11 AAC 93.171. Dam construction, repair, or modification

(a) Before construction, repair, or modification of a dam, a person must apply to the department under this section for a certificate of approval. Unless the department determines that an item or document is not required for the protection of life or property, the applicant must file the following information and documents with the department:

(1) an initial application package containing the information and documents required under (f)(1) of this section;

(2) a preliminary design package containing the information and documents required under (f)(2) of this section;

(3) a detailed design package containing the information and documents required under (f)(3) of this section;

(4) a final construction package containing the information and documents required under (f)(4) of this section;

(5) pre-construction plans containing the information and documents required under (f)(5) of this section;

(6) post-construction documentation containing the information and documents required under (f)(6) of this section.

(b) After receiving an initial application package under (a)(1) of this section, the department will approve the applicant's proposed schedule for filing the remaining information and documents required under this section, and for issuing the required certificates of approval, if the department determines that the proposed schedule will provide an adequate opportunity for the department to review the safety of the dam. The department may amend the approved schedule if the department determines that the amendment is necessary to allow the department to evaluate the safety of the dam.

(c) After submitting an initial application package under (a)(1) of this section, and before submitting a preliminary design package under (a)(2) of this section, the applicant must obtain department approval for the proposal prepared under (f)(1)(F) of this section. The department will reject the applicant's proposal if the department determines that the proposal does not adequately protect life or property.

(d) After submitting the preliminary design package under (a)(2) of this section, and before submitting the final construction package under (a)(4) of this section, an applicant must obtain department approval for the applicant's proposed method of demonstrating financial ability or providing financial assurance, if the applicant is required under (f)(2)(C) of this section to propose a method. The department will approve the proposed method if the department determines that the method is sufficient to pay the costs required under (f)(2)(C) of this section.

(e) Information supplied and documents submitted to the department under (f) of this section must contain all of the analyses and data appropriate for the size, type, and proposed hazard potential classification of the dam. The information and documents must contain sufficient information to justify the engineering design assumptions, criteria, and conclusions, and must contain the information necessary for the department to make a safety determination when reviewed in conjunction with the plans, drawings, and specifications. In addition to the information and documents required under (f) of this section, the department will require an applicant to conduct additional investigation, provide additional design work or analyses, or provide additional information that the department determines is necessary to protect life and property.

(f) Application information and documents must include the following:

(1) for an initial application package,

(A) a letter to notify the department of the applicant's intent; the letter must include the identity of the applicant, the identity of the owner if other than the applicant, the identity of the engineer with qualifications as described under 11 AAC 93.193(a) , and a general description of the proposed project;

(B) a completed application form provided by the department, signed by the owner, and accompanied by a non-refundable deposit on the application fee described under 11 AAC 05.010(a) (8)(J), calculated based on preliminary estimates of the applicable costs;

(C) a proposed schedule for the submission of application information and documents required under this section and an estimate of when construction is expected to begin;

(D) a hazard potential classification proposed in accordance with 11 AAC 93.157(b) for the dam;

(E) for new construction of Class I and II dams, an analysis of project alternatives including a feasibility study and a site study that justifies the location, type, and configuration of the proposed dam over other alternative locations, types, and configurations of dams or other projects; and

(F) a proposal prepared by the engineer identified in (A) of this paragraph that outlines the proposed scope of work, methodologies, levels of analysis, and approach to design and construct, repair, or modify the dam to adequately provide for the protection of life and property; the proposal must be based on the proposed size and type of the dam, and based on the hazard potential classification proposed under 11 AAC 93.157(b) ; the proposal must address at least each of the following:

(i) the inflow design flood determined in substantial accordance with 11 AAC 93.195(b) for the dam;

(ii) seismic parameters for the location of the dam, including the peak ground acceleration, the maximum credible earthquake, the maximum design earthquake, and the operating basis earthquake; those parameters must be determined in substantial accordance with the guidelines from the United States Army Corps of Engineers' Earthquake Design and Evaluation for Civil Works Projects, publication ER 1110-2-1806, dated July 31, 1995 and adopted by reference, or must be determined in substantial accordance with another approach approved by the department under (c) of this section;

(iii) other critical criteria related to the dam including structural stability, hydraulics, seepage, and any other criteria that may significantly affect the design of the dam;

