Santa Clarita River Groins
Appeal Brief
Appeal Letter
Appeal Analysis
Citation: FEMA-1203-DR-CA; Ventura County Flood Control District; DSR 21068
Cross-reference: Pre-disaster damage, insufficient documentation
Summary: As a result of FEMA-1203-DR-CA in 1998, floodwater damaged six of eight erosion control structures extending from the south bank of the Santa Clara River. Damage Survey Report (DSR) 21068 was prepared on September 22, 1998, for $1,968,659 to repair flood damages and make improvements to the six groins. The groins were damaged three years earlier in the FEMA-1044-DR-CA event, but the Ventura County Flood Control District (District) elected not to perform the repairs. FEMA placed DSR 21068 in suspension pending receipt of documentation establishing the condition of the groins just prior to 1203-DR. On January 12, 2001, FEMA removed DSR 21068 from suspension and found it ineligible because the District had not submitted the requested documentation.
In the first appeal letter dated February 2, 2001, the District stated that although the groins were not repaired after the 1044-DR event, the structures were functioning during the FEMA-1046-DR-CA disaster a few months later. The District revised the proposed scope of work by eliminating the improvements. The District also submitted maintenance records from 1992 to June 2001. The Regional Director denied the first appeal because the maintenance records did not establish pre-disaster condition of the groins.
The District stated in the second appeal that the groins were 100 percent functional during and after the 1044 and 1046 events and submitted two aerial photographs of the groins taken on March 25, 1995 and March 8, 1998.
Issues: 1) Do the aerial photographs establish the pre-disaster condition of the facility? 2) Does the Districts failure to repair damages to the facility after FEMA-1044-DR preclude federal assistance for repair of damages incurred from FEMA-1203-DR?
Findings: 1) No. The aerial photographs do not demonstrate the structural integrity or the extent of maintenance of the groins just prior to 1203-DR; however, the absence of devastating floods in the intervening years implies that the facility was structurally intact. 2) No. The damage caused by the FEMA-1044 event was 1/10 the amount of damage caused by the FEMA1203-DR event. The appeal is approved in the amount of $294,590.
Rationale: 44 CFR § 206.223 (a) (1)
In early 1998, floodwater destroyed 80% of six erosion control structures on the Santa Clara River. The six structures are a subset of eight groins that the Ventura County Flood Control District (District) constructed in 1992 to reduce erosion to the south bank. A team of Federal, State and local representatives prepared Damage Survey Report (DSR) 21068 on September 22, 1998, for $1,968,659 to repair flood damages and make improvements to the six groins.
The groins were previously damaged by the FEMA-1044-DR-CA flood event in 1995. FEMA initially approved DSR 46489 for $70,400 to replace 1,600 cubic yards of 2-ton rock on the tips of the groins at $44 per cubic yard. However, the District elected not to perform the repairs and withdrew the request for funding.
In order to reduce the work eligible for reimbursement by the cost of repairing damages incurred prior to FEMA-1203-DR-CA, FEMA requested documentation from the District demonstrating the condition of the groins just prior to the 1203-DR event. FEMA suspended DSR 21068 pending receipt of these documents. As of January 12, 2001, FEMA had not received documentation establishing the pre-disaster condition of the structures. FEMA removed DSR 21068 from suspension and found the DSR ineligible for federal disaster funding.
First Appeal
On February 2, 2001, the District submitted a first appeal requesting FEMA prepare a DSR for $655,490 to restore the groins to pre-disaster condition. In the appeal letter, the District stated that although the damage to the groins incurred during the 1044-DR event were not repaired, the structures were functioning during and after the FEMA-1046-DR-CA flood a couple months later. The District also claimed that 1046-DR did not cause any additional damage. The District reduced the requested scope of work by eliminating the proposed improvements and subtracting the amount of DSR 46489 ($70,400). Enclosed with the appeal letter were the Districts maintenance records from 1992 to June 2001. The Governors Office of Emergency Services (OES) supported and forwarded the Districts first appeal to FEMAs Region IX Regional Director on April 2, 2001.
In a September 7, 2001, letter responding to the first appeal, the Acting Regional Director stated that the maintenance records documented placement of rip-rap and other repairs to the groins prior to 1044-DR but showed no work between 1044-DR and 1203-DR other than weed control and access road and fence maintenance. As the documentation submitted did not establish the pre-disaster condition of the structures, the Acting Regional Director denied the first appeal.
