INDIANA DAM SAFETY

INSPECTION MANUAL UPDATED 2007

PART 1 OVERVIEW OF DAMS AND

OWNERSHIP IN INDIANA

DEPARTMENT OF NATURAL RESOURCES

DIVISION OF WATER
INDIANAPOLIS, INDIANA
INDIANA DAM SAFETY
INSPECTION MANUAL
UPDATED 2007
Preface – Part 1

The Indiana Dam Safety Inspection Manual is based on accepted practice and consists of information
developed from existing documentation on dam safety inspections obtained from state and federal
agencies. Dam safety is a complex and multi-disciplinary practice that continues to evolve as
professionals gain a better understanding of how the various dam components behave under different
loading conditions and how society’s level of risk tolerance changes with time. This manual is a “living
document” that will change to reflect evolving national practice. As this manual improves with time, it will
provide a stable reference for good dam safety inspection practice as administrators, program priorities,
and statutes change. The manual consists of five separate parts:

Part 1, this part, describes ownership responsibilities and roles, risks and hazards of dam failure, and
provides a detailed overview of dams in Indiana.

Part 2 presents guidelines for operating and maintaining a dam, including specific instructions on how to
prepare a management and maintenance plan and how to respond to emergencies.

Part 3 provides guidance on evaluating dam safety and performing dam inspections. It covers who
should perform the inspections and how, and provides guidance on identifying and reporting dam
deficiencies and problems.

Part 4 describes guidelines for preparing Emergency Action Plans (EAP) to guide the dam owner during
emergency situations. It also covers Emergency Response planning.

Part 5 is a compilation of Dam Safety Fact Sheets that present information on a variety of dam
operational issues, such as seepage, slope protection, embankment stability, and spillway design, to
name a few.

This manual should not be used in lieu of appropriate dam safety technical courses or training by a dam
safety professional in the area of dam inspection. However, it should be used by experienced dam safety
professionals as a reference and reminder of the aspects required to make a thorough dam safety
inspection and evaluation. It should be stressed, however, that inspections alone do not make a dam
safe; timely repairs and maintenance are essential to the safe management and operation of every dam.

The dam owner is responsible for maintaining the dam in a safe condition, and should do whatever is
necessary to avoid injuring persons or property. As once stated by a highly respected legal scholar, "It is
clear that compliance with a generally accepted industry or professional standard of care, or with
government regulations, establishes only the minimal standard of care. Courts may assess a higher
standard of care, utilizing the "reasonable person" standard and foreseeability of risk as the criteria. It is
fair to say that persons who rely blindly upon a governmental or professional standard of care, pose great
danger to others, and present a legal risk to themselves, when they know or reasonably should know that
reasonable prudence requires higher care."

This manual was prepared by:

Christopher B. Burke Engineering, Ltd.

115 West Washington Street
Indianapolis, Indiana 46204

Department of Natural Resources

Division of Water
Indianapolis, Indiana
 Acknowledgements and Disclaimer

This Manual was developed by Christopher B. Burke Engineering, Ltd. (CBBEL) for the Indiana
Department of Natural Resources (IDNR), Division of Water. Principal editors, authors, and support staff
within CBBEL included: Siavash E. Beik, P.E. (Project Manager & Technical Editor), Ken Bosar, P.E.
(Principal Author), and Jon Stolz, P.E. (Technical Consultant). Principal reviewers and project
coordinators at the Division of Water included Kenneth E. Smith, P.E. (Assistant Director) and George
Crosby, P.G. (Manager, Dam and Levee Safety Section).

A four-member peer review team provided technical review and advice during the preparation of the
manual. The team members included Charles Rucker P.G., Robert Biel, P.E., Thomas Hugenberg, P.E.,
and John Pfeifer, P.E., all former Army Corps of Engineers dam safety professionals.

Much of the material presented in the manual was adapted from various publications developed by
Federal and State agencies for dam inspection, operation, and maintenance. In many cases, pertinent
text and illustrations were directly utilized within the manual with permission. A complete list of these
publications is provided in the Appendices under References. The photographs were primarily obtained
from IDNR and CBBEL files for Indiana dams; some photographs were obtained from public sources. The
following is a list of agencies whose publications were extensively used in the preparation of this
handbook:

Indiana Department of Natural Resources

Association of State Dam Safety Officials
U.S. Army Corps of Engineers
U.S. Department of Agriculture Natural Resources Conservation Service
U.S. Department of the Interior, Bureau of Reclamation
Wisconsin Department of Natural Resources
Ohio Department of Natural Resources
Colorado Division of Water Resources
Pennsylvania Department of Environmental Protection

Special recognition is given to the Federal Emergency Management Agency (FEMA) who provided
funding to the IDNR for the development of this manual. Special recognition is also given to the
Association of State Dam Safety Officials (ASDSO) for their leadership in developing effective dam safety
programs and policies for the furtherance of dam safety. Their diligence in assisting the U.S. dam safety
community was an important factor in the issuance of the FEMA grant.

Use of trade names, brand names, or drawings designating specific products is for reference purposes
only and does not constitute an endorsement of products or services by CBBEL, review team members,
the State of Indiana, or any of the cooperative agencies/organizations. Information describing possible
solutions to problems and concerns, repairs, and emergency actions are intended for guidance only. The
dam owner should seek qualified professional help for construction of new dams and extensive remedial
measures for existing dams. Site-specific plans, emergency actions, and repair procedures should be
developed on a case-by-case basis; CBBEL, review team members, the State of Indiana, any of the
cooperative agencies/organizations and references cited assume no responsibility for the manner in
which the contents of the Manual are used or interpreted, or the results derived therefrom. Current IDNR
regulations pertaining to dams should take precedence to information contained within this Manual.