(iv) a description of the design quality assurance and quality control to be conducted during the design;

(2) for a preliminary design package,

(A) proof that the applicant has applied for or holds a valid water use permit, certificate, or authorization required under AS 46.15;

(B) for construction of new dams or modifications that increase the size of the reservoir or raise the hazard potential classification determined in accordance with 11 AAC 93.157, proof of land ownership, a lease agreement, or other legal authority for right of entry, for the land under the dam, all appurtenant works, and the reservoir at the maximum water level;

(C) for construction of new dams or modifications that increase the size of the reservoir or raise the hazard potential classification determined in accordance with 11 AAC 93.157, a proposed method as follows to demonstrate the ability to pay for the following costs:

(i) for a government agency, financial ability may be demonstrated through taxing authority or other revenue generating ability, and by the pertinent bond, ordinance, resolution, or law as may be required to provide sufficient money to pay the costs of operating and maintaining the dam in a safe condition and complying with the requirements of 11 AAC 93.151 - 11 AAC 93.201;

(ii) for an applicant other than a government agency, the owner must provide a performance bond or other financial assurance adequate to provide sufficient money to pay for the costs of safely breaching the dam at the end of the dam's service life and restoring the stream channel and reservoir land to natural conditions, or for the costs of performing reclamation and post-closure monitoring and maintenance, as required under 11 AAC 93.172;

(D) a topographic map of the dam site at a legible engineering scale and legible contour interval, and with sufficient detail to show the location of the dam, the reservoir area at normal and maximum water storage levels, the survey datum, the coordinate system, property lines and other boundaries, and the location of the spillways, outlet works, borings, test pits, and material sites;

(E) a profile drawing along the dam axis showing the elevation of the crest of the dam, the location and elevation of spillways and outlet works, and geological investigation information;

(F) dam cross section drawings, including the maximum cross-section of the dam, indicating elevation and width of the crest, the location and elevation of spillways and outlet works, the slopes of upstream and downstream faces, the thickness of erosion control structures, and the location of underdrains, cutoff walls, and bonding trenches;

(G) a geological and geotechnical investigation report for the dam site, the reservoir area, spillways, outlet works, appurtenant works, and material sites that includes geological maps, locations and logs of borings and test pits, geological cross-sections, material analyses, laboratory test results, and recommendations for foundation treatment, stability analyses, and seepage control;

(H) a seismic report that describes the methods and references used to determine and evaluate the seismic characteristics of the project location; seismic parameters for the location of the dam presented in the report must include the peak ground acceleration, the maximum credible earthquake, the maximum design earthquake, and the operating basis earthquake, as proposed under (1)(F)(ii) of this subsection and approved by the department under (c) of this section;

(I) a hydrology report that describes the methods and references used to determine the inflow design flood, including drainage basin characteristics, streamflow and precipitation data, inflow and outflow hydrographs, and an estimate of impacts of flood events on areas downstream including an incremental damage assessment, if conducted; and

(J) if the information and documents scheduled for filing under (b) of this section cannot be filed by the due date, a proposal to revise the schedule that indicates when the owner expects to submit the remaining information and documents required to be filed under this section; the proposal must also include an estimate of when construction is expected to begin;

(3) for a detailed design package,

(A) an engineering design report sealed by the engineer identified in (1)(A) of this subsection that includes the following information and documents:

(i) a description of all methodologies, references, formulas and assumptions used in developing the design criteria and engineering evaluations;

(ii) an evaluation of the structural stability of the dam, foundation, and appurtenant works;

(iii) an evaluation of the performance of the dam, foundation, and appurtenant works during a seismic event;

(iv) descriptions, physical analyses, and permeability analyses, as appropriate for the materials used in the construction of the dam;

(v) a seepage analysis for the dam and foundation, including filter criteria to prevent piping of fine-grained materials;

(vi) design criteria, calculations, and rating curves for the spillways and outlet works;

(vii) a storage-versus-depth curve and a storage-versus-area curve for the reservoir;

(viii) recommendations for diverting water during construction;

(ix) recommendations for special construction considerations, first filling, operations, maintenance, instrumentation, and monitoring;

(x) design evaluations and recommendations for other features of the dam and appurtenant works;

(B) a detailed design drawing package at a legible size and legible engineering scale that includes the following information:

(i) a cover sheet that identifies the project, dam owner or operator, engineer, and location;

(ii) an index of drawings, legends, drafting standards, conventions, abbreviations, codes or other information necessary to interpret the drawings;

(iii) drawings that include a revision number, that are dated, that are uniquely numbered, and that are marked or stamped with the phrase "ISSUED FOR AGENCY REVIEW" or with similar language;

(D) a plan to control the quality of the construction work and to assure its compliance with the drawings and specifications; and

(E) if the information and documents scheduled for filing under (b) of this section cannot be filed by the due date, a proposal to revise the schedule that indicates when the owner expects to submit the remaining information and documents required to be filed under this section; the proposal must also include an estimate of when a certificate of approval to construct, modify, or repair the dam is desired and the approximate period of construction;

(4) for a final construction package,

(A) a final drawing package sealed by the engineer identified in (1)(A) of this subsection that includes the same information listed in (3)(B) of this subsection, except that each drawing must be marked or stamped with the phrase "ISSUED FOR CONSTRUCTION" or with similar language;

(B) final construction specifications that include a cover sheet with the date and project identification, and that are sealed by the engineer identified in (1)(A) of this subsection;

(C) a schedule for dam construction that includes key elements of construction, milestones, mandatory inspection points, and the estimated date for substantial completion; the schedule must be revised and resubmitted upon request of the department, if the construction is not accomplished according to the schedule;

(D) a certified cost estimate for the proposed work; the certified cost estimate

(i) must be prepared by a professional construction cost estimator, by the chief financial officer of the owner, or by the engineer identified in (1)(A) of this subsection;

(ii) must include the cost of all labor and materials for the construction, modification, or repair of the dam, including the cost of engineering, the cost of site investigations, the cost of surveying, the cost of construction quality control and quality assurance inspection, and other direct costs associated with the design and construction activities; and

(iii) for work using equipment, services, or other assets of the dam owner, must include a reasonable estimate of the market value of the equipment, services, or other assets utilized for the design of and for the construction, repair, or modification of the dam;

(E) a non-refundable application fee supplement that is equal to the difference between the fee deposit submitted under (1)(B) of this subsection and the fee required under 11 AAC 05.010(a) (8)(J), calculated by using the certified cost estimate submitted under (D) of this paragraph; and

(F) the demonstration of financial ability, posting of bond, or provision of other financial assurance described in (2)(C) of this subsection that the department has approved under (d) of this section;

(5) for pre-construction plans,

(A) a water diversion plan for the construction that includes

(i) cofferdam drawings and specifications;

(ii) a cofferdam stability analysis under normal flow and probable flood conditions with supporting hydrologic data;

(iii) hydraulic and stability analyses for conduits or spillways used for diversion during construction;

(iv) plans for controlling and pumping of seepage during construction; and

(v) plans for removal of cofferdams, conduits, spillways, and other temporary structures used for water diversion during construction;

(B) an erosion control plan that describes measures to be used during and after construction to limit erosion, both within the construction site and in the downstream channel;

(6) for post-construction documentation, to be submitted to the department after completion of the construction, modification, or repair,

(A) a completion report, sealed by the engineer required under 11 AAC 93.173(c) (2), and including

(i) a description of how the plans and specifications were followed, and a description of any deviation from the plans and specifications;

(ii) a description of unexpected conditions encountered during construction;

(iii) inspection reports, and field and laboratory test results including sample locations and test standards or methodologies;

(iv) photographs documenting construction progress and final conditions;

(v) record drawings sealed by the engineer required under 11 AAC 93.173(c) (2); each record drawing must be marked or stamped with the phrase "CONSTRUCTION RECORD DRAWING" or with similar language;

(B) a post-construction operation and maintenance manual prepared in accordance with 11 AAC 93.197; and

History: Eff. 8/16/89, Register 111; am 10/2/2004, Register 171

Authority: AS 38.05.035

Editor's note: The United States Army Corps of Engineers' Earthquake Design and Evaluation for Civil Works Projects, adopted by reference in 11 AAC 93.171(f) (1)(F)(ii), may be viewed at the Department of Natural Resources, Division of Mining, Land and Water, Dam Safety and Construction Unit, 550 West 7th Avenue, Anchorage, Alaska.

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