This guideline provides an outline of responsibilities for
NPS personnel in the planning, design, preservation,
rehabilitation/construction, maintenance and operation, inspection, acquisition
or disposal of dams under NPS management. Instructions on recommended
coordination with local officials and non‑NPS dam owners are given also:It is not intended as a technical manual but as
a management guideline. A list of recommended technical references is provided
in Appendix B.
Application of the guideline by NPS personnel should be
commensurate with each dam's size, complexity, operational importance, hazard
potential classification, and ownership. Inquires about the application of the
guideline may be made to the park, regional, or Washington Office NPS
Maintenance, Operation, and Safety of Dams (MOSD) Program coordinators.
CONTENTS
Chapter 1. INTRODUCTION
A. General...................................................
B. Management Objectives.........................
C. Applicability...........................................
D. Definitions.............................................
Chapter 2. ORGANIZATIONAL MANAGEMENT
A. Authorities............................................
B. Management Responsibilities...............
C. Inventory Data Base Management........
D. Staffing.................................................
E. Funding and Personnel Resources........
F. Documentation.....................................
G. Technical Reviews..............................
Chapter 3. NPS PLANNING AND ENVIRONMENTAL EVALUATION PROCESS
FOR PROPOSED OR EXISTING DAMS
A. General................................................
B. Acquisition, Holding, or Disposal.......
C. Floodplain and Wetland Protection.....
D. U.S.
Army Corps of Engineers Section 404 Permit Program…
Chapter 4. MANAGEMENT OF TECHNICAL ACTIVITIES - SITE
INVESTIGATION AND DESIGN FOR PROPOSED OR EXISTING DAMS
A. General...................................................
B. Hydrology..............................................
2. Coordination with
non-NPS Dam Owners.............
3. Evaluation of
Emergency Potential.....................
4. Actions to
Prevent or Minimize Effects of Failure....
5. Actions upon
Discovery of a Potentially Unsafe (Seriously Deficient) Condition…
APPENDICES
A. NPS Inventory of Dams
B. Recommended References For Maintenance, Operation, and
Safety of Dams
C. Regional Coordinators and NPSDenverServiceCenter
and Bureau of Reclamation Contacts
D. Data Book Listing
E. Example Emergency Action Plan
F. State Safety of Dams Officers
G. Example Letter To Non‑NPS Dam Owner or Regulatory
Agency (Preferably)
H.
List of Official Technical Supplements to Director’s
Order #40 and Reference Manual(RM)-40
CHAPTER ONE
INTRODUCTION
A. General
Dams and their appurtenant works represent a valuable
resource to the National Park System and require careful management. The
purpose of this guideline is to outline management responsibilities for the
preservation/maintenance, operation, and safety of dams under NPS jurisdiction
as respectively required by Statute 16 U.S.C. 1 and Departmental Manual Part
758.
These responsibilities include, but are not limited to,
planning, design, preservation, rehabilitation/construction, maintenance and
operation, inspection, acquisition or disposal of dams under NPS management,
and coordination with local officials.
The guideline is not intended as a standard for technology
of dams. Current references dealing with the technology of dams and appurtenant
works are provided in Appendix B. The guideline may be used, as appropriate,
when coordinating with non‑NPS dam owners.
Application of this guideline by Regional Directors,
Superintendents, and Manager, Denver Service Center (DSC), should be
commensurate with each dam's size, complexity, operational importance, hazard
potential, and ownership.
Non‑NPS dams also will be monitored carefully and
information about them kept within the NPS inventory data base management
system. These are dams and appurtenant works for which NPS managers have no
direct operational responsibility; but where their failure or misoperation
could have a definite effect on park safety or operations. Regional Directors
and Superintendents will request observer status during inspections and in the preparation
and review of emergency action plans at non‑NPS dams that significantly
affect park areas. A list of such dams is available in the most current NPS
Inventory of Dams, Appendix A.
The NPS Park Facility Management Division has overall
responsibility for the coordination of the Maintenance, Operation, and Safety
of Dams (MOSD) Program; however, there are many NPS programs‑land
acquisition, cultural resources management, design, construction, law
enforcement, security, and public safety that are closely interrelated and
should be properly coordinated. A qualified engineer should be assigned by each
Regional Director to assure the implementation of all appropriate portions of
this guideline when a major action is undertaken in the acquisition, advance
planning; preservation/design/construction formal inspection, or disposal of
either high (1) or significant (2) hazard potential dams under NPS management.
Low (3) hazard potential dams will still receive periodic inspections to assess
any changes in their hazard potential, to evaluate maintenance and repair
needs, and to determine if they are still essential to park operations. Non‑essential
dams and appurtenant works should be dewatered and removed in an
environmentally sound manner.
Regional Directors and Superintendents will provide, as
appropriate for each type and size dam, documentation and reporting as
indicated in Chapter Two, section F.
B. Management Objectives
The following objectives are given for the Maintenance,
Operation, and Safety of Dams (MOSD) Program:
‑Establishment of MOSD Program within WASO and
Regional Park Facility Management Divisions with designated program
coordinators and/or project engineers;
‑Assure management control of technical activities;
Maintain inventory data base on any
size, type, owner, or status dam that will affect or is affecting park
operations or safety,
Conduct proper planning, design,
construction management, or periodic inspection of all dams under NPS
management,
Perform corrective action or
disposal of deficient dams under NPS management,
‑Provide sufficient funding and personnel to support
these responsibilities;
‑Integrate MOSD Program into other NPS activities,
funding sources, and programs;
Routine Maintenance (park facility
and maintenance staff),
Cyclic Maintenance (park facility
and maintenance staff ),
Repair and Rehabilitation (park
facility and maintenance staff ),
Cyclic Maintenance of Cultural
Resources (cultural resources and facility/maintenance staff),
Cultural Resources Preservation
Fund (cultural resources staff),
Construction and Major
Rehabilitation (park facility/maintenance and DenverServiceCenter
staff),
Risk Management (occupational and
public type safety at dam as pertains to heights/depths, dangerous flows and
equipment),
Visitor Services Division (guard
against vandalism and coordinate emergency action plans at certain NPS and non‑NPS
dams),
Land and Structures Acquisition
(purchase of dams and appurtenant works).
This is not an all‑inclusive list. NPS managers should
be constantly alert to what impact both NPS and non‑NPS dams have on park
safety and operations.
C. Applicability
Regional Directors and Superintendents will be responsible
for the upkeep of the NPS inventory data base system (Appendix A) for any size, type, owner, or status dam
(planned acquisition or disposal) that affects park maintenance, operations, resource,
or safety. Where projects do not have any purpose, they should be dewatered and
removed under the supervision of qualified personnel and project areas restored.
For those dams that are used for park
management and operations, NPS managers will annually schedule, as appropriate,
funding and personnel to assure that their structures are properly planned,
designed, rehabilitated, constructed, maintained, operated and periodically
inspected. MOSD program personnel should be contacted immediately when a dam is
planned for acquisition or disposal. They will be responsible for the
evaluation and inventory of the structure into the MOSD program. A formal
safety report including cost estimates to correct identified deficiencies
should precede the appraisal of a dam site. The condition of the dam may have a
bearing on the fair market value of the property.
D. Definitions
1. General. The following
definitions apply to this guideline. More detailed definitions are provided in
the explanation of terms used in the NPS inventory of dams database management
system as given in Appendix A.
2. Dam or Project. Any artificial
or natural barrier including appurtenant works (spillways, inlet and outlet works, tunnels, pipelines,
penstocks, power stations, diversions.penstocks,
canals, gates, conduits, navigation locks, instrumentation, or mechanical and
electrical equipment) that impounds, controls, stores, or diverts
streamflow and affects park maintenance, operation, resource, or safety. In
some cases these structures will include embankments used for trails, roads, or
railroads and during heavy runoff would act as dams and thus pose a possible
hazard potential. Also landslides and ice formations need to be evaluated as a
possible dam. For the management of NPS dams, there is no limitation to size,
type, or status (proposed acquisition or disposal) in regard to these criteria.
Dams not essential for environmental preservation, management, or operation of
parks should be dewatered and breached under the supervision of qualified
personnel and the project area restored.In some cases, the impoundment areas have become filled with sediment or
covered by vegetation such that removal or restoration is too expensive or
damaging to park resource.In these
cases, the dam will still need to be maintained to prevent the impounded
sediment or any other material from being discharged downstream if the dam were
to fail. This guideline applies with equal force whether the dam has a
permanent reservoir or is a detention dam for temporary storage of floodwaters.
In addition to conventional
structures, this definition of "dam" specifically includes
"tailing dams," embankments built by waste products disposal and
retaining a disposal pond.
3. Hazard Potential. Potential loss
of life or property or resource damage downstream of a dam from floodwaters
released at the dam, or water released by partial or complete failure of the
dam, and upstream of the dam from effects of rim slides or upstream dam
failure. Also the effect of a failure, partial failure, or other incident
should be considered for highways, roads, or trails crossing over the dam. A
hazard potential is considered significant if there is a potential to cause
loss of life or major damage to permanent structures, utilities, or
transportation facilities. A detailed description of hazard potential is
provided below. It is not an indicator of structural, maintenance,
operational or safety condition.
HAZARD POTENTIAL CLASSIFICATION
CATEGORY
Loss of Life
(Extent of Development)
Economic or Environmental Loss
(Extent of Development or Resource)
5=Deactivated
Not possible including
any serious injury from remnants of deactivated projects
None Possible
See
Note 1
4 = Unknown
Unknown (A hazard assessment should be performed promptly)
Unknown (A hazard assessment should be performed promptly)
3 = Low
None expected
(No permanent facilities, campsites, or other visitor use
areas)
Minimal
(Undeveloped to occasional facilities or agriculture. No
significant park resources)
See
Notes 1 and 2
2 = Significant
Few
(No urban developments and no more than a small number of
inhabitable facilities, or visitor use areas)
Appreciable
(Notable agriculture, industry structures, or park
resources)
1 = High
More than few
Excessive
(Extensive community, industry or agriculture, or park
resources)
Note 1: Annual Informal Inspection
required. See Chapter 6, section C, 2, a.
Note 2:
Formal Inspection required every five years. Intermediate Inspection required
every two years. See Chapter 6; section C, 2, b and c.
4. Occupational and Public Type Safety. See Chapter 6,
section B, 2. The following features or conditions may exist at a structurally
sound dam but still pose a hazard potential to NPS personnel or public safety:
a. Waterways
(1)Spillways
(2)Sluices
(3)Intake
and release structures
(4)Submerged
objects
b. StructuralHeights
(1)Embankments
(2)Walls
(3)Cat
Walks
c. Mechanical or electrical
equipment at dam
5. Dam Failure. Catastrophic type of failure characterized
by the sudden, rapid, and uncontrolled release of impounded water. It is
recognized that there are lesser degrees of failure and that any malfunction or
abnormality outside the design assumptions and parameters which adversely
affects a dam's primary function of impounding water is properly considered a
failure. They are, however, normally amenable to corrective action.
6. Maintenance. Maintaining structures and equipment in
intended operating condition; equipment repair and minor structure repair.
7. Listed are some of the essential National Park Service
Operations for dams.
a. Irrigation
b. Hydroelectric Power Generation
c. Flood Control
d. Navigational Lockage
e. Water Supply
f. Recreation
(1)Camping,
Sunbathing, or Sightseeing
(2)Swimming
and Bathing
g. Conservation of Natural Habitat
and Cultural Resources
h. As Bridges, Roadways, and Hiking
Trails
8. Rehabilitation or Improvement. Repair of structural
deterioration to restore original condition; alteration of structures to
improve dam stability; enlarge reservoir capacity, or increase spillway and
outlet works capacity; replacement of equipment.
9. Emergency Action Plan. Formal plan of procedures to
alleviate dangers during construction of or after completion of a dam to reduce
loss of life or damages if conditions develop in which dam failure or misoperation
is likely or unpreventable.
CHAPTER TWO
ORGANIZATIONAL
MANAGEMENT
A. Authorities
1. 16 U.S.C. 1. General legislative authority for the
management and operation of park areas. It includes the maintenance and
rehabilitation of those facilities as designated an integral part of the park
operation.
2. Public Law 107-310 (The Dam Safety and Security Act of
2002) Re-authorization of the National Inventory for Federal and non‑Federal
dams, safety inspections of non‑Federal dams, development of a
comprehensive program for the inspection and regulation of dams for safety
purposes, and inclusion of security.
3. Federal Guidelines for Dam Safety, June 25, 1979. Recommendations for a systematic
program for the maintenance, operation, safety, or disposal (non-essential) of federal
dams.
4. Executive Memorandum, October 4, 1979, Implements Federal Guidelines for Dam
Safety as appropriate for each agency.
5. Departmental Manual Part 753 ‑ Specific
implementation of DOI program
a. Each agency has responsibility
of operating own program.
b. Bureau of Reclamation
coordination and advice on DOI agency programs.
c. Important objectives:
(1) Complete an accurate
inventory,
(2) Initiate periodic inspections
and necessary corrective action,
(3)Develop
emergency action plans at appropriate dams.
6. NPS Management Policies, sections 1.5, External Threats
and Opportunities; 8.2.5.2, Emergency Preparedness
and Emergency Operations; and 9.5 Dams and Reservoirs
B. Management Responsibilities
1. General.The
Director is responsible for the development and implementation of policy,
resources, and procedures for the maintenance, operation, safety, or else
deactivation (non-essential) of each dam under his control. The Associate
Director of Park Planning, Facilities, and Lands, with her/his park facility
management staff, assists the Director in discharging this responsibility and
shares in it. The Maintenance, Operation, and Safety of Dams Program is
established as a component of the Park Facility Management Division. The field
directorate is responsible for obtaining compliance with this guideline and assuring
that procedures are carried out.
Regional Directors, Superintendents, and Manager, DenverServiceCenter,
will establish a Maintenance, Operation, and Safety of Dams Coordinator within
their respective organizations as appropriate. See Appendix C for listing. The
coordinator will be responsible for ensuring that every effort is made to
enhance the maintenance, operation, and safety of dams under NPS control, and
to coordinate with non‑NPS dam owners about the condition of their
structures if they affect park safety, operations, or resource. Refer to
Appendix G for an example letter for coordinating with non-NPS dam project
owners and/or regulators. Duties of the office 'will include surveillance and
evaluation of administrative, technical, and regulatory practices related to
the acquisition, design, preservation/rehabilitation/ construction, maintenance
and operations, inspection of dams, and upkeep of the NPS inventory for both
NPS and non‑NPS dams that affect park safety and operations. The coordinator
will represent NPS in the field of dam structures, ownership, reconstruction,
management, ecology and cultural significance. The coordinator will be a key
spokesperson in resolving interagency water and related land resources
conflicts as pertains to dams and appurtenant works.
2. Design Responsibility. The design function can never be
considered finished as long as the dam remains in place; design involvement
should continue throughout construction and operation of the project. Regional
Directors should establish appropriate programs for on‑site construction
and operational inspections for review by appropriate design personnel and
technical specialists. The program will include frequent and mandatory
inspections during construction to confirm that site conditions conform to
those assumed for design or to determine if design changes may be required to
suit the actual conditions.
The design function includes responsibility for planning any
dam instrumentation to be installed during construction and/or operation to
monitor conditions that could potentially threaten dam safety.