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 Indiana Dam Safety Inspection Manual
Revisions

Revision No. Date Revisions Made

0 Aug 28, 2003 First Edition published and placed on IDNR web site.

General grammatical revisions throughout; updated for new

dam regulations and policy; added new Part 4, Emergency
Preparedness; the original Part 4, Dam Safety Fact Sheets, has
1 Aug 28, 2007
been renumbered as Part 5; revised Fact Sheets 1, 9, 11, 14,
17; revised front covers and prefaces; revised Table of
Contents.

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Indiana Department of Natural Resources Dam Safety Inspection Manual

PART 1 OVERVIEW OF DAMS AND OWNERSHIP IN INDIANA

TABLE OF CONTENTS

Preface .............................................................................................................................. i

Acknowledgements and Disclaimer ..............................................................................ii

Indiana Dam Safety Inspection Manual Revisions ...................................................... iii

1.0 INTRODUCTION .................................................................................................. 1-1

1.1 OVERVIEW................................................................................................ 1-1

1.2 DAM SAFETY LAWS ................................................................................. 1-2

1.3 IMPORTANCE OF DAM SAFETY ............................................................. 1-3

1.4 RESPONSIBILITIES OF DAM OWNERSHIP ............................................ 1-4

1.4.1 Overview ......................................................................................... 1-4

1.4.2 Potential Liability Issues .................................................................. 1-4

1.4.3 Environmental Concerns ................................................................. 1-6

1.4.4 Insurance......................................................................................... 1-6

1.5 DAM SAFETY INSPECTION REQUIREMENTS ....................................... 1-7

1.6 DAM HAZARD CLASSIFICATION SYSTEM ............................................. 1-8

1.7 GENERAL GUIDELINES FOR NEW DAMS &

IMPROVEMENTS TO EXISTING DAMS IN INDIANA............................... 1-9

2.0 AN OVERVIEW OF DAMS................................................................................... 2-1

2.1 DAMS IN INDIANA..................................................................................... 2-1

2.2 TYPES OF DAMS ...................................................................................... 2-5

2.3 CONSTRUCTION MATERIALS................................................................. 2-7

2.4 GEOLOGICAL SETTING ........................................................................... 2-8

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Indiana Department of Natural Resources Dam Safety Inspection Manual

2.5 THE WATERSHED .................................................................................... 2-9

2.6 DOWNSTREAM DEVELOPMENT ISSUES ............................................. 2-10

2.7 STORAGE AND RELEASE OF WATER .................................................. 2-11

3.0 DAM OWNER’S ROLE......................................................................................... 3-1

3.1 SAFETY PROGRAM.................................................................................. 3-1

3.2 COMPLIANCE WITH CURRENT STATE REQUIREMENTS .................... 3-1

3.3 REPORTING REQUIREMENTS................................................................ 3-2

3.4 FINANCIAL OBLIGATIONS ....................................................................... 3-2

3.5 SELECTION OF A QUALIFIED DAM SAFETY PROFESSIONAL ............ 3-3

3.6 PERMITS ................................................................................................... 3-5

3.7 RECORD KEEPING................................................................................... 3-6

4.0 DAM INSPECTOR RESPONSIBILITIES ............................................................. 4-1

4.1 EXPERIENCE AND TRAINING ................................................................. 4-1

4.2 INSPECTOR LIABILITIES ......................................................................... 4-3

5.0 RISKS AND HAZARDS OF DAM FAILURE........................................................ 5-1

5.1 RISKS OF DAM FAILURE ......................................................................... 5-1

5.2 TYPES AND CAUSES OF DAM FAILURE................................................ 5-5

5.3 NOTABLE DAM FAILURES....................................................................... 5-7

APPENDICES

APPENDIX A INDIANA CODE FOR REGULATION OF DAMS

APPENDIX B HAZARD CLASSIFICATION FOR DAMS

APPENDIX C REFERENCES

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Indiana Department of Natural Resources Dam Safety Inspection Manual

CHAPTER 1.0

INTRODUCTION

1.1 OVERVIEW................................................................................................ 1-1

1.2 DAM SAFETY LAWS ................................................................................. 1-2

1.3 IMPORTANCE OF DAM SAFETY ............................................................. 1-3

1.4 RESPONSIBILITIES OF DAM OWNERSHIP ............................................ 1-4

1.4.1 Overview ......................................................................................... 1-4

1.4.2 Potential Liability Issues .................................................................. 1-4

1.4.3 Environmental Concerns ................................................................. 1-6

1.4.4 Insurance......................................................................................... 1-6

1.5 DAM SAFETY INSPECTION REQUIREMENTS ....................................... 1-7

1.6 DAM HAZARD CLASSIFICATION SYSTEM ............................................. 1-8

1.7 GENERAL GUIDELINES FOR NEW DAMS &

IMPROVEMENTS TO EXISTING DAMS IN INDIANA............................... 1-9

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1.0 INTRODUCTION

1.1 OVERVIEW

This manual was written to assist dam owners, inspectors, and qualified dam safety
professionals in inspecting dams and maintaining them in a safe and stable condition.
Dams are complex structures and usually require a multi-discipline approach to
adequately address inspection, maintenance, and other safety issues. Therefore, dam
owners should always obtain proper professional help when inspecting and maintaining
dams and their appurtenant works.

