Delaware Administrative Code
Title 7 - Natural Resources and Environmental Control
5000 - Division of Watershed Stewardship
5103 - Delaware Dam Safety Regulations
Section 5103-6.0 - Application Procedures
Universal Citation: 7 DE Admin Code 5103-6.0
Current through Register Vol. 28, No. 3, September 1, 2024
6.1 Application Procedures for Existing Dams
6.1.1
Upon promulgation of these Regulations, the Department shall notify in writing
the owner of each regulated dam that existed prior to June 30, 2004, that the
Department has determined that they own, or have operational control over, a
regulated dam and are subject to the provisions of these Regulations. The
Department shall provide to each owner a copy of all information that the
Department has gathered about the dam, including photographs, measurements,
maps, plans, etc. The notification shall include the dam's Preliminary Hazard
Classification as determined by the Department.
6.1.2 Within 90 days of receipt of the
Department's notification that they own a regulated dam, each dam owner shall
submit a letter to the Department acknowledging ownership or operational
control of the dam and shall provide to the Department a copy of any existing
information in the owner's possession concerning the dam (plans, surveys,
engineering reports, etc.).
6.1.3
In the event that a dam owner wishes to dispute the Department's determination
that they own or have operational control over a particular dam, that owner
must submit a letter to the Department within 90 days of receipt of the
Department's notification of ownership. The owner's letter to the Department
shall provide documentation supporting the owner's claim of non-ownership or
non-control. In cases of disputed ownership, the Department will review the
documentation provided by the dam owner, and may conduct additional
investigation as deemed necessary by the Department to resolve the
dispute.
6.1.4 Upon receipt by the
Department of the owner's acknowledgment of dam ownership, the Department will
perform a condition assessment of each dam.
6.1.4.1 If the condition of the dam is
determined to be satisfactory, the Department will issue to the owner a
Provisional Certificate to Impound.
6.1.4.2 If the condition of the dam is
determined to be unsatisfactory, the Department will notify the owner in
writing of the deficiencies with the required actions by the owner with
deadlines for remedying the unsafe or deficient conditions.
6.1.4.2.1 Within 30 calendar days of
receiving notice of an unsatisfactory dam, the owner shall respond to the
Department with their intended actions to remedy the deficiencies within the
required timeframe.
6.1.4.2.2
Within 30 days of receiving the owner's intended actions, the Department shall
make a determination as to whether or not a Permit to Construct, Alter, or
Repair a Dam is required and issue a written directive to the owner as to the
appropriate course of action.
6.1.4.2.3 If a Permit to Construct a New Dam
or a Permit to Alter, Repair or Remove an Existing Dam is required, the owner
shall follow the application procedures in Section 6.2 of these Regulations. If
such permits are not required, the Department will issue to the owner a
Provisional Certificate to Impound within 30 days of remedying the
unsatisfactory conditions, as determined by the
Department.
6.1.5 Upon issuance of the Provisional
Certificate to Impound by the Department, the dam owner will be required to
submit to the Department, the following minimum supporting documentation for
each dam. The Provisional Certificate to Impound shall include a specific list
of the items to be submitted for each dam, and a time frame for the submittal
of each item.