An initial reservoir filling and surveillance plan will be
prepared by the design staff.
3. Construction Responsibility. The responsibility for
administering construction and supply contracts, for understanding the design
and contract intent, for maintaining technical coordination between design and
construction engineers, and for managing the construction staff to assure
compliance with specifications should be vested in an identified engineer at
the construction project for important dams.Important dams are those classified as high (1) or significant (2) hazard
potential, those whose failure would significantly impact park operations or
resources, or involving substantial investment. The project engineer should
have the administrative and technical control of all resources necessary to
accomplish safe construction of the dam. Construction personnel should
understand the conditions upon which the design is based and the relationship
between these conditions and the design features. When unanticipated conditions
are encountered, design personnel should be involved in determining their
effect.
4. Maintenance and Operation. The responsibility for project
maintenance and operation is assigned to the facility/maintenance or
engineering staff. They will handle any requirements for coordination with the
Denver Service Center Regional Team or an engineering firm. They will be
responsible for preparing annual informal inspection reports for all dams and
appurtenant works under NPS management and assure that periodic formal and
intermediate type inspection reports are prepared by qualified and licensed
engineers for high (1) and significant (2) hazard potential dams under NPS
management responsibility.
5. Technical Coordination. A project engineer should be
assigned technical coordination responsibility for each dam under NPS
management that has either a high (1) or significant (2) hazard potential
classification. He should handle necessary technical coordination within the
agency and with private and public organizations.
6. Emergency Action Planning. An emergency plan should be
formulated by the appropriate Park Manager and his maintenance and law
enforcement staff for each NPS dam that has either a high (1) or significant
(2) hazard potential. The plan should be in the detail warranted by the size
and location of the dam and reservoir. It should evaluate inundation areas resulting
from floods or dam failure, and upstream conditions that might result from
major land displacements or increased flood flows, including the effects from
failure of upstream dams. Regional Directors and Superintendents will
coordinate with non‑NPS dam owners when applicable to assure that
appropriate emergency action plans are implemented for areas within park
boundaries.
Where applicable, the plan should include inundation maps
for the flows resulting from design floods and from possible failure of the dam.
The complete emergency plan should be transmitted to appropriate local, state
and Federal governmental bodies. The plan should be periodically reviewed and
kept up to date, and periodically publicized to maintain awareness of its
existence.
In addition to the emergency plan for the complete dam, a
similar plan should be prepared for the construction period, including area
facilities that may remain during the period and floods that may be
anticipated.
7. Risk‑Based Analysis During Floodplain Evaluations. NPS managers
should evaluate potential losses due to failure or misoperation, particularly
when considering non‑structural alternatives in correcting dam
deficiencies. Although the value of potential property losses can be estimated„
it is recognized that potential loss of lives can only be quantified, but not evaluated.
On new dams, potential losses can be used in study of project alternatives and
in assessment of additional safety incorporated into the dam facilities. On
existing dams, a risk‑based analysis should be considered in establishing
priorities for examining and rehabilitating the dams for improving their safety
or for the disposal of the dam.
C. Inventory Data Base Management
(Reference Appendix A)
In compliance with Public Law 107-310 and Departmental
Manual Part 753, the National Park Service has developed an inventory of dams
based upon information from the U.S. Army Corps of Engineers National Inventory
of Dams (NID), Bureau of Reclamation Inspections, and NPS field reports. See
Appendix A. This inventory lists both NPS and non‑NPS dams that are
located within or immediately adjacent to park boundaries and affect safety, operations,
property, or resource. Dams are sorted in the following sequence:
1. Regional codes in alphabetical
order;
2. Park Codes in alphabetical
order;
3. Hazard Potential classification
4. Size Classification;
5. Structural height in feet;
6. Maximum impounding capacity in
acre feet.
The current inventory provides information about inspection
results, corrective action, emergency action plans (EAP's) and financial information.
This data base will be reviewed periodically by NPS field management for
completeness and accuracy and any changes submitted annually by September 30 to
the Washington Office of the Park Facility Management Division. More frequent
updating should be performed whenever any formal inspection reports or
corrective actions are completed on either high (1) or significant (2) hazard potential
dams.
Dams in this inventory are classified primarily by their hazard
potential which is an indicator of risk and not structural condition.
Dams are classified as high (1) or significant (2) hazard potential when their
failure or misoperation would jeopardize life or damage significant park
resources or facilities. Low (3) hazard potential dams normally would not.
NPS structures will receive annual informal inspections to
evaluate operational reliability, maintenance, and any changes in hazard potential
classification. Inspection and other evaluation results will be used to update
the NPS inventory of dams.
Information requests from, and coordination with, non‑NPS
dam owners should be well documented.
D. Staffing
1. Technical and Support. NPS managers should assure
adequate and competent technical staffing or consultants from other agencies or
engineering firms are available to perform the essential functions in planning,
design, construction, operation and maintenance, acquisition, or disposal of
dams under NPS management. These personnel should be well supported by
administrative, clerical, and other elements to ensure that technical staff is
not diverted from technical work.
Construction inspection staffing should assure quality as
well as quantity inspection coverage. Staffing should be reviewed by higher
authority than the local construction office.
The operating personnel must be qualified to perform the
many functions required in the operation, including the recognition of
conditions possibly detrimental to dam safety. Operation and maintenance
staffing requires careful attention to personnel responsible for operating
inspections, and to personnel who participate in the periodic inspection
program. It is essential that support personnel and equipment are provided to
accomplish needed maintenance activities.
2. Professional Advancement. NPS managers should maintain a
positive program for advancement of technical personnel in recognition of
acquired experience, training and education, and increased competence. It is
essential that technical as well as the managerial expertise be required for
safe, effective dam design, construction, and operating programs. Professional
registration and active membership in professional and technical societies
should be given due consideration in assessing qualifications for higher
technical positions. Provision should be made for the establishment of
procedures to screen and disseminate information on technical advances relating
to dam design, construction, and maintenance and operation. Programs for
continuing professional training should be oriented toward keeping the technical
staff abreast of improved technology.
3. Training.To
supplement technical staffing, NPS managers should provide internal personnel
training. Provisions should be made for technical personnel to observe and
participate in decision‑making meetings and to make site visits with more
experienced staff. Staff members should be allowed to attend consultants
meetings in order to gain valuable experience.
Technically qualified maintenance personnel should be
trained in problem detection and evaluation, and application of appropriate
remedial (emergency and non-emergency) measures.
Personnel involved in inspections should be trained for the
requirements of these duties. The training should cover the types of
information needed to prepare for the inspections, critical features that
should be observed, inspection techniques, and preparation of inspection
reports.
MOSD coordinators, maintenance personnel, and park emergency
action plan (EAP) coordinators should complete training every two years to
assure they stay abreast of developments in the maintenance, operation and
safety of dams. Training for the inspection of dams is normally provided by the
Bureau of Reclamation (USBR) on an annual basis. These courses are geared to
persons not familiar with engineering or geology but who are responsible for
the safety and maintenance of small dams. Contact Inspections and Emergency
Management Group, Bureau of Reclamation, 303-445-2740 for further details.
Designated park emergency operations plan coordinators
should attend training in the preparation, exercising, or use of EAP's and ensure
their integration into the park’s overall emergency operations plan.
E. Funding and Personnel Resources
1.General.
Continuity and adequacy of funding and personnel are essential to carry out the
MOSD program objectives. The NPS budget formulation and execution system offers
an opportunity for managers to identify funding priority for those activities,
programs, staff levels, or other operating requirements to assure a sound MOSD
program. Long‑term programming objectives should be developed and adhered
to in order to establish a systematic program. To meet these objectives, the
following activities should be properly staffed, funded and scheduled by
Regional Directors and Superintendents:
Period
Activity/Resource
As necessary
Staff
Every two years
Training
Annually
Update NPS Inventory of
Dams
Periodic Inspections:
Annually
Annual Informal Inspections
‑ All dams under NPS management responsibility and essential to park
management and operations.
Every two years
Intermediate Inspection ‑
high (1) or significant (2) hazard potential dams only.
Every five years
Formal Inspections ‑
same type as above.
As necessary
Acquisition
As necessary
Project engineer assigned
to either high (1) or significant (2) hazard potential dam during major
rehabilitation or construction.
As necessary
Design, Plans,
Specifications
As necessary
Independent Review of
Design.(high(1) or significant (2)
hazard potential dams)
As necessary
Major preservation,
rehabilitation, or construction
As necessary
Independent Review of
Construction(high (1) or
significant (2) hazard potential dams)
Annually
Maintenance and Operations
Prepare or update annually
Emergency Action Plans
As necessary
Disposal (sale or removal)
A base level program will be established in each applicable
region, park, and DSC to assure that routine and recurring activities are
properly funded and staffed. To assure cost effective management of NPS dams,
the above sequence should be followed as closely as possible, particularly the
periodic inspections which give a comprehensive evaluation of the dam's purpose
and condition in relationship to park objectives.
2.Sources.
The primary funding and personnel source for this program is the maintenance,
repair/rehabilitation, or construction programs. Although Servicewide funding
for the MOSD program has been made available out of the Washington Office Park
Facility Management Division, it is now the responsibility of Regional
Directors, Superintendents, and Manager, DenverServiceCenter,
to assure adequate funding and personnel to meet: MOSD program objectives. There
are several other funded programs which are interrelated to the maintenance,
operation and safety of dams. The following list is provided to alert NPS
managers as to the need for well coordinated and funded programs to prevent
overlap and duplication of funding and personnel:
‑Cultural Resources Cyclic
Maintenance
‑Preservation, Design and
Construction
‑Risk Management Division
(occupational and public type safety)
‑Law enforcement and ranger
Activities (evacuation during imminent disasters)
‑Land Acquisition (acquire
existing dams during land purchases).
3. Methods. There are several methods of requesting funding
and personnel to assure the maintenance and safety of NPS dams. Reprogramming
of funds/personnel is only for extremely, urgent action within the current
fiscal year. This type of programmatic change would occur only when an NPS dam
is found to be seriously deficient and poses an imminent threat to life and
significant property, and immediate corrective action is necessary.
Supplemental budget requests may be used during the current budget year to
provide urgently needed funds or personnel, but some delay is allowable in
performing corrective action. The regular budget formulation and execution
process is used to program funds for routine but yet necessary activities. The
NPS Operating Financial System (OFS) is used for preparing requests of annual
operating type funding or personnel increases. Activities that would be
programmed with this form are as follows:
‑Staff
‑Inventory Data Base
Management ‑Training
‑Travel
‑Periodic Inspections
‑Routine Maintenance,
Repairs, and Operation
‑Develop and Update Emergency
Action Plans
The NPS Project Management Information System (PMIS) is
normally used for multi‑year funding for substantial development projects
involving major rehabilitation, reconstruction, or acquisition. In developing
these funding and personnel resources, close coordination should be made with
the budget officer.
4. Cost Accounting. Cost accounting should be used to assure
cost effective management of funds and manpower utilized in the maintenance,
operation, and safety of dams.
F. Documentation
1. General. Throughout project acquisition, development, and
operation, all data, computations, engineering and management decisions should
be documented for planning, site investigation, design, construction, initial
reservoir filling, maintenance and operations, or disposal of dams under NPS
management. The amount of documentation should vary with the level of hazard
potential or operational importance of the structure. Dams under NPS management
that have either a high (1) or significant (2) hazard potential classification
will receive full documentation.
2. Design/Construction. Written documentation should be
maintained in standardized format on all designs for the project. All phases of
the construction should be documented, including reporting of routine and
special activities. Changes in construction plans and departures from expected
site conditions should be documented, with any consequent design changes. As‑built
drawings should be prepared as facilities are completed, and should be made
available to operation and maintenance personnel and to the dam inspection
staff. An initial reservoir filling and surveillance plan should be prepared by
the design staff. Initial filling should be well documented, including a record
of reservoir elevations arid controlled water releases during the filling.
3. Operation and Maintenance Log. Operation and maintenance
should. be fully documented, including the routine activities and systematic
inspection processes, and complete information on project maintenance,
rehabilitation, and improvements. In addition to records on the actual
operations, the operating record should include data on reservoir levels,
inflow and outflow, drainage system discharge and structural behavior.
If there are maintenance problems that require continuing
remedial work, a thorough record of the work should be maintained, and a final
report made after complete remedy of the problem.
4. Data Books. Data Books will be prepared by the Bureau of
Reclamation (USBR) or other inspecting organization for all NPS high (1) or
significant (2) hazard potential dams which are scheduled for formal
inspection. Appendix E is a checklist of the types of existing data which will
be valuable for evaluating the safety, maintenance, and operation of these
dams. Existing information for these Data Books should be prepared and
distributed by Regional Directors or Superintendents to USBR or other
inspecting organization two months prior to the actual on‑site
examination.
5. Required Reports.
At the indicated times, Regional Directors and Manager, DSC, will submit the
following reports or documents to the Director, Attention: Park Facility
Management Division:
a. Immediately, report any partial
or total dam or appurtenant works failure, misoperation, or uncontrolled
release of reservoir affecting park resources, operations, or safety.
b. Immediately, report any injury,
death, or significant property or resource loss because of dam failure,
misoperation, or uncontrolled release of reservoir. Items wand b should be
combined if appropriate.
c. Immediately, report any dam in seriously
deficient condition, as so determined from a formal inspection, and whose
failure or misoperation would affect park safety or operations. State what
corrective action is being taken and when it will be completed.
d. Inventory update at least
annually by September 30, on any size, type, owner or status dam (planned
acquisition or disposal) 'that affects park resources, operations, or safety.
e. Report annually, by September
30, on any planned or actual major preservation, rehabilitation, construction,
acquisition, or disposal of dams that affect park safety or operations.
f. Submit annually, by September
30, list of personnel responsible for coordination of maintenance, operation,
and safety of dams program and any training that has been attended.
g. Submit annually, by September
30,a brief financial summary of
funding, either programmed or spent by fiscal year, for this program. Items e
and g should be combined if appropriate.
h. Distribute annually, by
September 30, copies of completed and approved NPS Annual Informal Inspection (AII)
reports.
i. Report annually, , by September
30, on the status of park emergency operations plans (EOP’s) in which are
integrated emergency action plans for any High or Significant hazard potential
dams affecting the park.Also for NPS
affected areas, an Early Flood Warning, Search/Rescue, Evacuation, and Recovery
Plan (ESEP) should be integrated in the park’s EOP.
G. Technical Reviews
1. Extent. All factors affecting
the safety of high (1) or significant (2) hazard potential dams under NPS
management will be reviewed during design, construction, and operation on a
systematic basis. Reviews include those internal to the agency and those
external to the agency by individuals or boards (consultants) with recognized
expertise in dams.
2. Internal. Provision should be
made for automatic internal review of all design and construction decisions,
methods, and procedures related to dam safety. Reviews should be at levels of
authority above the design section or designer‑supervisor relation.
3. External. An appropriate level
of independent review by a qualified engineering firm or other Federal agency
(i.e., Bureau of Reclamation) with safety of dams expertise should be performed
during design or construction of dams under NPS management.
