DAM SAFETY GUIDELINES

PART II

PROJECT PLANNING
AND
APPROVAL OF DAM
CONSTRUCTION OR MODIFICATION

July 1992 (Revised February 2008)

92-55B

If you require this document in an alternate format, please contact the Water Resources Program at
360 407-6872 or TTY (for the speech or hearing impaired) at 711 or 1-800-833-6388.
 DAM SAFETY GUIDELINES

PART II

PROJECT PLANNING
AND
APPROVAL OF DAM
CONSTRUCTION OR MODIFICATION

1. INTRODUCTION ...................................................................................................................... 1
1.1 APPLICABILITY - JURISDICTIONAL THRESHOLD .......................................... 1
1.2 CONSTRUCTION RELATED ACTIVITIES REQUIRING ACTION BY THE
DSO ............................................................................................................................ 2
2. PLANNING OF DAM AND RESERVOIR PROJECTS .......................................................... 3
2.1 PROJECT FEASIBILITY AND PLANNING ....................................................... 3
2.2 PERMITS AND APPROVALS ............................................................................. 4
2.2 PERMITS AND APPROVALS ............................................................................. 5
2.3 CONCEPTUAL PLANS ....................................................................................... 6
3. PLAN REVIEW ......................................................................................................................... 7
3.1 CONSTRUCTION PERMIT PROCESS............................................................... 7
3.1.1 Dam Safety Office Review Time ............................................................. 7
3.1.2 Application for Construction Permit ........................................................ 7
3.2 ENGINEERING INVESTIGATIONS AND ANALYSES ................................. 10
3.3 ENGINEERING DESIGN REPORTS ................................................................ 11
3.3.1 Dam Size and Reservoir Operation Classification ................................. 11
3.3.2 Geologic/Geotechnical Analyses and Reports ....................................... 12
3.3.3 Hydrologic/Hydraulic Analyses and Reports ......................................... 12
3.3.4 Dam Failure Analysis ............................................................................. 13
3.3.5 Engineering Calculations ....................................................................... 15
3.4 CONSTRUCTION PLANS AND SPECIFICATIONS ....................................... 16
3.5 REVIEW STANDARDS ..................................................................................... 17
3.6 CONSTRUCTION PERMIT FEE ....................................................................... 17
3.7 ISSUANCE OF CONSTRUCTION PERMIT .................................................... 19

i
4. CONSTRUCTION INSPECTION ........................................................................................... 20
4.1 CONSTRUCTION INSPECTION PLAN ........................................................... 20
4.2 DAM SAFETY OFFICE ROLE IN CONSTRUCTION INSPECTION ............. 22
4.3 CONSTRUCTION CHANGE ORDERS ............................................................ 22
4.4 OPERATION AND MAINTENANCE PLAN.................................................... 23
4.5 EMERGENCY ACTION PLAN ......................................................................... 24
4.6 DECLARATION OF CONSTRUCTION COMPLETION ................................. 24
4.7 AUTHORIZATION TO COMMENCE OR RESUME PROJECT
OPERATION ....................................................................................................... 25
4.8 CONSTRUCTION RECORDS SUMMARY ..................................................... 25
5. PROJECT OPERATION DOCUMENTS................................................................................ 26
5.1 OPERATION AND MAINTENANCE MANUAL............................................. 26
5.2 EMERGENCY ACTION PLAN ......................................................................... 26
APPENDIX A DAM CONSTRUCTION PERMIT APPLICATION FORM ............................. 28
APPENDIX B OPERATION & MAINTENANCE PLAN FORM ............................................. 34

ii
 PROJECT PLANNING
AND
APPROVAL OF DAM
CONSTRUCTION OR MODIFICATION

1. INTRODUCTION

The Dam Safety Guidelines are intended to provide dam owners, operators and design engineers
with information on activities, procedures and requirements involved in the planning, design,
construction, operation and maintenance of dams in the State of Washington. In particular, they
provide guidance in meeting the requirements identified in the Dam Safety Regulations, Chapter
173-175 WAC. For convenience of the various expected users, the guidelines have been organized
into four basic units entitled:

Part I - General Information and Owner Responsibilities

Part II - Project Planning and Approval of Dam Construction or Modification
Part III - An Owner's Guidance Manual
Part IV - Dam Design and Construction

Technical Notes have also been prepared to provide technical information on engineering design
and analysis of various project elements. For clarity, all important definitions and terms pertinent to
State of Washington dam safety activities are summarized in Appendix A of Part IV.

Part II of the guidelines provides information on the specific activities and actions that are involved
in project planning and the plan review and construction permit process. An overview of the
planning process is provided along with a list of permits and approvals that are normally involved.
Submittal requirements for plan review are listed and flowcharts are included to more clearly
delineate the steps in the administrative process. Obligations of dam owners during project
construction are identified. Specific owner responsibilities for the development of procedures for
operation, maintenance, and inspection are also included.

1.1 APPLICABILITY - JURISDICTIONAL THRESHOLD

The Dam Safety Regulations (Chapters 173-175 WAC) are applicable to dams which can impound a
volume of 10 acre-feet or more of water as measured at the dam crest elevation. The 10 acre-feet
threshold applies to dams which can impound water on either an intermittent or permanent basis.
The water impounded can be of any quality or can contain any substance in combination with water
to exist in a liquid or slurry state at the time of initial impoundment. Only water that can be stored
above natural ground level or which could be released by a failure of the dam is considered in
assessing the storage volume.

1
For a dam whose dam height is 6 feet or less and which meets the above conditions, the Dam Safety
Office (DSO) may elect to exempt the dam from the regulations. Such a decision will be made on a
case-by-case basis for those dams whose failure is not judged to pose a risk to life, and minimal
property damage would be expected under current conditions of development.

1.2 CONSTRUCTION RELATED ACTIVITIES REQUIRING ACTION BY THE DSO

Construction related activities that require review and approval by the Dam Safety Office include:

• Construction of a new dam.

• Modification of an existing dam.
• Removal or abandonment of an existing dam.
• Construction change orders for project elements that could have an effect on public safety.

Construction related activities that require review and acceptance by the DSO include:

• Adoption of an Operation and Maintenance (O&M) Plan.

• Adoption of an Emergency Action Plan (EAP).

Construction related activities that require authorization from the DSO before proposed actions can
proceed include:

• Startup of construction.
• Initial controlled filling of a reservoir following new dam construction.
• Resumption of normal reservoir operation following dam repair or modifications.

Construction related activities that require a notification to the DSO include:

• Advance notice of the startup of dam construction.

• Declaration by the project engineer of project completion in accordance with approved plans
and specifications.

2
 2. PLANNING OF DAM AND RESERVOIR PROJECTS

All dam and reservoir projects proceed through a similar sequence of activities during their
development leading up to construction. The normal progression includes: initial investigations of
potential site(s); identification of the major components of the project to fit the site(s); development
of conceptual plans; examination of options and final selection of site and project configuration;
detailed engineering investigations and preparation of design reports; preparation of preliminary
and/or intermediate level construction plans; and preparation of final construction plans and
specifications.