6.1.5.1 Application fee in
accordance with paragraph 7.2 of these Regulations
6.1.5.2 Basic information about the dam,
including:
6.1.5.2.1 Dam location, including
the County, nearest town, and stream on which the dam is located
6.1.5.2.2 A map showing the location of the
dam
6.1.5.2.3 Dam type
6.1.5.2.4 Dam crest elevation and height, as
measured from the downstream toe to the lowest point along the crest
6.1.5.2.5 Steepness of dam slopes
6.1.5.2.6 Seepage controls (if
known)
6.1.5.2.7 Slope
protection
6.1.5.2.8 Normal pool
elevation
6.1.5.2.9 Spillway type
and crest elevation
6.1.5.2.10
Spillway capacity in terms of flow
6.1.5.2.11 Storm event return frequency that
the spillway is capable of passing without overtopping the dam
6.1.5.2.12 A dam break analysis and
downstream danger reach map indicating structures, roads, railroads, critical
infrastructure, and other man-made features that are within the danger
reach
6.1.5.3 A report,
prepared under the supervision of a Delaware-licensed professional engineer
experienced with dams, that consists of a site inspection report, documentation
of the above information, and an overall evaluation of the condition and safety
of the dam and appurtenant facilities
6.1.5.4 An Operations and Maintenance
(O&M) Plan
6.1.5.5 An Emergency
Action Plan (EAP)
6.1.5.6 Any
additional information that exists about the dam, which may include:
6.1.5.6.1 Plans, specifications, and/or
engineering analyses and engineering reports
6.1.5.6.2 Inspection reports
6.1.5.6.3 Documentation of repairs and/or
modifications to the dam
6.1.5.6.4
Photographs
6.1.5.6.5
Correspondence
6.1.5.6.6 Any other
information that exists
6.1.6 The Department will evaluate the
information provided by the applicant, make an assessment about its adequacy,
and determine whether additional information is necessary to issue a Permit to
Impound. The Department shall notify the applicant within 30 calendar days of
receipt of the application package if any additional information is required
and the nature of that additional information.
6.1.7 Within 90 calendar days of receiving
all required information the Department shall issue a Permit to Impound to the
dam owner.
6.2 General Application Procedures for Construction of a New Dam or the Repair, Alteration, or Removal of an Existing Dam
6.2.1 The
procedures for applying for a Permit to Construct a New Dam or for a Permit to
Alter, Repair, or Remove an Existing Dam, and for submitting the supporting
engineering documents include the pre-application stage and the application
stage, as described below.
6.2.2
The applicant for either type of dam permit referenced in 6.2.1 must use a
Delaware-licensed professional engineer (Supervising Engineer) to prepare the
plans and specifications and to supervise the inspection of construction, as
required in Section 4.0 of these Regulations.
6.2.3 The Department may require any owner or
operator of an existing dam to obtain a Permit to Alter, Repair, or Remove an
Existing Dam in order to repair or alter the dam, spillway, outlet works, or
other and appurtenances where:
6.2.3.1
Repair, alteration, or removal is necessary to for the protection of human
health or safety; or
6.2.3.2
Alteration, repair, or removal is required to comply with the provisions of
these Regulations, unless compliance is impracticable, and noncompliance poses
no unacceptable threat to human health or safety, as determined by the
Department.
6.2.4 Except
as otherwise provided in these Regulations, any action or determination by the
Department under these Regulations shall be subject to appeal to the
Environmental Appeals Board in accordance with the provisions of 7
Del.C.
§
6008.
6.2.5 Appeals of decisions by the
Environmental Appeals Board shall be conducted pursuant to 7
Del.C.
§
6009.
6.3 Pre-Application Stage for the Construction of New Dams or for the Repair, Alteration, or Removal of Existing Dams
6.3.1 The applicant must submit a
written Preliminary Report that must include the following:
6.3.1.1 A general description of the dam and
all appurtenances thereto, and the proposed dam classification, pursuant to the
requirements of these Regulations. The description shall include the following:
6.3.1.1.1 A statement of the purpose for
which the dam and appurtenances are to be used; and
6.3.1.1.2 A description of the potential
effects of project construction and operation upon the
environment.