CHAPTER THREE
NPS PLANNING AND
ENVIRONMENTAL EVALUATION PROCESS
FOR PROPOSED OR
EXISTING DAMS
A. General
Considerable information has been compiled in Appendix A
about dams that affect park maintenance, operations and safety. Information on
these facilities is updated periodically in the NPS inventory of dam data base
which is discussed in Chapter Two, section C, and is readily available upon
request. These dams should be appropriately considered during the NPS planning
and environmental evaluation process in the following sequence of activities to
assure their systematic management:
‑Inventory of any size, type, owner, or status
(proposed acquisition or disposal) dams that affect park maintenance, operations,
or safety; ‑Periodic inspection of any of the above dams under NPS
management, including dams proposed for acquisition. If possible, estimates of
funding and personnel should be included for corrective action or disposal;
‑Acquisition of dams. A formal safety report including
cost estimates to correct identified deficiencies should precede the appraisal
of a dam site. The condition of the dam may have a bearing on the fair value of
the property.
‑Qualified NPS project engineer or coordinator
assigned to any high (1) or significant (2) hazard potential dam undergoing
detailed investigation to assure coordination with guideline;
‑Preparation of design, plans, and specifications for
major preservation, rehabilitation, or construction;
‑Independent review of design, plans, and
specifications of high (1) or significant (2) hazard potential dams;
‑Performing preservation, major repair or
rehabilitation, reconstruction, or construction;
‑Independent review of preservation, major repair or rehabilitation,
reconstruction, or construction on any high (1) or significant (2) hazard
potential dams;
‑Maintenance and operations;
‑Emergency action plans at either high (1) or
significant (2) hazard potential dams; and
‑Disposal (sale or removal and restoration of drained
impoundment).
B. Acquisition, Holding, or Disposal
During the acquisition, holding, or disposal of dams at NPS
administered areas, proper planning should be undertaken to assure compliance
with the National Environmental Protection Act (NEPA) of 1969, Public Law 91‑190,
as amended; various Executive orders on floodplains, wetlands, and safety of
dams; and the Section 404 Permit Program by the U.S. Army Corps of Engineers.
The objectives of these regulatory requirements are to help provide a safe,
ecologically and culturally complementary, and favorable benefit/cost ratio
project. This guideline on the maintenance, operation and safety of dams should
be properly integrated into the NPS planning and environmental evaluation process.
Any dam, regardless of owner, that has a
high (1) or significant (2) hazard potential or is/will be important to park
management should be discussed in the General Management Plan and its
associated environmental document in regard to is purpose and required care.
Dams that are not essential to park management and operation should be properly
disposed. Information should be requested from non‑NPS dam owners during
the NPS planning and environmental evaluation process to determine the safety
and operational significance of their structures on NPS floodplain management
and the need for any emergency action plans. Refer to Appendix G for an example
letter for coordinating with non-NPS dam project owners and/or regulators.The Corps will assist in providing information
about non‑NPS dams and hydrologic and hydraulic analyses in determining
the 100 and 500‑year floodplains. When possible, the floodplain and
emergency action plan inundation mapping should be combined. Flood profiles
should be presented with the mapping. A current list of these dams by region
and hazard potential is also given in Appendix A.
C. Floodplain Management and Wetland Protection
The NPS floodplain/wetland protection guidance should be
carefully reviewed with proper consideration as to the effects of dam safety
and operation on floodplains in NPS administered areas. Any dam having a high
(1) or significant (2) hazard potential that is located upstream, at, or
downstream of a particular floodplain study reach under NPS investigation will
be evaluated as part of the environmental assessment process and reported in
the "Statement of Finding" as to its safety and operational effects
on floodplain development. The Regional Dams Coordinator will provide the
necessary evaluation. Many of the older high (1) or significant (2) hazard
potential dams in or adjacent to park boundaries were not designed or
maintained to safely operate during the 100 and 500‑year base floods
which are used for park planning in floodplains. Consequently, because the probable
failure of these older dams would produce significant flooding above the
natural 100 or 500‑year floods, it is paramount that these types of
structures receive periodic inspection and appropriate corrective action. For
non‑NPS dams whose operational safety cannot be ascertained, conservative
design and operational procedures in park administered areas should be utilized
to compensate for this condition. Inhabitable facilities, utilities or
transportation systems will not be built or operated in floodplains subject to
the effects of dams in seriously deficient conditions, and there are no active
and funded programs for corrective action.
D. U.S.
Army Corps of Engineers Section 404 Permit Program
The protection of wetlands is interrelated to the U.S. Army
Corps of Engineers Section 404 Permit Program for dredging (digging) or filling
in or near any significant stream, river, lake, or harbor. This dredging or
filling permit requirement is applicable for new dams or existing dams proposed
for modification or disposal. Requirements are based upon volume of material
and other considerations. Local U.S. Army Corps of Engineer Districts will
provide advice on the applicability of the Section 404 Permit Program for dams
and appurtenant works under NPS management.
CHAPTER FOUR
MANAGEMENT OF
TECHNICAL ACTIVITIES - SITE INVESTIGATION
AND DESIGN FOR
PROPOSED OR EXISTING DAMS
A. General
This section of the guideline outlines the site
investigation and design technical activities that Regional Directors,
Superintendents, and Manager, DenverServiceCenter, should ensure are
undertaken to obtain safe design or evaluation of dams. It is recognized that
the extent of application of this guideline will vary depending on the size,
function, and hazard potential classification of the dam.
B. Hydrology
1. Hazard Evaluation. Areas impacted by dam construction and
existing dams should be examined for potential hazards to present and future
developments in the event of major flooding by controlled flood discharges or
flooding induced by dam failure or misoperation. This hazard evaluation is
the basis for selection of the performance standards to be use in am design or
in evaluation of existing dams. See Chapter 1, Section D, 3.
2. Flood Development. Hypothetical floods, generally of
severe magnitude, should be developed for use in design or evaluation of major
dam and reservoir features, including development of appropriate floods for the
construction period.
3. Flood Selection for Design (or Evaluation). The selection
of the design flood should be based on an evaluation of the relative risks and
consequences of flooding, under both present and future conditions. Higher
risks may have to be accepted for some existing structures because of
irreconcilable conditions. Reference should be made to U.S. Army Corps of
Engineers Publication, ER 1110-2-106, National Program for Inspection of
Non-Federal Dams, Washington, D.C.,
September 26, 1979, page
D-11, for assistance in making the determination.
When flooding could cause significant hazards to life or
major property damage, the flood selected for design should have virtually no
chance of being exceeded.If lesser
hazards are involved, .a smaller flood may be selected for design. Ideally, spillway
operation should be evaluated in such a way that dam failure resulting from
overtopping would not-significantly increase the hazard to loss of downstream
life or property from that flooding condition which would exist just before
overtopping failure.
To reduce hydrologic and hydraulic engineering costs,
systematized computer programs like HEC-1 Dam Break by U.S. Army Corps of
Engineers could be utilized effectively for many small National Park Service
dams. This computer program will generate an inflow design flood, route the
flood through and/or over the dam (including outflow from any defined
hypothetical dam failure), and then route the flood wave to a downstream damage
reach for evaluation, all in a single operation. This systematic method allows
for a rapid optimization of spillway requirement to adequately protect existing
and any anticipated downstream development.
4. Hydrologic Design of Reservoir. In addition to selection
of a design flood, the hydrologic design of a new reservoir or the evaluation
of an existing project involves consideration of discharge and storage
capacities, reservoir regulation plans including constraints, land
requirements, and wind/wave effects.
Reservoir regulation plans should be developed in the
planning of projects so that realistic release rates will be used in routing
the design flood. Regulation plans should include the construction period.
The reservoir regulation plans; water control management
plan, and data. Information systems should be periodically reviewed for
deficiencies and potential for misoperation during both severe flood events and
normal conditions. Necessary corrections should be made as soon as practicable.
5. Downstream Effects. Safety design includes studies to
ascertain areas that would be flooded during occurrence of the design flood and
in the event of dam failure. The areas downstream from the project should be
evaluated to determine the need for land acquisition, flood plain management,
Flood Insurance Program or other methods to prevent major damage. Information
should be developed and documented suitable for releasing to downstream
interests regarding remaining risks of flooding.
6. Warning Systems. Safety design should include an
emergency flood warning system and action plan that would effectively notify
all concerned in ample time for appropriate action.
C. Earthquake Investigation and Design
1. Investigation Factors. The
following factors should‑be considered in selection of design
earthquakes.
a. Geologic and tectonic setting
of the site area by analysis of the lithology, stratigraphy, structural
geology, and tectonic history.
b. Historic earthquake record to
include the size, location, and other seismological characteristics as
available, and the relationship, if possible, with the tectonic setting of the
area‑in which the earthquakes have occurred.
c. Influence of the properties of
the surficial materials on the determination of the size of historical
earthquakes.
d. Influence of faulting or other
tectonic features on the estimate of the occurrence, size and location of
possible future earthquakes.
2. Selection of Design
Earthquakes.From the above factors,
earthquakes should be selected that have sufficient potential of occurring to
require consideration in the dam design. Earthquake description should include estimates
to the extent practical of' the size, location, depth, focal mechanism, and
frequency of occurrence.
3. Engineering Seismology.
Determination should be made of the characteristics of ground motion that would
be expected from the design earthquakes, to the extent possible, to include
amplitude (displacement, velocity and acceleration), frequency content, and
duration.
4. Need for Earthquake Analysis.
The probable effects of earthquakes on the dam and its appurtenant structures
should be evaluated to determine the need for inclusion of earthquake forces in
the structures analyses. Evaluation includes consideration of factors such as
the project stage, hazard and risk factors, the size of the dam and reservoir,
the potential ground motion at the site, site geology, and type of structure.
Where determination is made that no earthquake forces are required in analysis,
the determination should be justified.
5. Seismic and Geologic Studies.
a. Earthquake Sources. The
essential first step is determination of the design seismic events (usually the
maximum credible earthquakes) and an estimate of the ground motion: at the site
due to these events. From a study of the regional tectonics and seismicity, and
both regional and local‑ geology, potential sources for seismic events
are identified, and the maximum credible earthquake magnitudes postulated.
b. Design Events. A maximum
credible earthquake (MCE) is defined herein as the hypothetical earthquake from
a given source that could produce the severest vibratory ground motion at the
dam. Time histories of the estimated rock motion (accelerograms) at the dam for
the various seismic events are selected to characterize the severity of the
strong motions by their peak accelerations, frequency content, and duration.
6. Design for Earthquake Forces.
a. Safety Concerns. All earthquake‑related
safety concerns should be identified. Potential safety concerns include but
should not be limited to dam foundation integrity stability, unacceptable
stress levels, fault displacements; abutments stability; effects of dam
overtopping; dam stability; susceptibility of embankment dams to embankment or
foundation liquefaction, cracking or excessive deformation.
b. Analysis Method. Determination
of appropriate earthquake analysis methods for evaluation of safety concerns
may be, as appropriate, by qualitative evaluations, pseudostatic analysis, and
dynamic analysis. The methods selected should be appropriate to the identified
safety concerns in accordance with good engineering practice and with currently
available technology.
c. Structural Adequacy. Structural
adequacy assessments should be made of all safety‑related components and
concerns identified. These assessments should incorporate all applicable data
and analysis.
D. Geotechnics
1. General.
a. Site specifics. After a site is
selected, a program for the geotechnical exploration, design, and analysis of
that specific site is required. No checklist can be made which would cover all
eventualities at all sites, or at any one site, and attempts to formulate such
a list would be counterproductive to the intent to ensure dam safety. The best
insurance for adequate geotechnical work is a well‑trained and
experienced staff actively involved in field inspections throughout all phases
of the development of the site.
b. Documentation. Because many
evaluations are possible for a given set of geotechnical conditions, it is
important that full documentation be made of the reasoning process involved in
geotechnical decisions. General guidelines for documentation are given in
Chapter Two, section F.
c. Management of Diverse Technical
Expertise. Geotechnical work encompasses the expertise of geologists,
geophysicists, and engineers‑all with diverse experience, training, and
technical terminology. The administrative and technical supervision of these
experts should be structured to optimize coordination and cooperation.
Management should encourage intellectual curiosity and an inquisitive approach
to all geotechnical work. Since the field of geotechniques is rapidly
expanding, Regional Directors and Manager, DenverServiceCenter,
should assure that those persons associated with site exploration and
development, maintain currency with the state of the art.
2. Exploration and Identification of Geotechnical Problems.
The exploration program needs to be site specific, flexible, and executed so as
to obtain the maximum data from each part of the program. Regional Directors
and Manager, DenverServiceCenter, should ensure sufficient
funding for an orderly development of the exploration program in order to
reduce uncertainties and to make adequate provisions for required corrective
measures.
3. Geotechnical Design. Geotechnical design considerations
for the dam foundation and reservoir area are essentially defined after the
geologic conditions of the site, the type of dam, and the magnitude of the
stresses imposed on the foundation by the dam and reservoir have been determined.
4. Foundation Treatment.
a. General. The preparation of the
foundation, including the abutment, is one of the most important phases of
construction. The primary purposes of foundation treatment are to provide
stability, obtain positive control of seepage, and minimize adverse
deformation. The geology, foundation conditions, foundation treatment, and
proposed structure should be considered together.
b. Stability. Surfaces should be
prepared to provide a satisfactory contact between the foundation and the
overlying structure by removal of unsuitable materials. Deficiencies in the
foundation which are not removed should either be treated by modification of
the structure or by appropriate
foundation treatment tailored to handle the conditions encountered.
c. Positive Control of Seepage.
Highly permeable foundations should be treated by such measures as cutting off
the pervious material, grouting, increasing the seepage path by upstream
blankets, or controlling the seepage with drainage systems. Where appropriate,
surficial cavities should be traced, cleaned out, and backfilled with material
satisfying the design requirements. When cavities exist at depth, measures
should be taken to ensure against the migration of cavity material.
d. Control of Piping. Silts and
fine sands in the foundation, which are susceptible to piping, should be
removed if practical, cut off near the downstream limits of the dam, covered
with impervious material, or provided with filtered drainage systems. If
pipable material is used in the dam, the foundation surface treatment should
prevent migration of dam material into the foundation.
e. Deformation. Foundations subject
to differential settlement or foundations having highly compressible anomalies
can cause stress concentrations or cracking in dams. The foundation excavation
should be shaped to remove abrupt changes in elevation to preclude excessive
differential settlement or stress concentrations. Low shear strength material
in a foundation can cause shear failure. Excavation and replacement of low
strength material is a positive method for treating a foundation that has
either or both of these unfavorable conditions.
5. Instrumentation. Although a well conceived foundation
instrumentation program serves to monitor the foundation and give an indication
of distress, it cannot of itself certify the safety of the foundation. , The
expertise of the engineer/geologist to analyze, design and prepare a foundation
that will safely carry the loads and water pressure imposed by the dam and the
reservoir is fundamental to the design adequacy of the foundation. The purposes
of foundation instrumentation are fourfold: to (1) provide data to validate
design assumptions; (2) provide information on the continuing behavior of the
foundation; (3) observe the performance of critical known features; and (4)
advance the state of the art of foundation engineering.
6. Inspection and Continuing Evaluation During Construction.
Those responsible for the investigation and design of the foundation should
make on‑site evaluations to confirm that actual conditions conform to those
assumed in the design and to review documentation of site conditions.
