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INSIDE FERC Northwest Hydroelectric Association 2019 Annual Conference Portland, Oregon February 21, 2019
INSIDE FERC
Northwest Hydroelectric Association
2019 Annual Conference
Portland, Oregon
February 21, 2019
The Commission
Commissioner
Bernard L. McNamee
Chairman Neil Chatterjee
Commissioner Cheryl A. LaFleur
Commissioner Richard Glick
Licensees
Resource agencies
Tribes
NGOs
Local stakeholders
LICENSE ADMINISTRATION & COMPLIANCE
FERC’S HYDROPOWER
PROGRAM
OGC
OGC: Roles & Responsibilities
• Evaluates proposed actions for legal, policy, and
procedural consistency
• Prepares, in collaboration with the other staff
offices, draft orders, notices of proposed
rulemaking, policy statements, final rules, and
other documents to be considered or issued by the
Commission
• Verifies that materials are legally sound and take
into account the legal and policy precedents
established by the Commission
Laws and Regulations
CW
A
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MA
NH
PA
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PA
NE
PA
FPA
18 C.F.R. Parts 1-399
Commission Issuances
Delegated vs Commission Matters
§ 375.308 delegations to OEP
§ 375.301(c) contested case defined
Requests for Rehearing
Appeals
Rulemakings, policy statements
New and Noteworthy
Recent Court cases:
Hoopa Valley Tribe v. FERC (January 25, 2019)
North Carolina v. FERC (January 18, 2019)
American Rivers v. FERC (July 6, 2018)
America’s Water Infrastructure Act of 2018 –
Final Rule issued February 21, 2019
Impacts of Dec 2018-Jan 2019 government
shutdown
Hydropower Program
Licensees
Resource agencies
Tribes
NGOs
Local stakeholders
LICENSE ADMINISTRATION & COMPLIANCE
OGC
Office of Energy Projects
Director Terry Turpin
Deputy Director John Wood
Senior Policy Advisor Heather Campbell
Division of Pipeline
Certificates
Division of Gas- Environment &
Engineering
Division of
Hydropower Licensing
Division of Hydropower Administration &
Compliance
Division of Dam Safety & Inspections
Energy Infrastructure
Policy Group Assistant Director
Management & Operations
Certificates Branch 1
Certificates Branch 2
Gas Branch 1 New England Branch
South Branch
Northwest Branch
West Branch
Land Resources
Branch
Engineering Resources
Branch
Environmental Review Branch
Washington Office
Risk Informed Decision Making
Branch
Atlanta Regional Office
Chicago Regional Office
New York Regional Office
Portland Regional Office
Mid-Atlantic Branch
Midwest Branch
Gas Branch 2
Gas Branch 3
LNG Branch 1
Gas Branch 4 Aquatic
Resources Branch
San Francisco Regional Office LNG Branch 2
DHL Branches
Branch Geographic Regions
Northwest Branch
Jennifer Hill, Chief
(202) 502-6797
West Branch
Timothy Konnert, Chief
(202) 502-6359
Midwest Branch
Janet Hutzel, Chief
(202) 502-8675
South Branch
David Turner, Chief
(202) 502-6091
Mid-Atlantic Branch
John Smith, Chief
(202) 502-8972
New England Branch
Robert Easton, Chief
(202) 502-6045
Branch Geographic Regions
Northwest Branch
David Turner, Chief
(202) 502-6091
West Branch
Timothy Konnert, Chief
(202) 502-6359
Midwest Branch
Janet Hutzel, Chief
(202) 502-8675
South Branch
Stephen Bowler, Chief
(202) 502-6861
Mid-Atlantic Branch
John Smith, Chief
(202) 502-8972
New England Branch
Nicholas Tackett, Chief
(202) 502-6783
DHL Responsibilities
Preliminary Permits
10-MW Exemptions
Original Licenses
New Licenses
(relicensing)
Pilot Licenses
Upcoming Relicensings
# o
f
Ap
plic
atio
ns
AWIA: Expedited Licensing
Process
Issue a rule establishing an expedited 2-year process for
issuing and amending licenses for existing nonpowered dams
and closed-loop pumped storage projects;
With the Secretaries of the Army, Interior, and Agriculture,
jointly develop a list of existing nonpowered Federal dams;
Hold a workshop not later than six months after the date of
enactment of the Act to explore potential opportunities for
development of closed-loop pumped storage projects at
abandoned mine sites.