The following sections present a general overview of the various activities that are involved in the
planning and design of a dam, up to development of conceptual plans. Once an application for a
dam construction permit is submitted to the DSO, the project enters the plan review process. The
steps involved in the plan review process are discussed in detail in Section 3, Plan Review.

2.1 PROJECT FEASIBILITY AND PLANNING

The initial step in project planning is the assessment and formulation of project purposes, needs,
economics, potential environmental impacts, and operational requirements. Once established,
preliminary or feasibility investigations are conducted to identify potential sites, define possible
project configurations, and establish the type of project components that are best suited to available
sites. Final site selection is based on an evaluation of this information. Figure 1 presents a general
schematic outline of the planning process.

To accomplish these planning goals, a consulting engineering firm should be selected that has the
necessary qualifications and experience to plan, design, and supervise the construction of the type
and size of project being proposed. Specialists whose expertise may be needed for various elements
of the project should become involved as early as possible to allow efficient coordination of all
project elements.

Information about specific engineering activities normally required by the DSO during project
design is contained in Section 3, Plan Review. This information may be useful to owners in
outlining a scope of work for retaining consultant engineering services. The selection of the
engineering consultant(s) is an important first step leading towards the successful construction of
the project.

As a guide to consultant selection, dam owners are strongly encouraged to closely review the level
of experience of prospective engineering consultants on projects of the type being proposed.

3
 DECISION THAT PROJECT IS NEEDED

WATER Yes
RIGHTS INITIATE ACTIONS TO
NEEDED? OBTAIN WATER RIGHTS

No

SELECTION OF ENGINEERING CONSULTANTS

AND OTHER SPECIALISTS LEGEND

PLANNING AND DESIGN ACTIVITY

FORMULATION OF PROJECT PURPOSES, NEEDS

AND OPERATIONAL REQUIREMENTS PERMIT ACTIVITY

PLANNING AND
DESIGN ROUTE

IDENTIFICATION OF POTENTIAL SITES

CONCURRENT
AND GENERAL PROJECT SCOPE PERMIT APPLICATION
ROUTE

INITIAL ENGINEERING STUDIES

IDENTIFICATION OF NECESSARY PROJECT COMPONENTS
INITIATE SEPA PROCESS AND
DEVELOPMENT OF CONCEPTUAL PLANS
PERMIT APPLICATIONS

SELECTION OF SITE AND PROJECT CONFIGURATION

CONDUCT DETAILED ENGINEERING STUDIES

PREPARATION OF
CONSTRUCTION PLANS AND SPECIFICATIONS OBTAIN NECESSARY
PERMITS AND APPROVALS

PROJECT CONSTRUCTED

PROJECT STARTUP

FIGURE 1. GENERALIZED FLOW CHART OF PLANNING, DESIGN AND

PERMIT PROCESS INVOLVED IN DEVELOPING DAM AND
RESERVOIR PROJECTS IN WASHINGTON
4
2.2 PERMITS AND APPROVALS

Prior to or concurrent with the beginning stages of planning, it is important to investigate the need
for various government permits and approvals and initiate action to secure all necessary
authorizations that may be required for the proposed project.

Where the intended use of the project requires the appropriation and storage or diversion of water
for a "beneficial use," the project proponent should obtain the required "water rights." The term
"beneficial use" of water refers to a variety of purposes including, but not limited to: irrigation,
domestic, community, municipal, commercial, industrial, and stock water supply; fish and/or
wildlife propagation; recreation; preservation and enhancement of environmental and aesthetic
values; and hydroelectric power generation. Water rights normally are not required where an
impoundment will store wastes or will be used for detaining and controlling storm or flood waters.
The procedures for obtaining water rights are defined in the State Water Code (Chapter 90.03 RCW)
and associated rules (Titles 173 and 508 WAC). The issues of water availability and water rights
should be resolved prior to making major investments in planning and engineering.

Similarly, since compliance with the State Environmental Policy Act (SEPA) is mandatory for
nearly all actions involving the construction of impoundments, this process should also be started in
the early stages of planning. The SEPA process is initiated by completing an Environmental
Checklist which may be obtained from most local government planning departments or from
Ecology Regional Offices.

The construction permit procedures administered by the DSO are normally started somewhat later in
the planning process, usually at the time when conceptual or preliminary plans are prepared.
Specific requirements for approval of construction plans and specifications are described in Section
3, Plan Review.

Along with these requirements for dam safety approval, some of the other more common permits
and authorizations that may be involved in a typical dam and reservoir project are listed in Table 1.
For a complete listing of possible permits required for a project, see the publication Commonly
Required Environmental Permits for Washington State (Ecology, 2004)
http://www.ecy.wa.gov/pubs/9029.pdf

Further assistance in obtaining environmental permits can be obtained through the Office of
Regulatory Assistance.

5
 TABLE 1
COMMONLY REQUIRED PERMITS AND APPROVALS FOR DAM CONSTRUCTION
PROJECTS IN THE STATE OF WASHINGTON

TYPE OF PERMIT OR APPROVAL ADMINISTRATIVE AGENCY

Dam Construction Permit Washington State Department of

Ecology (ECOLOGY)

State Environmental Policy Act (SEPA) Compliance Local Government Agencies and/or
Other State Agencies

Reservoir Storage Permit (Water Rights) (Application, Permit, ECOLOGY

Certificate, and Recording Fees Required)

Surface Water (or Groundwater) Appropriation permit (Water ECOLOGY

Rights) (Application, Permit, Certificate, and Recording Fees
Required)

State Power License Fee (Hydroelectric Projects) ECOLOGY

Shoreline Management Substantial Development Permit Local Government Planning

(Fees vary) Department

Joint Aquatic Resource Permit Application (JARPA). Includes: ECOLOGY

Hydraulic Project Approval (HPA), Shoreline Management
Permits, Water Quality Certifications, and U.S. Army Corps of
Engineers Section 404 and Section 10 permits.
http://www.ecy.wa.gov/programs/sea/pac/jarpa.html

Federal Hydropower License (Non-Federal Hydroelectric Federal Energy Regulatory

Projects) Commission (FERC)

2.3 CONCEPTUAL PLANS

Following initial investigations, conceptual plans depicting possible site options and project
configurations are normally prepared by the engineering consultant. Typically, the basic elements of
the impounding barrier, outlet works, spillways, and appurtenances are shown on the conceptual
plans. These plans assist the owner in making final decisions on site selection and project
configuration. In addition, they provide valuable information on the proposed layout to aid the
involved government agencies in their permit requirement determinations. The submittal of
conceptual plans to the DSO, along with a construction permit application, initiates the plan review
process described in Section 3. The submittal of conceptual plans and design reports at an early
stage in project formulation allows for DSO review and comments to be addressed at a time when
changes can more easily be incorporated into the plans.

