GENERAL GUIDELINES FOR NEW DAMS AND IMPROVEMENTS TO EXISTING DAMS IN INDIANA 2001 Edition InDdeiapnaar Dtmepeanrtt mofe nNt aotfu Nraalt uRraels Roeusrocuersces DDiviivsiisoionn o off WWaatteerr Indianapolis, Indiana Indianapolis, Indiana GENERAL GUIDELINES FOR NEW DAMS AND IMPROVEMENTS TO EXISTING DAMS IN INDIANA 2001 Edition Department of Natural Resources Division of Water Indianapolis, Indiana PREFACE – January 1, 2001 These guidelines are directed to project engineers, technical professionals and owners involved in the design and construction of a proposed dam or the modification of an existing dam that is under the jurisdiction of the Indiana Department of Natural Resources (IDNR). The intent of these guidelines is to provide direction to experienced dam design professionals so that the final product, the dam, is safe and the owner's investment in professional engineering is maximized. The majority of information given in this document is general and provides many of the dam safety technical principles used throughout the country. The Project Engineer in charge of the design of a dam must be a registered professional engineer and have the training and experience to properly apply these guidelines to the specifics of the site and the needs of the owner. If the owner’s Project Engineer follows these guidelines and an appropriate engineering design package is submitted to Indiana DNR’s Division of Water, the time to obtain approval on the proposed work will be significantly reduced. These guidelines were modeled after Georgia's Safe Dam Program Engineering Guidelines, 1998 edition. Special thanks are extended to Georgia's Dam Safety personnel and the private engineering community practicing in Georgia for the special opportunity to utilize much of their work in these guidelines. A committee of 17 professionals from the private engineering community and IDNR contributed significant time to the development of these guidelines. These individuals are listed below: Siavash Beik George Crosby Richard Rampone Soliman Sherkawi Jon Stolz Jack Winters Ed Board Scott Ludlow Chris Ritz Kenneth Smith Dave Warder Dennis Zebell George Bowman Christopher Murphy Jim Sell Mellissa Stefanovich Bob Wilkinson Special thanks to Debbie Michaels for keying in the text, making revisions to draft copies of this document, and for making copies for distribution, and to Lenny Noens, Herb Bollinger, and Dave Knipe, the north, central, and south engineering basin managers, respectively, for their assistance with the final draft of the hydrology and hydraulics section. The Federal Emergency Management Agency (FEMA) provided partial funding for the project and the Association of State Dam Safety Officials (ASDSO) encouraged the Division of Water to publish these guidelines. The backing of these two organizations in this project and their long-term support of dam safety efforts in Indiana are appreciated. Dr. Brian J. Swenty, P.E., Associate Professor and Chair, Mechanical and Civil Engineering Department, University of Evansville, Evansville, Indiana edited the guidelines. i February 17, 2010 PREFACE – February 1, 2010 Revisions to the guidelines were made in February 2010 to provide clarification in the development of emergency action plans and to properly define hazard class. The definition of hazard classification was developed and defined in regulation and reference to an adapted table is not warranted. To provide this clarity and new definition, Appendix A - Table 3 was removed and replaced with the context of the enacted regulation that defines hazard class. Also, Appendix B – The original “Outline of an Emergency Action Plan” was removed and replaced with a cover sheet that directs the reader to the “Indiana Dam Safety Inspection Manual – Updated 2007” version and Part 4 of that manual. The new Part 4 is entitled “Emergency Preparedness” and represents the recommended guidance for preparation of an Emergency Action Plan (EAP). Templates for an EAP are included in the “Updated 2007 Indiana Dam Safety Inspection Manual”. ii February 17, 2010 Table of Contents TABLE OF CONTENTS SECTION TOPIC PAGE Section 1 OVERVIEW 1.1 Section 2 FIELD SURVEY 2.1 Section 3 GEOLOGICAL AND GEOTECHNICAL 3.1 CONSIDERATIONS Section 4 HYDROLOGY AND HYDRAULICS 4.1 Section 5 PLANS AND SPECIFICATIONS 5.1 Section 6 CONSTRUCTION MONITORING 6.1 Appendix A HAZARD CLASSIFICATION A.1 Appendix B EMERGENCY ACTION PLAN B.1 - OUTLINE OF AN EMERGENCY ACTION PLAN - INSPECTION CHECKLIST Appendix C GEOTECHNICAL ADDENDUM C.1 - IN-SITU/FIELD TESTING - INSTRUMENTATION Appendix D RAINFALL DISTRIBUTION & PROBABLE MAXIMUM D.1 PRECIPITATION Appendix E SELECTED PLAN SHEETS FOR ILLUSTRATIVE E.1 PURPOSES & PARTIAL LIST OF SPECIFICATION ITEMS FOR SAMPLE DAM Appendix F COMMON PITFALLS F.1 Appendix G SPECIAL CONSTRUCTION MONITORING REPORTS G.1 Appendix H CORRECTION FORM H.1 January 1, 2001 Overview Section 1 - Overview Section 1 OVERVIEW The general guidelines contained in this manual are useful for the design of small to medium sized dams with the following typical characteristics: - An earth embankment with appurtenant works constructed to remain stable under a variety of loading conditions for the design life of the structure. - A properly sized principal spillway that will convey the runoff from normal rainfall events. - An emergency spillway channel placed an adequate distance from the earth embankment that will operate infrequently and safely pass runoff from the design storm without overtopping the dam. Guidance on analyses and design issues for innovative, untested, or high-risk dam designs is not covered in these guidelines. The extent of engineering tests, analyses, studies, evaluations, and assessments that are needed to justify an atypical design is beyond the scope of this manual. Further, the time to conduct the additional and extensive engineering analysis and review can be significant when compared to the typical dam described above. Because each project requires site-specific considerations, these guidelines should not be viewed as a "cookbook" for the design, repair, modification or construction of a dam. The intent of this document is to outline the general technical data, engineering computations, and plans that need to be submitted with the permit application for the proposed work. If these guidelines are followed, the time necessary for the technical review and approval should be reduced. Questions concerning these guidelines should be addressed to the Division of Water at the Indiana Department of Natural Resources, 402 W. Washington Street, Indianapolis, Indiana, 46204. Dams are complex structures that typically require a multidisciplinary analysis and design approach. Over the