Second Appeal
The District again asserted in its November 26, 2001, second appeal letter, that the river groins were 100 percent functional during and after the 1044-DR and 1046-DR events. In an attempt to demonstrate the functionality of the structures the District submitted aerial photographs of the groins taken on March 25, 1995 and March 8, 1998. In the letter forwarding the second appeal, OES supported the Districts request but conceded that the aerial photographs cannot speak to the structural integrity or maintenance of the groins, just prior to the 1203-DR event.
Second Appeal Conference Call
The District was given the opportunity to clarify its claim on an April 18, 2002, conference call between District, OES, FEMA Region IX and FEMA headquarters representatives. The Districts representative, Hugh E. Clabaugh, division engineer, indicated that repair of damage to the groins between 1044-DR and 1203-DR was not included in the Districts maintenance records because the work was not performed. He explained that the repairs were not necessary as the damage caused by the 1044-DR event was negligible when compared to the damage from the 1203-DR flood. As the 1995 flood removed only a few yards of rock from the tips of the groins, it did not impair the groins functionality and was not the Districts highest priority project after 1044-DR.
DISCUSSION
In reviewing the Districts appeals, it is apparent that the aerial photographs neither verify the structural integrity of the groins, reveal the extent of pre-disaster damage to the structures nor establish the pre-disaster condition of the facility. However, the information provided in the conference call and the absence of devastating floods in the intervening years indicate that the facility was structurally intact prior to the 1203-DR event. Furthermore, comparison of the damage estimates on DSRs 46489 and 21068 demonstrates that the damage caused by the FEMA-1044 event was one-tenth the extent of damage discovered after the FEMA1203-DR event.
The Districts construction cost estimate dated January 18, 2001, is as follows:
Item # Description Quantity Unit Unit Price ($) Estimate
1 Mobilization 1.00 LS 34569.00 $34,569.00
2 Clearing & Grubbing 1.00 LS 7000.00 $7,000.00
3 Diversion & Control of Water 1.00 LS 14000.00 $14,000.00
4 Excavation Safety 1.00 LS 7000.00 $7,000.00
5 Excavation 2200.00 CY 12.00 $26,400.00
6 Backfill 390.00 CY 12.00 $4,680.00
7 5-Ton Rock 4500.00 CY 130.00 $585,000.00
8 Berm 2270.00 LF 12.00 $27,240.00
9 Temp. Working Road 1.00 LS 20000.00 $20,000.00
10 Execution of Release on Contract 1.00 LS 1.00 $1.00
11 Damage estimate from DSR 46489 1.00 LS 70400.00 ($70,400.00)
Total: $655,490.00
While the work to repair damages resulting from the 1203-DR flood is eligible, there exists a discrepancy between the Districts scope of work to restore the facility to its pre-disaster condition and the original 1992 plans and profile. The proposed scope of work includes line item # 7 for placement of 4,500 cubic yards of 5-ton rock at $130 per cubic yard. The original designs for the groins and the Districts damage assessment report dated January 18, 2001, indicate that the groins were composed of 2-ton rock. Replacement of the original 2-ton rock with 5-ton rock constitutes an improvement over pre-disaster design and is not eligible for funding under the Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. § 5121 et seq.
The District may still perform any preferred improvements to the groins; however, pursuant to Title 44 Code of Federal Regulations § 206.203(d)(1), the Grantees approval must be obtained. Federal funding for such improved projects shall be limited to the Federal share of the approved estimate of eligible costs. Improved projects must also undergo environmental review to ensure compliance with all environmental statutes, regulations and executive orders.
Furthermore, the Districts suggestion of subtracting the estimated cost to replace the 1,600 cubic yards of 2-ton rock as prescribed in DSR 46489 is not a good approximation of the cost to repair pre-disaster damage because the estimate was for work to be performed in 1995. A better method of eliminating those costs associated with pre-disaster damage would be to subtract the scope of work from DSR 46489. DSR 46489 listed one line item of 1,600 cubic yards of 2-ton rock at $44 per cubic yard. Accordingly, line item #7 for this project changes from 4,500 cubic yards of 5-ton rock to 2,900 cubic yards of 2-ton rock.