7. Reevaluation at Existing Structures. Older dams under NPS
jurisdiction may not have been designed to standards equal to current criteria.
Also, a substantial portion of safety‑related dam incidents are
associated with foundation problems which develop in a time‑dependent
fashion after construction. For these reasons, systematic reevaluations of
existing dams should be made for appropriate structures.
E. Hydraulic Appurtenances
1. General.
a. Protective Measures. All
hydraulic appurtenances used for releasing water should be designed to preclude
jeopardy to the damming provisions.
b. Blockage. Allowances for or
preclusion of blockage of hydraulic facilities should be incorporated in the
design.
c. Reliability. When operational
failure of a gated passage would jeopardize the damming provisions, alternate
capacity should be provided. When operation of a gated passage is essential to
safety, reliable manpower, communications and accessibility should be assured.
d. Hydraulics and Hydrology.
Hydraulics and hydrologic design considerations should be correlated with
Chapter 4, B.
2. Design Flood Releases.
a. Spillway and Outlets. Gated
spillways are the usual hydraulic appurtenances for control of all, or the
major portion of, the design flood and major emergency releases. Outlets
(sluiceways, conduits and tunnels) may be used alone or in conjunction with
spillways to control flood discharges.
b. Selection of Type. Spillways
and outlets should be selected to meet the site specific purposes of the
project. For a drainage area with short concentration time combined with
reservoir storage capacity that is small relative to the flood volume,
especially for embankment dams, (1) the spillway should usually be
uncontrolled, and (2) outlets should not normally be used for sole or part
control of the design flood except in special cases where the outlet can be
uncontrolled.
3. Other Water Releases. Other
water release hydraulic appurtenances such as navigation facilities, locks,
fish facilities, ice sluices, trash sluices, and water quality facilities
should conform to the requirements of section E.1.
4. Reservoir Evacuation. Where
practicable, reservoir release facilities ' should be provided to lower the
pool to a safe level adequate to correct conditions that might threaten the
integrity of the dam.
5. Control of Flows During Construction. The
provisions of section E.1 also apply generally to the design of hydraulic
appurtenances used during construction. The capacity of these appurtenances
should be sufficient to satisfy the discharge requirements of the regulation
plan for control of water during construction.
6. Design Criteria and Guidance. If
existing design criteria and guidance from past projects and experience are
used for design of the hydraulic appurtenances, their sufficiency should be
documented.
F. Concrete Dams and Concrete Elements of Embankment Dams
1. Site Specific Design. Because
all dam sites are unique, the type of dam and its appurtenances should be
specifically matched to site conditions and project requirements. It is
essential when reviewing the safety of‑existing dams to consider
conditions which may have changed physically, new concepts resulting from new
technology, and additional project information since construction, i.e.,
foundation deterioration, increased flood hydrographs, or larger design
earthquakes.
2. Materials. Concrete for the
structures requires competent investigation of material sources and adequacy of
supply testing of materials properties in accordance with accepted standards,
and proper proportioning of concrete mixes (including additives) for strength,
durability, control of thermal properties, and economy.
3. Design of Structures. There are
three components of a dam which must be considered for safety; the foundation,
the dam, and its appurtenant structures.
a. Foundation. Proper design of a
concrete dam requires information on the foundation geological conditions and
material properties to assure its capabilities to support the loads of the dam
and reservoir, in its natural state or as improved by foundation treatment.
b. Dam. Concrete dams should be
designed to be safe against overturning and sliding without exceeding allowable
stresses of the foundation and the concrete for all loading conditions imposed
on the dam. The shape and/or curvature of a dam and its contact with the
foundation are extremely important in providing stability and favorable stress
conditions. Proper consideration should be given to ensure the dam's safety in
the event of overtopping.
c. Appurtenances. Safety‑related
appurtenances such as outlet works structures, spillways, penstocks,
powerhouses, and navigation locks should be designed with the same degree of
safety as the main dam. If the project has a powerhouse as an integral part of
the dam, it should be designed for the same safety requirements as the dam.
4. Definition of Loads. The dam and
appurtenances should be designed or evaluated for all static and dynamic loads
to which they will be subjected.
5. Design Methods. The methods
required for design of the several types of concrete dams and their
appurtenances vary from simple to complex, depending on the type and size of
the structure, the hazard potential, the site, the kinds of loading, and
foundation conditions. The design process involves judgment and analytical
expertise to select appropriate methods to analyze a structure whether it
requires a simple or complex analysis and to determine design input that is
representative of the range and variation of foundation and structural material
properties. The selection of input parameters is just as important as the
mechanics of the analysis used.
6. Design Evaluation. Technically
qualified supervisory personnel should assure that structures are designed to
meet the requirements for safety. This includes confirmation of design input
parameters, design methods, and utilization of allowable factors of safety
against overturning, sliding, and stressing appropriate to the probability of
the loading conditions.
7. Instrumentation. Knowledge of
the behavior of structures and their foundations may be given by studying the
service action of the structures using observations on embedded and other
internal instrumentation and external measurements.
8. Construction and Operational
Follow‑up. It is necessary that the designers should be involved in
the construction and operation processes to confirm that the design intent
is carried out, and to allow changes and modifications resulting from redesign
necessitated by differences between assumptions and actual field or operating
conditions.
G. Embankment Dams
Section F contains general dam considerations. The following
additional considerations are applicable to embankment dams:
1. Site Specific Design. Embankment
design should be developed for specific site conditions and based on adequate
exploration and testing to determine all pertinent geologic and material
factors with particular emphasis on shear strength and stability, permeability
and control of seepage, and consolidation and settlement
2. Materials. Embankments can
generally be designed to utilize locally available construction materials;
investigation of materials characteristics is required and problem materials
should be either discarded or protected by defensive design. There is often a
need for importing special materials for slope protection, filters, and
drainage systems. Any embankment zoning should consider the properties and
quantities of available materials and the effect of their characteristics on
the construction process.
3. Design Constructibility.
Embankment designs should be constructible with regard to such items as
location of borrow areas with respect to flooding, in situ moisture conditions,
climatic effects on construction schedules, width of zoning, and needs for
special material processing Design should include protection of critical
features from overtopping by floods during construction.
4. Embankment Design. The safety of
an embankment is dependent on its continued stability without excessive
deformation under all conditions of environment and operation, and on control
of seepage to preclude adverse effects on stability and prevent migration of
soil materials. Design considerations given below are specific to embankment
dams.
a. Seismic. Where earthquake
design is necessary, consideration should be given to earthquake‑related
concerns of soil liquefaction and cracking potential, stability and excessive
deformation, abutment stability, overtopping effects, and required defensive
measures.
b. Stability. Embankment stability
should be analyzed for all pertinent static and dynamic loading conditions
without exceeding allowable shearing stresses in the embankment or foundation.
c. Settlement and Cracking. The
potential for transverse cracking of the embankment caused by differential
settlement, tension zones, and possible hydraulic fracturing should be
minimized by careful consideration of abutments, foundation and cutoff
trenches, and their geometry and treatment.
d. Seepage. The design should
attempt to prevent or minimize seepage through the embankment and its
foundation and abutments; however, the designer should recognize that seepage
usually occurs and that protective control measures must be provided. Filtering
transition zones and foundation and abutment treatment to seal openings should
be provided wherever necessary to preclude migration of soil materials into or
out of all embankment element contacts both upstream and downstream. Filters,
drainage blankets, and transitions should be of a quality and size to
conservatively control and safely discharge seepage for all conditions for the
life of the project. Particular attention should be given to contacts with
foundation, abutments, embedded structures, and the end slope of closure
sections to ensure adequate compaction and bonding to control seepage.
e. Zoning. Embankment zoning when
used should ensure adequate stability for all pertinent conditions, and should
control seepage through the embankment and provide filter action to prevent
migration of material.
f. Erosion. Upstream and
downstream slopes and foundation and abutment contacts should be protected
against erosion from surface runoff, wave action, and impinging currents. Spillways
and outlet works should be located and designed so that discharges do not erode
the embankment or its foundation.
5. Instrumentation. Embankment
design and prediction of embankment performance are based on an imprecise
combination of theory and empirical procedure; consequently, performance during
construction and operation should be monitored by a design system of external
measurements and/or installed instrumentation.
6. Construction and Operational
Follow‑up: Stability should be evaluated during and after construction
using strength parameters from as‑placed materials and observations of
pore pressure and seepage if and when condition, warrant. Designers should
inspect and review performance of embankments during and after reservoir
impoundment to detect and provide prompt remedial treatment for problems. While
major emphasis is placed on initial impoundment the surveillance should continue
for the life of the project
CHAPTER FIVE
MANAGEMENT OF
TECHNICAL ACTIVITIES –
CONSTRUCTION OR REHABILITATION
OF DAMS
A. Introduction
This section of the guideline outlines the construction
technical activities that Regional Directors, Superintendents, and Manager, DenverServiceCenter,
should ensure are undertaken to obtain safe construction of dams. The
principles and guideline are prepared in a broad sense to ensure that
construction of a safe structure is the prime requisite. It is recognized that
the extent of application of this guideline will vary depending upon the size,
function, and hazard potential.
1. Construction Contracts. Construction contracts
should be based on site conditions as interpreted at the time of contract
award. All anticipated work on foundation cleanup, preparation, and treatment
should be included as specified items of the work. Contract provisions should
require the contractor to submit to the construction engineer advance notice of
significant shift change to enable adequate inspection coverage of multi-shift
operation.
2. Construction/Design Interface. Many aspects of
construction directly overlap in design considerations.Reference
is made below to numbered paragraphs in Chapter 4, Management of Technical
Activities ‑ Site Investigation and Design, which concern such common
interests:
a. Geotechnics
(1) General
(i)Site Specifics
(2) Exploration and Identification
of Geotechnical Problems
(3) Geotechnical Design
(4) Foundation Treatment
(5) Instrumentation
(6) Inspection and Continuing
Evaluation During Construction
b. Hydraulic Appurtenances
(1) Control of Flows During
Construction
c. Concrete Dams and Concrete Elements of Embankment Dams
(1) Site Specific Design
(2) Materials
(3) Design of Structures
(i) Foundation
(4) Instrumentation
(5) Construction and Operational
Follow‑up
d. Embankment Dams
(1)Site
Specific Design
(2) Materials
(3) Design Constructibility
(4) Embankment Design
(i) Settlement
and Cracking
(ii)
Seepage
(5)
Instrumentation
(6) Construction and Operational
Follow‑up
B. Evaluation During Construction. Field personnel
must be highly trained and experienced in the design principles and site
conditions are to be understood and a safe structure is to be constructed.
When differing site conditions (different from those
anticipated) are encountered construction supervisory forces must have
authority to suspend any or all portion of the work affected until the design
engineers, with assistance as needed, can evaluate the condition and determine
if design modification is required.
Construction milestones should be identified when the design
engineers will inspect the work and concur with the progress of construction.
C. Orientation of Construction Engineers and Field
Inspectors. Construction engineers need to e aware of design philosophies
and assumptions as to site conditions and function of project structures, and
must understand the designers' intent concerning technical provisions in the
specifications.
Construction specifications, supplemental reports, and
conferences to orient field personnel to the particular site, the features of
the dam, and the designers' intent for construction should, as applicable,
include the following:
1. Design Related
a. Design concepts. An explanation
should be given of philosophies and assumptions and the reasons for special
requirements in the specifications to assure accomplishment of design intent.
b. Construction sequence.
Identification and explanation of the dates to which construction progress must
conform to satisfy project requirements, and the special sequences for
construction activities that are required by design.
c. Instrumentation systems. Description
should be given of the instrument types, their purpose, the procedures for
installation of each instrument type, the method and time interval for reading
each instrument, and the importance of prompt data transmission for analysis
and feedback.
d. Care and diversion of water.
Description of the design features included to prevent and/or control flooding
and turbidity and accomplish diversion and closure of the dam. This should also
contain the design requirement for controlling normal flows through the work
area to assure that construction is always accomplished under dry conditions.
Critical aspects of the construction schedule related to flood problems should
be emphasized.
2. Foundation
a. Description. Discussion of the type of foundation
conditions expected to exist, i.e., overburden, general rock description,
formation weaknesses (such as joints, shears and faults), and acceptable
foundation conditions.
b. Excavation. Discussion of the depth and nature of
materials expected to be encountered, the controls for dewatering and blasting,
identification of critical areas, quantity estimates, and an acceptable
foundation.
c. Preparation. Review of the methods of rock foundation
preparations such as: cleaning; the use of wire mesh, mortar, shotcrete, or
cock bolts; grouting, and treatment of faults, shears and joints; as well as
subsequent exploration to assure desired results. Review of methods of earth
foundation preparation.
3. Materials
a. Materials from required
excavation. Definition should be given of acceptable and unacceptable
properties of materials, the usage and the processing required if used, and
identification of waste area locations.
b. Other excavated materials.
Identification of the location and amount of useable material, "based on
current test data," available from all designated areas, including borrow
pits. Review of the blasting methods that are expected to produce the desired
rock quality and sizes. Discussion should be given of the expected amounts of
waste and the areas where borderline material may be used in lieu of wasting,
such as in berms or certain zones of the downstream shell of an earthfill dam.
c. Embankment. Description should
be given of both acceptable and unacceptable material properties, placement,
and compaction procedures for each zone. Review of required procedures for
areas adjacent to abutment, around instruments, and at interfaces between zones
and/or structures.
d. Concrete and concrete materials.
Identification should be given of acceptable aggregate sources and review of
mix designs, joint and surface treatment, finish requirements, form tolerances,
and placement procedures. Cooling as well as hot and cold weather protection
requirements should be defined.
4. Construction General
a. Field control. Discussion of the
quality assurance procedures required to control all phases of construction.
Acceptable placement standards should be established for concrete, earth and
rock materials, and embankments.
b. Structural. Discussion should be
given of structural steel installation, reinforcing steel placement, and
anticipated problem areas and specified treatment for such areas.
c. Mechanical‑electrical.
Description of equipment installation requirements, special procedures,
performance tests, protective coatings, and protection devices such as ground
fault indicators.
d. Environmental. Identification of
those construction controls required to minimize environmental damage, comply
with environmental regulations, and assure public involvement.
D. Construction Assurance
1. Construction Procedures.
Criteria must assure that acceptable methods and procedures are specified and
utilized to accomplish design requirements. At the time, the design and
construction organizations must maintain the flexibility necessary to modify
design, material requirements, and construction specifications as conditions
dictate without altering the basic design intent.
2. Construction Materials Testing.
A materials laboratory must be established at the field construction office
that is adequately staffed and equipped to accomplish the on‑site testing
requirements set forth in the engineering considerations and instructions to
field inspection personnel.
3. Quality Assurance. It is
mandatory that adequate construction quality assurance systems and procedures
be established to assure safe dam construction. The quality assurance system
must guarantee, by direct inspection and testing, that construction is
accomplished in compliance with the contract plans and specifications. Daily
inspector's reports, laboratory test data records, and photographs are the
minimum mandatory methods of documentation.General guidelines for documentation are given in Chapter two, section
F.