6
 3. PLAN REVIEW

3.1 CONSTRUCTION PERMIT PROCESS

The DSO plan review process (Figures 2 & 3) is structured to parallel the normal progression of
planning and design for a dam and reservoir project. Ideally, this minimizes delays and allows the
DSO review to proceed concurrently with project formulation. The Flowcharts in Figures 2 & 3
may be used as guides in following the topics in the remainder of Section 3.

Upon receipt, the design reports and plans and specifications are reviewed for conformance with
accepted engineering practice and in accordance with the submittal requirements and the Dam
Safety Guidelines. If deficiencies or problems are noted, specific changes or corrections are
required and revisions are requested.

3.1.1 Dam Safety Office Review Time

The amount of time required for the DSO to complete its review is dependent upon the
complexity of the project and the time of year the construction plans are submitted for review.
During the summer and fall construction season, DSO workloads for construction inspection
and periodic inspections of existing dams reduces the time available for plan review. Thus,
where possible, owners are requested to submit plans in the winter or early spring to allow
sufficient lead time for review prior to the proposed construction date.

Past experience has shown that revisions are required on many of the construction plans, and
time should be allotted for the resubmittal of plans and subsequent review by the DSO.

In general, owners and project engineers should allow at least 60 days for plan review by the
DSO. More or less time may be needed dependent on the complexity of the project and/or
the DSO workload.

3.1.2 Application for Construction Permit

An application for a construction permit must be submitted when the first substantive
engineering information about the proposed project becomes available. This usually occurs
at the time that conceptual plans are completed. A copy of the application form is included in
Appendix A of this document for photocopying. The application form lists required
information to be submitted and initiates the process for obtaining the construction permit.
An initial, non-refundable payment of one thousand four hundred dollars, which may
represent all or a portion of the construction permit fee, is to be included along with the
application form. The fee for removal of a dam with safety deficiencies is ten dollars.

7
 Submittal of Application for
Construction Permit, including
initial non refundable fee

Submission of Conceptual Plans

and engineering design reports
Prepare Revisions and/or provide
additional information
D.S.S. Review and Comment

D.S.S No
Concurs with design
Concepts

Yes

Large Yes
or Submittal of Intermediate
Complex Project Level Plans and Specifications

D.S.S. Review and

No Comment

Submission of Final Plans

and Specs and Payment of
Construction Permit Fee

Submission of Construction
Prepare Revisions and/or provide
Inspection Plan
additional information

No
D.S.S. Approval

Yes

Department Approves Plans

and Specifications
Issues Construction Permit

FIGURE 2. FLOWCHART FOR PLANNING AND DESIGN PHASE

FOR PROJECTS CONSTRUCTED IN WASHINGTON

8
 Construction or Modification of
Dam Begins

Submission of
Operation and Maintenance (O$M)
and
Emergency Action Plan (EAP)

Prepare Revisions
Review by D.S.S.

D.S.S. No
Accepts O$M and
EAP

Yes

Construction or Modification
of Dam Completed

Declaration by Project Engineer that

Project was constructed in accordance
with approved plans and specs and
change orders

Department Project is modified to

No
Concurs with concur with approved plans
Declaration

Yes

Department Authorizes Filling

of Reservoir and Startup or
Resumption of Normal
Operation

Project Engineer Submits

Construction Records for Summary

FIGURE 3. FLOWCHART FOR CONSTRUCTION AND PROJECT STARTUP

PHASE FOR PROJECTS CONSTRUCTED IN WASHINGTON

9
3.2 ENGINEERING INVESTIGATIONS AND ANALYSES

Engineering investigations and analyses provide the basis for design. These investigations often
progress in two stages, particularly when more than one site is under consideration. The first stage
represents reconnaissance level site investigations which provide information needed for identifying
necessary project components and possible project configurations. Conceptual plans are then
developed as a method of conveying to the owner a specific option or series of options for project
location and configuration. Stage one is completed with the selection of the desired project site and
final project configuration.

The second stage constitutes more detailed investigations necessary for engineering design of
chosen project components. The results of the detailed investigations are normally presented in the
form of engineering design reports (see Section 3.3).

Specifically, engineering investigations of the project locale are performed to identify basic design
considerations posed by the geologic and hydrologic setting. Typically, a geologic assessment of
the region is conducted to identify probable foundation conditions, to investigate the seismicity of
the area, and to examine reservoir rim stability. Explorations, comprised of test pits and/or borings,
are made to characterize dam foundations in greater detail and to determine the suitability of
proposed soil borrow areas. The magnitude of the exploration program should be commensurate
with the scale of the project and the difficulties posed by anticipated foundation conditions.
Specialists in geotechnical and geologic investigations are usually needed for larger or complex
structures.

Hydrologic studies are conducted to determine runoff and streamflow characteristics which serve as
the basis for sizing the reservoir, spillway(s) and outlet(s), and in developing normal operating
requirements and procedures. Determination of the Inflow Design Flood (IDF) is of primary
importance for sizing the project spillway(s). The level of sophistication of the hydrologic
investigations will vary depending on the size and complexity of the tributary drainage basin. A
minimal effort is usually needed where the impoundment will be an off-channel storage facility,
with inflow limited to that from normal controlled operations and precipitation falling directly
within the contained reservoir area. In contrast, extensive analyses are often needed for an onstream
reservoir when the watershed is large and encompasses a number of tributaries with significant
climatic, soils, land use, and topographic differences. Also, complex storm sewer networks in urban
areas can often make even small basins difficult to analyze. The use of specialists in hydrologic
analysis may be warranted for large or otherwise complex drainage basins.

10
3.3 ENGINEERING DESIGN REPORTS

Engineering design reports summarizing the various engineering investigations and pertinent project
information are an important element of the project design documents. All pertinent design reports
shall be submitted to the DSO to provide basic information about the project.

The content of design reports will normally include a general section describing the proposed
project and sections relating to specific areas of engineering design. The general section should
include:

• A description of the basic purposes of the project;

• A description of the normal operational requirement; and
• A discussion of any unique or important design considerations associated with the site and
project configuration.

Those sections involving the various areas of engineering design should address the pertinent items
listed below and be supported by appropriate engineering analyses.

3.3.1 Dam Size and Reservoir Operation Classification

The size classification and reservoir operation classification of the proposed project should be
listed as defined by Tables 2 and 3. These classifications are used throughout Part IV of the
Dam Safety Guidelines for determining the degree of conservatism of design, and the
sophistication of the methodologies to be used in analyses.