6.3.1.2 Maps
of the area within one-half mile of the dam and impoundment boundary, showing
the following:
6.3.1.2.1 The location of the
proposed dam and all appurtenances
6.3.1.2.2 The location of all
structures
6.3.1.2.3 The county and
nearest town
6.3.1.2.4 The boundary
of the reservoir
6.3.1.2.5 The
location of all streets and roads
6.3.1.2.6 The location of all major
utilities, including pipe lines and transmission, telegraph, and telephone
lines; all minor utilities shall be identified in the immediate vicinity of the
dam impoundment area
6.3.1.2.7 The
topography and scale
6.3.1.2.8 All
other structures or facilities affected by the proposed dam, including the area
downstream from the dam (state, county, and U.S. Geological Survey maps and
aerial photographs may be used for this purpose)
6.3.1.2.9 Photographs of the
site
6.3.1.3 A written
report of the surficial conditions (geology, topography, land-use, existing
structures and facilities, etc.), based upon a field reconnaissance by the
applicant's engineer
6.3.1.4
Typical cross-sections of the dam and any dike(s) and levee(s), showing
proposed elevations, pool levels, and top and bottom widths
6.3.1.5 Preliminary design data, tentative
conclusions, and references. The design data shall address hydrologic features
such as drainage area and rainfall data, the basis for proposed dam location,
the basis for the type of structure and spillway proposed, the soils and
geologic engineering criteria, and the basis for design and
construction
6.3.1.6 The hydrologic
design procedure and the storm durations that are used in the design
6.3.1.7 All documentation and information
related to determining hazard classification
6.3.1.8 Other information required by the
Department
6.3.2 At this
time, the applicant shall also submit an application for a Subaqueous Lands
Permit and any other State and Federal permits required.
6.3.3 The Department will review the
pre-application, and within 30 days of its receipt, the Department will notify
the applicant of what design criteria will apply. The Department may identify
key issues for the applicant to address or may request additional information
from the applicant.
6.3.4
Applicants for a permit to conduct minor repairs to an existing dam are not
required to submit a preliminary report unless the Department determines it to
be necessary.
6.4 Application Stage for the Construction of New Dams or for the Repair, Alteration, or Removal of Existing Dams
6.4.1
The application shall be on forms specified and supplied by the Department and
must be accompanied by two copies of the final design report and five sets of
all plans, drawings, designs, and specifications. Upon the written request of
the applicant, the Department may waive certain requirements for documentation
in the application stage set forth below for a permit to repair, alter, or
remove an existing dam.
6.4.2 The
application shall include a Final Design Report, which must contain the
following:
6.4.2.1 A report of the field and
laboratory investigation(s) of the foundation soils and/or bedrock beneath the
dam; and the soil, concrete and rock that will comprise the project structures;
and a location map to identify borings and the materials that will comprise the
dam and any dikes or levees. Stability, settlement, and seepage analyses are
required, unless the applicant can demonstrate to the satisfaction of the
Department that these analyses are not necessary.
6.4.2.2 The bases, references, calculations,
and conclusions relative to hydrologic studies and design of
spillway.
6.4.2.3 Structural and
hydraulic design studies and calculations. Structural, hydraulic and hydrologic
design procedures should be used, as established by one of the following: the
U.S. Army Corps of Engineers, the Bureau of Reclamation, the Natural Resource
Conservation Service, the Federal Energy Regulatory Commission, and other
procedures broadly accepted as representing sound engineering
practice
6.4.3 The
application must include all drawings necessary to fully describe the proposal.
Drawings must be prepared in accordance with the following:
6.4.3.1 All drawings must be prepared under
the supervision of a Delaware-licensed professional engineer.
6.4.3.2 Drawings must clearly show the datum
to which elevations shown are referred. The North American Vertical Datum of
1988 (NAVD 88) should be used wherever possible. If the N.G.V.D. datum is not
used, an appropriate conversion equation must be indicated on the drawings. The
Delaware State Plane Coordinate System, North American Datum of 1983 (NAD 83)
shall be used as the horizontal datum reference.
6.4.3.3 The applicant must submit drawings
showing the following information:
6.4.3.3.1
Existing conditions of the site including topography, property lines,
easements, vegetation, existing structures and roads, etc.
