Section 3702.40 Requirements for Approval of Permits for Construction of New Dams and Major Modifications of Existing Dams

Section 3702

Section 3702.40  Requirements

for Approval of Permits for Construction of New Dams and Major Modifications of

Existing Dams

a)         The following are OWR requirements which must be met in order

to obtain a permit for construction of a new dam or major modification of an

existing dam.  Applicants are encouraged to submit to OWR a preliminary report

for approval of concept prior to completion of the permit application form. The

preliminary and all subsequent plans and reports shall be prepared under the

direction of an engineer or other qualified personnel.  The engineer or

qualified personnel may be assisted by other professional personnel applying

the disciplines of hydrologic engineering, hydraulic engineering, soil

mechanics, structural engineering, or engineering geology.

b)         OWR staff will be available for consultation prior to

initiation of design studies, and at any time during the development of the

permit application if questions should arise.

1)         Structural and Geotechnical Design Requirements

The basis for OWR review and approval of the structural and

geotechnical design requirements of Class I, II and III dams is the Corps

Guidelines subject to modification as indicated in this Part.  The criteria for

structural and geotechnical design contained in the Corps Guidelines are

minimum criteria.  Variations from the criteria may be required or allowed by

OWR for special physical conditions at the proposed site as necessary or

appropriate to meet the interest of the overall structural and geotechnical

requirements of this Part.  Technical publications, other than the Corps

Guidelines, may be used by OWR to assure the use of current and applicable data

for the structural and geotechnical review of the dam design.

2)         Hydrologic and Hydraulic Design Requirements

The basis for OWR review and approval of the hydrologic and

hydraulic design requirements for Class I, II and III dams is the Corps

Guidelines, subject to modifications as indicted herein

the Corps

Guidelines, may be used by OWR to assure the use of current and applicable data

for the structural and geotechnical review of the dam design.

2)         Hydrologic and Hydraulic Design Requirements

The basis for OWR review and approval of the hydrologic and

hydraulic design requirements for Class I, II and III dams is the Corps

Guidelines, subject to modifications as indicted herein.  Technical

publications other than the Corps Guidelines may be used to assure the use of

current and applicable data for the hydrologic and hydraulic review of dam

design.

A)        Proposed Dams

The following minimum spillway design floods shall be used

for proposed structures:

i)          Principal Spillway Design Flood

CLASSIFICATION

SIZE

PRINCIPAL

SPILLWAY

DESIGN FLOOD

Class I

All

100-yr.

Class II

All

50-yr.

Class III

All

25-yr.

ii)         Total Spillway Design Flood

CLASSIFICATION

SIZE

PRINCIPAL

SPILLWAY

DESIGN FLOOD

Class I

Small

0.5

PMF

Intermediate

1.0

PMF

Large

1.0

PMF

Class II

Small

100-yr.

Intermediate

0.5

PMF

Large

1.0

PMF

Class III

Small

100-yr.*

Intermediate

100-yr.

Large

0.5

PMF

*For proposed

Class III dams where the dam height multiplied by the impounding capacity is

less than or equal to 300, no specific total spillway capacity is required.

iii)        For all proposed Class II or III dams, a determination of

alternatives for increasing the total spillway capacity to accommodate the PMF

shall also be submitted to OWR.  The initial dam design shall provide for the

capability of increasing the spillway capacity.  Future downstream land use,

land use controls, and growth projections will be considered in the review of

the spillway capacity design.

B)        Existing Dams

The minimum

spillway design flood for modifications to existing dams built after September

2, 1980 shall be the same as the criteria for proposed dams

al dam design shall provide for the

capability of increasing the spillway capacity.  Future downstream land use,

land use controls, and growth projections will be considered in the review of

the spillway capacity design.

B)        Existing Dams

The minimum

spillway design flood for modifications to existing dams built after September

2, 1980 shall be the same as the criteria for proposed dams.  The minimum

spillway design flood for modifications to existing dams that were constructed

and in service on or before September 2, 1980, are as follows:

i)          Principal Spillway Design Flood

CLASSIFICATION

SIZE

TOTAL

SPILLWAY

DESIGN FLOOD

Class I

All

100-yr.

Class II

All

50-yr.

Class III

All

No

specific requirement.

ii)         Total Spillway Design Flood

CLASSIFICATION

SIZE

TOTAL

SPILLWAY

DESIGN FLOOD

Class I

Small

0.3

PMF

Intermediate

0.6

PMF

Large

0.6

PMF

Class II

Small

100-yr.