The primary focus of any dam safety effort is the protection of lives and property in the
area downstream from the impoundment. Every owner should be aware of the potential
hazard that his\her dam poses to the inhabitants and property and of the need to
properly maintain the dam in such a way as to reduce this hazard as much as possible.
The liability for damages resulting from a dam failure rests with the owner of the dam.

A good safety inspection and

maintenance program is also important to
the owner’s bottom line. The typical dam
represents a considerable cash
investment. Replacement or major repair
costs could be high. Loss of the dam
could result in the loss of a water source,
recreational facility, flood protection, or
other assets.

It is important for the dam owner to

recognize that dam safety inspections
alone do not make dams safe. Dams Figure 1-1 Dams are commonly used to provide recreational
require an on-going inspection and resources and can enhance property values, but they must be
properly maintained to realize their potential.
maintenance program to insure their
continued safety and useful life. This fact is not always fully appreciated. Often there is
a tendency to neglect dams once construction is completed.

This manual presents a logical approach that should be followed to evaluate the safety
of dams in Indiana. Its intent is to inform the dam owner, operator, or others of general
aspects of dam safety inspections, operation, and maintenance so that they can
recognize certain unsafe conditions that may be associated with their structures. If
unsafe conditions are recognized, professional services may be required to assess the
problem and to take appropriate remedial action. This manual provides general
guidance on some of the more common problems, but it is not intended to cover every
type of condition, situation, or emergency that could possibly cause a dam to become
unsafe or fail.

This manual may also be used as a reference to qualified dam safety professionals with

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expertise in dam design, construction, and inspections. Some of the information

presented in the manual may be basic knowledge to these individuals, but the
inspection procedures, documentation, and reporting should be followed by all.

The design of a dam is the task of an experienced professional engineer. The

implementation of major remedial measures for a dam generally requires the help of an
experienced professional engineer or a qualified dam safety professional. The
application of trial-and-error "home remedies" to dam problems is not recommended
and such an approach may prove to be far more costly than obtaining and acting on
professional guidance. The text and illustrations of this manual are not intended to
serve as a design guide either for the construction of new dams or for extensive
remedial measures for existing dams. Rather, they are intended to serve as a source of
information which the owner can use in his/her regular maintenance and inspection
activities and as a general guide as to when professional services are needed to insure
the safety of a dam.

1.2 DAM SAFETY LAWS

The Indiana General Assembly has established dam safety laws to protect the citizens
of Indiana. Generally, the laws are intended to insure that the dam owner maintains
his/her dam in a safe manner. The laws also define inspection requirements, violation
conditions, and actions that the Indiana Department of Natural Resources (IDNR) will
take if the dam owner violates the law. IDNR currently regulates all dams that meet any
one of the following criteria:

(1) the drainage area above the dam is greater than 1 square mile
(2) the dam embankment is greater than 20 feet high
(3) the dam impounds more than 100 acre-feet

All dams that meet any one of these criteria will be regulated by IDNR under Indiana
Code (IC) 14-27-7.5, “Regulation of Dams.” IC 14-27-7.5 presents the legal
requirements for operating, maintaining, and inspecting regulatory dams in Indiana. A
new administrative code under 312 IAC 10.5, “Regulation of Dams”, also presents
definitions and creates procedures related to hazard classifications. A copy of the
current Indiana Code for the regulation of dams is contained in Appendix A of Part 1.
The most recent version of the statutes can be found on the website of the Indiana
General Assembly. All dam owners should read and maintain a copy of the current
Indiana Code for the regulation of dams in their dam safety file.

The primary focus of the dam safety laws is that dam owners are responsible for
keeping their dam safe and for operating it in a manner that minimizes potential safety
risks to downstream lives and property. Dam owners can be held accountable for any
damage that results from the failure of their dams, so they should do whatever is
necessary to avoid injuring persons or property. As stated by Professor Denis Binder in
Legal Liability for Dam Failures, "It is clear that compliance with a generally accepted

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industry or professional standard of care, or with government regulations, establishes

only the minimal standard of care. Courts may assess a higher standard of care,
utilizing the "reasonable person" standard and foreseeability of risk as the criteria. It is
fair to say that persons who rely blindly upon a governmental or professional standard
of care, pose great danger to others, and present a legal risk to themselves, when they
know or reasonably should know that reasonable prudence requires higher care."

IDNR has established a hazard classification system for Indiana dams in IC 14-27-7.5.
The hazard classification is used to determine dam design and permitting criteria and
safety inspection procedures. It is important that dam owners fully understand the
hazard classification of their dam and their responsibilities associated with the
classification. Downstream owners or residents may petition the IDNR to classify or
reclassify a dam as high hazard and thus place the dam under IDNR jurisdiction (if not
previously under IDNR jurisdiction) if they believe that the dam is a high hazard
structure. (See Subchapter 1.6 and Appendix A, Part 1 for additional information on the
hazard classification of dams.)

Even if a dam does not fall under IDNR jurisdiction, it would be prudent for all dam
owners to develop a dam safety program that includes safety inspections, and an
operation and maintenance plan.

If a dam does fall under IDNR jurisdiction, a permit will be required to construct or
modify the dam or its appurtenant structures. During the permit application process,
IDNR will review the information provided by the dam owner for adequacy. The owner’s
designer is responsible for the safe design of all components of the dam and
appurtenant works. IDNR has specific guidelines (see Subchapter 1.7, Part 1) that
assist in the design and construction of the dam.