TABLE 2. DAM SIZE CLASSIFICATION

SIZE CLASSIFICATION DAM HEIGHT

Small Dam Less than 15 feet

Intermediate Dam 15 feet or greater

but less than 50 feet

Large Dam 50 feet or greater

11
 TABLE 3. RESERVOIR OPERATION CLASSIFICATION

RESERVOIR OPERATION DETERMINING FACTOR

CLASSIFICATION

Permanent Pool or Steady state seepage or saturated flow conditions

Seasonal Pool Operation occur in impounding barrier and foundation at or
near normal pool conditions.

Duration of normal high pool condition is

Intermittent Operation insufficient for steady state seepage or saturated
flow conditions to develop in impounding barrier
and foundation.

3.3.2 Geologic/Geotechnical Analyses and Reports

A Geologic/Geotechnical report should provide, as a minimum, the following basic

information:

• A presentation of the findings from subsurface explorations based on test pits and/or
boring logs, field tests, laboratory testing, and classification of samples.

• A characterization of the site geology and identification of potential problems posed by

site conditions. Generalized subsurface formations or stratigraphy, profiles, and sections
should be developed.

• An identification and characterization of the seismotectonic provinces that could generate

earthquakes large enough to significantly affect the project site.

• A description of the local groundwater regime.

3.3.3 Hydrologic/Hydraulic Analyses and Reports

A hydrologic/hydraulic report should address the pertinent items listed below and provide
the following information:

• A topographic map delineating the watershed boundary and stream network. For
extensively urbanized watersheds, an outline of storm sewer networks and pertinent
hydraulic features should be included. Where it is necessary to divide a watershed into
subbasins for analysis, a map is needed delineating the subbasins, along with a
schematic description of the stream network used in the analysis.

• A description and a map delineating the various land uses, soil types, ground covers,

12
 and associated runoff characteristics of the subbasins or watershed.

• A listing of all sources of inflow to the reservoir.

• A description of initial watershed conditions and associated assumptions prior to the

occurrence of the Inflow Design Flood (IDF). Initial conditions of interest may include
streamflow and/or other inflow to the reservoir, reservoir levels, gate settings or outlet
works discharge, antecedent soil moisture and associated runoff characteristics,
antecedent snowpack conditions, and climatic information such as temperature and
wind speeds needed for snowmelt computations and any other pertinent information.

• The unit hydrograph(s) or other similar flood response parameters for the subbasins or
watershed, together with calculations or data supporting the selection of the
parameters.

• The magnitude and temporal distribution of the design storm selected for use in
computing the IDF described in either graphical or tabular form. Specific guidelines
for selecting the design storm are provided in Part IV and Technical Notes 2 and 3 of
the Dam Safety Guidelines.

• A listing of input and output of any computer models used in the analysis.

3.3.4 Dam Failure Analysis

An assessment of the consequences of a dam failure on downstream areas is required and

should include the following:

• An estimation of the magnitude of the dam break flood hydrographs resulting from a
hypothetical dam failure occurring with the reservoir at normal storage elevation and
maximum storage elevation.

• A general description of the areas downstream of the dam that could be affected by
floodwater from a dam failure.

• If there is the potential for loss of life, an inundation map delineating the maximum
areal extent of flooding that could be produced by a dam failure. Inundation mapping
should extend to a point downstream where the dam break flood would no longer pose
a risk to life. This is often interpreted to be coincident with the point where inundation
from the dam failure is within the 100 year floodplain for the affected watercourse.

• The downstream hazard classification as defined by Table 4, which reflects the above
conditions and those conditions that might be reasonably anticipated from future

13
 downstream development. The most serious potential consequences of failure for
those conditions listed in columns 4A, 4B, and 4C shall be used to establish the
appropriate downstream hazard classification.

Specific guidelines for dam break analyses are found in the Dam Safety Guidelines -
Technical Note 1, Dam Break Inundation Analysis and Downstream Hazard
Classification.

TABLE 4. DOWNSTREAM HAZARD CLASSIFICATION

Downstream Downstream Column 4A Column 4B Column 4C

Hazard Hazard Population Economic Loss Environmental
Potential Classification at Risk Generic Descriptions Damages

Minimal. No deleterious materials

Low 3 0 No inhabited structures. in water
Limited agriculture development.

Appreciable. Limited water quality

1 or 2 inhabited structures. degradation from
Significant 2 1 to 6 Notable agriculture or work sites. reservoir contents and
Secondary highway and/or rail lines. only short-term
consequences.

Major.
3 to 10 inhabited structures.
High 1C 7 to 30 Low density suburban area with some
industry and work sites.
Primary highways and rail lines.

Extreme. Severe water quality

11 to 100 inhabited structures. degradation potential
High 1B 31-300 Medium density suburban or urban from reservoir contents
area with associated industry, and long-term effects on
property and transportation features. aquatic and human life.

Extreme.
More than 100 inhabited structures.
High 1A More than 300 Highly developed, densely populated
suburban or urban area with
associated industry, property,
transportation and community life line
features.

14
3.3.5 Engineering Calculations

Engineering calculations and data supporting the detailed design of project components
should be included with the submittal of the design reports. The design, analyses, and
construction details should satisfactorily address the conditions at the proposed site. The
supporting information should generally include:

• The design step level(s) used in the design of the critical project elements based on
guidance contained in Part IV of the Dam Safety Guidelines and information in Technical
Note 2.

• Stability analyses corroborating the design of the proposed embankment/barrier section

under static and seismic loadings and rapid drawdown conditions.

• An assessment of the impoundment permeability and any associated local groundwater

problems which may develop from the impoundment of water.

• Calculations for the design of any hydraulic structures, particularly outlet works, which
are subject to high lateral earth pressures, relatively large seismic loads or excessive uplift
pressures.

• Computations for sizing the principal and emergency spillways, and routing computations
defining the reservoir inflow and outflow design flood hydrographs. If a computer model
of the watershed is developed, a listing of pertinent input and output data should be
included.

• A graph or chart describing the relationship between reservoir pool elevation and reservoir
surface area (in acres).

• A graph or chart describing the relationship between reservoir pool elevation and reservoir
storage volume (in acre-feet).

It should be emphasized, particularly for small projects, that many of the foregoing items, and
those items described in the geologic, hydrologic and dam failure analyses sections can be
adequately addressed through a simple reconnaissance of the site and surrounding
topography. In addition, much of the needed guidance and information is contained in
standard engineering texts, references and publications, some of which is summarized in Part
IV of the Dam Safety Guidelines.

More detailed information on items commonly covered in design reports is provided in the U.S.
Bureau of Reclamation's publication Design of Small Dams.

15
3.4 CONSTRUCTION PLANS AND SPECIFICATIONS

Construction plans are usually prepared in several steps progressing from preliminary to
intermediate to final plans. This procedure provides the owner and engineer an opportunity for
discussion and for decisions to be made on details of the project design.

For large and/or complex projects, the DSO must be provided with preliminary or intermediate level
plans, in addition to the final plans, to allow for adequate review time and independent analysis. For
small projects, involving relatively simple designs, preliminary or intermediate plans are normally
not needed for review.