As part of the quality assurance program, the contractor
should normally be required to submit various plans for approval not limited
to, but including, the following:
Construction Schedule
Safety Program
Care and Diversion of Water
(including pollution control)
Fire Protection
Plant layout (including haulroads)
Environmental measures
Equipment Inventory
Dewatering Foundations and Borrow
Areas
Excavation Sequence of Foundations
and Borrow Areas
Drilling and Blasting Procedures
Concrete Placement
Restoration of Construction Area
CHAPTER SIX
MANAGEMENT OF TECHNICAL ACTIVITIES ‑ OPERATION AND
MAINTENANCE
FOR PROPOSED OR EXISTING DAMS AND APPURTENANT WORKS
A. General
This section of the guideline outlines the management
responsibilities for operation and maintenance, periodic inspection program,
and emergency action planning that Regional Directors, Superintendents, and the
Manager, DenverServiceCenter, should ensure are
undertaken to obtain the safe and economic operation of dams under their
jurisdiction. It is recognized that the extent of application of this guideline
will vary depending on the size, function, and hazard potential classification
of the dam.
B. Operation and Maintenance
1. General. All features of NPS
dams and appurtenant works should receive maintenance or operation as
recommended from inspection reports‑annual informal, intermediate, or
formal. These reports should be prepared by trained and experienced engineers
familiar with the maintenance and operation of small dams.
Unless it is an extenuating
condition, extensive maintenance or testing of dam equipment should only be
performed because of recommendations in an inspection report. These
recommendations should be performed by personnel familiar with the maintenance
and operation of small dams.
Serious maintenance, operational,
or safety problems that are discovered during maintenance or operation work
should be reported immediately to the Park Superintendent and personnel
responsible for inspections as to the proper action to be taken.Maintenance and operations should be
scheduled far enough in advance to take advantage of good weather periods,
terrain conditions, and manpower and equipment availability to assure safe and
economic work.
A log of maintenance and any required
operation will be maintained and filed with the previous Annual Informal
Inspection. The log will list the crew supervisor's name, date, activity
accomplished or attempted, if incomplete, and total cost (overhead, materials,
and labor, if readily available). Information about failures (partial or
total), misoperation, accidents, floodings, or instrumentation readings should
also be kept in the log.
2.Operating Procedures. Operations consist of the periodic testing of
gates or any other type equipment to assure reliable use, establishing
instrumentation as required, or reviewing any operating manuals or emergency
action plans for completeness and accuracy. When appropriate, written operating
instructions should be prepared for the dam and its associated structures and
equipment. The instructions should cover the functions of the dam and reservoir
and describe procedures to follow during flood conditions to ensure dam safety.
If appropriate for more critical
NPS dams, reservoir operating rule curves should be available for each normal
mode of operation and for emergency conditions.
An auxiliary power system, such as
a gasoline, crane or diesel‑operated generator, is essential if the
outlet and spillway gates and other dam facilities are electrically operated.
All spillway and outlet gates
should be tested on a regular schedule. The tests should include use of both
the primary and the auxiliary power systems.
Project security is a matter of
concern at important dams and appurtenant works. This includes preventing
structural damage by vandals or saboteurs and unauthorized operation of outlet
or spillway gates. In some cases restricting public access is essential and
security patrols may be necessary.
Occupational and public type safety
is of paramount importance at certain dams and reservoirs. Specifically, this
type safety at the dam, appurtenant works, on and around reservoirs, and below
the dam should be considered, particularly in recreational areas. Safety
measures should include identification of high watermarks to indicate past or
probable reservoir levels and streamflows, posting of safety instructions at
highly visible and key locations, and providing audible safety warnings
upstream of and below outlets as appropriate.
When applicable, occupational and
public safety should be evaluated by personnel from the Safety Division. They
should accompany the engineering team for the dam inspection to evaluate hazard
potentials to personnel and visitors such as heights, depths, dangerous flows,
mechanical and electrical equipment, and supplies.Their recommendations should be referenced in
the inspection report.
Communication should be maintained
among affected governmental bodies and with the public to enhance the safety
aspects of the operation of the dam, if warranted. Communication alternatives
include written communications, radio, telephone, television, and newspapers.
In the following sections, outlets
or outlet gates refer to gates or valves on any outlets such as sluices,
conduits or tunnels, pumps, generating units, and infrequently operated plant
intake and discharge gates. If the project has a navigation lock, emergency
closure and other infrequently operated equipment should also be included.
3. Maintenance. Maintenance is
normally the preserving of structures, appurtenant works and equipment in
intended operating condition by the proper control of vegetation, removal of
debris and trash, equipment repair, and minor structural repair. It is not the
repair of structural deterioration to restore original condition, improvements
for dam safety, enlarging reservoir capacity, increased spillway and outlet
capacity, or the replacement of equipment. Such major rehabilitation of
construction should be carried out with the assistance of NPS, Denver Service
Center (DSC), and Bureau of Reclamation (USBR).
The following list of typical
maintenance work is provided:
‑harmful vegetation, debris,
and trash should be removed from the dam, appurtenant works, immediate upstream
and downstream areas, and access roads to assure structural integrity, reliable
operation, visual observation, and accessibility. Undesirable material should
be removed and properly disposed of so as to prevent problems during high
water, winds, fire, or vandalism; ‑vegetation maintenance for erosion
control and esthetics;
‑large vegetation which has
become an integral part of the dam or appurtenant works needs to be carefully
evaluated to determine if removal is warranted;
‑lubrication of equipment;
‑painting;
‑maintaining internal
drainage systems; ‑minor mechanical and structural repairs;
‑correcting minor
deterioration of concrete and embankment surfaces;
‑taking measurements from
instrumentation;
‑placement of signs warning
of heights/depths, dangerous flows, and equipment, when applicable;
‑placement of barriers to
prevent unauthorized access;
‑all maintenance work is to
be performed in a safe manner. The use of personal‑protective and safety
devices is required when so determined by the supervisor or the Superintendent
in consultation with the area safety officer or Regional Safety Manager.
C. Periodic Inspection Program
1. General. The purpose of the NPS
periodic inspection program is to verify throughout the operating life of the
project the structural integrity of the dam and appurtenant structures and
assure the protection of human life and property.
All NPS dams will receive some
level of evaluation based on current technical guidelines and criteria prior to
any significant repairs, rehabilitation, or construction. New dams added to the
inspection program should be planned, designed, and constructed in accordance
with current technical criteria. Improvements in dam technology require that
dams and appurtenant structures be reassessed to assure dam safety for more
stringent design and materials criteria.
Regional Directors and
Superintendents are responsible for assuring that the existing dams for which
they are responsible are periodically inspected, and that new dams are
inspected initially upon completion of construction and periodically
thereafter.
2. Types and Frequencies of
Inspections. The inspection types and intervals herein recommended are for
guidance in developing inspection programs for all dams under NPS management.
This guideline does not preclude other inspections or more frequent inspections
if deemed necessary, depending on project history and importance of the
facility.
Inspection personnel should be
selected carefully, have qualifications commensurate with their assigned levels
of responsibility, and receive training in the inspection procedures.
Qualifications and training required for inspection personnel may vary with the
complexity of the facility and with the level of the inspection.
a. Annual Informal Inspection. All dams and appurtenant
works under NPS management will receive this type of inspection. Inspection is
performed annually by NPS or contract personnel to evaluate hazard potential
classification, maintenance, structural and mechanical integrity for
operational reliability, visitor safety on or around the dam and updating or
completing the NPS inventory of dams data base management system. Immediately
after any unusual event such as large floods, earthquakes, suspected sabotage,
vandalism, or structural or operational failure, an inspection will be
performed by NPS personnel. Particular attention should be given to detecting
evidence of (or changes in) leakage, erosion,‑sinkholes, boils, seepage,
slope instability, undue settlement, displacement, tilting, cracking, deterioration,
and improper function of drains and relief wells.
The checklist given in Appendix C
of Safety Evaluation of Existing Dams, USBR, 1980, or equivalent form,
should be used to assure thoroughness. Previous inspection reports should be
reviewed to see what earlier corrective action recommendations were or were not
performed. ‑A brief explanation should be written as to why previously
recommended maintenance or operations were not performed.
The annual informal inspection
report package should consist of the following items:
‑Map;
‑Any
photographs or drawings;
‑Completed
checklist of dam and appurtenant features
‑Very brief memorandum with
recommended corrective action for use by maintenance and operations personnel;
‑Operational
and maintenance condition code specified;
‑Updated
inventory listings or forms;
The following codes should be used
to describe the operational and maintenance condition of structures and related
equipment, and reported into the NPS Inventory:
1‑Will fulfill intended purpose
and required annual maintenance or operations are performed;
2‑Will fulfill intended
purpose but required maintenance, operations, or minor repairs is needed;
3‑May not fulfill intended
purpose and maintenance or major repair is needed;
4‑Will not fulfill intended
purpose and major repair or rehabilitation is needed.
Reports should receive review and be given signature
approval, and the following distribution made:
1‑Director (Park Facility
Management Division)
1‑Regional Director (Park
Facility Management Division)
1‑Park Superintendent
b. Intermediate Inspections. This type inspection is
required of dams under NPS management that have either a high (1) or
significant (2) hazard potential. For low hazard potential dams, intermediate
inspections are not required. Intermediate inspections should include a
thorough field inspection of the dam and appurtenant structures, and a review
of the records of inspections made at, and following, the last formal
inspection.
If unusual conditions are observed that‑are outside
the expertise of these inspectors, arrangements should be made for inspections
to be conducted by specialists.
(1) Frequency of intermediate
inspections. Intermediate inspections, should be performed every three years
where there is a high probability that dam failure or misoperation could result
in loss of life or significant property damage.
(2) Qualifications of personnel for
intermediate inspections. Intermediate inspections should be performed by
technically qualified engineers, experienced in the operation and maintenance
of dams and trained to recognize abnormal conditions. The inspectors should
have access to and be familiar with all pertinent histories for the dam, and
should be directly responsible for and intimately familiar with the operating
characteristics of the dam. The dam tender or operator should be a participant
in these inspections.
(3) Currently this type of inspection will be
performed by USBR personnel as deemed necessary.
c. Formal and Special Inspections. This type inspection is
required of dams under NPS management that have either a high (1) or
significant hazard (2) potential. Formal inspections will not be performed for
dams under NPS jurisdiction and classified as low hazard potential. A formal inspection
is required periodically to verify the safety and integrity of the dam and
appurtenant structures. Formal inspections should include a review to determine
if the structures meet current accepted design criteria and practices. The
inspection should include a review of all pertinent documents including
instrumentation, operation, and maintenance and, to the degree necessary,
documentation of investigation, design, and construction. In making the
detailed inspection of the dam, appurtenant structures and equipment, diving
inspections of‑underwater structures affecting the integrity of the dam
should be included. All formal inspections should be conducted by a team of
highly trained specialists. To assure that a dam and its appurtenant facilities
are thoroughly inspected, checklists should be prepared to cover the condition
of structural, electrical, and mechanical features. This inspection should also
verify that operating instructions are available and understood,
instrumentation is adequate and data assessed to assure structures are
performing as designed, and there are emergency provisions for access to and
communication with all project operating facilities.
(1) Frequency of formal
inspections. Formal inspections should be made periodically at intervals not to
exceed 6 years. Depending on past experience or the project history, some dams
may require more frequent formal inspections.
(2) Frequency of special
inspections. Special inspections should be performed immediately after the dam
has passed unusually large floods and after the occurrence of significant
earthquakes, sabotage, or other unusual events reported by operating personnel.
(3) Qualifications of personnel for
formal and special inspections Formal and special inspections should be conducted
under the direction of licensed professional engineers experienced in the
investigation, design, construction, and operation of dams. The inspection team
should be chosen on a site‑specific basis considering the nature and type
of the dam. The inspection team should be comprised of individuals having
appropriate specialized knowledge in structural, mechanical, electrical,
hydraulic, and embankment design; geology; concrete materials; and construction
procedures. They must be capable of interpreting structural performance and
relating conditions found to current criteria and safety aspects. It is
imperative that the inspection team adequately prepare for the inspections by
reviewing and discussing all documents relative to the safety of the dam.
(4) The Bureau of Reclamation
(USBR) is the preferred organization to perform both formal and intermediate
inspections and any special studies or emergency services for NPS, particularly
on either the high or significant hazard potential dams.However, NPS managers may, at their discretion, utilize other
qualified agencies or contractor services when USBR would not be able to
respond in sufficient time. NPS personnel will accompany the team and act as
observers during this inspection.
(5) Data Books will be prepared by
USBR or other inspecting organization for all NPS high (1) or significant (2) hazard
potential dams which are scheduled for formal inspection. Appendix E is a
checklist of the types of existing data which will be valuable for evaluating
the safety, maintenance, and operation of NPS dams.Existing information for these Data Books
should be prepared and distributed by Regional Directors or Superintendents to
USBR or other inspecting organization two (2) months prior to the actual on‑site
examination.
(6) The following classification
system will be used to describe safety of dam conditions. One of these classifications
is assigned to a dam following an on‑site examination and evaluation
using available data and current state‑of‑the‑art knowledge:
S‑Satisfactory
No existing or potential dam safety deficiencies are
recognized. All essential elements can be expected to function under all
conditions, including such events as the maximum probable flood (MPF) or
maximum creditable earthquake (MCE), which have only a remote chance of
occurring;
F‑Fair
No existing or potential dam safety deficiencies are
recognized for normal operating conditions. All essential elements can be
expected to function under normal operating conditions. Remotely occurring events
of magnitudes approaching a MPF or MCE will likely cause a dam safety
deficiency;
P‑Poor
A potential dam safety deficiency for normal operating
conditions is recognized. Major damage has occurred at one or more of the
essential elements or may be anticipated to occur during normal operating
conditions. Immediate corrective actions to resolve the deficiency(s) are
recommended and reservoir or other project restrictions may be necessary
until problem is resolved;
U‑Unsatisfactory
A dam safety deficiency is recognized for normal operating
conditions. One or more essential elements will not operate adequately under
normal operating conditions. Problem resolution requires immediate action.
In association with any
classification term, maintenance work to correct an existing condition of one
or more essential elements, or installation of additional equipment to enhance
dam safety and/or to monitor performance, may be advised. It is expected that
adequate maintenance can prevent many dam safety deficiencies from occurring.
3. Instrumentation. Instrumentation or performance
observation devices are used to supplement visual inspections in evaluating the
performance and safety of dams. Careful examination of instrumentation data on
a continuing basis may reveal a possible critical condition. Conversely,
instrumentation may be a means of assuring that an observed condition is not
serious and does not require immediate remedial measures.
a. Adequacy of Instrumentation.
Instrumentation to monitor structural and functional performance should be
installed in dams where complex or unusual site conditions have been encountered
or where there is a high probability that failure could result in loss of
life or extensive property damages.
b. Observation of Monitoring
Devices. The instrumentation data should be collected by personnel trained
specifically for the purpose, including training to recognize and immediately
report to those 'responsible for inspections any anomalies in the readings or
measurements. Performance observation data should be properly established for
record purposes. The frequency of instrument readings should be established at
the time the instrumentation system is designed in order to give a timely
warning of possible adverse conditions.
c. Data Analysis. It is essential
that instrumentation data be processed, reviewed and assessed in a timely
manner by a specialist familiar with the design, construction, and operation of
the project. Operation manuals and design information should be referred to in
the evaluation of possible adverse threats.