6.4.3.3.2 A general plan of the dam, drawn to
an appropriate scale, which must show proposed topography, the accurate
position of all essential details, such as the spillway and its point of
discharge into the stream; pipes through the dam, inlets, outlets, screen
chambers, gate or valve houses, head-races, the canal mill or power plant,
tailraces and downstream bridges that might cause backwater on the
dam
6.4.3.3.3 A longitudinal
section of the dam and cross-section of the valley at the site of the dam,
showing the elevation of the crest of the dam; the elevation of the normal and
design storm flow line of the lake or reservoir; the original surface of the
ground; a general characterization of the nature and depth of the underlying
strata; the probable depth of the excavation for the foundation of the dam and
for the cutoff; foundation treatment; elevation of the restored surface of the
ground; the location and elevation of all pipes or conduits passing through the
dam; the core wall, if any; and the spillway structure
6.4.3.3.4 Typical cross sections, including a
maximum section of the dam and of a spillway section that shall meet the
following requirements;
6.4.3.3.4.1 Cross
sections must show the original surface of the ground, a general
characterization ofsubsurface conditions as disclosed by test pits or borings,
the probable depth of excavations for the foundation and for cutoff or other
seepage barriers, the elevations of the top of the dam, the crest of the
spillway, and the normal flow line or water surface in the reservoir.
6.4.3.3.4.2 For earth dams, the following
information shall be shown: the depth of stripping; the position, material, and
dimensions of the cutoff or other seepage barriers; the width of the crest; the
slopes and the nature and dimensions of the slope protection; the position and
dimensions of the outlet pipes or conduits, and the seepage controls to control
seepage along such structures; the disposition of different classes of
embankment material if of varying composition; internal drains and filters;
clay blankets; and other seepage barriers.
6.4.3.3.4.3 For concrete or other composite
dams, the cross sections shall show all key structure dimensions and shall
indicate the position and kinds of material to be included in the
structure
6.4.3.3.5 If
not clearly indicated on one or more of the drawings listed above, the
following details shall be shown on additional detail sheets:
6.4.3.3.5.1 Detail of spillway or overflow,
showing the length and depth of opening, together with the width and shape of
the crest, grade, and shape of the approach and discharge channels, if any;
methods of protecting the toe of the dam or end of the discharge channel from
erosion; the dimensions of all walls, floors, and paving
6.4.3.3.5.2 Details of the intake and outlet
works, showing the location and dimensions of all valves or sluice gates,
intakes, screen chambers, racks, outlet towers, and gate houses and
appurtenances
6.4.3.3.5.3 For
concrete dams and reinforced concrete structures, detailed drawings must also
be submitted, showing the size, spacing, and arrangement of all reinforcing
steel joints, joint in-filling and other protective treatments.
6.4.3.3.5.4 Special drawings shall be
submitted showing any special construction features not otherwise shown, such
as pilings, fishways, aprons, materials used in the core wall, movable dams,
tainter gates and mechanical devices, drains, and
instrumentation
6.4.3.3.6
Sediment and erosion control practices
6.4.4 The application must include
specifications, containing the following:
6.4.4.1 General provisions, specifying the
rights, duties, and responsibilities of the owner, applicant, applicant's
engineer, and the builder
6.4.4.2
The estimated project schedule and sequence of work
6.4.4.3 Technical provisions, describing
carefully and in detail the approved work methods and procedures, standards for
equipment and testing, materials to be used, and the results to be
obtained
6.4.5 The
applicant shall complete all investigations, including the following, prior to
submission of the final design report that shall meet the following
requirements:
6.4.5.1 The scope and the
degree of precision of investigations required for a specific project shall be
based on the complexities of the site, the importance of the proposed
structure, and the hazard created by the proposed structure
6.4.5.2 The foundation investigation shall
consist of borings, test pits, geophysical investigations, or other subsurface
explorations and must be performed so as to reasonably define the soil and rock
stratigraphy and the ground water conditions to the satisfaction of the
Department
6.4.5.3 Laboratory
testing of undisturbed and remolded soil, concrete and/or rock samples may be
required by the Department
6.4.5.4
The applicant must determine the nature and extent of materials that are
proposed for use in the structure (e.g., earth and rock borrow material,
concrete constituents (cement, fly ash, coarse and fine aggregates,
admixtures), riprap stone, filter materials) and their structural properties
when incorporated into the proposed structure
6.4.5.5 Stability analysis and calculations
for the proposed structure to ensure safety against failure due to overturning,
sliding, or overstressing must be submitted and approved by the
Department
6.4.5.6 Topographic
surveys must be performed with sufficient accuracy to locate the proposed
construction and to define the volume of the storage in the reservoir and the
flowage limits. The upstream and downstream areas must be investigated in order
to delineate the area of potential damage in case of failure or flooding.