The submitted plans and specifications should consist of those drawings and specifications which
the contractor will use to construct the facility. For approval, the construction plans and
specifications must contain sufficient detail and information to adequately describe and control the
proposed construction work.

The following items, as a minimum, must be included as part of the construction plans:

• Project location and vicinity map.

• Site map of dam, reservoir area, and appurtenances.
• Sectional view along longitudinal axis of dam and foundation.
• Cross-sectional view of dam at location of maximum height.
• Cross-sectional views and profiles of spillway(s), outlet facilities, and other appurtenances.
• Steel reinforcement placement and bar sizing for concrete construction must be shown in at
least one section or profile.
• The plan for diversion and control of water during construction.

Water impounding facilities pose unique problems not generally encountered in other structures.
Particular care should, therefore, be taken in writing specifications for foundation treatment and
preparation, the gradation of borrow materials and filters, fill placement, moisture control and
compaction, and mix design and quality control of concrete for hydraulic structures subjected to
intermittent or continuous flow.

The following items, as a minimum, must be included as part of the construction specifications:

• The type, class, and/or description of all materials to be used.

• The requirements for fill placement, moisture conditioning, and minimum level of
compaction of all earthen zones.
• The requirements, procedures, and minimum standards for concrete construction and/or
construction details.

16
These topics are covered in more detail in the Part IV of the Dam Safety Guidelines. Sample
specifications are also provided in the previously cited reference, Design of Small Dams.

The plans and specifications must bear the seal and signature of the project engineer. Two copies of
the plans and specifications must be submitted to the DSO for engineering review. Upon approval,
one copy will be retained by the DSO and the other copy will be returned to the project engineer.

3.5 REVIEW STANDARDS

The DSO will review engineering design reports, plans and specifications, and the construction
inspection plan to ascertain that the proposed project will be designed and constructed in a manner
which will reasonably secure safety to life and property. The review is not intended to extend to
more general issues of safety not directly related to the structural stability and integrity of the
project, which are the purview of other governmental agencies. The DSO will review documents
submitted to ascertain that they conform to accepted engineering and construction practice and the
Dam Safety Regulations Chapter 173-175 WAC, and are in agreement with guidance contained in
Part IV of the Dam Safety Guidelines. Those elements of a document(s) which are not found to be
in conformance with the above will be identified to the owner or the project engineer and changes
may be required to conform to accepted engineering practice.

Where differences of opinion arise on the suitability of certain engineering or construction practices
and cannot be readily resolved, the burden of proof will rest on the owner and the project engineer
to demonstrate the suitability of the proposed plan or action.

3.6 CONSTRUCTION PERMIT FEE

As required by statute and administrative code, a fee for plan review and subsequent construction
inspections must be paid to the Department of Ecology before plans are approved and the
construction permit is issued. Fee amounts for new construction for fiscal year 2005 range from a
minimum of $1400 to a maximum of $56,000 depending on the size of the project. The exact
amount of the fee is set by WAC 173-175-360 and 370, and is determined by the DSO based on the
height and crest length of the dam as shown on the construction plans. The fees will be
automatically adjusted annually on July 1st by the fiscal growth factor as calculated under RCW
43.135. The DSO will publish the adjusted fees after July 1st on our internet site
(http://www.ecy.wa.gov/programs/wr/dams/dss.html), and by providing written notification by mail
or e-mail to permit applicants.

An initial payment of $1400 dollars, which may represent all or a portion of the construction permit
fee is to be paid in conjunction with the submittal of the construction permit application. The
balance of the fee amount is to be paid following notification by the DSO of the balance due.
Table 5 provides an abbreviated listing of the construction permit fees for new projects in FY 2005.

17
 TABLE 5. CONDENSED FEE SCHEDULE FOR NEW DAM CONSTRUCTION.

DAM DAM CREST LENGTH (Feet)

HEIGHT
(feet)
100 200 400 600 800 1000 2000

200 37128 44492 49532 51380 52556 53452 56000

150 30352 38640 45668 48664 50260 51184 53984

100 18872 28840 37548 42308 44800 46844 50792

80 14392 22204 32368 37240 40656 42980 45696

60 10192 15708 24248 30660 34020 34496 34496

40 5908 9128 14084 18144 21728 22176 22176

30 4480 6916 10668 13748 16436 17696 17696

20 2800 4312 6664 8596 10276 11816 12096

15 2156 3108 4788 6188 7392 8512 9296

10 1652 2128 3052 3920 4704 5404 6496

5 1400 1484 1736 2044 2296 2576 3696

Fees for modifications of existing structures are charged at a reduced rate depending on the intended
scope of work. Fees for minor modifications of the impounding barrier, spillways, or outlets and
appurtenant works are charged at 25%, 25% and 10% respectively of the amounts in Table 5, or
$1400, whichever is greater.

If an existing project is to undergo a significant enlargement, (raising of the barrier height by an

amount greater than 5 feet, or a 10% or more increase in overall dam height or normal pool
elevation), then the fees for the impounding barrier, spillways or outlets and appurtenant works are
35%, 35%, and 10% respectively of the amounts shown in Table 5, or $1400, whichever is greater.

For the planned abandonment and reclamation of dams and reservoir areas used in mining
operations, the fee is $1400.

The fee for the removal of a dam with safety deficiencies is ten dollars.

The complete fee regulation, and fee scale contained in WAC 173-175-350 through
173-175-400, is provided in Part I of the Dam Safety Guidelines, and is available on the internet at:
http://www.ecy.wa.gov/biblio/wac173175.html.

18
3.7 ISSUANCE OF CONSTRUCTION PERMIT

When all review comments have been satisfactorily addressed, the fee has been paid in full, and the
construction inspection plan (see Section 4.1) has been reviewed and accepted by the DSO, the
plans and specification will be approved, and a construction permit will be issued which authorizes
construction to commence.

Construction cannot begin until the construction permit has been issued by the DSO. However,
preliminary work such as mobilization of equipment, stripping and grubbing, and other site
preparation work is allowed prior to receipt of the construction permit, provided no permanent
features of the dam are started, and no other permits are required for this type of work.

A number of other permits and approvals are often required at the local, state, and federal levels for
the construction of impoundment facilities. Receipt of the construction permit does not relieve the
owner of the responsibility to secure all other applicable permits and approvals before proceeding
with construction work. Some of the more common permits and approvals that may be required for
the typical dam and reservoir project are outlined in Section 2 of this document, and described in
more detail in the Ecology publication Commonly Required Environmental Permits for Washington
State.

19
 4. CONSTRUCTION INSPECTION

It is the responsibility of the owner, usually through the project engineer, to provide for adequate
engineering control and inspection of the work to ensure that it conforms with the approved plans
and specifications. For small projects this generally involves verifying the following:

• The foundations have been adequately prepared and treated.

