Arkansas Administrative Code
Agency 138 - Arkansas Natural Resources Commission
Rule 138.00.90-003 - Rules Governing Design and Operation of Dams

Section 701.1 PURPOSE.

Section 701.2 AUTHORITY. Rules governing design and operation of dams within the state of Arkansas are promulgated under authority of Subchapter 2 of Chapter 22 of Title 15 of the Arkansas Code of 1987.

Section 701.3 SCOPE OF REGULATIONS. All dams within the state of Arkansas, except those owned by the U.S. Army, Corps of Engineers or those exempted by Section 701.4, must have a valid construction and operation permit issued under the provisions of this title.

Section 701.4 EXEMPTIONS. Dams meeting either of the following criteria are not subject to rules contained in this title, unless the subtitle LX of this title is successfully invoked.

Section 701.5 CONSTRUCTION PERMIT. A permit issued by the commission is required prior to construction of any dam not exempted under Sections 701.3 or 701.4 of this title.

Section 701.6 OPERATION PERMIT. Before water is deliberately impounded by closing drain gates, an operation permit must be issued by the commission. An operation permit will normally be issued by the Chief Engineer upon completion of final inspection and receipt of the Certificate of Substantial Compliance by the owner's engineer (see section 704.6 ).

Section 701.7 TRANSFER OF PERMIT. Within six (6) months after change of ownership of a permitted dam, the new owner shall notify the commission. The commission shall immediately issue a dam permit in the name of the new owner.

Section 701.8 DEFINITIONS. Unless clearly indicated by context, the following words and terms, when used in this Title, shall have meanings as defined herein:

Section 701.9 DUTIES, OBLIGATIONS, AND LIABILITIES OF DAM OWNERS. Nothing in these rules shall be construed to relieve an owner or operator of a dam or reservoir of the legal duties, obligations or liabilities incident to ownership or operation.

Section 701.10 REGISTERED PROFESSIONAL ENGINEER. Preparation of all plans and specifications, and the construction, enlargement, alteration, repair or removal of dams subject to commission review shall be under the supervision of an engineer registered in this state or an authorized agent of the federal government.

Section 701.11 EXCEPTIONS. The commission may grant exceptions to requirements contained within this title if it is determined that such requirement is unnecessary due to the physical conditions involved. Any variance from these rules must be supported by a written approval by the commission's Executive Director setting forth the reason for its granting and the limits placed thereon.

Section 701.12 NO LIABILITY BY COMMISSION, EMPLOYEES, OR AGENTS. No action shall be brought against the state or the commission or its employees or agents for the recovery of damages caused by the partial or total failure of any dam or reservoir or through the operation of any dam or reservoir upon the grounds that the defendant is liable by virtue of any of the following:

Section 702.1 INITIAL ESTIMATED APPLICATION REVIEW FEES. Any application for permitting a proposed dam after July 2, 1989 shall be accompanied by a check for one percent (1%) of the estimated construction cost of the dam or $100.00, whichever is greater, except that no application review fee shall exceed $500.00.

Section 702.2 FINAL COST REPORT. Within 45 days after completion of construction, the owner shall provide to the Commission a report of actual construction costs.

Section 702.3 FINAL APPLICATION REVIEW FEES. If fee computed on actual costs exceed fee computed on estimated costs by more than ten percent (10%), an additional application review fee must be paid to the Commission. The amount of the additional fee shall be the difference between the fee computed on the actual construction costs and the amount previously paid. In the event fees computed on actual costs are less than ninety percent of fee computed on estimated costs, the owner shall be refunded an amount equal.to the difference between the amount previously paid and the fee computed on the actual construction costs.

Section 702.4 ANNUAL PERMIT FEE. The annual permit fee shall be computed as specified in A.C.A. 15-22-219, as may be amended from time to time.

Excerpt from A.C.A. 15-22-219

Any person obtaining a permit under the provisions of 15-22-210 shall, in consideration therefor, pay to the commission a fee equal to five cents (5#) per acre-foot of water which the dam involved is designed to impound, but not less than twenty -five dollars ($25.00). The permit shall provide that the same fee shall be paid by that person to the commission each year thereafter during which the dam is maintained, on or before the anniversary date of the issuance of the permit.

Section 703.1 CLASSIFICATION OF DAMS. All dams will be classified or reclassified as required to assure appropriate safety considerations. The three size classifications (small, intermediate, and large), based on height of dam and impoundment capacity, and the three hazard classifications (low, significant, and high), are combined to determine a dam's spillway design or evaluation flood. A dam's classification does not indicate the physical condition of a dam.

Section 703.2 'SIZE CLASSIFICATION CRITERIA. Size classification is based on the height of the dam or maximum reservoir storage capacity, and shall be in accordance with Table 1 of this section. Size classification is the most stringent category determined for either storage or height.

Table 1

SIZE CLASSIFICATION

Section 703.3 HAZARD CLASSIFICATION CRITERIA. Hazard potential classification shall be the most stringent classification based upon either potential loss of human life or economic loss in accord with Table 2 of this section.