Locations of baselines, centerlines, and other horizontal and vertical control
points must be shown on the topographic map of the site
6.4.5.7 The drainage area must be accurately
delineated. Both present and projected future land use (based on available
information) must be considered in determining the runoff characteristics of
the drainage area. The most severe of these two conditions must be used in the
design. The hydrologic assumptions and design calculations used in spillway
designs shall be specified and shall include:
6.4.5.7.1 Drainage area size
6.4.5.7.2 Rainfall and runoff data
6.4.5.7.3 Reservoir inflow
hydrographs
6.4.5.7.4 Reservoir
area-capacity-elevation data
6.4.5.7.5 Spillway elevation-discharge
data
6.4.5.7.6 Reservoir flood
routings, except as otherwise provided in this
subchapter
6.4.6
All applicants must submit an O&M Plan in accordance with these
Regulations, and applicants for Class I and II dams shall prepare and submit an
EAP that shall include at a minimum a dam breach analysis, inundation maps, and
emergency notification and evacuation plans.
6.4.7 A permit for a dam does not imply
approval of other permits. It is the responsibility of the applicant to obtain
all other necessary local, State, and Federal permits.
6.4.8 The application to remove or breach a
dam shall include the following:
6.4.8.1
Design report, and plans and computations to effect the breach, including size
of breach, shape of breach, and disposal of spoil material
6.4.8.2 Plans and computations for
stabilization of the lake bed, including the channel upstream of the breach,
and for the control of sediment within the lake and downstream of the breach
during and after the breach has been effected
6.4.8.3 Computations for design of the method
and timing for dewatering the lake, unless waived by the Department
6.4.8.4 Computations detailing the effects of
the breach on the downstream channel and demonstrating that the project will
not adversely affect flooding conditions downstream during the 10-, 50-, and
100-year storms.
6.4.8.5
Specifications containing the technical provision that describe in detail the
proposed work methods and equipment and, in addition, a work schedule for the
entire project
6.4.8.6 A plan of
the existing dam and lake along with surrounding property lines
6.4.8.7 A description of the potential
effects of the dam removal or breach upon the environment
6.4.8.8 A description of the potential
effects of the dam removal or breach upon life and property downstream of the
dam
6.5 Actions by the Department Upon Applications
6.5.1
Public notice of application shall consist of an advertisement in a newspaper
of general circulation in the county in which the activity is proposed and in a
daily newspaper of general circulation throughout the state to include the fact
that the application has been received, a brief description of the nature of
the application, and the location(s) where a copy of the application may be
inspected.
6.5.2 Following the
receipt of requested comments, the Department shall approve, disapprove, or
approve subject to conditions necessary to ensure safety, all applications
pursuant to these Regulations.
6.5.3 A defective application shall not be
rejected but notice of the defects shall be sent to the owner. If the owner
fails to file a corrected application within 30 days of the date of the notice,
the original application shall be canceled unless further time is
allowed.
6.5.4 If the Department
disapproves an application, one copy shall be returned with a statement of its
objections. If an application is approved, the approval shall be attached
thereto along with a Permit to Construct a New Dam or a Permit to Alter,
Repair, or Remove an Existing Dam, as applicable, and a copy returned to the
applicant. Approval shall be granted under terms, conditions, and limitations
that the Department deems necessary to safeguard life and property.
6.5.5 Construction shall be commenced within
2 years after the date of approval of the application and completed within 5
years of commencement of construction, or the approval is void. The Department
upon written application and demonstrated good cause may extend the time for
commencing construction or for completing the construction. Notice by
registered or certified mail shall be given the Department at least 10 days
before construction is commenced.
Disclaimer: These regulations may not be the most recent version. Delaware may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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