In order to adjust the July 1995 unit cost for 2-ton rock to an equitable rate for 2002, FEMA used the Construction Cost Index (CCI) published by The McGraw-Hill Companies, Inc. in the Engineering News-Record. The CCI, which was 5484 in July 1995, increased to 6532 for June 2002. Consequently, a reasonable estimate of the unit cost for 2-ton rock is $53 per cubic yard.
For these reasons, the list of eligible costs chatiing & Grubbing 1.00 LS 7000.00 $7,000.00
3 Diversion & Control of Water 1.00 LS 14000.00 $14,000.00
4 Excavation Safety 1.00 LS 7000.00 $7,000.00
5 Excavation 2200.00 CY 12.00 $26,400.00
6 Backfill 390.00 CY 12.00 $4,680.00
7 2-Ton Rock 2900.00 CY 53.00 $153,700.00
8 Berm 2270.00 LF 12.00 $27,240.00
9 Temp. Working Road 1.00 LS 20000.00 $20,000.00
10 Execution of Release on Contract 1.00 LS 1.00 $1.00
Total: $294,590.00
CONCLUSION
The District has demonstrated that the groins incurred severe damage as a result of FEMA-1203-DR-CA. As DSR 46489 establishes the extent of pre-disaster damage, the cost of restoring the facility to its pre-disaster condition is eligible for federal disaster assistance funding. The appeal is approved in the amount of $294,590.
Appeal Brief
| Disaster | 1203-DR-CA |
| Applicant | Ventura County Flood Control District |
| Appeal Type | Second |
| PA ID# | 111-91042 |
| PW ID# | 21068 |
| Date Signed | 2002-10-01T04:00:00 |
In the first appeal letter dated February 2, 2001, the District stated that although the groins were not repaired after the 1044-DR event, the structures were functioning during the FEMA-1046-DR-CA disaster a few months later. The District revised the proposed scope of work by eliminating the improvements. The District also submitted maintenance records from 1992 to June 2001. The Regional Director denied the first appeal because the maintenance records did not establish pre-disaster condition of the groins.
The District stated in the second appeal that the groins were 100 percent functional during and after the 1044 and 1046 events and submitted two aerial photographs of the groins taken on March 25, 1995 and March 8, 1998.
Appeal Letter
October 1, 2002
Mr. D. A. Christian
Governor's Authorized Representative
Governor's Office of Emergency Services
PO Box 419023
Rancho Cordova, California 95741-9023
Re: Second Appeal Ventura County Flood Control District, PA-ID # 111-91042,Santa Clarita River Groins, FEMA-1203-DR-CA, DSR 21068, OES Log # 79442.2
Dear Mr. Christian:
This is in response to your January 9, 2002, letter transmitting the Ventura County Flood Control District's (Districts) above-referenced second appeal to the Federal Emergency Management Agency (FEMA). The District is requesting that FEMA prepare a Damage Survey Report (DSR) for $655,490 to repair six erosion control facilities in the Santa Clara River that were damaged by floodwaters during FEMA-1203-DR-CA.
Based on a review of the documentation, I have granted the appeal for the reasons discussed in the enclosed analysis. I have determined that permanent restoration of the groins is eligible for Federal disaster assistance under FEMAs Public Assistance Program. By copy of this letter, I am requesting that the Regional Director prepare a DSR in the amount of $294,590 to implement my decision. Given that the District plans to improve the facility as part of this project, FEMA funding is capped at $294,590 pursuant to Title 44 Code of Federal Regulations § 206.203(d)(1).
Please inform the District of this determination. My decision constitutes the final decision on this matter as set forth in 44 CFR § 206.206.
Sincerely,
/S/
John R. DAraujo, Jr.
Assistant Director
Response and Recovery Directorate
Enclosure
cc: Karen E. ArmesActing Regional DirectorFEMA Region IX
Mr. D. A. Christian
Governor's Authorized Representative
Governor's Office of Emergency Services
PO Box 419023
Rancho Cordova, California 95741-9023
Re: Second Appeal Ventura County Flood Control District, PA-ID # 111-91042,Santa Clarita River Groins, FEMA-1203-DR-CA, DSR 21068, OES Log # 79442.2
Dear Mr. Christian:
This is in response to your January 9, 2002, letter transmitting the Ventura County Flood Control District's (Districts) above-referenced second appeal to the Federal Emergency Management Agency (FEMA). The District is requesting that FEMA prepare a Damage Survey Report (DSR) for $655,490 to repair six erosion control facilities in the Santa Clara River that were damaged by floodwaters during FEMA-1203-DR-CA.