Table 2 HAZARD POTENTIAL CLASSIFICATION

Section 703.4 HYDROLOGIC CRITERIA FOR DAMS.

Section 703.5 DOWNSTREAM RELEASES,

Section 703.6 RESERVOIR DRAIN CONDUIT,

Section 703.7 STRUCTURAL CRITERIA. All dams must be designed in accord with currently accepted engineering practice. Acceptable guidelines include those published and recommended by the U. S. Army. Corps of Engineers; U. S. Department of Agriculture, Soil Conservation Service; and U. S. Department of Interior, Bureau of Reclamation.

As a minimum, the design must address the following:

Section 703.8 EVALUATION OF EXISTING DAMS.

Section 703.9 INTERIM ALTERNATIVES. At the time the commission considers the permanent upgrading or removal of an inadequate dam, the dam owner may request the commission to consider interim alternatives including but not limited to temporary repairs, reservoir dewatering, insurance coverage, and/or downstream warning and evacuation plans. Consideration shall be given to the time required to overcome economic, physical and legal restraints to upgrading, the prospect of permanent repair, current use of the facility, degree of risk and public welfare.

Section 703.10 EMERGENCY MANAGEMENT. The Executive Director may request, and/or the commission may order a dam owner to provide sufficient data to plan for potential effects of failure or malfunction of a dam and/or associated appurtenant facilities.

Section 703.11 VARIANCE. Upon request by the owner of an existing dam which does not meet the hydrologic criteria stated in Section 703.4 of this title, the Chief Engineer may authorize a variance from this criteria. The Chief Engineer's decision shall consider:

Section 704.1 PLANS AND SPECIFICATIONS. Written approval of plans and specifications must be obtained from the Chief Engineer prior to start of construction.

Section 704.2 CONSTRUCTION INSPECTION. An agent of the design engineer must be on site during construction to insure that techniques and materials used comply with plans and specifications.

Section 704.3 CONSTRUCTION RECORDS. The applicant (or applicant's engineer) must retain construction records throughout the life of the dam. As a minimum, the records must include:

Section 704.4 EROSION PROTECTION. During construction, adequate measures must be taken to prevent excessive erosion and off site sedimentation. Suitable techniques include: temporary vegetation, mulching, staked straw bales, filter fences, and chemical stabilization. Other techniques may be used if approved by the Chief Engineer.

Section 704.5 FINAL INSPECTION. Upon substantial completion of construction, the owner must notify the commission and schedule a final inspection of the work.

Section 704.6 ENGINEER'S CERTIFICATION. Upon completion of construction, the project engineer shall file with the commission^ certificate of substantial compliance with approved plans and specifications.

Section 704.7 RECORD DRAWINGS. Within sixty (60) days after completion of construction, the owner, or his engineer shall submit to the Chief Engineer a complete set of record drawings of the project for filing with the permanent records of the commission.

Section 704.8 PERMANENT REFERENCE MARKS. Two or more permanent reference mark(s) shall be established for future use near but separate from the dam. Accurate location(s) and elevation(s) above mean sea level shall be shown on the record drawings.

Section 705.0 COMPLIANCE WITH APPROVED DOCUMENTS.

Operation and maintenance must be carried out in accord with documents filed by the owner or owner's engineer in obtaining the dam permit.

Section 705.1 EROSION PROTECTION. Maintenance of adequate means to protect embankments, abutments, and earthen channels from erosion is required. -

Section 705.2 WOODY VEGETATION PROHIBITED. Growth of woody vegetation is not permitted in the following locations:

Section 705.3 VEGETATION PROHIBITED ON CONCRETE OR MASONRY STRUCTURES. No grass, vines, bushes, trees or other vegetation is permitted to grow in cracks or joints of concrete or masonry structures.

Section 705.4 OPERATION OF GATES AND CONTROLS. All gates, valves and controls, including drain gates must be maintained in operational condition. Operation of each such item must be tested at least annually, and such tests must be documented in the owner's permanent records.

Section 705.5 REPAIRS AND MODIFICATIONS. Written .

approval by the Chief Engineer is required before repairs or modifications to the dam or appurtenances may be undertaken. Plans and specifications prepared by a registered professional engineer may be required for major actions.

Section 705.6 RECORDS. Owner must retain, for the life of the structure, documentation of all owner's inspections, and repairs or modifications to the dam or appurtenances.

Section 706.1 OWNER'S INSPECTION. At least once per year and after each major storm event, the owners of High hazard potential dams (or owner's agent) must perform a visual inspection of the dam. Any deterioration of the dam or appurtenances must be reported to the commission, and remedial measures undertaken after approval by the Chief Engineer.

Section 706.2 COMMISSION INSPECTION. Commission personnel will periodically perform inspections of each permitted dam. Routine commission inspections are of two types:

Section 706.3 ACCESS. The owner or owner's agent must provide commission personnel access to the dam during reasonable working hours for routine inspections. Access during emergency conditions must be available to commission personnel.