Intermediate

0.3

PMF

Large

0.6

PMF

Class III

Small

100-yr.*

Intermediate

100-yr.

Large

0.3

PMF

*For

modifications to existing Class III dams where the height multiplied by

impounding capacity is less than or equal to 300, no specific total spillway

capacity is required.

iii)        The Department may approve total spillway design capacities

for existing dams other than the spillway design floods listed above.  A total

spillway design capacity less than the 100-yr. flood will only be allowed for

small size, Class III structures with dam height multiplied by impounding

capacity less than or equal to 300

to 300, no specific total spillway

capacity is required.

iii)        The Department may approve total spillway design capacities

for existing dams other than the spillway design floods listed above.  A total

spillway design capacity less than the 100-yr. flood will only be allowed for

small size, Class III structures with dam height multiplied by impounding

capacity less than or equal to 300.  Any submittal for variation from the

above-listed spillway design flood must include a detailed hydraulic risk

assessment that shows that additional spillway capacity will not provide a

decrease in potential loss of life or property damage or a detailed economic

risk assessment that shows that the chosen spillway design alternative provides

the minimum rehabilitation costs plus damage losses; a detailed early warning

and emergency evacuation plan coordinated with the local ESDA; and a list (with

mailing addresses) of all persons living within the dam breach wave inundation

area.

iv)        All hearings regarding variation from the above-listed

spillway design criteria shall be in accordance with Section 3702.170 of this

Part.

C)        For Class I and II dams, a dam breach wave analysis for

downstream impacts from failure during the total spillway design flood and

impoundment initially at normal pool shall be required for:

i)          a nearly instantaneous total failure and

ii)         should the applicant so desire, a failure to the degree and

timing believed reasonable by the applicant.

D)        Dewatering Capabilities

i)          All new Class I and II dams, all new Class III dams unless

exempted by OWR for functional reasons, and existing Class I and II dams

requiring major modifications shall have a capability for dewatering the

reservoir within a reasonable period of time

ld the applicant so desire, a failure to the degree and

timing believed reasonable by the applicant.

D)        Dewatering Capabilities

i)          All new Class I and II dams, all new Class III dams unless

exempted by OWR for functional reasons, and existing Class I and II dams

requiring major modifications shall have a capability for dewatering the

reservoir within a reasonable period of time.  In determining a reasonable time

period, OWR shall consider the damage potential posed by possible failure, risk

and nature of potential failure, purpose of the dam and reservoir, capability

and stability of available drainage courses to convey the waters released in

the event of an emergency dewatering, and influence of rapid drawdown on

stability of the dam.  Although each permit must be considered based on its

individual circumstances, in general, a reasonable time to dewater 50% of the

normal pool storage volume is 7 days for Class I dams, 14 days for Class II

dams and 30 days for Class III dams.

ii)         No dewatering capability shall be required for any existing

Class III dam or for any existing Class I or II dam which OWR determines to

require no major modifications thereto under this Part.

E)        Specific requirements for minimum freeboard allowances are not

appropriate because of the many factors involved in such determinations.  The

applicant must assess the factors affecting the individual project and develop

the appropriate minimum freeboard allowance.  Many projects are reasonably safe

without freeboard allowance because they are designed for overtopping, or because

other factors minimize possible overtopping.  Conversely, freeboard allowances

of several feet may be necessary to provide a safe condition for some dams

applicant must assess the factors affecting the individual project and develop

the appropriate minimum freeboard allowance.  Many projects are reasonably safe

without freeboard allowance because they are designed for overtopping, or because

other factors minimize possible overtopping.  Conversely, freeboard allowances

of several feet may be necessary to provide a safe condition for some dams.

Factors that should be considered include the duration of high water levels in

the reservoir during the design flood; the effective wind fetch and reservoir

depth available to support wave generation; the probability of high wind speed

occurring from a critical direction; the potential wave runup on the dam based

on roughness and slope; and the ability of the dam to resist erosion from

overtopping waves.

F)         The applicant must provide stilling basins or other

appropriate structures or devices capable of dissipating the energy created at

the outlet of the principal spillway and at dewatering outlets for all flows.

3)         Erosion Protection Requirements

A)        As a minimum the applicant shall adequately protect by

structural or nonstructural means the upstream face of earth embankment dams

from an elevation below normal pool of two feet or 0.50 times the anticipated

wave height (if greater than 2.0 feet) up to the minimum freeboard elevation.