Based on a review of the documentation, I have granted the appeal for the reasons discussed in the enclosed analysis. I have determined that permanent restoration of the groins is eligible for Federal disaster assistance under FEMAs Public Assistance Program. By copy of this letter, I am requesting that the Regional Director prepare a DSR in the amount of $294,590 to implement my decision. Given that the District plans to improve the facility as part of this project, FEMA funding is capped at $294,590 pursuant to Title 44 Code of Federal Regulations § 206.203(d)(1).
Please inform the District of this determination. My decision constitutes the final decision on this matter as set forth in 44 CFR § 206.206.
Sincerely,
/S/
John R. DAraujo, Jr.
Assistant Director
Response and Recovery Directorate
Enclosure
cc: Karen E. ArmesActing Regional DirectorFEMA Region IX
Appeal Analysis
BACKGROUNDIn early 1998, floodwater destroyed 80% of six erosion control structures on the Santa Clara River. The six structures are a subset of eight groins that the Ventura County Flood Control District (District) constructed in 1992 to reduce erosion to the south bank. A team of Federal, State and local representatives prepared Damage Survey Report (DSR) 21068 on September 22, 1998, for $1,968,659 to repair flood damages and make improvements to the six groins.
The groins were previously damaged by the FEMA-1044-DR-CA flood event in 1995. FEMA initially approved DSR 46489 for $70,400 to replace 1,600 cubic yards of 2-ton rock on the tips of the groins at $44 per cubic yard. However, the District elected not to perform the repairs and withdrew the request for funding.
In order to reduce the work eligible for reimbursement by the cost of repairing damages incurred prior to FEMA-1203-DR-CA, FEMA requested documentation from the District demonstrating the condition of the groins just prior to the 1203-DR event. FEMA suspended DSR 21068 pending receipt of these documents. As of January 12, 2001, FEMA had not received documentation establishing the pre-disaster condition of the structures. FEMA removed DSR 21068 from suspension and found the DSR ineligible for federal disaster funding.
First Appeal
On February 2, 2001, the District submitted a first appeal requesting FEMA prepare a DSR for $655,490 to restore the groins to pre-disaster condition. In the appeal letter, the District stated that although the damage to the groins incurred during the 1044-DR event were not repaired, the structures were functioning during and after the FEMA-1046-DR-CA flood a couple months later. The District also claimed that 1046-DR did not cause any additional damage. The District reduced the requested scope of work by eliminating the proposed improvements and subtracting the amount of DSR 46489 ($70,400). Enclosed with the appeal letter were the Districts maintenance records from 1992 to June 2001. The Governors Office of Emergency Services (OES) supported and forwarded the Districts first appeal to FEMAs Region IX Regional Director on April 2, 2001.
In a September 7, 2001, letter responding to the first appeal, the Acting Regional Director stated that the maintenance records documented placement of rip-rap and other repairs to the groins prior to 1044-DR but showed no work between 1044-DR and 1203-DR other than weed control and access road and fence maintenance. As the documentation submitted did not establish the pre-disaster condition of the structures, the Acting Regional Director denied the first appeal.
Second Appeal
The District again asserted in its November 26, 2001, second appeal letter, that the river groins were 100 percent functional during and after the 1044-DR and 1046-DR events. In an attempt to demonstrate the functionality of the structures the District submitted aerial photographs of the groins taken on March 25, 1995 and March 8, 1998. In the letter forwarding the second appeal, OES supported the Districts request but conceded that the aerial photographs cannot speak to the structural integrity or maintenance of the groins, just prior to the 1203-DR event.
Second Appeal Conference Call
The District was given the opportunity to clarify its claim on an April 18, 2002, conference call between District, OES, FEMA Region IX and FEMA headquarters representatives. The Districts representative, Hugh E. Clabaugh, division engineer, indicated that repair of damage to the groins between 1044-DR and 1203-DR was not included in the Districts maintenance records because the work was not performed. He explained that the repairs were not necessary as the damage caused by the 1044-DR event was negligible when compared to the damage from the 1203-DR flood. As the 1995 flood removed only a few yards of rock from the tips of the groins, it did not impair the groins functionality and was not the Districts highest priority project after 1044-DR.
