State must be working toward advanced requirements and standards established by the National Dam Safety Review Board (Board) and the Director of the Federal Emergency Management Agency (FEMA), with the assistance of established criteria such as the Model State Dam Safety Program, FEMA 316, April 1987, as amended. More advanced requirements and standards include but are not necessarily limited to the following: Legislation; Regulations; Permitting/Approval of Plans; Inspections; Enforcement Capabilities; Emergency Response; Program Staffing and Funding; Education and Training; and Public Relations Plans.
Eligibility Requirements
Applicant Eligibility
All States are eligible for the National Dam Safety Program Assistance for State Dam Safety Programs including the territory of Puerto Rico.
Beneficiary Eligibility
The State Dam Safety Program Office of eligible States.
Credentials/Documentation
A State application is required. The application form is provided by FEMA's National Dam Safety Program Office and the State dam safety office must complete the application, sign it, and return all appropriate documentation.
Application and Award Process
Preapplication Coordination
None. This program is excluded from coverage under E.O. 12372.
Application Procedure
A State wishing to participate in the Program must submit to the Director of FEMA a proposal in the format provided on or before October 1 of each fiscal year through FY 2002. The State proposal must include information on the existing dam safety program, including the following: The number of full time employees in the dam safety program; the annual budget; appropriations for the two preceding years; status of the State's compliance with the basic criteria identified in Section 8(f)(2)(A) of Public Law 104-303. Documents verifying the status of the State's compliance with the criteria listed in Section 8(f)(2)(A) of Public Law 104-303. A description of the proposal to improve the State's dam safety program, including the specific basic criteria the proposal seeks to improve and a description of the final product or outcome verifying accomplishment of proposed goals; and the signature of the State dam safety official confirming the accuracy of the submittal.
Award Procedure
FEMA makes the award to the State Dam Safety Program Office. NOTE: The total award is to go directly to the State Dam Safety Program Office unencumbered by overhead and other pass- through charges. The total award is to be used as specified in the approved application.
Deadlines
Applications should be submitted to FEMA by November 30 of each fiscal year.
Range of Approval/Disapproval Time
Appeals
Not applicable.
Renewals
Each subsequent fiscal year a State dam safety office must apply for financial assistance incentives. The amount of funding is contingent upon acceptability of the work plan in the application and the amounts made available for primary assistance to be allocated to the States using the one-third/two-third formula in Public Law 104-303, Section 215.
Assistance Considerations
Formula and Matching Requirements
For fiscal year 2002, the amount authorized to be appropriated for financial assistance for State dam safety programs is $4,000,000. Amounts made available to be allocated to the States will be as follows: 1) One-third among States that qualify for assistance under Section 8(f) of Public Law 104-303; and 2) Two-thirds among States that qualify for assistance under Section 8(f) of Public Law 104-303 to each State in proportion to: a)the number of dams in the State that are listed as State regulated dams on the National Inventory of Dams as compared to: b) the number of dams in all States that are listed as State regulated dams on the Inventory of Dams. The maximum amount of allocation to a State may not exceed 50 percent of the reasonable cost of implementing the State dam safety program. The Director and the Board shall determine the amount allocated to States needing primary assistance. There are no matching requirements for this program. 3) Federal assistance for a fiscal year is conditional upon the State maintaining aggregated expenditures of the State from all sources for programs to ensure dam safety for the protection of human life and property at or above a level at or above the average annual level of expenditures for the two preceding fiscal years.
Length and Time Phasing of Assistance
Period of Performance for a State dam safety program activity will be as agreed between the State and FEMA.
Post Assistance Requirements
Reports
Quarterly financial reports, a final project report, due the third quarter, to the FEMA National Dam Safety Program Office.
Audits
In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $300,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $300,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.
Records
Records and accounts are to be retained, generally for 3 years as prescribed by OMB Circular Nos. A-102 and No. A-110.
Program Accomplishments
Not applicable.
Financial Information
Account Identification
70-0700-0-1-999.
Obligations
(Grants) FY 02 $4,000,000; FY 03 est $3,500,000; and FY 04 est not available.
Range and Average of Financial Assistance
$26,117 to $280,784.
Regulations, Guidelines and Literature
FEMA Performance Office of Partnership Agreement and Cooperative Agreement guidance, Office of Financial Management Modular Instruction, FEMA's National Dam Safety Program Implementation Plan (Sept 97).
Related Programs
97.023, Community Assistance Program_State Support Services Element (CAP-SSSE).
Information Contacts
Regional or Local Office
See Appendix IV of the Catalog for list of addresses of Federal Emergency Management Agency Regional Offices.
Headquarters Office
Department of Homeland Security 245 Murray Drive, SW., Washington, DC 20528 Telephone: (202) 282-8000.
Web Site Address
Examples of Funded Projects
Not applicable.
Criteria for Selecting Proposals
Demonstration in the work plan of the State's commitment and ability to develop and/or implement a viable State dam safety program.