AWIA Criteria for
Qualifying Nonpowered Dams
dam, dike, embankment, or other barrier:
(a) the construction of which was completed on or before the date of
enactment of the AWIA (i.e. October 23, 2018);
(b) that is or was operated for the control, release, or distribution of
water for agricultural, municipal, navigational, industrial, commercial,
environmental, recreational, aesthetic, drinking water, or flood control purposes;
and
(c) that, as of the date of enactment of the AWIA, is not generating
electricity with hydropower generating works that are licensed under, or
exempted from the license requirements contained in, Part I of the FPA.
AWIA Criteria for Qualifying Closed-Loop PS Projects
• cause little or no change to existing surface and ground water
flows and uses; and
• are unlikely to adversely affect species listed as a threatened
species or endangered species under the Endangered Species Act
of 1973
Application Criteria for
Expedited Processing
In addition to the license application requirements under sections 4.40, 4.50, and
4.60, a final application that includes a request for expedited processing under AWIA
2018 must include the following:
• ESA: a no effect determination that includes documentation that no listed species are
present at the proposed project site, documentation of concurrence from the Service(s)
on a not likely to adversely affect determination, or a draft Biological Assessment that
includes documentation of consultation with FWS
• WQC: A water quality certificate, a waiver of wqc, or proof that the state has
accepted a wqc application as complete
• Documentation that Section 106 consultation has been initiated with the SHPO and
any tribes identified as having an interest in the project
Application Criteria (cont.)
• Documentation of consultation with any non-federal owner of the
nonpowered dam if the applicant is not the owner
• If the project is proposed to be located at or use a federal dam, documentation
from the federal entity that owns the dam that non-federal hydropower
development is not precluded at the proposed location
• If the project would use any public park, recreation area, or wildlife refuge
established under state or local law, documentation from the managing entity
indicating it is not opposed to the site’s use for hydropower development.
Important Dates
ITF Workshop: 12/12/2018
Proposed NOPR: 1/31/2019
NOPR Comments Due: 3/11/2019
CLPS Workshop: April 2019
Final Rule: April 2019
Hydropower Program
Licensees
Resource agencies
Tribes
NGOs
Local stakeholders
LICENSE ADMINISTRATION & COMPLIANCE
OGC
DHAC Branches
Lands Resources Engineering Resources
Environmental and Project Review
Aquatic Resources
Bob Fletcher Kelly Houff Steve Hocking TJ LoVullo
• Historical/cultural • Non-project use • Recreation • Shoreline mgmt. • Encroachments • Property rights • Article 5 • Form 80 • Wildlife
• Capacity amend. • Ramping rates • Exhibits A, F, G • Conduit
exemptions • Erosion • Flooding • Project
operations • Annual charges • Mining/federal
land
• Jurisdiction • Navigation studies • EA/EIS • Part 12 support • Noxious weeds • Invasive species • Surrenders • Non-operating
projects
• Aquatic habitat • Dredging/
sedimentation • Fish passage • Water withdrawal • Wetlands • Water quality • Barrier nets • Dissolved oxygen • Water
temperature
DHAC Responsibilities
Administer licenses/track requirements
Authorize amendments, conduit exemptions, license surrenders, and license transfers
Inspect & record site conditions
Monitor license effectiveness
Investigate compliance issues
Work with the Office of Enforcement to issue penalties as necessary
DHAC Goals
Engage stakeholders in analysis and decision making
Provide the Commission with policy options,
recommendations and strategies relating to the approval
and oversight of hydroelectric projects
Increase compliance with licenses, thus decreasing
violations
Proactive Strategies
Outreach
Activities • Meet with
licensees and
stakeholders
• Participate in
conferences
Technical Workshops • Fish Passage
• Invasive Species Management
• Shoreline
Management
• Recreation
Transition
Meetings • Clarify
compliance
requirements
and
expectations
with the licensee
after a new
license is issued
Preventative Strategies
Use data from inspections,
monitoring, and filings to assist
licensees in understanding how
to comply
Help licensees achieve
compliance in practical and
effective ways
Increase the effectiveness of
license/exemption measures
Evaluating Compliance
Monitoring Plans and
Reports
Licensees’ Self-
Reporting
Stakeholders’
Reporting
Hotline, phone
calls, letters
Environmental
Inspections
Environmental Inspections
Ensure compliance with license terms and conditions:
Fish and wildlife
Recreation
Cultural resources
Public safety
Review physical and operational features of a project’s
facilities
Conducted by DC and Regional Office DHAC staff
Conducted periodically depending on project and
resources
Compliance Challenges
Ensuring compliance at large, multi-use projects,
particularly those with:
Complex settlement agreements
Increasing numbers of requirements
Conflicting requirements from different entities
Non-responsive licensees
We hope that through our outreach programs, inspections, and constant availability to licensees and stakeholders, we can reach the most licensees.