In addition, if normal pool water surface varies, the upstream face shall be

protected within the range of variation.

B)        The applicant shall vegetate or otherwise protect from erosion

the downstream face and top of earth embankment dams.  The applicant should

design earth embankment dams to provide a dam section which can be easily

maintained

eet) up to the minimum freeboard elevation.

In addition, if normal pool water surface varies, the upstream face shall be

protected within the range of variation.

B)        The applicant shall vegetate or otherwise protect from erosion

the downstream face and top of earth embankment dams.  The applicant should

design earth embankment dams to provide a dam section which can be easily

maintained.

C)        The applicant shall provide riprap or other appropriate

protection as necessary at dam abutments, dam slope toes (the line of the dam

embankment slopes where it intersects the natural ground at the upstream or

downstream edge), spillways, stilling basins, and at other locations which, if

left unprotected, could lead to damage to, or failure of the dam.

D)        If the spillway design of the dam requires that an earth

emergency spillway pass any portion of the 100-year flood, the applicant shall

protect the earth emergency spillway against erosion consistent with the dam

classification and physical characteristics of the dam site.  The applicant

must construct all earth emergency spillways on in situ material or on well

compacted cohesive materials that will be stable during design flows.

E)        The applicant shall submit plans for control of erosion and

water pollution during the anticipated construction or major modifications,

including plans for adequate measures to limit the erosion of the soil from

exposed slopes after completion of construction.  Such plans shall indicate

that adequate control measures will be taken during construction to protect the

quality of stream flow below the project site, and during the estimated time

for filling.

4)         Operating Requirements

An applicant

for a Class I or II dam shall submit an operational plan specifying the method

and schedule for the operation of the dam and the routine operating procedures

to keep the dam in good working order, including an emergency warning plan

nstruction to protect the

quality of stream flow below the project site, and during the estimated time

for filling.

4)         Operating Requirements

An applicant

for a Class I or II dam shall submit an operational plan specifying the method

and schedule for the operation of the dam and the routine operating procedures

to keep the dam in good working order, including an emergency warning plan.

The emergency warning plan must outline the procedures to be followed during

major storm events or other emergency situations. Under this plan, a person

designated by the dam owner would monitor dam conditions, and would warn

appropriate state and local officials if major problems require immediate

repairs and would indicate how the owner plans to accomplish the needed

repairs, and indicate if evacuation of persons in areas downstream of the dam

may be necessary.

5)         Maintenance Requirements

As a condition

of each permit, dam owners shall submit a maintenance plan detailing the

procedures and schedules to be followed to maintain the dam and its

appurtenances in a reasonable state of repair.  The maintenance plan shall

include but not be limited to the following:

A)        Class I and II Dams

The dam owner

shall retain an engineer or other qualified personnel to make an initial

inspection and report and subsequent inspections and reports as required by

this Part.  The owner of a Class I dam shall submit the report annually on

forms furnished by OWR.  The owner of a Class II dam shall submit the report

every three years on forms furnished by OWR

owing:

A)        Class I and II Dams

The dam owner

shall retain an engineer or other qualified personnel to make an initial

inspection and report and subsequent inspections and reports as required by

this Part.  The owner of a Class I dam shall submit the report annually on

forms furnished by OWR.  The owner of a Class II dam shall submit the report

every three years on forms furnished by OWR.  In the intervals between the

engineer or other qualified personnel reports on Class II dams, the owner shall

file with OWR an annual statement on forms furnished by OWR stating that he is

maintaining the dam in accordance with the maintenance plan prepared by his

engineer or other qualified personnel and indicating any change in land use

which may have occurred in the 100-year flood plain within the previously

accepted limits downstream of the dam.  The reports shall outline modifications

made to the dam, any deficiencies found, detail the remedial measures

necessary, and the method and time the owner will use to correct the

deficiencies found.  The dam owner may be required to provide additional

inspections and reports by an engineer or other qualified personnel, following

unusual storms or seismic events; provided such inspection procedures are

required as a part of the maintenance plan approved by OWR in issuing a

permit.  A sketch showing land use in the flood plain downstream of the dam

shall be included in the reports.  The extent of downstream land use to be

reported is dependent upon factors such as slope and width of the 100-year

flood plain and the density and intensity of downstream development.  The

extent downstream will not exceed 2 miles unless otherwise indicated by OWR.