1.3 IMPORTANCE OF DAM SAFETY

The storage of water is a potentially 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 to prevent harm to others and their
property. An uncontrolled dam breach can cause serious property damage and injury or
the loss of life downstream, depending on the
size of the reservoir and the type and location
of buildings or other structures. It is therefore
very important for dam owners to establish and
maintain an effective safety program that
includes safety inspections, operation,
maintenance, and upgrades (as required) of the
dam and reservoir.

Although not the focus of this manual, it should

be pointed out that the dam owner is also
Figure 1-2 Dam ownership can become a high risk if an
effective dam safety program is not implemented.
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Indiana Department of Natural Resources Dam Safety Inspection Manual

responsible for unsafe conditions within and around the reservoir that could result in
injury or loss of life to people who use or visit the reservoir. Steep slopes, sinkholes,
depressions, or excessive vegetation could lead to accidents that cause serious
personal injury.

All dams, including dams that fall under IDNR jurisdiction, should be operated and
maintained in a safe manner. Under Indiana law, IC 14-27-7.5-7, “Maintenance, repair;
and sale; duties of owner,” the owner of a structure shall maintain and keep the
structure in the state of repair and operating condition required by the following:

(1) the exercise of prudence

(2) due regard for life and property
(3) the application of sound and accepted technical principles

The dam owner may be held liable for property damage and personal injury and for
failing to prevent such mishaps.

1.4 RESPONSIBILITIES OF DAM OWNERSHIP

1.4.1 Overview

Dam ownership imposes significant legal

responsibilities and potential liabilities on the
dam owner. The dam owner should be aware
of the potential liabilities and learn how to deal
with these liabilities.

This subchapter presents general legal and

insurance matters to help dam owners
minimize their exposure to liability due to dam
ownership or operation. It is intended only as
a general introduction to the many issues
regarding dam owner liability. This manual
does not present answers to specific legal Figure 1-3 The dam owner is responsible for repairing
this damage downstream of the dam.
issues. Dam owners and operators should
obtain competent legal counsel when dealing with specific issues. Dam owners should
always act as if they are liable if there is any doubt.

1.4.2 Potential Liability Issues

The responsibility for maintaining a safe dam rests with the owner. A dam failure
resulting in an uncontrolled release of the reservoir can have a devastating effect on
persons and property downstream. Safely maintaining a dam is a key element in
preventing a failure and limiting the liability that an owner could face. The general rule

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Indiana Department of Natural Resources Dam Safety Inspection Manual

is that a dam owner is responsible for its safety. Dam owners should consult with their
own experienced attorneys for specific legal advice concerning liability and financial
responsibility to those who may be affected by dam safety issues.

The failure of a dam has the potential for catastrophic impact on communities, private
property, and public works downstream. Experience reveals that the failure of even
small dams can result in serious injuries, fatalities, and extensive property damage.
The dam owner loses a valuable asset, and faces reconstruction costs and possible
liability for downstream damages. Local communities may be directly impacted due to
building damage, injuries, fatalities, lost water supply, damaged transportation and
infrastructure, and lost recreational assets.

The extent of an owner’s liability will vary, depending on the statutes and case law
precedents. The concept of strict liability imposes liability on a dam owner for damages
that occur regardless of the cause of failure. The alternative theory of negligence
considers the degree of care employed by the owner in constructing, operating, and
maintaining a dam. Historically, courts have sought to compensate those injured by a
dam failure.

When assessing liability, the standard of care exercised by an owner will be closely
examined. The standard of care should be in proportion to the downstream hazards
involved. Where the risk is great, owners must be especially cautious.

Compliance with government or

professional standards does not
absolve an owner from liability, but it
does establish a minimum standard
of care to be used by owners. The
extent of liability in any situation
depends on the facts of the case
and how those facts are interpreted
by a judge or jury. Consequently,
actions that result in owner liability
in one case may not result in liability
in different cases. In general, a
dam owner is required to use
“reasonable care” in the operation
Figure 1-4 Erosive discharge from an uncontrolled dam breach severely
and maintenance of a dam and impacted the downstream areas.
reservoir.

In today’s litigious society, it is safe to assume that in the case of a catastrophic dam
failure, extensive litigation will ensue. Any competent lawyer, representing the victims
will sue all possible wrongdoers in seeking redress, including the owners and operators
of the facility, and possibly the architects, engineers, contractors, sub-contractors, and
consultants involved in the original construction, any subsequent modifications, and
dam safety inspections.

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An essential and logical part of an organization’s management program is the control of

potential losses that may arise. To manage risks, an owner can utilize a combination of
standard operation procedures, employee training, regular maintenance, emergency
preparedness, and liability insurance. A dam owner can take several actions to help
protect against financial loss.

To help minimize dam owner liability, every dam should have:

• a state dam safety permit (if applicable)

• a management and maintenance plan, and an emergency action plan (if lives
and property are at risk); see Part 4
• documented periodic inspections
• warning signs and controlled access.

1.4.3 Environmental Concerns

A dam owner needs to be generally aware of potential environmental issues before a

dam is constructed or purchased, or its method of operation is altered (some of these
areas of concern are discussed below). The dam owner should carefully consider the
possible impacts of dam operation and how it affects the environment. He/she should
seek professional help for a full evaluation of potential environmental problems.

Within the reservoir, it is likely that sediments have accumulated over the years.
Release of these sediments downstream by operation of the dam, changing the
reservoir level, or removing the dam could result in significant damage and liability to
the dam owner. In addition, release of sediments downstream could adversely impact
plant and wildlife for significant time periods. It is also common that the sediments
contain pollutants.