4. Correction of Deficiencies. The inspection program could
reveal those deficiencies or potential deficiencies which, if uncorrected,
could eventually lead to failure or misoperation of the dam. Deficiencies may
vary from emergency type items where immediate action is required to non-emergency
type items which must be corrected in a timely manner but do not present an
immediate danger to the safety of the structure. In all cases, corrective
action should be made under the supervision of qualified personnel. Emergency
action plans to be implemented when failure has already occurred or is imminent
are discussed in Emergency Action Planning.
a. High Priority Corrective Action.
High priority corrective action is required for deficiencies which could result
in failure of the dam within a short period of time. The Director will be
notified immediately by the appropriate Regional Director of any dams (NPS or
non‑NPS) that are in this condition, and what action is being taken to
remove the threat to park safety or operations.
b. Non-emergency Corrective Action.
Non-emergency corrective action is action taken when there is no immediate
threat to the safety or operation of the dam, or any threat to life or property
downstream. The Director will be notified immediately by the Regional Director
of any dams (NPS and non‑NPS) that are in this condition. The corrective
action should be scheduled in advance of the fiscal year in which the work is
to be done to allow time for planning, funding through the normal budgeting
process, and arranging for special reservoir operations when required. Some of
these deficiencies may be corrected through the regular operation and
maintenance program discussed in operations and maintenance.
c. Follow‑up Action. Periodic
inspection reports should continue to list identified deficiencies along with
any newly discovered deficiencies and show the status of corrective action.,
Appropriate inspection personnel should make frequent field examinations, as
long as the problem exists, to see that all corrective measures are being
completed. When deficiencies are not corrected in a reasonable length of time,
an investigation should be made to determine the reason for delay, and the
Director should be notified of the findings.
5. Documentation. Proper documentation of the dam's current
and past performance is necessary to assess the adequacy of operation,
maintenance, surveillance, and proposed corrective actions. A complete record
or history of the investigation, design, construction, operation, maintenance,
surveillance, periodic inspections, modifications, repair, and remedial work
should be established and maintained so that relevant data relating to the dam
is preserved and readily available for reference. This documentation should
commence with the initial site investigation for the dam and continue through
the life of the structure. This information will be collected by NPS personnel
and delivered to the USBR to develop Data Books on high (1) and significant (2)
hazard potential dams. See Chapter Six, section C.2. The data base management
system for NPS dams will be maintained to keep current all data elements.
a. Instrumentation. All
instrumentation observation data and evaluation thereof should be properly
tabulated and documented for record purposes.
b. Inspections. All inspection
observations, especially as related to the safety of the dam, should be
documented. The extent and nature of inspection reports required for the annual
informal, intermediate formal, and special inspections, will vary in proportion
to the intensity of the inspection and the nature of the findings. Informal
inspection reports may range from memoranda to brief reports. Intermediate
inspection reports may vary from memoranda or trip reports to more formal
reports containing substantial records, detail, and recommendations. Formal and
special inspections require complete, formal technical reports of all findings,
corrective actions and recommendations for permanent record and reference
purposes in order to form a basis for major remedial work when required.All reports should be in a self‑explanatory
form that permits their retention as permanent records and should carefully
document times of inspections, inspection personnel, and findings of the
inspection.
c. Correction of Deficiencies.
All deficiencies corrected as a result of the recommendations contained in
periodic inspection reports should be fully documented in report form and made
a part of the permanent project record. Alterations made to the facility as a
result of changes in criteria to meet current practices or changes in dam
technology should be fully documented, including as-constructed drawings.Promptly perform corrective action on deficient
dams.Dams listed as SERIOUSLY DEFICIENT should be corrected
immediately.A dam is SERIOUSLY DEFICIENT if:
1 An official inspection report classifies
the dam safety condition as:
a POOR—this
classification is applied when major damage has occurred, or may be anticipated
to occur, at one or more of the essential elements during normal operating
conditions.Immediate corrective actions
to resolve the deficiency(s) are recommended and reservoir or other
restrictions may be necessary until problems are resolved; or
b
UNSATISFACTORY—this classification
is applied when one or more essential elements will not operate adequately
under normal conditions.Problem
resolution requires immediate corrective action; and/or
2 If the maintenance condition is rated:
a“3”, which indicates it may not fulfill
intended purpose and maintenance or major repair is needed) or;
b
“4”, which indicates it will not fulfill intended purpose and major
repair or rehabilitation is needed.
6. NPS Observer Status at non‑NPS Dams.Refer to Appendix G for an example letter for
coordinating with non-NPS dam project owners and/or regulators.
a. General. Dams that NPS has no jurisdiction over, but are
located immediately adjacent to or within park boundaries and affect safety or
operations, will be carefully monitored. Regional Directors, Superintendents,
and Manager, DSC, will report and maintain information about these non‑NPS
dams in our inventory data base system. Regional Directors should request the
presence of NPS observers during the inspection of non‑NPS dams located
within or immediately adjacent to park boundaries and that are in the high (1)
or significant (2) hazard potential classification. Such coordination will
assure NPS awareness of their condition.
b. U.S.
Army Corps of Engineers Safety Condition Codes. The following dam safety
assessment codes are from the U.S. Army Corps of Engineers' National Inventory
of Dams (NID) data base management system, circa 1981. These safety of dams
condition classification are referenced here for non-NPS dams located either
within or immediately adjacent to park boundaries.
‑For non-NPS dams or
appurtenant works may have been assessed as "Unsafe," if deficiencies
are assessed to be of such a nature that, if not corrected, they could result
in the failure or misoperation of the project with subsequent loss of life
and/or substantial property damage. This classification is analogous to the
National Park Service and Bureau of Reclamation safety of dams condition
classification of Poor (Chapter 6, section C, 2, c, (6)).
‑If the probable failure of
an "Unsafe" dam or appurtenant works is judged to be an imminent
threat to life or substantial property and immediate action is required to
reduce or eliminate the deficiencies, the "Unsafe" condition of the
dam should be considered an "emergency." . This classification is
analogous to the National Park Service and Bureau of Reclamation safety of dams
condition classification of Unsatisfactory (Chapter 6, section C, 2, c, (6)). If
the probable failure is judged not to be imminent, the "Unsafe"
condition should be considered a "non‑emergency."
D. Emergency Action Planning
1. General. It is intended that
this guideline will minimize the risk of future dam failures. Nevertheless, it
is recognized that despite the adequacy of this guideline and its
implementation, the possibility of dam failures still exists. Even though the
probability of such failures is small, preplanning is required to identify
conditions which could lead to failure, in order to initiate emergency measures
to prevent such failures as a first priority, and, if this is not possible, to
minimize the extent and effects of such failure. This guideline provides
operating and mobilization procedures to be followed upon indication of an
impending or possible dam failure or a major flood. Project information and
inspection results will be used to keep the NPS inventory data base system
current.
Emergency Action Plans (EAP) are
required for all high (1) or significant' (2) hazard potential dams under
Federal regulation or jurisdiction: The purpose of an EAP is to provide early
warning and evacuation in the event of either a possible or actual dam failure
or misoperation.An example EAP is
provided in Appendix F for use by the parks. Superintendents should designate
an EAP Coordinator, along with other individuals as given in Appendix F, at
appropriate parks, with either NPS or non‑NPS dams within the specified
hazard potential category (see inventory in Appendix A). EAP coordinators
should initiate EAP's for appropriate NPS dams or coordinate with non‑NPS
dams owners in the implementation of their EAP within park boundaries.Refer to Appendix G for an example letter for
coordinating with non-NPS dam project owners and/or regulators.
Pertinent information about EAP's
should be recorded into the NP$ Inventory of Dams. Since coordination is needed
with state and local officials in implementing EAP's, a list of state dam
safety officers has been, provided in Appendix G.
2. Coordination with non‑NPS Dam Owners. In those
regions where high or significant hazard potential non‑NPS dams exist
within or immediately adjacent to park boundaries, Superintendents will request
from those owners coordination in the preparation and implementation of any
Emergency Action Plans as appropriate for park areas.
3. Evaluation of Emergency Potential. Prior to development
of an emergency action plan, consideration must be given to the extent of land
areas, and types of development within the areas, that would be inundated as a
.result of dam failure or flood, and the time available for emergency response.
a. Determination of Mode of Dam
Failure. There are many potential causes and modes of dam failure, depending
upon the type of structure and its foundation characteristics. Similarly, there
are degrees of "failure" and, often, progressive stages of failure.
Many dam failures can be prevented from reaching a final catastrophic stage by
recognition of early indicators or precursor conditions, and by prompt,
effective emergency actions. While emergency planning should emphasize
preventive actions, recognition must be given to the catastrophic condition,
and hazard potential should be evaluated in that light. Analysis should be made
to determine the most likely mode of dam failure under the most adverse
condition and the resulting peak water outflow following the failure. Where
there is a series of dams on the stream, analyses should include consideration
of the potential for progressive "domino" failure of the dams.
b. Inundation Maps. To evaluate the
effects of dam failure, maps should be prepared delineating the area which
would be inundated in the event of failure. Land uses and significant
development or improvements within the area of inundation should be indicated.
The maps should be equivalent to or more detailed than the United States
Geological Survey (USGS) quadrangle maps, 7‑1/2 minute series, or of
sufficient scale and detail to identify clearly the area that should be
evacuated if there is evident danger of failure of the dams. Since detailed
inundation maps may not be readily available or easily used at a disaster area,
a concise and clear word description should also be prepared for easy
word‑of‑mouth communication‑'The
word description would tell potential evacuees how high they should elevate
themselves above the river or by horizontal distance to an area known to be
safe from inundation. Copies of the maps should be distributed to local
government officials for use in the development of an evacuation plan.
c. Classification of Inundation
Areas. To assist in the evaluation of hazard potential, areas delineated on
inundation maps should be classified in accordance with the degree of occupancy
and hazard potential. The potential for loss of life is affected by many
factors, including, but not limited to, the capacity and number of exit roads
to higher ground and available transportation.
d. Time Available for Response.
Analyses should be made to evaluate the structural, foundation, and other
characteristics of the dam and determine those conditions which could be
expected to result in slow, rapid or practically instantaneous dam failure.
4. Actions to Prevent Failure or Minimize
Effects of Failure.
a. Development of Emergency Action
Plan. An emergency action plan should be developed for each dam that
constitutes a hazard to life or property, incorporating preplanned emergency
measures to be taken prior to and following assumed dam failure. The plan
should be coordinated with local governmental and other authorities involved in
public safety and approved by the Regional Director for NPS dams. To the extent
possible, the emergency action plan should define emergency situations that require
immediate notification of local officials. The emergency action plan should
include notification plans, which are discussed below in section b. A procedure
should be established for review and revision, as necessary, of the emergency
action plan, including notification plans and evacuation plans, at least once
every year.
b. Notification Plans. Plans for
notification of key personnel and the public are an integral part of the
emergency action plan and should be prepared for slowly developing, rapidly
developing, and instantaneous dam failure conditions. Notification plans should
include a list of names and position titles, addresses, office and home
telephone numbers, and radio communication frequencies and call signals, if
available, for Regional Director, Superintendents, and Managers, or non‑NPS
dam owner personnel, public officials, and other personnel and alternates who
should be notified as soon as emergency situations develop.. A procedure should
be developed to keep the list current.
Each type of notification plan
should contain the order in which key agency or owner supervisory personnel or
alternates should be notified. At least one‑key supervisory level or job
position should be designated to be manned, or the responsible person should be
immediately available by telephone or radio 24 hours a day. A copy of each
notification plan must be posted in a prominent place at the project site near
a telephone and/or radio transmitter.
Where dams located upstream from
the dam for which the plan is being prepared could be operated to reduce inflow
or where the operation of downstream dams would be affected by failure of the
dam, operators of those dams should be kept informed of the current and
expected conditions of the dam as the information becomes available.
Civil defense officials having
jurisdiction over all or part of the area subject to inundation should receive
early notification. Local law enforcement officials and, when possible, local
government officials and public safety officials should receive early
notification.
The capabilities of the
Civil Defense Preparedness Agency's National Warning System (NAWAS) should
be determined for the project and utilized as appropriate.Information can be obtained from State or local civil defense organizations.
When it is determined that a dam
may be in danger of failing, the public officials responsible for the decision
to implement the evacuation plan should be kept informed of the developing
emergency conditions.
The news media, including radio,
television, and newspapers, should be utilized to the extent available and
appropriate. Notification plans should define emergency situations for which
each medium will be utilized and should include an example of a news release
that would be the most effective for each possible emergency.
Notification of recreation users is
frequently difficult because the individuals are often alone and away from any
means of ready communication. Consideration should be given to the use of
standard emergency warning devices, such as sirens, at the dam site.
Consideration should be given to the use of helicopters with bullhorns for
areas further downstream. Vehicles equipped with public address systems and
helicopters with bullhorns are capable of covering large areas effectively.
c. Evacuation Plans. Evacuation
plans should be prepared and implemented by the local jurisdiction controlling
inundation areas. This would normally not be the dam agency or owner.
Evacuation plans should conform to local needs and vary in complexity in accordance
with the type and degree of occupancy of the potentially affected area. The
plans may include delineation of area to be evacuated; routes to be used;
traffic control measures; shelter; methods of providing emergency
transportation; special procedures for the evacuation and care of people from
institutions such as hospitals, nursing homes, and prisons; procedures for
securing the perimeter and for interior security of the area; procedures for
the lifting of the evacuation order and reentry to the area; and details
indicating which organizations are responsible for specific functions and for
furnishing the materials, equipment, and personnel resources required.
The assistance of local civil
defense personnel, if available, should be requested in preparation of the
evacuation plan. State and local law enforcement agencies usually will be
responsible for the execution of much of the plan and should be represented in
the planning effort. State and local laws and ordinances may require that other
State, county, and local government agencies have a role in the preparation,
review, approval, or execution of the plan. Before finalization, a copy of the
plan should be furnished to the dam agency or owner for information and
comment.
d. Stockpiling Repair
Materials. Suitable construction materials should be stockpiled for emergency
use. The amounts and types of construction materials needed for emergency
repairs should be determined based on the structural, foundation, and other
characteristics of the dam; design and construction history; and history of
prior problems.
e. Locating Local Repair Forces.
Arrangements should be made with, and a current list maintained of, local
entities, including contractors, and Federal, State and local construction
departments, for possible emergency use of equipment and labor.
f. Training Operating Personnel.
Technically qualified project personnel should be trained in problem detection,
evaluation, and appropriate remedial (emergency and non-emergency) measures.
g. Increasing Inspection Frequency.
Frequency of appropriate surveillance activities should be increased when the
reservoir level exceeds, a predetermined elevation. Piezometers, water level
gages, and other instruments should be read frequently and on schedule. The
project structures should be inspected as often as necessary to monitor
conditions related to known problems and to detect indications of change or new
problems that could arise. Hourly or continuous surveillance may be mandated in
some instances. Any change in conditions should be reported promptly to the
supervisor for further evaluation.
The supervisor should issue
additional instructions, as necessary and alert repair crews and contractors
for necessary repair work if developing conditions indicate that emergency
repairs or other remedial measures may be required.