DISCUSSION
In reviewing the Districts appeals, it is apparent that the aerial photographs neither verify the structural integrity of the groins, reveal the extent of pre-disaster damage to the structures nor establish the pre-disaster condition of the facility. However, the information provided in the conference call and the absence of devastating floods in the intervening years indicate that the facility was structurally intact prior to the 1203-DR event. Furthermore, comparison of the damage estimates on DSRs 46489 and 21068 demonstrates that the damage caused by the FEMA-1044 event was one-tenth the extent of damage discovered after the FEMA1203-DR event.
The Districts construction cost estimate dated January 18, 2001, is as follows:
Item # Description Quantity Unit Unit Price ($) Estimate
1 Mobilization 1.00 LS 34569.00 $34,569.00
2 Clearing & Grubbing 1.00 LS 7000.00 $7,000.00
3 Diversion & Control of Water 1.00 LS 14000.00 $14,000.00
4 Excavation Safety 1.00 LS 7000.00 $7,000.00
5 Excavation 2200.00 CY 12.00 $26,400.00
6 Backfill 390.00 CY 12.00 $4,680.00
7 5-Ton Rock 4500.00 CY 130.00 $585,000.00
8 Berm 2270.00 LF 12.00 $27,240.00
9 Temp. Working Road 1.00 LS 20000.00 $20,000.00
10 Execution of Release on Contract 1.00 LS 1.00 $1.00
11 Damage estimate from DSR 46489 1.00 LS 70400.00 ($70,400.00)
Total: $655,490.00
While the work to repair damages resulting from the 1203-DR flood is eligible, there exists a discrepancy between the Districts scope of work to restore the facility to its pre-disaster condition and the original 1992 plans and profile. The proposed scope of work includes line item # 7 for placement of 4,500 cubic yards of 5-ton rock at $130 per cubic yard. The original designs for the groins and the Districts damage assessment report dated January 18, 2001, indicate that the groins were composed of 2-ton rock. Replacement of the original 2-ton rock with 5-ton rock constitutes an improvement over pre-disaster design and is not eligible for funding under the Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. § 5121 et seq.
The District may still perform any preferred improvements to the groins; however, pursuant to Title 44 Code of Federal Regulations § 206.203(d)(1), the Grantees approval must be obtained. Federal funding for such improved projects shall be limited to the Federal share of the approved estimate of eligible costs. Improved projects must also undergo environmental review to ensure compliance with all environmental statutes, regulations and executive orders.
Furthermore, the Districts suggestion of subtracting the estimated cost to replace the 1,600 cubic yards of 2-ton rock as prescribed in DSR 46489 is not a good approximation of the cost to repair pre-disaster damage because the estimate was for work to be performed in 1995. A better method of eliminating those costs associated with pre-disaster damage would be to subtract the scope of work from DSR 46489. DSR 46489 listed one line item of 1,600 cubic yards of 2-ton rock at $44 per cubic yard. Accordingly, line item #7 for this project changes from 4,500 cubic yards of 5-ton rock to 2,900 cubic yards of 2-ton rock.
In order to adjust the July 1995 unit cost for 2-ton rock to an equitable rate for 2002, FEMA used the Construction Cost Index (CCI) published by The McGraw-Hill Companies, Inc. in the Engineering News-Record. The CCI, which was 5484 in July 1995, increased to 6532 for June 2002. Consequently, a reasonable estimate of the unit cost for 2-ton rock is $53 per cubic yard.
For these reasons, the list of eligible costs chatiing & Grubbing 1.00 LS 7000.00 $7,000.00
3 Diversion & Control of Water 1.00 LS 14000.00 $14,000.00
4 Excavation Safety 1.00 LS 7000.00 $7,000.00
5 Excavation 2200.00 CY 12.00 $26,400.00
6 Backfill 390.00 CY 12.00 $4,680.00
7 2-Ton Rock 2900.00 CY 53.00 $153,700.00
8 Berm 2270.00 LF 12.00 $27,240.00
9 Temp. Working Road 1.00 LS 20000.00 $20,000.00
10 Execution of Release on Contract 1.00 LS 1.00 $1.00
Total: $294,590.00
CONCLUSION
The District has demonstrated that the groins incurred severe damage as a result of FEMA-1203-DR-CA. As DSR 46489 establishes the extent of pre-disaster damage, the cost of restoring the facility to its pre-disaster condition is eligible for federal disaster assistance funding. The appeal is approved in the amount of $294,590.
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