Improving Compliance
Licensees should:
Develop a compliance tracking system
Develop good working relationships
with the local community
Commit to open communication
Employ a diverse knowledgeable staff
Plan for addressing deviations from
license requirements
Compliance Review
revocation/ penalties
compliance orders, section
31(a) notice
violation letters
written warning recorded into compliance history
verbal guidance or warnings
transition meetings, technical workshops, inspections, brochures & guidance documents,
and open lines of communication
Hot Topics in Compliance
Increase in license transfers
Elimination of the FERC Form 80
AWIA of 2018 implementation
Extension requests for start of construction
Increased the size of projects eligible under the
qualifying conduit program
Staff retirements
DHAC and DHL
Review draft license orders from the Division of
Hydropower Licensing
Review for clarity and organization
Ensure license requirements are enforceable
Determine if required exhibits are inclusive and
applicable to the project
Prepare a Compliance History Report for each relicense
application
Determine an existing licensee’s record of compliance
with its existing license and the actions taken relating to
the project that affect the public
DHAC and D2SI
Review the environmental effects of Part 12 dam
safety actions
Dam safety repairs, upgrades, operation and
maintenance actions
Pacolet Hydroelectric Project
DHAC and D2SI
Consult with the resource agencies and comply
with other statutes
Prepare environmental assessments and analysis
Process any needed amendment applications
or requests for a temporary variance
Worumbo Hydroelectric Project Ottumwa Hydroelectric Project
Hydropower Program
Licensees
Resource agencies
Tribes
NGOs
Local stakeholders
LICENSE ADMINISTRATION & COMPLIANCE
OGC
Division of Dam Safety and
Inspections (D2SI) Mission
• Protecting life, health,
property and the
environment of regulated
projects by implementing
the Commission’s:
– Dam safety program
– Physical security program
– Cyber security program
– Public safety program
D2SI Mission Continued
Inspections to Identify Safety Issues
• Excessive Seepage
• Stability Issues
• Security Vulnerability
• Flood/Seismic Loading
D2SI
Mission
New Construction Projects
• Design Review/Construction
Oversight
Dam Safety
Emergency Response
D2SI - Organization
Headquarters & 5 Regional Offices
D2SI - Updates & Initiatives
https://www.ferc.gov/industries/hydropower/safety.asp
D2SI - Focused Spillway
Assessment Initiative
D2SI, DHL, and DHAC
Coordination
• DHL Coordination
– Pre-Licensing Inspections
– Constructability Review
• DHAC Coordination
– Exhibit Drawings/As-
Builts
– Construction
– Environmental Review
D2SI - Inspection Frequency
• Inspection Frequency
– High & Significant
hazard dams – annually
– Low hazard dams –
every 3 years
– Low hazard dams under
10 feet high – every five
years
– Conduit exemptions –
as needed
D2SI - Guidelines
• Chapter 11 – Arch Dams, March 2018
• Chapter 12 – Water Conveyance, August
2018
D2SI - Guidelines
• Chapter 13 – Evaluations of Earthquake
Ground Motions, May 2018
– DSHA vs. PSHA
– Ground motions:
• The median (50th-percentile) values for
faults with slip rates, SR ≤ 0.3 mm/year;
• The 84th-percentile values for faults with
slip rates, SR ≥ 0.9 mm/year.
• Relationship for 0.3<SR<0.9 mm/year
D2SI - Guidelines
• Chapter 14, Appendix H, Part 12D
CSIR, Section 7.0, January 2017
• Chapter 14, Appendix L, May 2017
– Detailed Radial Gate Inspection Reports
D2SI - Public Safety
Coordinator
• New position –March 2019
• Review and Revisions to 1992 Public
Safety Guidelines
Contact: Steve Hocking
(202) 502-8753
D2SI - RIDM
RIDM – Pilot studies are continuing at 8 projects;
There is still availability if others would like to
participate in the pilot program.
RIDM staff has been working with other professional
societies for upcoming risk training, including an AEG
risk workshop in April and USSD Best Practices in Risk
Analysis training later this year.
Contact: Douglas Boyer
(503) 552-2709
D2SI - Oroville
Oroville Status – DWR and Kiewit met the November 1,
2018 schedule to complete work on the service spillway
(FCO). Limited work is continuing at the site and most
site work should be completed by July 4, 2019.
• FERC After-Action Panel Report on Oroville Dam
Spillway Incident
• Independent Forensic Team Report Oroville Dam
Spillway Incident
Questions?