The owner may provide information for review by OWR indicating that an extent

downstream which is shorter than 2 miles may be appropriate

t of downstream land use to be

reported is dependent upon factors such as slope and width of the 100-year

flood plain and the density and intensity of downstream development.  The

extent downstream will not exceed 2 miles unless otherwise indicated by OWR.

The owner may provide information for review by OWR indicating that an extent

downstream which is shorter than 2 miles may be appropriate.

B)        Class III Dams

The owner of a

new Class III dam or owner of an existing Class III dam qualifying under the

provisions of Section 3702.30 (relating to the major modification of existing

Class III dams), shall retain an engineer or other qualified personnel to make

an initial inspection and report and subsequent inspections and reports on a

5-year interval, in accordance with this Part.  The dam owner shall submit to

OWR on forms furnished by OWR the engineer's initial report and subsequent

fifth year reports.  The reports shall include a description of flood plain

land use downstream of the dam.  In the intervals between the engineer's

reports, the owner shall file with OWR an annual statement on forms furnished

by OWR stating that he is maintaining the dam in accordance with the

maintenance plan prepared by his engineer or other qualified personnel and

indicating any change in land use downstream of the dam.  The extent of

downstream land use to be reported is dependent upon factors such as slope and

width of the 100-year flood plain and the density and intensity of downstream

development.  The extent downstream will not exceed 2 miles unless otherwise

indicated by OWR.

6)         Financial Responsibility of Owner

A)        For Class I and II dams, the owner shall document that he has

the financial capability to adequately maintain or breach his dam in a safe

condition

s such as slope and

width of the 100-year flood plain and the density and intensity of downstream

development.  The extent downstream will not exceed 2 miles unless otherwise

indicated by OWR.

6)         Financial Responsibility of Owner

A)        For Class I and II dams, the owner shall document that he has

the financial capability to adequately maintain or breach his dam in a safe

condition.  This may be established by showing that the applicant has the

resources and the authority to obtain funds in the amount required to safely

breach the dam within 10 days of receipt of notice of the need to breach or

repair.  For public bodies, this may be done by showing taxing power or other

revenue generating ability and passage of an appropriate ordinance or

resolution indicating the authority to take such action if necessary.  If the

owner cannot adequately demonstrate this financial capability, OWR may require

the applicant to post a performance bond.  The amount of the bond will be that

estimated by OWR as reasonably necessary to safely breach the dam in an

environmentally sound manner if the condition of the dam becomes a threat to

life or property.  The owners shall notify OWR when each performance bond has

been renewed or extended in time.

B)        Except in emergencies, should the cost of repair to place the

dam in a safe condition be less than the cost of breaching, the performance

bond may be used to pay for repair, rather than breach of the dam.

7)         Other Requirements

A)        The owner shall grant the State the right of access to inspect

the dam site and immediate vicinity before, during and after construction and

for the life of the dam and appurtenances.  Except under emergency conditions,

such as when the dam is in imminent danger of failure or is in the process of

failing, the State shall notify the owner at least 10 days in advance of any

inspection

A)        The owner shall grant the State the right of access to inspect

the dam site and immediate vicinity before, during and after construction and

for the life of the dam and appurtenances.  Except under emergency conditions,

such as when the dam is in imminent danger of failure or is in the process of

failing, the State shall notify the owner at least 10 days in advance of any

inspection.

B)        For Class I and II dams, the owner shall notify OWR prior to

initiating foundation preparations, including cut-off trench excavation.

C)        For Class I and II dams, OWR will require the owner to have

continuous inspection during construction.  The construction shall be under the

direction of an engineer, or other qualified personnel.  For Class III dams,

OWR may require the owner to have continuous inspection during construction if

foundation conditions have not been completely determined or if the dam has

been designed with minimal factors of safety.

D)        For Class I and II dams – prior to commencing filling

operations, or refilling operations after a drawdown, the applicant shall

request OWR inspection of the dam, and must receive authority from OWR before

commencing filling. When drawdowns are performed on a frequent basis as a part

of the approved operation plan, the authority is not necessary.

E)        If OWR has not acted to grant or deny the authorization to fill

within 30 days after receipt of request, the owner may proceed with filling or

refilling operations.

F)         For all new dams, or for major modifications to existing dams,

the dam owner shall

i)          own or have permanent flood easements for all land that will

be inundated in the reservoir up to the proposed 100-year frequency flood pool

elevation, or

ii)         submit hydraulic computations showing that, for floods up to

the 100-year frequency flood, the pool elevation will not be increased above

existing conditions.