5. Actions Upon Discovery of a Potentially Unsafe (Seriously
Deficient) Condition. Action to be taken will depend on the nature of the
problem and the time estimated to be available for remedial or mitigating
measures. As time permits, one or more of the following actions will be
required.
a. Notification of Supervisory
Personnel. This is essential, if time permits, since development of failure
could vary in some or many respects from previous forecasts or assumptions, and
advice may be needed.
b. Initiation of Predetermined
Remedial Action. It is imperative that at least one technically qualified
individual, previously trained in problem detection, evaluation, and remedial
action, be at the project or on call at all‑times. Depending on the
nature and seriousness of the problem and the time available, emergency actions
can be limited, such as lowering the reservoir and holding water in upstream
reservoirs. Other actions to be taken include notifying appropriate highway and
traffic control officials promptly of any rim slides or other reservoir
embankment failures which may endanger public highways.
c. Determination of Need
for Public Notification. To the extent possible, emergency situations that
will require immediate notification of public officials in time to allow evacuation
of the potentially affected areas should be predefined for the use of management
and project personnel. If sufficient time is available, the decision to notify
public officials that the dam can be expected to fail will be made at a predetermined
supervisory level within the agency or owner organization. If failure is imminent
or has already occurred, project personnel at the dam site would be responsible
for direct notification of the public officials. The urgency of the situation
should be made clear so that public officials will take positive action immediately.
APPENDIX
A
NPS NATIONAL
INVENTORY OF DAMS ON-LINE DATABASE ACCESS
Access to database is only
available to personnel listed in the NPS email directory
American Society of Civil Engineers. Proceedings,
Engineering Foundation Conference, "Inspection, Maintenance, and
Rehabilitation of Old Dams," Pacific Grove,
California, September 23‑28, 1973. New
York: ASCE, 1974
American Society of Civil Engineers. Proceedings,
Engineering Foundation Conference, "Safety of Small Dams," Henniker,
N.H., August 4‑9, 1974, New
York: ASCE, 1975.
NOTE: ASCE publications may be
obtained by contacting:
American Society of Civil Engineers
Attention: Publications
[New
address needed]
Golze, Alfred R. (ed.). Handbook of Dam Engineering. Van
Nostrand Reinhold., 1977.
NOTE: Reinhold publication may be
obtained by contacting:
Van Nostrand Reinhold Co.
7625 Empire Drive
Florence,
Kentucky41042
Telephone: 606‑525‑6600
Hanna, Thomas H. Foundation Instrumentation. Trans Tech
Publications, 1973.
NOTE: Trans Tech publication may be
obtained by contacting:
Trans Tech Publications
16 Bearskin Neck
Rockport,
Massachusetts01966
Telephone: 617‑546‑6426
U.S.
Department of Agriculture, Soil Conservation Service. Construction Inspection.
National Engineering Handbook, Section 19.
U.S.
Department of Agriculture, Soil Conservation Service. Engineering Geology.
National Engineering Handbook, Section 8.
U.S.
Department of Agriculture, Soil Conservation Service. Hydraulics. National
Engineering Handbook, Section 5.
U.S.
Department of Agriculture, Soil Conservation Service. Hydrology. National
Engineering Handbook, Section 4.
U.S.
Department of Agriculture, Soil Conservation Service. Structural design.
National Engineering‑Handbook, Section 6.
U.S.
Department of Agriculture, Soil Conservation Service. Earth Dams and
Reservoirs, Technical Release 60, revised August 1981.
NOTE: Soil Conservation Service publications may be obtained
by request from SCS field offices or by contacting:
Records and Communications Branch
Administration Services Division
Soil Conservation Service
P.O. Box
2890
Washington,
D.C.20013
Telephone: 202‑447‑3907
U.S.
Department of the Army, Office of the Chief of Engineers. National Program for
Inspection of Non‑Federal Dams, ER 1110‑2‑106, Washington:
September 1979.
NOTE: Army publications may be obtained by contacting:
Office of the Chief of Engineers
Publications Depot
890 South
Pickett Street
Alexandria,
Virginia22304
Telephone: 202‑272‑7772
U.S.
Department of the Interior, Bureau of Reclamation. Design of Small Dams, Second
Edition, Engineering and ResearchCenter,
Stock No. 024‑003‑00119‑8, Denver:
1977
U.S.
Department of the Interior, Bureau of Reclamation. Operation and Maintenance
Guidelines For Small Dams, Engineering and ResearchCenter, Denver:
1982.
U.S.
Department of the Interior, Bureau of Reclamation. Safety Evaluation of
Existing Dams, Second Edition, Engineering and ResearchCenter, Denver:
.1983
NOTE: Reclamation publications may be obtained by
contacting:
Bureau of Reclamation
Attention: Publications, Code 922
P.O. Box
25007
Denver,
Colorado80225
Telephone: 303‑234‑3000
APPENDIX C
LIST OF NATIONAL
AND REGIONAL COORDINATORS AND CONTACTS
FOR THE NATIONAL
PARK SERVICE (NPS) MAINTENANCE, OPERATION, ANDSAFETY OF DAMS
(MOSD) PROGRAM
U.S. DEPARTMENT OF THE INTERIOR
FOR ALL DAMS AND
IMPOUNDMENTS AFFECTING THE NATIONAL PARK SYTEM
NATIONAL PARK SERVICE
NATIONWIDE 24-HOUR COMMUNICATIONS
U.NPS Regional and Park Historic or Cultural
Divisions
V.NPSDenverServiceCenter,
Graphic System Division (FTS 234-2654)
Suggested locations of
obtaining geologic records are:
1.U.S.
Geological Survey
2.State Geological Survey
3.U.S.
Bureau of Mines
4.State Bureau of Mines
5.State and local university libraries
6.State, city and other local libraries
7.Consulting geologists
APPENDIX
E
EXAMPLE
EMERGENCY ACTION PLAN
The purpose of the EAP is to facilitate the early warning
and, if necessary, evacuation of persons in areas that would be affected by
possible dam or appurtenant works failure or misoperation. Superintendents
should develop an appropriate EAP for either high (1) or significant (2) hazard
potential dams under their jurisdiction or coordinate with non‑NPS dam
owners to assure implementation of their EAP in affected park areas. Personnel
designations, mapping, and local government contacts should have been made by September 30, 1982, and recorded into
the NPS Inventory of Dams.
BASIC SYSTEM ELEMENTS
An effective Emergency Action Plan incorporates several
essential elements.
These are:
1.Dependable
and responsible rainfall and staff gage observers. Their duties are to report to
the Dam Operator the rainfall accumulation over‑ a given period of time
and the elevation of the reservoir pool or flow in the emergency spillway, if
any. One of these observers should also give the dam a brief visual inspection
at each gage reading to see if it is in danger of failing from reasons other
than overtopping. The equipment needed to make these measurements can be a
simple plastic rain gage and some sort of pole or staff in the reservoir or
spillway area with elevations indicated clearly on it. There are more elaborate
instruments available such as automatic rain and water level gages, but at a
respectively higher cost. Their use is optional, but not essential.
2.Reliable
and rapid local communications system with an emergency backup. This system is
used to communicate the data gathered by the gage observers to the Dam Operator
and by the Dam Operator in notifying the proper authorities of the need to
initiate the warning plan and the evacuation plan. It can be by telephone, ham
radio, CB radio, or police, fire, and other emergency radio systems. It is
important that any system chosen have an emergency backup.
3.Dam
Operator and Alternate. These persons' duties are to interpret the rainfall,
streamflow, and spillway flow data given to them by the observers and other
available weather information and, when necessary, notify the park EAP
Coordinator or other authorities of the need to initiate the warning and
evacuation plan.
4.Dam
Hydraulic and Hydrologic Data. This information developed by a qualified
engineer or gathered from other competent sources is used to establish the
various trigger points (rainfall measurements, pool or spillway flow
elevations, or other pertinent facts) at which the several progressive phases
of the emergency warning system are initiated. This information is obtained
from an engineer study which com pares various rainfalls on the watershed with
the spillway discharges they create and reservoir elevations. The Bureau of
Reclamation is developing some of this type of information during their
assessments of NPS Dams classified as high or significant hazard potential.
5.A
Warning Dissemination Plan.This
basically consists of a list of people to be notified if the conditions
dictate. This should include the local government Emergency Services
Coordinator or other designated local government officials who will in turn
notify the people directly affected by flooding outside the park and carry out
the Evacuation Plan, if that becomes necessary.
6.The
Evacuation Plan.This consists of a list
of homes, businesses, campsites, stream crossings, recreation activities,
highways and roads, with their locations clearly identified on an inundation
map, that are to be evacuated if necessary, and a means of transporting the
people to a designated emergency shelter. Mapping should be of sufficient
detail and scale to show where possible homes, businesses, campsites, stream
crossings, highway and roads, and recreational activities are located in
relationship to the dam and estimated flooding.Access routes should be clearly marked. Since detailed inundation maps
may not be readily available or easily used at a disaster area, a concise and
clear word description should also be prepared for easy word‑of‑mouth
communication. Time word description would tell potential evacuees how high
they should elevate themselves above the river or by horizontal distance to an
area known to be safe from inundation. The EAP with the map should be filed
with the park EAP Coordinator and the local Emergency Services Coordinator or
other local government officials. The plan should also pro vide for the
protection of the evacuated area until the residents can return to their areas.
The local Emergency Services Coordinator or other local government officials
are responsible for preparing and carrying out the Evacuation Plan if located
outside the park. Proper coordination should be assured with these officials.
EXAMPLE EMERGENCY WARNING SYSTEM
The following is a fictitious example of a well‑organized
Emergency Action Plan for a city and is based on one prepared by the Tennessee
Valley Authority for the City of Norton, Virginia.
This is not necessarily the type of system that will be best suited to your
situation, but it should give you a general idea of howone is set up.
STAGE I
1.Rain
measuring equipment will be inspected and measurements begun initially upon
notice of a flood watch or warning. This warning would come from the National
Weather Service.
2.Rainfall
measured by the gage observer will be compared by the Dam Operator with the
rainfall of other weather observers such as local government Emergency Service
officials during flood watches and warnings.
3.Rainfall
will be monitored around the clock and reported to the Dam Operator on a 24‑hour
basis by the rainfall gage observer.
4.Upon
receiving notice that two (2) inches of rain in any 24‑hour period has
fallen, the Dam Operator will initiate State II by notifying the EAP
Coordinator who will notify the:
A. Superintendent
B. Park Ranger,
C. Administrative
Manager
STAGE II
1.Every
four hours after Stage II is affected, the staff gage observer will personally
read the gage at the spillway and record the reading and report it to the Dam
Operator.
2.When
a depth of two (2) feet in the spillway exists, the frequency of the readings
will be increased every two flours, or will be made even more frequently if
desired by the Dam Operator.
3.In
the event the spillway readings reach three (3) feet, Stage III will be put
into effect by the Dam Operator. The Dam Operator will notify the EAP
Coordinator of Stage III, who will in turn notify the:
A. Superintendent
B. Park Ranger
C. Administrative
Manager
D. Local
Government Emergency Official
Stage III
1.The
Emergency Action Plan Coordinator will initiate the Evacuation Plan.
2.The
Evaluation Plan will be implemented by the Ranger Division under the direction
of the Park Ranger, with assistance from all available Fire, Rescue, and other
appropriate personnel.
3.Necessary
transportation from the affected area will be provided by a school bus or other
means as determined by the EAP Coordinator.
4.Evacuated
persons will be sheltered as designated in the evacuation notice.
5.Once
the area is evacuated, persons designed by the Park Ranger will secure the area
from access except for official business.
6.Readings
of the spillway level will continue to be, read by the gage observer and be
reported hourly to the EAP Coordinator during Stage III until water recedes to
one foot or less over the spillway.
CONCLUSION
The local government Emergency Services Coordinator in your
city or county should be notified, if appropriate, of your plans to establish
the EAP, and its development must be closely coordinated with him so that he
will be completely familiar with it. Once the plan is established it should be
reviewed annually and updated if the conditions downstream have changed enough,
to dictate it.
The Warning Dissemination and Evacuation Plans can also be
used if the dam is failing from reasons other than flooding and overtopping. On
new or rehabilitated structures this Emergency Action Plan should be
established prior to the beginning of impoundment so that an evacuation can be
carried out‑if a failure prone situation develops. Hopefully you will
never need to use it, but if the need ever arises, such a system will greatly
reduce the chance of any loss of life.
APPENDIX F
STATE SAFETY OF DAMS
OFFICERS
ALABAMA
Leslie A.
Durham AL Department of Economic
& Community Affairs
Office of Water Resources
401 Adams Avenue
P.O. Box 5696
Montgomery, AL 36104-5690
Tel: 334/242-5506
Fax: 334/242-0776
Email: LeslieD@adeca.state.al.us
ALASKA
CharlesF.Cobb STATE DAM SAFETY ENGINEER AK Department of Natural Resources
Division of Mining, Land & Water 550
West 7th Avenue, Ste. 1020 Anchorage, AK99501-3577
Phone: 907/269-8636
Fax: 907/269-8947
Email: charlesc@dnr.state.ak.us
ARIZONA
William C.
Jenkins
Senior Engineer AZ Dept of Water Resources
Office of Water Engineering 500
North Third Street Phoenix, AZ85004-3921
Phone: 602/417-2400 x.7189
Fax: 602/417-2423
Email: wcjenkins@adwr.state.az.us
ARKANSAS
Alvin
Simmons, Jr. Engineer Supervisor
AR Soil & Water Conservation Commission
101 East Capitol, Suite 350 Little Rock, AR72201
Tel: 501/682-3981
Fax: 501/682-3991
E-mail: alvin.simmons@mail.state.ar.us
CALIFORNIA
David A.
Gutierrez Acting Chief
DWR - Division of Safety of Dams 2200 X Street,
Ste 200
Sacramento, CA 95818
Tel:
916/227-4660
Fax: 916/227-4500
Email: daveg@water.ca.gov
Wesley Marsh
SUPERVISING ENVIRONMENTAL ANALYST
CT
Department of Environmental Protection
Bureau of Water Management 79
Elm Street Hartford, CT06106-5127
Phone: 860/424-3706
Fax: 860/424-4075
Email: wes.marsh@po.state.ct.us
DELAWARE
Frank M.
Piorko Environmental Program
Manager II
DE Department of Natural Resources & Environmental Control
Division of Soil and Water Conservation 89
Kings Highway, Dover, DE19901
Tel. (302) 739-4411 Fax. (302) 739-6724
e-mail Frank.Piorko@state.de.us
FLORIDA
Stephen H.
Partney
PROGRAM ADMIN.
Bureau of Mine Reclamation
Dept. of Environmental Protection 2051
E. Dirac Drive Tallahassee, FL32310
Phone: 850/488-8217
Fax: 850/488-1254
Email: Stephen.Partney@dep.state.fl.us
GEORGIA
Francis E.
