RAPID/Roadmap/7-AK-f

< RAPID‎ | Roadmap
Jump to: navigation, search

RAPID

Regulatory and Permitting Information Desktop Toolkit

Alaska Dam Safety (7-AK-f)

In Alaska, a hydropower developer may need to obtain a certificate of approval from the Alaska Department of Natural Resources (ADNR) if the hydropower project will involve the construction, enlargement, repair, alteration, maintenance and/or operation of a dam. AS 46.17.040. The ADNR is responsible for administering the Alaska Dam Safety Program (ADSP) and for supervising the safety of dams and reservoirs in accordance with Alaska Statutes Title 46 Chapter 17 and the Alaska Administrative Code (AAC) Title 11, Chapter 93, Article 3 – Dam Safety. AS 46.17.020.


Note: Dams that are federally owned or operated, or subject to a Federal Energy Regulatory Commission (FERC) license are specifically exempt from review under Alaska’s Dam Safety Program. 16 USC 803(c); 18 CFR 12.1; AS 46.17.100(d).


Dam Safety Process

7-AK-f.1 – Complete Alaska Department of Natural Resources (ADNR) Hazard Potential Classification and Jurisdictional Review Form

In order to review the hazard potential classification of an artificial barrier and to determine whether the barrier is a dam under the jurisdiction of the Alaska dam safety regulations, the developer should complete an Hazard Potential Classification and Jurisdictional Review Form.

Alaska statutes and regulations define a “dam” as an artificial barrier, and its appurtenant works, “which may impound or divert water” that has or will have an impounding capacity of 50 acre-feet and is at least 10 feet in height; is at least 20 feet in height regardless of impounding capacity; or “poses a threat to lives and property as determined by the ADNR after inspection.” AS 46.17.900(3); 11 AAC 93.153. If the structure is assigned a Class I (high) or Class II (significant) hazard potential in accordance with 11 AAC 93.157, the structure is assumed to pose a threat and is regulated as a dam per 11 AAC 93.151(b).


Dam Classification

Dams are classified by hazard potential, in accordance with 11 AAC 93.157.


Class I Dams

A dam is classified as “Class I” if dam failure would result in the probable loss of human life.


Class II Dams A dam is classified as “Class II” if dam failure would result in a significant danger to public health; the probable loss of or probable significant damage to homes, occupied structures, commercial property, high-value property, major highways, primary roads, railroads, or public utilities; other probable significant property losses or damage other than losses limited to the owner of the barrier; or a probable loss of or significant damage to waters identified under 11 AAC 195.010(a) as important for spawning, rearing, or migration of anadromous fish.


Class III Dams

A dam is classified as “Class III” if dam failure would result in limited impacts to rural or undeveloped land, rural or secondary roads, and structures; property losses or damage limited to the owner of the barrier; or insignificant danger to public health.


11 AAC 93.157(b).


7-AK-f.2 to 7-AK-f.3 – Will the Project Require a Certificate of Approval to Construct, Repair or Modify a Dam?

A developer may not commence with the construction, enlargement, modification, or repair (except routine maintenance) of a dam under the jurisdiction of the Alaska dam safety regulations without first receiving a certificate of approval from the ADNR. The ADNR will issue a certificate of approval only after the developer completes a multi-part application process. The multi-part application process is intended to follow the progress of a typical engineering project. Depending on the nature of the project, all or part of the information described in the application process may be required. AS 46.17.040; 11 AAC 93.171(a). The ADNR may require information in addition to that described under 11 AAC 93.171(f) if the ADNR determines it necessary to protect life and property. 11 AAC 93.171(e).



7-AK-f.4 – Initial Application Package

To acquire a certificate of approval for the construction, reconstruction, repair or operation of a dam, the developer must submit an Initial Application Package to the ADNR. Unless the ADNR determines that an item or document is not required for the protection of life or property, the Initial Application Package must include the following:

  1. A letter notifying the ADNR of the developer’s intent, which includes:
    1. The identity of the developer;
    2. The identity of the owner (if other than the applicant);
    3. A general description of the project.
  2. A completed application form signed by the owner;
  3. A non-refundable deposit on the application fee;
  4. A proposed schedule for the submission of application information and documents and an estimate of when the developer expects to begin construction;
  5. A hazard potential classification for the dam, (see below);
  6. For new construction of a Class I or II dam, an analysis of project alternatives including a feasibility study and a site study justifying the location, type, and configuration of the proposed dam over other alternative locations, types, and configurations of dams or other projects; and
  7. A proposal prepared by a qualified engineer (see 11 AAC 93.193(a)) outlining 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 and meeting the requirements of 11 AAC 93.171(f)(1)(F).


For a more detailed list of requirements for the Preliminary Design Package, see 11 AAC 93.171(f)(1).


7-AK-f.5 to 7-AK-f.6 - Review Initial Application Package for Completeness

Upon receipt, the ADNR reviews the developer’s application materials for completeness. The information and documents included with each application submission must contain sufficient information to justify the engineering data assumptions, criteria and conclusions and to allow the ADNR to make a safety determination. The ADNR may require the developer to conduct additional studies, provide additional design work or analyses or provide additional information that the ADNR determines is necessary to protect life and property. 11 AAC 93.171(e).