• Embankment fill has been properly moisture conditioned and compacted.
• The various construction materials conform to the specifications.
• Concrete work conforms to the plans and is accomplished in a satisfactory manner.
• Spillways and appurtenant works are constructed to the specified size and elevation.

Table 6 outlines the normal inspection effort for typical projects. This information may also be used
to assist in writing the scope of work for contracting for engineering services. Site specific
considerations or project characteristics may warrant a more or less stringent approach than that
described.

4.1 CONSTRUCTION INSPECTION PLAN

A detailed plan, incorporating the construction inspection activities shown in Table 6, must be
submitted to the department describing how adequate and competent construction will be provided.
The Construction Inspection Plan must be reviewed and accepted by the DSO prior to issuance of
the Construction Permit. The Construction Inspection Plan must be prepared by a professional
engineer and shall include, as a minimum:

• A listing of construction activities related to critical project elements and planned inspection
effort including staffing levels, responsibilities, frequency and duration of site visits;

• A description of the quality assurance testing program which describes the type of test,
general frequency, acceptable results, handling of deficient materials, and the individual(s)
responsible for overseeing the testing;

• A description of construction management organization, lines of communication, and

responsibilities;

• A description of the change order process including who is responsible for coordinating the
change order review process with the department;

• A description of the technical records handling and the content and frequency of construction
progress reports.

20
 TABLE 6. NORMAL CONSTRUCTION INSPECTION ACTIVITIES

INSPECTION REPORT
DAM SIZE FREQUENCY OF QUALITY ASSURANCE INSPECTION DOCUMENTATION SUBMITTAL FREQUENCY
CLASSIFICATION SITE INSPECTION TESTING PROGRAM SUBMITTED TO DSO

. Field Memoranda and . Change Order Documentation

Inspection Notes

Intermittent . Periodic Compaction . Summary of Field Density . As Material is Developed

SMALL Control Test Results

Height < 15 Ft. On-Site for . Gradations of . Summary of Gradation . Provide Abbreviated
Inspection of Representative Samples Test Results Construction Summary of
Critical Elements of Embankment Project Containing
Materials Representative Photos

. Photos of Construction
of Critical Elements

. Field Memoranda and . Change Order Documentation

Inspection Notes . Provide Initial
Material Gradation
Frequent . Periodic Compaction . Summary of Field Density and Compaction Control
INTERMEDIATE Control Test Results Results As Developed
to Confirm Compliance
On-Site Several . Gradations of . Summary of Gradation with Specifications
Height > 15 Ft. Times Each Week Representative Samples Test Results and Adequacy of Test
and Present During of Embankment Procedures
but Construction of Materials
Critical Elements
Height < 50 Ft. . Concrete Cylinders for . Summary of Concrete . Provide Construction
all Structural Concrete Test Results Summary Report at
Completion of Project
. Photo Record of all Include Representative
Critical Elements and Photo Chronology
Construction
Chronology

. Maintain On-Site . Change Order Documentation

Complete Set of Daily
Inspection Memoranda
LARGE and All Test Results
. Provide Initial
Continuous . Periodic Compaction . Periodic Summaries of Material Gradation
Height ≥ 50 Ft. Control Field Density Test Results and Compaction Control
Results as Developed
Inspector(s) On-Site . Gradations of . Periodic Summaries of to Confirm Compliance
Throughout Representative Samples Gradation Test Results with Specifications
Construction of Embankment and Adequacy of Test
Materials Procedures

. Concrete Cylinders for . Periodic Summaries of . Provide Construction

Consideration of all Structural Concrete Concrete Strength Test Summary Report at
Increased and air entrainment Results Completion of Project
Inspection Staff testing Include Representative
During Construction Photo Chronology
of Critical Elements . Complete Photo Record
Construction
Chronology

21
4.2 DAM SAFETY OFFICE ROLE IN CONSTRUCTION INSPECTION

The role of the Dam Safety Office during construction will be to confirm that the project engineer,
acting as representative for the owner, is properly implementing the approved Construction
Inspection Plan. The DSO will periodically observe the construction work to independently confirm
that the conditions assumed in the design stage are valid for actual field conditions, and that
construction is proceeding in accordance with the approved plans and specifications. The DSO may
require changes to be made to the approved plans and specifications to reasonably secure safety to
life and property. Reasons for changes may include:

• To address unanticipated field conditions.

• To correct omissions or errors in the approved plans and specifications.

• To correct situations where the construction work clearly is not being performed
satisfactorily, and does not meet the performance intent of the specifications.

Where deemed necessary by the DSO, a stop-work order may be issued to temporarily halt
construction until a problem can be resolved.

4.3 CONSTRUCTION CHANGE ORDERS

After construction is in progress, a variety of problems such as unanticipated foundation conditions

or shortages of materials may necessitate a change to the plans. Where such changes represent a
significant modification of the approved plans or specifications that could have an impact on the
structural integrity or safe operation of the impoundment, the change must be submitted to the DSO
for a determination if an approval is required. The following flowchart (Figure 4) illustrating the
review process, directs the project engineer to notify the DSO of the need for a change order
(usually by phone) where a judgment as to the need for an approval would be made. If submittal of
a change order is deemed necessary, two complete sets should be forwarded to the DSO for review
and approval. The DSO will review the construction change order and provide a response to the
project engineer in a timely manner consistent with the complexity and safety concerns of the
situation.

22
 NOTIFICATION OF DSO
CHANGE ORDER IS NEEDED

DSO
DECISION NO NO DSO-REVIEW
MAJOR NOR
CHANGE APPROVAL NEEDED

YES

SUBMITTAL OF PROPOSED CHANGE

TO PLANS AND/OR SPECIFICATIONS

PREPARE REVISIONS
DSO-REVIEW AND/OR PROVIDE
ADDITIONAL INFORMATION

DSO
APROVAL NO
OF
CHANGE

YES

INCORPORATE CHANGE IN CONSTRUCTION

SHOW CHANGE ON AS-BUILT PLANS

FIGURE 4. FLOWCHART OF REVIEW PROCESS FOR CONSTRUCTION CHANGE

ORDERS

4.4 OPERATION AND MAINTENANCE PLAN

An Operation and Maintenance (O&M) Plan must be developed for all dams being constructed or
modified, and submitted to the DSO for review and acceptance before project operation can be
initiated or resumed. The O&M Plan is a summary and outline of how the project is to be operated,
and how monitoring, inspection and maintenance are to be accomplished. A copy of the form to be
used in completing an O&M Plan is provided in Appendix B. Owners are responsible for
incorporating details of the O&M Plan into an O&M Manual, which is described in Section 5.1.

23
4.5 EMERGENCY ACTION PLAN

If a failure of the dam could pose a risk to life based on the current level of development in
downstream areas, an Emergency Action Plan must be developed and submitted to the DSO for
review and acceptance before project operation can be initiated or resumed. Requirements
associated with EAPs are described in Section 5.2.