Large discharges that can result from an uncontrolled dam breach can cause serious
environmental damage downstream. These flows can cause severe erosion and can
carry the sediment into receiving streams and other water bodies. Large discharges
can destroy fish spawning beds, bird nesting areas, plant life, and other aquatic habitat.
Man-made structures can also be damaged or destroyed by such discharges.

The dam owner should contact the appropriate government agency for potential
environmental issues.

1.4.4 Insurance

The primary purpose of dam insurance is to share the risk and protect the assets and
financial well being of the dam owner. Insurance cannot make a dam safe, or make an
inherently faulty construction or renovation project into a good one. Inadequate
coverage or insufficient limits on that coverage, coupled with a major loss, can mean the

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financial ruin of a dam owner. In order to obtain insurance and get a reasonable rate,
the dam owner may have to show that the dam meets acceptable standards with regard
to design, construction, and operation.

1.5 DAM SAFETY INSPECTION REQUIREMENTS

A dam safety inspection program should include four types of dam safety inspections:

(1) formal technical inspections,

(2) maintenance inspections
(3) informal inspections
(4) special inspections

A formal technical inspection is the most

comprehensive form of inspection and
usually includes a review and analysis of
available data and plans, a field examina-
tion, and preparation of a report. A key
component of a formal technical
inspection is the compilation or review of
all available information for the dam and
the surrounding area. Formal technical
inspections should be performed by a
team of one or more professional
engineers, geologists, or qualified
technicians, accompanied by the dam
owner or his representative. Composition Figure 1-5 Embankment dam with a concrete riser is a common
type of dam requiring inspection in Indiana.
of the group is determined by the type of
dam and its appurtenant works, the condition of the dam, and any statutory
requirement.

A maintenance inspection is a preventive measure designed to identify problems and to

develop solutions to prevent further degradation. Maintenance inspections generally
involve reviewing previous inspection reports, performing a field examination, and
completing a report form or inspection brief. Maintenance inspections are usually
performed by the dam tender, maintenance staff, or the dam owner.

In the case of an informal inspection, the evaluation process typically consists of a field
examination and completion of a report form or inspection brief. An informal inspection
can be conducted at any time, and may include only portions of the dam or its
appurtenant structures. Informal inspections are usually conducted by project
personnel or dam owners as they operate the dam to monitor known problem areas, or
to provide an update on site conditions between maintenance and technical inspections.

A special inspection may need to be performed to resolve specific concerns or

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conditions at the site on an unscheduled basis. Special inspections may be conducted

following severe storm events, earthquakes, or other incidents which could affect the
integrity of the dam. These inspections may also be part of a response to an
emergency situation, such as rising reservoir levels during a storm, or excessive
seepage resulting in piping. These inspections are usually performed by the dam
owners, maintenance personnel, or qualified dam safety professionals.

Dam inspections are typically referred to as safety inspections since they are intended
to help protect the safety of people and property downstream by providing a means of
evaluating and maintaining the dam’s integrity. Part 3 of the Indiana Dam Safety
Inspection Manual presents procedures and information on conducting dam safety
inspections.

1.6 DAM HAZARD CLASSIFICATION SYSTEM

As defined by Indiana Law, "hazard classification" means a rating assigned to a

structure by the Department (IDNR) based on the potential consequences resulting from
the uncontrolled release of its contents due to a failure or wrongful operation of the
structure.

Indiana currently places all dams into one of three hazard classifications:

(1) High hazard: A structure the failure of which may cause the loss of life and
serious damage to homes, industrial and commercial buildings, public utilities,
major highways, or railroads.
(2) Significant hazard: A structure the failure of which may damage isolated homes
and highways, or cause the temporary interruption of public utility services.
(3) Low hazard: A structure the failure of which may damage farm buildings,
agricultural land, or local roads.

The hazard classification of a dam is determined by evaluating the area that would be
affected by inundation in the event the dam fails. A correlation between the amount of
inundation and the hazard classification is summarized on the table in Part 1, Appendix
B. In many cases, the hazard classification of a dam can be determined by a review of
current topographic maps and a visual inspection of the downstream floodplain for a
distance commensurate with the size of the reservoir. If a breach analysis is required to
determine the area of inundation, methodology accepted by IDNR should be used.

A property owner, the owner’s representative, or an individual who resides downstream

from a dam may request in writing that IDNR declare the dam to be a high hazard
structure if they believe that the dam failure would cause a loss of life or damage to their
home, building, utility, major highway, or railroad. If IDNR receives such a request, they
will investigate the dam and area downstream, notify the dam owner of the
investigation, and make a determination as to whether or not the dam is a high hazard
structure. If IDNR determines that the dam is a high hazard structure, all corresponding

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regulatory requirements will apply. The dam will also be placed under IDNR jurisdiction
even if it was not before the determination.

The dam spillway design is based on the hazard classification. IDNR has specific
spillway design guidelines which must be followed to obtain a permit for a new dam, or
to obtain a satisfactory rating for an existing dam. In general, a high hazard dam must
be designed to safely pass 100% of the probable maximum precipitation (PMP) storm
event, and a significant or low hazard dam should safely pass 50% of the PMP storm
event. A PMP storm is a very large event, typically resulting in accumulated rainfall of
25 inches or more in small watersheds in Indiana.