years, there have been many incomplete engineering submittals to the Department of Natural Resources (IDNR) that lacked adequate detail in a particular technical area (hydrologic/hydraulic, geotechnical, geological, surveying or structural). The analysis and design of a dam should be supervised by a Project Engineer who is a registered professional engineer. A complete engineering submittal requires adequate technical input and support from hydrologic, hydraulic, geotechnical, geological, structural, and mechanical engineers, as well as licensed land surveyors. It is important for the Project Engineer to consider archaeological and environmental issues in the design or modification of a dam. An understanding of the roles of the various stakeholders is necessary for the design, construction, and operation of a safe dam. 1.1 January 1, 2001 Section 1 - Overview 1.1 Owner’s Role The storage of water is a hazardous activity; it creates increased risk to lives and property situated downstream of the dam. The owner of a dam is responsible for operating and maintaining the dam in a safe manner. Under Indiana law, IC 14-27-7; “The owner of a dam ... and appurtenant works shall keep the structures and appurtenant works in the state of repair and operating condition required by the following”: - The exercise of prudence. - Due regard for life or property. - The application of sound and accepted engineering principles. A property owner desiring to construct a dam should retain the services of a registered professional engineer experienced in the design and construction of dams and spillways. It is common practice for the owner and the engineer to discuss the owner’s needs, the intended purpose of the dam, and the project budget before any design work is performed. During the design process, the owner remains in close contact with the engineer to periodically review the design and the desired project goals. During construction, the owner works closely with both the engineer and the contractor. Unforeseen site conditions are frequently uncovered that require the owner to approve design changes. The Division of Water should be contacted before field changes are made to the approved plans. After construction, an owner assumes the role as the primary caretaker of the project. Routine inspection and maintenance allows early detection of many problems that could occur with a dam. The owner should inspect the dam often, keep records of observations and measurements and learn as much as possible about the operation and maintenance of the dam. Although a dam can be designed and constructed to be a safe structure, lack of routine maintenance and repair, or changing conditions, can eventually cause the dam to become unsafe. If a dam is not in compliance with State law, the owner will be required to improve the dam to bring it into compliance. The owner may want to confer with an experienced attorney to assess the liabilities of owning a dam. 1.2 Role and Selection of a Project Engineer The analysis and design of a dam should be supervised by a Project Engineer, who is a registered professional engineer with specialized expertise. These activities require an understanding of hydrology, hydraulics and the behavior of the materials used to construct and support the dam. The Project Engineer will likely need specialized technical input and January 1, 2001 1.2 Section 1 - Overview support from hydraulic, geotechnical, geological, structural, and mechanical engineers as well as licensed land surveyors. The primary role of a Project Engineer is to provide leadership in the planning, design, and construction of a dam. A Project Engineer is responsible to see that all technical aspects of the dam and site have been completely evaluated. To accomplish this, the Project Engineer works closely with the owner to establish clear objectives and thoroughly evaluate the proposed dam site. A Project Engineer should have the experience necessary to combine the owner’s objectives with the site’s potential to develop a design for a safe dam. The Project Engineer supervises the preparation of the permit application, plans, specifications and engineering report, but the engineer’s involvement does not end with the submittal to IDNR’s Division of Water. It is vitally important that the Project Engineer be involved in the construction of the dam to assist the owner is resolving unforeseen problems at the site and ensure that the dam is constructed in accordance with the approved design. Once the dam has been constructed and the reservoir has filled, the Project Engineer should certify that the dam was constructed in accordance with the design plans and submit as-built drawings to the Division of Water. Because the design of a dam requires a professional engineer who possesses unique abilities, it is preferable to select a Project Engineer based on qualifications rather than fee. While fee- based competition may result in lower initial design costs, lower costs are often associated with inexperienced engineers and frequently limit the engineer's ability to conduct detailed evaluations that are necessary to develop a cost effective and innovative design. Furthermore, a low design cost often results in a significant increase in the cost of construction as well as long term costs associated with operation and maintenance of the dam. The Project Engineer should be selected on the basis of technical qualifications, experience with similar projects, reputation with other clients, and capability to meet the owner's time schedule. It is usually best to solicit qualification statements from a number of engineers and perhaps interview several of them before making a selection. Once a qualified engineer is selected, the scope of services and fee can be negotiated. If a reasonable fee cannot be agreed upon, negotiations will terminate and discussions can begin with another qualified engineer. It is best, however, if design costs become a factor only after a well qualified professional has been identified. 1.3 Contractor’s Role and Selection The contractor's primary role is to construct the dam and the appurtenant works in accordance with the plans and specifications. It is the contractor's responsibility to notify the engineer of any changes in the site conditions exposed during construction that vary from those shown on the drawings, in the specifications, or in any documents on site investigations. The contractor is responsible to see that the construction is conducted in a safe manner, that all state, federal and local regulations are adhered to during construction, and that the construction site is secure. The contractor is not responsible for the design of the 1.3 January 1, 2001