7-AK-f.7 to 7-AK-f.8 - Does the ADNR Approve the Developer’s Proposed Schedule?

After receiving the developer’s Initial Application Package, the ADNR reviews the developers proposed schedule for filing all required information and documents. If the ADNR determines that the proposed schedule provides the ADNR with an adequate opportunity to review the safety of the dam and to issue the required certificates of approval, the ADNR will approve the developer’s proposed schedule. 11 AAC 93.171(b).


If the ADNR determines that the proposed schedule will not provide the ADNR with an adequate opportunity to review the safety of the dam and to issue the required certificates of approval, the ADNR will amend the developer’s proposed schedule. 11 AAC 93.171(b).


7-AK-f.9 to 7-AK-f.11 - Review Developer’s Proposal?

The ADNR reviews the developer’s proposal to determine whether or not the proposal adequately protects life and property. If the ADNR determines that the proposal will not adequately protect life and property, the ADNR will give the developer an opportunity to amend and correct the proposal’s deficiencies. 11 AAC 93.171(c).


7-AK-f.12 - Preliminary Design Package

After the ADNR accepts the developer’s proposal, the developer must submit a Preliminary Design Package. The Preliminary Design Package must include the following:

  1. Proof of a valid water use permit, certificate, or authorization, as required under AS 46.15;
  2. For construction of a new dam or modifications that will increase the size of the reservoir or raise the dam’s hazard classification:
    1. Proof of land ownership, a lease agreement, or other legal authority for right of entry for land under the dam, all appurtenant works, and the reservoir at the maximum water level;
    2. A proposed method demonstrating the ability to pay necessary costs for operation and maintenance of the dam, or removal of the dam, depending on the nature of the dam owner;
  3. A topographic map;
  4. 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;
  5. Dam cross section drawings;
  6. A geological and geotechnical investigation report for the dam site, the reservoir area, spillways, outlet works, appurtenant works, and material sites;
  7. A seismic report describing the methods and references used to determine and evaluate the seismic characteristics of the project location;
  8. A hydrology report describing the methods and references used to determine the inflow design flood; and
  9. If the information and documents required cannot be filed by the due date, a proposal to revise the schedule and an estimate of when the developer expects construction to begin.


For a more detailed list of requirements for the Preliminary Design Package, see 11 AAC 93.171(f)(2).


7-AK-f.13 to 7-AK-f.14 - Review Preliminary Design Package for Completeness

Upon receipt, the ADNR reviews the developer’s Preliminary Design Package for completeness. The ADNR may require the developer to conduct additional studies or provide additional information as necessary for the ADNR to make a safety determination or to protect life and property. 11 AAC 93.171(e).


7-AK-f.15 to 7-AK-f.19 - Review Preliminary Design Package

If the Preliminary Design Package is complete, the ADNR will review the developer’s Preliminary Design Package and determine whether or not the developer’s proposed method of demonstrating financial ability, or providing financial assurances, is sufficient. 11 AAC 93.171(d).


The ADNR may also provide feedback on the Preliminary Design Package. The developer should revise the Preliminary Design Package, as necessary, to address comments and concerns raised by the ADNR. 11 AAC 93.171(e).


7-AK-f.20 - Detailed Design Package

After the developer submits the Preliminary Design Package, the developer must submit a Detailed Design Package. The Detailed Design Package must include the following:

  1. An engineering design report sealed by the qualified engineer;
  2. A detailed design drawing package at a legible size and legible engineering scale that includes the following:
    1. A cover sheet identifying the project, dam owner or operator, engineer, and location;
    2. An index of drawings, legends, drafting standards, conventions, abbreviations, codes or other information necessary to interpret the drawings;
    3. Drawings including a revision number, that are dated, uniquely numbered, and marked or stamped with the phrase "ISSUED FOR AGENCY REVIEW" or with similar language;
  3. Draft construction specifications;
  4. A plan to control the quality of the construction work and to assure its compliance with the drawings and specifications; and
  5. If the required information and documents 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 and an estimate of the approximate period of construction.

For a more detailed list of requirements for the Detailed Design Package, see 11 AAC 93.171(f)(3).


7-AK-f.21 to 7-AK-f.22 – Review Detailed Design Package for Completeness

Upon receipt, the ADNR reviews the developer’s Detailed Design Package for completeness. The ADNR may require the developer to conduct additional studies or provide additional information as necessary for the ADNR to make a safety determination or to protect life and property. 11 AAC 93.171(e).


7-AK-f.23 to 7-AK-f.25 – Review Detailed Design Package

Once complete, the ADNR will review and may provide feedback on the developer’s Detailed Design Package. The developer should revise the Detailed Design Package, as necessary, to address comments and concerns raised by the ADNR. 11 AAC 93.171(e).