Over time, development may occur in the area downstream of a dam. In fact, a
manmade lake sometimes encourages downstream development. If a new dam is
being planned, it may be prudent to design the dam spillway for a higher hazard
classification. This can help the owner avoid major dam and spillway modifications at a
later date in the event that downstream development occurs, the hazard classification
increases or land availability may be restricted.

1.7 GENERAL GUIDELINES FOR NEW DAMS & IMPROVEMENTS TO EXISTING

DAMS IN INDIANA

Table 1-1 Table of Contents The Indiana Department of

General Guidelines for New Dams & Improvements to Existing Dams Natural Resources, Division of
in Indiana (2001 Edition)
Water prepared the General
Section Topic Page Guidelines For New Dams &
Section 1 Overview 1.1 Improvements To Existing Dams
Section 2 Field Survey 2.1 In Indiana for project engineers,
Section 3 Geological and Geotechnical 3.1
Considerations technical professionals, and
Section 4 Hydrology and Hydraulics 4.1 owners involved in the design
Section 5 Plans and Specifications 5.1
Section 6 Construction Monitoring 6.1 and construction of dams or the
modification of existing dam’s
Appendix A Hazard Classification A.1
Appendix B Emergency Action Plan B.1 that are under the jurisdiction of
- Outline of an Emergency Action Plan the IDNR. The intent of these
- Inspection Checklist
Appendix C Geotechnical Addendum C.1 guidelines is to provide direction
- In-Situ/Field Testing to experienced dam design
- Instrumentation
Appendix D Rainfall Distribution & Probable Maximum D.1 professionals so that the final
Precipitation product, the dam, is safe and the
Appendix E Selected Plan Sheets For Illustrative E.1
Purposes & Partial List of Specification owner's investment in
Items for Sample Dam professional engineering is
Appendix F Common Pitfalls F.1
Appendix G Special Construction Monitoring Reports G.1 maximized.
Appendix H Correction Form H.1
The majority of information given
in the guidelines 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

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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 IDNR's Division of Water, the time to obtain
approval on the proposed work will be significantly reduced. A committee of 17
professionals from the private engineering community and IDNR contributed significant
time to the development of the guidelines.

The guidelines 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.

Because each project requires site specific considerations, the guidelines should not be
viewed as a "cookbook" for the design, construction, modification, or repair of a dam.
The intent of the document is to outline the general technical data, plans, and
engineering computations that need to be submitted with the permit application for the
proposed work. If the guidelines are followed, the time necessary for the technical
review and approval should be reduced. Guidance on analyses and design issues for
innovative, untested, or high-risk dam designs is not covered in the 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.

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 IDNR that lacked adequate detail in a particular technical area
(hydrologic/hydraulic, geotechnical, geological, surveying or structural). The analysis
and design of a dam must 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.

Questions concerning the guidelines should be addressed to the Division of Water at

the Indiana Department of Natural Resources, 402 W. Washington Street, Indianapolis,
Indiana, 46204. The guidelines are available on IDNR’s website for public use at
http://www.in.gov/dnr/water/dam_levee/index.html.

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CHAPTER 2.0

AN OVERVIEW OF DAMS

2.1 DAMS IN INDIANA..................................................................................... 2-1

2.2 TYPES OF DAMS ...................................................................................... 2-5

2.3 CONSTRUCTION MATERIALS................................................................. 2-7

2.4 GEOLOGICAL SETTING ........................................................................... 2-8

2.5 THE WATERSHED .................................................................................... 2-9

2.6 DOWNSTREAM DEVELOPMENT ISSUES ............................................. 2-10

2.7 STORAGE AND RELEASE OF WATER .................................................. 2-11

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2.0 AN OVERVIEW OF DAMS

2.1 DAMS IN INDIANA

A dam is a man-made barrier constructed

for the purpose of storing or diverting
water. The barrier is usually constructed
across a watercourse such as a stream or
river, and usually consists of earthen
materials or concrete. There are more
than 1,200 dams in Indiana, including
approximately 250 high hazard dams.
Most dams in Indiana are earth
embankment dams less than 50 feet high,
and typically are used for recreation, flood
control, and water supply. Some dams
store water to harness its force to generate
Figure 2-1 Earth embankment dam in Indiana.
electricity. Many of the existing dams in
Indiana are relatively old (30 years or more), making dam safety inspections and
maintenance an important part of their operation plan.

Every dam should accomplish the following objectives under all anticipated loading
conditions:

(1) hold back or store water safely

(2) contain the water and resist leakage
(3) maintain its shape and configuration
(4) resist movement in any direction
(5) safely pass maximum design flood events

The water stored behind the dam imposes significant forces on the embankment and
foundation materials. The pressures exerted on the dam and its foundation increase as
the depth of stored water behind the dam increases, thus requiring greater resistance to
leakage and movement. The pressure of the stored water loads the dam such as to
tend to push the dam downstream, creating the potential for stability problems.
Therefore, greater water depths require wider, stronger dams. Resistance to leakage is
important since the purpose of the dam is to store water. Once leakage starts, it can
get progressively worse with time and can create a safety hazard and eventually cause
dam failure. The function of maintaining the shape is more related to dams constructed
of earth material or rock than those made of concrete. The shape refers to the outline
of the dam or the profile along the centerline. The final shape of the dam is usually
dictated by the type and amount of material necessary to resist leakage and movement.
If the shape of the dam changes, it may no longer be able to perform its required
functions and may become a safety hazard. External forces, such as earthquakes and
extreme weather events can also affect and change the ability of a dam to perform its
functions. Therefore, dams must be properly designed and maintained to withstand all

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conceivable forces that may be encountered. Indiana dam embankment design should
follow the guidelines contained in, “Earth Dams and Reservoirs,” published by the U.S.
Department of Agriculture Soil Conservation Service, Engineering Division.