4.6 DECLARATION OF CONSTRUCTION COMPLETION

Within 30 days following substantial completion of construction or modification of a dam, the

project engineer shall submit to the DSO a declaration stating that the project was constructed in
accordance with the DSO approved plans and specifications and construction change orders. The
following declaration form may be used or altered, as appropriate, by the project engineer.

DECLARATION OF DAM CONSTRUCTION COMPLETION

In accordance with WAC 173-175-230, the undersigned professional engineer states that:

He/she, or a designated representative under his/her supervision, was present during construction
to observe construction activities, and that he/she has reviewed the results of the field testing of
materials, and to the best of his/her knowledge, the following dam project,
________________________________________, was constructed in accordance with the
(Project Name)
approved plans, specifications, construction change orders, and construction inspection plan.
Based on the forgoing, the project can be put into service.

____________________________________________ ______________________
(Name) (Date)

P.E. Seal and Signature

FIGURE 5. DECLARATION OF CONSTRUCTION COMPLETION

24
4.7 AUTHORIZATION TO COMMENCE OR RESUME PROJECT OPERATION

Once the project engineer's declaration of acceptable construction completion has been received, the
DSO will authorize the owner or the project engineer, as appropriate, to commence controlled
reservoir filling, or resume normal project operation, provided that:

• The DSO concurs with the project engineer that the project was constructed in accordance
with the approved plans and specifications and construction change orders, and the project is
expected to function satisfactorily.

• The proposed O&M Plan, and Emergency Action Plan (if required) are acceptable to the
DSO.

If the above conditions are not met, the owner will not be allowed to commence or resume normal
operation of the project until all outstanding issues or problems are resolved.

4.8 CONSTRUCTION RECORDS SUMMARY

Within 120 days following completion of construction or modification of a dam, the project
engineer must submit a report to the DSO on construction activities. This report should include:

• A summary of results from the field testing of all materials used in construction. The
summary shall identify both representative values and the range of test values.

• A discussion of any notable problems, incidents, exceptions, etc. encountered during

construction.

• One complete set of drawings depicting the as-built condition of the dam. These drawings
shall be submitted in both paper and electronic format.

25
 5. PROJECT OPERATION DOCUMENTS

It is the responsibility of dam owners to operate and maintain their dam(s) in a safe manner and
condition, and to notify the Dam Safety Office (DSO) when modifications to the dam are proposed
or unusual or unsafe circumstances occur. The following sections list documents and activities that
are required of dam owners once the project is completed and in service.

5.1 OPERATION AND MAINTENANCE MANUAL

As discussed in Section 4.4, owners of new project are required to submit an Operation and
Maintenance (O&M) Plan as part of the construction permit process. The O&M Plan provides a
brief summary of how the project is to be operated, and outlines how the basic elements of
monitoring, inspection and maintenance are to be accomplished. Once the project is completed,
owners are then responsible for incorporating the information in the O&M Plan into an O&M
Manual, suitable for use by dam operators. The O&M Manual should contain detailed information
on how the project is to be operated, monitored, inspected, and maintained.

The development of the manual for directing and controlling normal operations and maintenance
should be an integral part of project formulation. Ideally, it should be included as part of the scope
of work for development by the engineering consultant. The O&M Manual is necessarily
multipurpose. Its size and complexity would be a function of the characteristics of a specific
project. In general, the manual should describe procedures for the operation of the project under
normal, and extreme or emergency conditions and provide technical guidance and procedures for
monitoring, inspection, and long-term maintenance. For detailed information on O&M manuals,
refer to Ecology Publication 92-21, Guidelines for Developing Dam Operation and Maintenance
Manuals.

5.2 EMERGENCY ACTION PLAN

Emergency Action Plans (EAPs) must be developed for all projects that could pose a threat to life
(Downstream Hazard Classes 1A, 1B, 1C, and 2). In general, the EAP should describe procedures
for responding to unusual or emergency situations and procedures for initiation of notification or
warning of individuals who may be at risk in downstream areas. As a minimum, the EAP should
include the following:

• Notification procedures (preferably in the form of a flow chart) and responsibilities for
notifying downstream residents in the event of an impending dam failure.

• A notification list that includes the names and telephone numbers of all affected downstream
residents, dam owner and operator, local emergency officials, and appropriate government

26
 agencies (including the Dam Safety Office).

• Specific instructions for responsible parties to be followed at the dam site in response to
emergencies such as floods, equipment failures, or other unusual events where the situation is
evolving slow enough that immediate remedial action can be effective to prevent failure.

• Procedures to follow for emergency situations which probably would not lead to dam failure,
but still could represent a hazard for downstream residents.

Detailed information on the development of EAPs is contained in Ecology Publication 92-22,

Guidelines for Developing Dam Emergency Action Plans. Owners are required to coordinate the
development of the EAP with representatives from the local Emergency Services staff, the State
Department of Community Development, Emergency Management Division, and other appropriate
local authorities. Copies of the completed EAP must be provided to the State Emergency
Management Division, local Emergency Services, and to the DSO.

27
 APPENDIX A
DAM CONSTRUCTION PERMIT
APPLICATION FORM

28
 WATER RESOURCES PROGRAM
DAM SAFETY OFFICE
APPLICATION FOR DAM CONSTRUCTION PERMIT
$1400.00 initial non-refundable payment required with application
or $10.00 Fee for Dam Removal
(GRAY BOXES FOR OFFICE USE ONLY)
File No. County Code WRIA Date Rec'd Initial Fee Paid

1. OWNER INFORMATION
Owner's Name Telephone Number

( )
Mailing Address (Street or P.O. Box) (City) (State) (Zip)

2. PROJECT ENGINEER INFORMATION

Project Engineer for Dam Design: Telephone Number:

( )
Address (Street or P.O. Box) (City) (State) (Zip)

Washington State P.E. # Expiration Date

3. CONSTRUCTION ENGINEER INFORMATION

Project Engineer for Oversight of Dam Construction: Telephone Number:

( )
Address (Street or P.O. Box) (City) (State) (Zip)

Washington State P.E. # Expiration Date

4. PROJECT INFORMATION
Project Name:

Dam Name(s) (Also List Names of All Impounding Structures Associated with Project)

Reservoir/Impoundment Name:

New Construction  Modification of Existing Dam  Dam Removal 

Name of Stream (If Offstream, Write Offstream and Name of Nearest Stream)

Location of Dam Section Township N. Range (E. or County

(Include Map Showing Location of Project) W.)
Location of Dam Latitude Longitude

(over)
ECY 070-38 (Rev. 9/04) Page 1

29
4. PROJECT INFORMATION (cont.)
Purpose of Dam and Reservoir (Water Supply, Recreation, Power, Fish Propagation, etc.)

