(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 05.260(c)(2), 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, stream flow 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;
(C) draft construction
specifications;
(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 05.260(c)(2),
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
(C) for Class I or Class II dams, an
emergency action plan as required in
11 AAC 93.164.