Figure 2-2 is a section through an earth embankment dam illustrating many of the
principal components of a typical dam. The dam in the sketch is called a zoned dam
since the cross section consists of zones of different materials, including an impervious
core and a pervious outer shell. Understanding the purpose of these components is
essential to any evaluation of a dam's condition. The following discussion describes the
principal components and their purpose.

The part of the dam site

which must support the
dam is the foundation.
Although other factors are
involved, the first task of
the foundation is to provide
firm support for the entire
dam. A soft foundation, for
Figure 2-2 Section through a typical embankment dam with a riser pipe used as the
principal spillway. example, would not support
the weight of the dam.
Because the main purpose of the dam is storage of water, the foundation must also
resist the flow of water under the structure. A clay material or unfractured hard rock, for
example, would resist the flow of water under the structure much more effectively than
sand or gravel. An impervious cutoff trench
may be required if the foundation consists of
porous materials.

The reservoir is the body of water impounded

by the dam. The basin behind the dam or the
area covered by the reservoir is just as
important as the dam itself. Its size and
shape determine the volume of the reservoir.
Like the dam, the foundation, and the
abutments, the basin must contain the water.

The embankment is the main part of the dam,

Figure 2-3 Upstream slope, downstream slope, crest, and
and is usually referred to as the dam. In reservoir of an earth embankment dam.
Indiana, the embankment usually consists of
local soil materials which may vary in quality. Some dams consist of an impervious soil
core in the center of the embankment with rock covering (pervious fill) the upstream and
downstream slopes to protect the core and to provide strength to the embankment (see
Figure 2-2). In the case of a concrete dam, a concrete structure is used instead of an
embankment.

The upstream embankment slope is the inclined surface of the dam that is in contact

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with the reservoir. This slope must be protected from erosion due to waves. Erosion
protection may include grass, or the placement of riprap or some other durable material.
The crest is the top surface of the dam. Often a roadway is established across the crest
for traffic or to facilitate dam operation, inspection, and maintenance. The shoulders are
the upstream and downstream edges of the crest. The downstream slope is the
inclined surface of the dam away from the reservoir. This slope also requires protection
from erosive effects of rain. Grass is often used for erosion protection on the
downstream slope. The toe (or downstream toe) is the junction of the downstream
slope (or face in the case of a concrete dam) of the dam with the ground surface.
Riprap is a layer of stones, broken rock, or precast blocks placed in random fashion on
the upstream slope of an embankment dam, on reservoir shores, or on the sides of
channels to protect against wave erosion and ice action. Large riprap is referred to as
armoring.

The cutoff trench is an excavation in the foundation of a dam for the purpose of
construction of a vertical barrier (such as a core or diaphragm) to seepage. Often the
core is extended into the foundation by digging a trench along the length of the dam and
filling it with the flow-resistant material. Extending the barrier into the foundation to
control the flow of water under the dam is important, especially if a porous material such
as sand, gravel, or weathered/fractured bedrock lies directly beneath the embankment.
If the foundation has low resistance to the flow of water, for instance, through fractured
rock or a sand layer, the most effective means of reducing the flow of water through the
foundation is a cutoff.

The abutment is that part of the valley

side against which the dam is
constructed. The contact between the
abutment and the embankment slope is
called the slope-abutment-interface or
groin. The abutments and groins are
designated as left or right when facing
downstream while standing on the crest
of the dam. The abutments must offer
support to the structure in the length-
wise, upstream-downstream, and
Figure 2-4 Photograph of abutment (right), embankment (left),
vertical directions. riprap-lined groin, and spillway outlet.

The spillway is a structure over or through which storm or flood flows are discharged
from the reservoir. If the rate of flow is controlled by mechanical means, such as gates,
the structure is considered a controlled spillway. Otherwise, the spillway is considered
as uncontrolled. The principal spillway is the initial spillway designed to carry the storm
or flood discharge. It may be either a drop inlet (riser) or an overflow structure. Usually,
the principal spillway is designed to maintain the water in the reservoir at a constant
level known as the normal pool. The emergency spillway is designed to safely pass the
discharge of large storms or flood flows in conjunction with the principal spillway,
thereby preventing the dam from being overtopped and possibly breached. Spillways

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must be designed and constructed to prevent

overtopping of the dam embankment for the
anticipated maximum loading conditions. A
spillway can be located on either abutment
or constructed as part of the dam.
Sometimes a natural drainage channel
adjoining the reservoir is used to carry
floodwater safely around the dam. The
location is selected based on the
topography, size of expected storm, and
economics. The adequacy of an existing
spillway requires evaluation by a qualified
dam safety professional. Uncontrolled Figure 2-5 Riprap-lined stilling basin at spillway outlet.
spillways should not be constructed over
embankment fill materials.

The outlet works are structures (pipes)

which are used to drawdown or drain the
reservoir. The primary purpose of the outlet
works is to provide for controlled release of
the water from the reservoir behind the
dam. Upon demand, the outlet can be used
to release water downstream for irrigation
or other uses. The system is also used to
lower the reservoir in an emergency or for
maintenance and repair of the dam and
appurtenant structures. The size of the
outlet system is determined by the rate of
Figure 2-6 Toe drain pipe outlet (right) located near principal
the demand for use of the water. A valve
spillway outlet. must be included to regulate the drawdown
rate.