Section 706.4 ASSISTANCE BY OWNER. The owner or owner's agent may be requested to provide limited assistance to commission personnel in performing inspections. Requested assistance may include:

Section 707.1 NOTICE OF NON EMERGENCY DEFICIENCY.

Upon discovery of a deficiency, which does not immediately threaten the dam's safety, the Chief Engineer will issue a letter specifying actions necessary to remedy the problem and requesting a timetable for implementing the required actions. Upon receipt and acceptance of a timetable, a consent order will be issued which will embody the agreed upon actions and timetable.

Section 707.2 EMERGENCY REMEDIAL ORDERS. Upon discovery of a condition which renders a dam subject to rapid failure, the Executive Director may issue an Emergency Remedial Order describing actions which must be taken to protect life and property.

Section 707.3 PUBLIC HEARINGS. In the event remedial measures cannot be accomplished through the means of consent orders, the Executive Director shall cause a public hearing to be conducted to present the staffs proposed order and accept testimony. The hearing shall be conducted in the county in which the dam is located. Public notice of the hearing shall be provided in a manner consistent with Section 708.6 of this title.

Section 707.4 COMMISSION ORDERS. After review of findings of the public hearing, the commission may issue orders compelling specified actions.

Section 707.5 PENALTIES. Persistent non compliance with commission rules or disregard of commission orders may result in fines of up to $10,000. In general penalties will be set by doubling the costs incurred by the commission.

Section 707.6 APPEALS. Actions by the commissions may be appealed as described in Subtitle V of Title I Rules of Organization and General Operation of the Arkansas Soil and Water Conservation Commission.

Section 708.1 APPLICATION FORM Applicants for permits for proposed dams must provide all applicable information requested on the form supplied by the commission. Applicants for permits for existing dams may omit information marked as "optional" if not available.

Section 708.2 COMMISSION REVIEW. Upon receipt of application for dam permit, the commission staff will undertake a comprehensive review of data presented to ascertain compliance with engineering practice, state law, and commission rules.

Section 708.3 WATER PLAN COMPLIANCE. Filing of an application to permit a proposed dam also serves as filing for Water Plan Compliance Certification as described in Section 602.5 of the commission's rules. The water plan compliance process may run concurrently with the dam permit review.

Section 708.4 PUBLIC NOTICE. Upon completion of staff review, and satisfaction of any deficiencies, the Executive Director will cause a Public Notice to be published two times, one week apart. The Public Notice will be placed in a newspaper having general circulation in the county in which the dam is located. Information in the public notice will include: the owner's name and address, the dam's location, pertinent physical data describing the dam, and the proposed action of the commission. In addition, the public notice will request that comments or objections to permitting be forwarded to the commission offices.

Section 708.5 CERTIFICATE OP PERMIT APPROVAL. If no comments or objections have been received at the end of a twenty (20) day waiting period after the second printing of the notice, the Executive Director will issue a certificate of permit approval or notification of denial.

Section 708.6 PUBLIC HEARING. If so requested, the Executive Director shall cause a public hearing to be conducted within the county in which the dam is located. Said hearing will be for the purpose of describing the proposed actions and taking testimony regarding the public view of the proposal. The Executive Director shall cause publication of public notice describing the time, place and purpose of the Public Hearing. Copies of the public notice shall be furnished to the owner, complainant(s) adjacent landowners (if known). Publication shall be in a newspaper having general circulation in the county in which the dam is located. Notice shall be printed twice, one week apart, and the hearing shall follow the second printing.

Section 708.7 COMMISSION ACTION. After consideration of testimony and documents presented at a public hearing, the commission may direct the Executive Director to issue or deny a Certificate of Permit Approval.

Section 709.1 PETITION BY AFFECTED PERSONS. Persons who believe themselves or their property endangered by failure of a dam which is below the size requirements specified in section 701.4 may file a petition requesting that the commission require permitting and compliance with dam safety regulations for that dam.

Section 709.2 COMMISSION INVESTIGATION. Upon receipt of such petition, the Executive Director shall immediately begin an investigation of the petitioner's, allegations.

Section 709.3 PUBLIC HEARING. As apart of the commission's investigation, a public hearing shall be held within the county in which the dam is located. Notice of the hearing shall be published in a manner consistent with section 708.6.

Section 709.4 COMMISSION ORDER. Upon consideration of staff findings and testimony received, the commission shall issue an order either approving or denying the petitioner's request.

Section 710.1 APPROVAL OF PLANS REQUIRED. Prior to removal, a plan for removal and revegetation must be approved by the Chief Engineer.

Section 710.2 PROCEEDURE FOR BREACHING. The proceedure for breaching must adequately guard against downstream flooding, erosion, and sedimentation.

Section 710.3 RESTORATION OF ORIGINAL STREAM CHANNEL. Dimensions of the final cut through the dam must be defined in the plan and must be of sufficient size to prevent impounding water when stream flow equals the 100 year flood.

Section 710.4 EROSION PROTECTION. The plan must provide for establishment of vegetation or other erosion protection means sufficient to guard against deposition of excessive sediment off site.