7-AK-f.26 - Final Construction Package

Before beginning construction, the developer must submit a Final Construction Package. The final construction package must include the following:

  1. A a final drawing package sealed by the qualified engineer and including the same information required for the Detailed Design Package drawings, except that each drawing must be marked or stamped with the phrase "ISSUED FOR CONSTRUCTION" or similar language;
  2. Final construction specifications, including a cover sheet with the date and project identification, which are sealed by the qualified engineer;
  3. A schedule for dam construction;
  4. A certified cost estimate for the proposed work;
  5. A non-refundable application fee supplement that is equal to the difference between the fee deposit and the fee required under 11 AAC 05.010(a); and
  6. The demonstration of financial ability, posting of bond, or provision of other financial assurance.


For a more detailed list of requirements for the Final Construction Package, see 11 AAC 93.171(f)(4).


7-AK-f.27 to 7-AK-f.28 - Review Final Construction Package for Completeness

Upon receipt, the ADNR reviews the developer’s Final Construction Package for completeness. The ADNR may require the developer to conduct additional studies or provide additional information as necessary for the ADNR to make a safety determination or to protect life and property. 11 AAC 93.171(e).


7-AK-f.29 to 7-AK-f.31 – Review Final Construction Package

The ADNR reviews the developer’s Final Construction Package to determine whether or not the dam, as proposed, will sufficiently protect life and property. If the ADNR determines that the Final Construction Package will not sufficiently protect life and property, the ADNR will provide the developer with an opportunity to revise and resubmit the package.


7-AK-f.32 - Certificate of Approval to Construct a Dam

If the ADNR determines that the proposed project may be conducted without unreasonable risk to life or property and approves the developer’s complete application package, the ADNR issues a Certificate of Approval to Construct a Dam. The certificate of approval may include terms and conditions the ADNR considers necessary for the protection of life and property. 11 AAC 93.173(i).

The developer can then proceed with dam construction, modification, or repair. 11 AAC 93.173(a); 11 AAC 93.171.


7-AK-f.33–Pre-Construction Plans

The developer must submit its Pre-Construction Plans to the ADNR. The developer’s Pre-Construction Plans must include the following:

  1. A water diversion plan for the construction; and
  2. An erosion control plan describing measures to be used during and after construction to limit erosion within the construction site and in the downstream channel.

Pre- construction plans are typically listed as a special condition to the certificate of approval for the proposed action. For a more detailed list of requirements for the Pre-construction Plans, see 11 AAC 93.171(f)(5).


7-AK-f.34 to 7-AK-f.35 – Review Pre-Construction Plans for Completeness

Upon receipt, the ADNR reviews the developer’s Pre-Construction Plans for completeness. The ADNR may require the developer to conduct additional studies or provide additional information as necessary for the ADNR to make a safety determination or to protect life and property. 11 AAC 93.171(e).


7-AK-f.36 to 7-AK-f.38 – Review Pre-Construction Plans

Once complete, the ADNR will review and may provide feedback on the developer’s Pre-Construction Plans. The developer should revise the Pre-Construction Plans, as necessary, to address comments and concerns raised by the ADNR. 11 AAC 93.171(e).


7-AK-f.39 - Post-Construction Documentation

After the developer completes construction, modification, or repair of the dam, and before beginning operation of the dam, the developer must submit its Post-Construction Plans to the ADNR. Post-Construction Plans must include the following:

  1. A completion report, sealed by the qualified engineer and including:
    1. A description of how the plans and specifications were followed, and a description of any deviation from plans and specifications;
    2. A description of unexpected conditions encountered during construction;
    3. Inspection reports, and field and laboratory test results;
    4. Photographs documenting construction progress and final conditions;
    5. Record drawings sealed by the engineer and marked or stamped with the phrase "CONSTRUCTION RECORD DRAWING" or with similar language;
  2. A post-construction operation and maintenance manual prepared in accordance with 11 AAC 93.197; and
  3. For Class I or Class II dams, an emergency action plan as required in 11 AAC 93.164.

11 AAC 93.171(f)(6).


7-AK-f.40 to 7-AK-f.41 – Review Post-Construction Documentation for Completeness

Upon receipt, the ADNR reviews the developer’s Post-Construction Documentation for completeness. The ADNR may require the developer to conduct additional studies or provide additional information as necessary for the ADNR to make a safety determination or to protect life and property. 11 AAC 93.171(e).


7-AK-f.42 to 7-AK-f.44 – Conduct Post-Construction Review

Once construction is complete, the ADNR conducts a review of the developer’s post-construction plans and the dam. AS 46.17.050. If, following ADNR’s review, the ADNR determines that the dam is not in compliance with Alaska’s dam safety criteria and/or will not sufficiently protect life and property, the ADNR will identify and provide the developer with an opportunity to resolve any deficiencies. 11 AAC 93.171.



7-AK-f.45 – Certificate of Approval to Operate a Dam

If the ADNR determines that the dam is in compliance with Alaska’s dam safety criteria and will sufficiently protect life and property, the ADNR will issue a Certificate of Approval to Operate a Dam. The certificate of approval may include terms and conditions the ADNR considers necessary for the protection of life and property. 11 AAC 93.171; 11 AAC 93.173(i).




Contact Information

| Add a Contact




Print PDF



Edit Alaska Department of Natural Resources
Dam Safety Engineer
(907) 269-8636
charlesabbazabbacobb@alaskaabbazabbagov