Reservoir Operation Class (Permanent, Seasonal, or Intermittent Pool) Dam Size -  Small
 Intermediate
 Large
Downstream Hazard Classification (Class 1A, 1B, 1C, 2, or 3)

Is Dam Regulated by Federal Agency? If yes, Name of Agency

Is Dam a Hydropower Project? If yes, FERC License #

Is Dam Constructed on Federal Land?

Has Environmental Checklist Been Completed in Accordance with SEPA?

Has Determination Been Made if Water Right Permit and/or Reservoir Storage Permit is Needed?

5. DAM INFORMATION
Proposed Dam Height (Crest to Toe) Length Along Dam Crest Width of Dam Crest

Type of Construction and Material of Which Dam is to be Built (Examples: Homogeneous Earthfill, Zoned Earthfill,
Concrete Gravity)

Proposed Date of Construction Startup Anticipated Date Construction will Be Completed

6. RESERVOIR INFORMATION
Number of Acres Submerged at Normal Full Pool

Number of Acre-Feet to be Stored at Normal Full Pool

Number of Acre-Feet that can be Stored at Dam Crest Level

7. PROJECT OPERATION
Who Will Be Responsible for Project Operation & Maintenance?

Who Will Be Responsible for Project Inspections & Monitoring?

Name of Project Contact

Date

Telephone Number

Page2
30
 INSTRUCTION SHEET
FOR COMPLETING APPLICATION FOR DAM CONSTRUCTION PERMIT

1. OWNER INFORMATION: Name, Address, and Telephone of individual, corporation, public entity,
etc., that is the legal owner of the project.

2. PROJECT ENGINEER INFORMATION: Name, Address, Telephone No., and P.E. No. of person
who is to be Project Engineer. The Project Engineer has direct supervision in managing the engineering
aspects of the project as representative of the owner.

3. CONSTRUCTION ENGINEER INFORMATION: Name, Address, Telephone No. of person who is

to be Construction Engineer. The Construction Engineer is responsible for managing the construction of
the project as representative of the owner, in accordance with the construction inspection plan. If same
as Project Engineer, write "Same".

4. PROJECT INFORMATION:

Project Name: Name given to overall project.

Dam Name(s): Name for each dam, berm, dike, involved in project.

Reservoir Name: Name to be given to reservoir, lake, pond, impoundment, etc.

Name of Stream: Name of stream, creek, river that dam is to be constructed across. If the impoundment
is not to be constructed across a stream, write "Offstream". If stream is unnamed, write "unnamed
tributary of _____ Creek".

Location of Dam: Legal Description of land on which dam is built. Provide a map showing the project
location.

Purpose of Dam and Reservoir: Indicate purpose(s) for which proposed project is to be used. Types of
purposes would include: Water Supply (Irrigation, Industrial, or Municipal), Hydropower, Flood
Control, Stormwater Detention, Recreation, Mine Tailings, Wastewater, Wildlife/Fish Propagation.

Reservoir Operation Class: Indicate how reservoir is to be operated:

Permanent Pool - Operated year round at approximately same elevation.

Seasonal Pool - Operated at full pool part of the year, with seasonal drawdown.

Intermittent Pool - Impounds water infrequently and for short duration, such as flood
control dams.
Dam Size: Small - Dam Height less than 15 feet.

Intermediate - Dam Height 15 feet or greater, but less than 50 feet.

Large - Dam Height 50 feet or greater.

31
 Downstream Hazard Classification: Indicates level of downstream development that would be affected
in the event of a dam failure:

3 - Low No inhabited structures

2 - Significant 1 or 2 inhabited structures
1C- High 3 to 10 inhabited structures
1B- High 11 to 100 inhabited structures
1C- High More than 100 inhabited structures

Note: See Dam Safety Guidelines - Technical Note 1 for assistance in assessing the downstream hazard
classification.

Has Environmental Checklist been Completed in Accordance with SEPA?: State Environmental Policy
Act (SEPA) requires that agencies issuing permits, approvals, etc., must assure that appropriate
consideration has been given to the environment. The SEPA process is initiated by the project
proponent completing an Environmental Checklist. Information on the SEPA process can be obtained at
local (city, county) planning departments, or from the Environmental Review Section of Ecology at
(206) 459-6025. SEPA must be complied with before a Dam Construction Permit can be issued.

Has Determination Been made if Water Right and/or Reservoir Permit is Needed?: If water impounded
by the dam is considered a beneficial use (e.g. water supply, recreation, fish propagation) then a water
right and/or Reservoir Permit is required. Information and application forms can be obtained at the
Ecology Regional Offices in Bellevue, Tumwater, Yakima, or Spokane.

5. DAM INFORMATION: Provide general dimensions and information about dam type.

6. RESERVOIR INFORMATION: Provide area and volume information for reservoir.

7. PROJECT OPERATION: Indicate responsible individuals for Operation & Maintenance, and
Inspection & Monitoring once the project has been built and put into service.

Ecology is an equal opportunity employer. To receive this document in an alternate format, contact
the Water Resources/Dam Safety Office at (360) 407-6872 (voice), or 711 or 1-800-833-6388 (TTY).

32
 APPENDIX B
OPERATION & MAINTENANCE PLAN
FORM

33
 WATER RESOURCES PROGRAM
DAM SAFETY OFFICE

OPERATION AND MAINTENANCE PLAN FORM

1. PROJECT DATA:

Dam Name:

Reservoir Name:

Owner's Name:

Creek/River:

Location: Section ______________ Township ______________ Range _____________

Dam Type:

Dam Height:______________ Crest Length: _______________ Crest Width_________________

2. INDIVIDUALS WHO ARE RESPONSIBLE FOR:

Name Title Telephone #

Operation:

Maintenance:

Inspections:

Monitoring of
Instrumentation:

3. LISTING OF HYDRAULIC ELEMENTS FOR CONTROLLING INFLOW TO OR

OUTFLOW FROM RESERVOIR: (Include gates, valves, spillways, stoplogs, structures, etc. location and
dimensions of structures)

34
4. RULES AND PROCEDURES FOR RESERVOIR OPERATION (How is reservoir level controlled?
Include proposed reservoir levels for given time of year, periods of drawdown and filling, and operation during floods)

5. LIST OF ITEMS REQUIRING PERIODIC MAINTENANCE, AND PROCEDURES FOR

PERFORMING MAINTENANCE. (Include type of maintenance performed, frequency, method, and record
keeping):

6. LIST OF INSTRUMENTATION, FREQUENCY OF MONITORING, AND METHOD OF

RECORD KEEPING:

35
7. LIST OF EQUIPMENT TO BE PERIODICALLY TEST OPERATED. (Gates, valves, hoists, etc.
Include frequency of test operation.):

8. FREQUENCY OF ROUTINE INSPECTIONS: (e.g. Weekly, monthly, or quarterly. Include list of key
elements inspected)

9. ANNUAL INSPECTIONS BY OWNER: (Time of year when performed, special items to be examined,
reviewed, and/or test operated)

36