Fiegle, II
PROGRAM MANAGER
GA Dept. of Natural Resources
Safe Dams Program
4244 International Pkwy. Ste. 110 Atlanta, GA30354
Phone: 404/362-2678
Fax: 404/362-2598
Email: Ed_Fiegle@dnr.state.ga.us
HAWAII
Edwin Matsuda
Civil Engineer
HI Dept. of Land & Natural Res. 1151
Punchbowl Street, Rm 221 Honolulu, HI96813
Phone: 808/587-0268
Fax: 808/587-0283
Email: edwin.y.matsuda@hawaii.gov
IDAHO
Guy
E. Paul
Chief, Resource Protection Bureau
ID Dept. of Water Resources 322 East Front
Street
PO Box 83720 Boise, ID83720-0098
Phone: (208) 287-4923
Fax: (208) 287-6700
Email: guy.paul@idwr.idaho.gov
ILLINOIS
Paul
Mauer, Jr. Dam Safety Engineer
Dept. of Natural Resources
One Natural Resources Way
Springfield, IL 62702-1271
Tel: 217/782-3863
Fax: 217/524-1454
E-mail: PMAUER@dnrmail.state.il.us
INDIANA
Kenneth E.
Smith
ASSISTANT DIRECTOR
IN Dept. of Natural Resources
Division of Water 402
W. Washington St. Rm W264 Indianapolis, IN46204
Phone: 317/232-4224
Fax: 317/233-4579
Email: kesmith@dnr.state.in.us
KANSAS
Joe D. File
DAM SAFETY TEAM LEADER
KS Dept. of Agriculture
Division of Water Resources
109 SW 9th Street, 2nd Floor
Topeka, KS 66612-1283
Phone: 785/296-5733
Fax: 785/296-4835
Email: jfile@kda.state.ks.us
KENTUCKY
Art Clay Environmental Engineer
Branch Manager
KY Division of Water
Water Resources Branch
14 Reilly Road
Frankfort, KY 40601
Tel: 502/564-3410, ext. 583
Fax: 502/564-9003
E-mail: art.clay@mail.state.ky.us
LOUISIANA
Zahir 'Bo'
Bolourchi
Deputy Assistant Secretary
LA Dept. of Transportation & Development
Public Works & Water Resources Division
P.O. Box 94245, Room 506
Baton Rouge, LA 70804-9245
Phone: 225/274-4171
Fax: 225/274-4322
Email: BoBolourchi@dotd.state.la.us
MAINE
Tony Fletcher
STATE DAM INSPECTOR
ME Emergency Management Agency
Dept. of Defense
72 State House Station
Augusta, ME 04333-0072
Phone: 207/626-7824
Fax: 207/626-4460
Email: Tony.Fletcher@state.me.us
MARYLAND
Ken Pensyl Program Manager
Sediment, Stormwater and Dam Safety Program
Maryland Department of the Environment
Water Management Administration Suite 440 Baltimore, Maryland21230
Tel: 410/537-3561
Fax: 410/537-3553 kpensyl@mde.state.md.us
MASSACHUSETTS
Michael D.
Misslin
Deputy Chief Engineer
Massachusetts Department of Conservation and Recreation 77
Great Road Maynard, MA01754
Phone: 617/626-4927
Fax: 617/626-1349
Email: Mike.Misslin@state.ma.us
MICHIGAN
David
Hamilton Chief, Water Mgmt Section
MI Dept of Environmental Quality P.O.
Box 30458 Lansing, MI48909-7958
Tel: 517/335-3174
Fax: 517/373-9965
E-mail: hamiltod@michigan.gov
MINNESOTA
Dana
Gauthier Dam Safety Engineer MN Dept of Natural Resources 500
Lafayette Road Box 32 St. Paul, MN, 55155-4032
Tel: 651/296-0521
Fax: 651/296-0445
Email: dana.gauthier@dnr.state.mn.us
MISSISSIPPI
Mike
Meadows Dam Safety Coordinator
MS Dept. of Environmental Quality
Division of Dam Safety P.O.
Box 10631 Jackson, MS39289-0631
Phone: 601/961-5272
Fax: 601/354-6938
Email: mike_meadows@deq.state.ms.us
MISSOURI
James
L. Alexander
Program Director/Chief Engineer
MO Department of Natural Resources
Dam Safety Program 111
Fairgrounds Road
PO Box 250 Rolla, MO65401
Phone: 573/368-2175
Fax: 573/368-2111
Email: jim.alexander@dnr.mo.gov
MONTANA
Laurence Siroky
CHIEF, WATER OPERATIONS
MT Dept. of Natural Resources & Conservation PO
Box 201601 Helena, MT59620-1601
Phone: 406/444-6816
Fax: 406/444-0533
Email: lsiroky@state.mt.us
NEBRASKA
Patrick
Diederich Chief of Dam Safety
NE Department of Natural Resources
301 Centennial Mall South
Lincoln, NE 68509
Phone: 402-471-2363
Fax: 402/471-2900
Email: pdiederich@dnr.state.ne.us
NEVADA
Robert K.
Martinez
CHIEF, ENGINEERING & DAM SAFETY
NV Division of Water Resources 123
West Nye Lane Ste. 246 Carson City, NV89706
Phone: 775/687-3861
Fax: 775/687-1393
Email: robertm@ndwr.state.nv.us
NEW HAMPSHIRE
James W.
Gallagher
CHIEF ENGINEER NH Dept. of Environmental Services
Dam Bureau P.O.
Box 95, 29 Hazen Drive Concord, NH03302-0095
Phone: 603/271-1961
Fax: 603/271-7894
Email: jgallagher@des.state.nh.u
NEW JERSEY
John H. Moyle
MANAGER
NJ Department of Environmental Protection
Dam Safety Section P.O.
Box 419 Trenton, NJ08625
Phone: 609/984-0859
Fax: 609/984-1908
Email: John.Moyle@dep.state.nj.us
NEW MEXICO
Elaine C.
Pacheco
CHIEF
NM Office of the State Engineer
Dam Safety Bureau PO
Box 25102 Santa Fe, NM87504-5102
Phone: 505/827-6111
Fax: 505/827-4692
Email: epacheco@seo.state.nm.us
Max Fowler
State Dam Safety Engineer
NC Department of Environmental & Natural Resources
Division of Land Resources
1612 Mail Service Center
Raleigh, NC 27699
Phone: 919/733-4574
Fax: 919/733-2876
E-mail: Max.Fowler@ncmail.net
NORTH DAKOTA
Jason Boyle
Head of the Construction Section
ND State Water Commission
900 East Blvd. Avenue
Dept. 770 Bismarck, ND58505
Phone: 701/328-4948
Fax: 701/328-3747
Email: jboyle@state.nd.us
OHIO
Mark B. Ogden
ADMINISTRATOR, DAM SAFETY ENG.
OH-DNR - Division of Water 2045
Morse Road, Building B-2 Columbus, OH43229-6693
Phone: 614/265-6727
Fax: 614/447-9503
Email: mark.ogden@dnr.state.oh.us
OKLAHOMA
Cecil R.
Bearden
SENIOR ENGINEER
Oklahoma Water Resources Board 3800
North Classen Blvd Oklahoma City, OK73118
Phone: 405/530-8800
Fax: 405/530-8900
Email: crbearden@owrb.state.ok.us
OREGON
John A. Falk
DAM SAFETY COORDINATOR
OR Water Resources Dept.
725 Summer Street NE, Suite A
Salem, OR 97310-1271
Phone: 503/986-0840
Fax: 503/986-0904
Email: john.a.falk@wrd.state.or.us
PENNSYLVANIA
Dennis R.
Dickey
Acting Chief
PA Department of Environmental Resources
Division of Dam Safety P.O.
Box 8554 Harrisburg, PA17105-8554
Phone: 717/787-8568
Fax: 717/772-0409
Email: dedickey@state.pa.us
PUERTO
RICO
Miguel A.
Perez Garcia Administrator, Dams &
Reservoirs Safety Program
PR Electric Power Authority
P.O. Box 364267
San Juan, PR 00936-4267
Tel: 787/289-3254
Fax: 787/289-3250
E-mail: M-Perez-DSAD@prepa.com
RHODEISLAND
Paul
Guglielmino
SENIOR SANITARY ENGINEER
Dept. of Environmental Management
Office of Compliance & Inspection 235
Promenade Street Providence, RI02908
Phone: 401/222-1360 xt.7122
Fax: 401/222-3811
Email: pgugliel@doa.state.ri.us
SOUTH CAROLINA
Steven M.
Bradley
DAM SAFETY HYDROLOGIST
SC Department of Health & Environmental Control
Dam Safety Section 2600
Bull Street Columbia, SC29201
Phone: 803/898-4027
Fax: 803/898-4095
Email: bradlesm@dhec.sc.gov
SOUTH DAKOTA
Timothy G.
Schaal
NATURAL RESOURCES ENGINEER SD Dept. of Environment & Natural
Resources
Water Rights Program 523
E. Capitol Ave., Joe Foss Bldg. Pierre, SD57501
Phone: 605/773-3352
Fax: 605/773-4068
Email: tim.schaal@state.sd.us
TENNESSEE
Lyle Bentley
CHIEF, DAM SAFETY PROGRAM
TN Dept. of Environment & Cons.
6th Floor, L & C Tower
401 Church Street
Nashville, TN 37243-1539
Phone: 615/532-0154
Fax: 615/532-0503
Email:Lyle.Bentley@state.tn.us
David
Marble
Engineer
Utah Division of Water Rights
1594 West North Temple #220 Salt Lake
City, UT84116
Phone: 801/538-7376
Fax: 801/538-7467
Email: davemarble@utah.gov
VERMONT
Robert B.
Finucane
ASSISTANT DAM SAFETY ENGINEER VT Department of Environmental Conservation
Facilities Engineering Division 103
South Main Street, Laundry Bldg.
Waterbury, VT 05671-0411
Phone: 802/241-3454
Fax: 802/241-3273
Email: bob.finucane@state.vt.us
Douglas L.
Johnson
SUPERVISOR, DAM SAFETY
WA Dept. of Ecology PO
Box 47600 Olympia, WA98504-7600
Phone: 360/407-6623
Fax: 360/407-7162
Email: djsd461@ecy.wa.gov
WEST VIRGINIA
Brian R.
Long
Section Manager
WV Department of Environmental Protection
Division of Water and Waste Management
Dam Safety Section 601
57th StreetSE
Charleston, West Virginia25304-2345
Phone: 304/926-0499 ext 1005
Fax: 304/926-0496
E-mail: blong@wvdep.org
WISCONSIN
MegGalloway STATE DAM SAFETY ENGINEER WI Dept of Natural Resources
GEF 2, WT/6
101 S. Webster
Madison, WI 53707-7921
Phone: 608/266-7014
Fax: 608/264-9200
Email: meg.galloway@dnr.state.wi.us
WYOMING
David S. Benner
SAFETY OF DAMS ENGINEER
Wyoming State Engineer's Office HerschlerBuilding 4-E Cheyenne, WY82002
Phone: 307/777-6153
Fax: 307/777-5451
Email: dbenne@state.wy.us
APPENDIX G
Example Letter To Non‑NPS
Dam Owner or Regulatory Agency (Preferably)
Certified Mail, Receipt Requested
Ms. Francis Doe, Chief, Engineering Division
South Lakes, Inc.
176 Water Street
Riverton, Texas99999
Subject:Back
River Dam
Dear Ms. Doe:
As discussed during our telephone conversation on July 15, 1982, certain information
about your dam, which affects WaterwayNational Park, is needed.
As you can well understand, we need this information so that
appropriate steps can be taken to assure that park visitors and resources are
protected in those areas for which we have warning, rescue and evacuation
responsibilities, in the event of spillway releases, possible dam failure, or
accidents at the dam or reservoir.
Please send the following items to this park periodically
and by certified mail:
1.A copy of your
most current formal safety of dams inspection report, and if the dam has
any serious deficiencies, an explanation of how and when corrective action will
be performed.Please review and revise
the attached NPS Inventory of Dams Report listing for your dam based
upon this report.To be able to assign a
safety of dams condition code [data element 27], this report will need to
include a recent stability analysis including the use of criteria for the
Maximum Probable Flood (MPF) and Maximum Credible Earthquake (MCE).If the
project is proposed for construction or reconstruction, the National Park
Service would appreciate the opportunity to review and comment on your design
and construction documents.
2.Permission
granting NPS observer status during your next formal safety of dams inspection.
3.Please incorporate the park into your Emergency Action
Plan (EAP) and send us a copy. This EAP contains early warning, flood mapping,
and evacuation procedures and is given to those jurisdictions that would be
affected by spillway releases, possible dam failure, misoperation, or even an
accident at the dam or reservoir.Your
Notification Directory or Call-up List should state that the park is
immediately affected and should be contacted directly by the dam
operator/tender.Based upon these
documents, the park will include your EAP into the park’s Early Flood Warning,
Search/Rescue, Evacuation, and Recovery Plan (ESEP) for those areas which it
has warning, rescue, and evacuation responsibility.Your EAP and the park’s ESEP will become part
of the park's Emergency Operations Plan.This responsibility is described in the U.S. Department of the Interior,
National Park Service Reference Manual -40 , Dams and Appurtenant Works,
Chapter 6, Section D, and is in accordance with the Federal Guidelines for
Dam Safety, pages 10 and 36.
If you have any questions or comments about this request,
please contact (Park Official) at 999‑999‑9999.
Sincerely,
Regional Director/Superintendent
cc: NPS Regional Maintenance, Operations, and Safety of Dams
Program Coordinator
NPS Washington
Office, Park Facility Management Division, code 2420
APPENDIX
H
List of Official
Technical Supplements to Director’s Order #40 and Reference Manual(RM)-40
for the National Park Service (NPS)
Maintenance, Operation, and Safety of Dams (MOSD) Program
Reference WASO memorandum dated February 25, 1997, and subsequent February 25, 1997 email subject: “Availability of Guidelines and Training
for NPS Dams Program and Related Flood Plain and Emergency Operations Management”
Release
Date
Title
of Documentand DistributionDescription
OPERATIONS AND MAINTENANCEReference Rm‑40, Chapter 6.
Operation and Maintenance
GuidelinesWASO A7615 (610)Maintenance and operational
For Small Dams, Bureau of Reclamation,memo, August 10,guidelines for all NPS and non-NPS
Dam Safety Office, Denver, Colorado,1983, Regionwidedams that affect the National Park
December 1982System and Related Areas
STATE COORDINATORS
Dam Safety, Know the Potential
DangerFEMA Letter datedReference RM-40, Appendix F.
Federal Emergency Management
Agency (FEMA),August 1988,May 1987 listing of State Dam Safety
Earthquakes and Natural Hazards
ProgramServicewideOfficers and Emergency Management
Division, Washington, D.C., May 1987Officers.
EMERGENCY ACTION PLANSReference RM-40, Chapter 6, Section D.
Flood Plain Management ‑
AvailabilityFebruary 10, 1986,Early warning and response system for
of Guidelines on Community
LocalServicewideflooding, flash floods, and dam
Flood Warning and Response
System,failures.
National Park Service, Park
Facility
Management Division,
Washington, D.C., February
10, 1986
EMERGENCY ACTION PLANS
Flood Warning and Preparedness
Plans,WASO A7615(610)Reference RM-40, Chapter 6, Section D
Hydrology Subcommittee of the
Federalmemo, May
17, 1990,Early warning and response system for
Interagency Committee on Water
Data,Servicewideflooding, flash floods, and dam
Washington, D.C., January 1990failures
Appendix H
continued, List of Official Technical Supplements to Director’s Order
#40 and Reference Manual(RM)-40
INVENTORYINGReference RM-40: Chapter 2, Section
NPS Inventory of Dams on-line
databaseServicewideC and Appendix A
