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1 army Corps of Engineers 2013 Independent External Peer Review of the USACE Dam safety Program November 22, 2013 Page 2 Schnabel Engineering Consultants, Inc. Project 2013 All Rights Reserved Distribution (email only): USACE RMC Attn: Mr. Tom Bishop Attn: Mr. Chris Hogan USACE LRL Attn: Mr. Dan Corrigan army Corps of Engineers 2013 Independent External Peer Review of the USACE Dam safety Program November 22, 2013 Page i Schnabel Engineering Consultants, Inc. Project 2013 All Rights Reserved FINAL REPORT: 2013 INDEPENDENT EXTERNAL PEER REVIEW USACE DAM safety PROGRAM TABLE OF CONTENTS ACKNOWLEDGEMENTS.

2 1 EXECUTIVE SUMMARY .. 2 INTRODUCTION .. 6 Purpose and Scope of Independent External Peer Review .. 6 IEPR Team .. 7 Federal guidelines for Dam safety .. 8 Risk-Informed Management for Dam safety .. 8 USACE DAM safety PROGRAM .. 10 Overview and History .. 10 safety of Dams Policy and Procedures (ER 1110-2-1156) .. 13 Organization .. 13 Processes .. 17 2001 Peer Review .. 18 2013 Survey Questionnaire .. 18 FINDINGS AND RECOMMENDATIONS .. 20 The Charge .. 20 Subject Areas and Categories .. 21 Organization and Management .. 21 2013-B-01: Full Time Position in HQUSACE Dedicated to the Dam safety Program Leadership and Management .. 22 2013-B-02: HQUSACE Oversight and Strategic Leadership of the Dam safety Program.

3 23 2013-C-03: Dam safety Team Unity .. 23 2013-C-04: Adaptation to Change .. 24 Dam safety Policies and Procedures .. 25 2013-B-05: Peer Review of ER 1110-2-1156 .. 25 2013-B-06: USACE Engineering Manuals and Regulations .. 26 Risk-Informed Management .. 26 2013-D-07: General Direction of Program with Regard to Risk Management .. 27 2013-C-08: Complying with OMB Guidance .. 28 2013-B-09: Frequency of Flooding and Use of the PMF Standard .. 29 2013-C-10: Consistency/Quality of Risk Cadres .. 30 2013-C-11: Risk Analyses Performed as Part of Periodic Assessments .. 31 2013-B-12: Operational Risks .. 31 army Corps of Engineers 2013 Independent External Peer Review of the USACE Dam safety Program November 22, 2013 Page ii Schnabel Engineering Consultants, Inc.

4 Project 2013 All Rights Reserved 2013-C-13: Broad Based Application of Risk-Informed Management .. 32 2013-B-14: Evaluation of Uncertainties in Risk Analysis .. 32 2013-B-15: Systems-Based Risk Evaluation .. 34 2013-B-16: Seismic Hazard Analysis .. 34 Emergency Preparedness .. 35 2013-A-17: Emergency Management Procedures Oversight and Implementation .. 35 2013-A-18: Decision-Making for Time Critical Emergencies .. 37 Dam safety Program Implementation .. 38 2013-A-19: Surveillance and Instrumentation .. 38 2013-B-20: Data Management .. 39 2013-C-21: Budgeting for Routine Activities .. 40 2013-C-22: Roles of RMC, DSMMCX, and DSPCs .. 41 2013-B-23: Technical Review Processes.

5 43 2013-C-24: Project Design and Construction Costs .. 45 2013-C-25: IRRM Financial Impacts .. 47 Technical Capabilities for Dam Engineering .. 48 2013-B-26: Resources and Expertise .. 49 Summarizing the State of the USACE Dam safety Program .. 50 Independent External Peer Review Lessons 55 IEPR Panel Consensus .. 57 Summary and Follow Up .. 57 APPENDICES Appendix A: USACE Statement of Work Appendix B: List of Documents Provided by USACE Appendix C: Information from IEPR Visits Appendix D: 2001 ASDSO Peer Review Report Executive Summary Appendix E: 2013 USACE Survey Questionnaire Appendix F: IEPR Team Bios LIST OF ACRONYMS USED IN THIS REPORT ASDSO Association of State Dam safety Officials ATR Agency Technical Review CEATI Centre for Energy Advancement through Technological Innovation CIPR Critical Infrastructure Protection and Resilience COI Conflicts of Interest DDR Design Document Reports DSAC Dam safety Action Classifications DSM Dam safety Modification DSMMCX Dam safety Modification Mandatory Center of Expertise DSMR Dam safety Modification Report DSO Dam safety Officer army Corps of Engineers 2013 Independent External Peer Review of the USACE Dam safety Program November 22, 2013 Page iii Schnabel Engineering Consultants, Inc.

6 Project 2013 All Rights Reserved DSOG Dam safety Oversight Group DSPC Dam safety Production Center DSPCSC Dam safety Production Center Steering Committee DSPM Dam safety Program Manager DSPMT Dam safety Project Management Tool DSSC Dam safety Steering Committee EAP Emergency Action Plan EC Engineering Circular EMA Emergency Management Agencies ER Engineering Regulation FCCSET Federal Coordinating Council for Science, Engineering and Technology FEMA Federal Emergency Management Agency FERC Federal Energy Regulatory Commission GAO Government Accountability Office H&H Hydrology and Hydraulics HQ Headquarters HQUSACE Headquarters United States army Corps of Engineers IEPR Independent External Peer Review IES Issue Evaluation Study IRRM Interim Risk Reduction Measures IWR Institute for Water Resources LRL Louisville District M&I Municipal and Industrial MMC Mapping.

7 Modeling and Consequences Production Center MSC Major Subordinate Command NAS National Academy of Sciences NEPA National Environmental Policy Act NWD- Northwest Division NWP Portland District O&M Operation and Maintenance OMB Office of Management and Budget OMRR&R Operation, Maintenance, Repair, Replacement and Rehabilitation PA Project Assessment PI Project Inspection PMF Probable Maximum Flood POA Alaska District POD Pacific Ocean Division PRQCP Peer Review Quality Control Plan PSHA - Probabilistic Seismic Hazard Analysis RMC Risk Management Center SOW Statement of Work SWD Southwest Division SWT Tulsa District USACE United States army Corps of Engineers USGS United States Geological Survey WRDA Water Resources Development Act army Corps of Engineers 2013 Independent External Peer Review of the USACE Dam safety Program November 22, 2013 Page 1 Schnabel Engineering Consultants, Inc.

8 Project 2013 All Rights Reserved ACKNOWLEDGEMENTS This report provides the results of the 2013 Peer Review of the United States army Corps of Engineers' (USACE) Dam safety Program by an Independent External Peer Review (IEPR) Team. The review was performed during the time period of May to October 2013, with the report finalized in November 2013, following a briefing meeting at HQUSACE on October 22, 2013. The IEPR Team acknowledges the significant amount of time, effort and support provided by USACE personnel that went into making this review meaningful. The candid participation of representatives from HQUSACE, the DSSC, the DSOG, and staff from RMC, NWD, NWP, POD, POA, RMC, SWD and SWT is gratefully acknowledged, along with the efforts of individuals from across USACE that supported this effort with thoughtful and incisive survey responses.

9 The IEPR Team appreciates the effort expended by staff at all levels in following up on requests, preparation of materials for review, candor in answering questions, courtesies extended, and the general cooperation and assistance throughout the IEPR process. In particular, the IEPR Team acknowledges the support of Tom Bishop (RMC) in managing the IEPR for USACE. In addition to responding promptly to requests for additional information, he provided valuable information regarding the organization and workings of USACE. Respectfully submitted, Randall Bass, PE, Principal, Schnabel Engineering David Campbell, PE, Senior Consultant, Schnabel Engineering Daniel Mahoney, Director, FERC Dam safety and Inspection (retired) Martin W.

10 McCann, Jr. PhD, President, Jack R. Benjamin & Associates Gregory Paxson, PE, Principal, Schnabel Engineering army Corps of Engineers 2013 Independent External Peer Review of the USACE Dam safety Program November 22, 2013 Page 2 Schnabel Engineering Consultants, Inc. Project 2013 All Rights Reserved EXECUTIVE SUMMARY The army Corps of Engineers (USACE) contracted with Schnabel Engineering Consultants, Inc. (Schnabel) to perform an Independent External Peer Review (IEPR) of the USACE Dam safety Program. This report summarizes the results of the IEPR, performed between May and October, 2013. As described in the Statement of Work (SOW), an objective of the IEPR is to examine how well the USACE is implementing the federal guidelines for dam safety and executing it s stated mission.