The stilling basin or plunge basin is a basin or

pool area at the toe of the dam into which the
spillway and outlet works discharge. This area
is designed to dissipate the energy of the flow
so as to prevent downstream scour or erosion
(see Figure 2-5).

The toe drain is a method of controlling the

seepage of water through a dam. Water
entering the drain should flow freely through the
drain and exit safely beyond the dam without
wetting the material in the downstream slope. A
pipe is often installed in the toe drain to carry the Figure 2-7 Trash racks on riser spillway structure.
internal seepage water away from the dam to

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prevent erosion of the soil from the embankment. The collector pipe is usually
surrounded by a filter material and placed in the toe of the dam or laid in a trench
beneath the toe. Other types of drains may be used to collect seepage water.

Appurtenant structures refer to ancillary features of a dam such as outlet works,

spillways, powerhouse, tunnels, trash racks, etc. The trash rack is a screening device
located at an intake structure to prevent the entry of debris.

2.2 TYPES OF DAMS

Most dams in Indiana are earthfill embankment dams. However, there are a few rockfill
and concrete dams. This subchapter briefly describes the characteristics of each of
these dam types.

Earthfill Dams

Earthfill embankment dams are by far the most common type of dams. An earthfill dam
is defined as an embankment dam in which more than 50% of the total volume is
formed of compacted fine-grained soil obtained from a borrow area. Fine-grained soil is
a soil material with more than 50% passing the #200 mesh sieve, typically clays. A
homogeneous earthfill dam is an embankment dam constructed of similar earth material
throughout, except for possible inclusion of internal drains or drainage blankets.
Excessive water seeping from the downstream slope of a dam is an unsafe condition
that requires remedial measures to correct the situation. Therefore, every effort is made
in design of an earth dam to minimize the chance for uncontrolled water to exit on the
downstream face.

Many of Indiana’s soils are well suited for embankment dam construction. Fine-grained,
cohesive soils (typically clays) that are resistant to water seepage are common. This is
the main reason that earth embankment dams are prevalent.

An embankment dam which is composed of zones of selected materials having different

degrees of porosity, permeability, and density is called a zoned embankment dam. The
zoned dam provides control of the flow of water with a core having a very high
resistance to flow. In the case of the zoned dam with a drain, a coarse-grained material
is installed to adequately control internal seepage.

Depending on the dam foundation conditions, seepage control under the dam may also
be required. Core trenches are often installed under the embankment to control
seepage through permeable materials that may be present (e.g. sand, gravel, fractured
bedrock). The core trench is typically excavated to a relatively impermeable soil barrier
layer and filled with compacted soil that can retard or stop the seepage. Gout curtains,
slurry walls, or other types of cutoff walls may also be used to control foundation
seepage.

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Rockfill Dams

A rockfill dam is an embankment dam in which more than 50% of the total volume
comprises compacted or dumped pervious natural or crushed rock. Most rockfill dams
are similar in shape to earth dams. The difference is that rock fragments make up the
primary material used for construction. The choice of constructing a rockfill dam versus
constructing an earth dam is usually based on availability of materials. Because rock
fragments alone would leave large openings for seepage flow, a central core, like that in
the zoned earth dam, is required. Also, note that the core usually extends into the
foundation to help control the flow of water under the dam. A transition zone is usually
necessary to protect the core from internal erosion. The transition zone is designed to
keep the fine-grained core materials from being washed into or through the rockfill.
Gout curtains, slurry walls, or other types of cutoff walls may also be used to control
foundation seepage.

Concrete Dams

Concrete dams are the least common in

Indiana. Concrete is probably the most
durable material for building dams and has a
very high resistance to seepage. A concrete
dam is unique in that it directly transfers the
pressures created by the stored water to the
foundation and abutments. A concrete dam,
therefore, is dependent upon the ability of the
foundation and abutments to hold the dam in
place. Like earth or rockfill dams, a concrete
dam must have special provisions for
controlling seepage under the dam. The
most common method is pressure grouting a Figure 2-8 A concrete arch-shaped gravity dam in Indiana.
line of holes into the foundation and
abutments before the dam is constructed.
The cement grout will fill most voids or
fractures in the rock.

There are three basic designs for concrete

dams: gravity, arch, and buttress types.
Combinations of these types are also
possible. For instance, a gravity dam may
be constructed in an arch-like shape, and
buttresses may be used to help support it.
Roller compacted concrete construction
techniques are becoming an economic
alternative to traditional concrete Figure 2-9 Typical earth embankment dam with riprap shore
protection.
construction methods.

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2.3 CONSTRUCTION MATERIALS

Most dams in Indiana are embankment dams

constructed with soil fill material. The fill
should be a cohesive soil (clay) with adequate
strength characteristics to withstand the long
term forces to which it will be subjected.

The types of materials that are used or found

on embankments are often dictated by the
dam design or anticipated usage of the
embankment, including access and roadway
requirements. Gravel, rock (riprap), concrete,
Figure 2-10 Grass-lined emergency spillway.
asphalt, articulated concrete blocks, and
grass are often used to help stabilize the
embankment surfaces. Most materials normally require a subbase treatment before
placement. For example, rock placed on an embankment for wave action will require a
proper filter material beneath it to prevent subsurface soil erosion. Concrete and
asphalt should also have a proper subbase for drainage and bearing support, usually
consisting of a coarse aggregate
(gravel). Except for soil, most of
these materials are used for
embankment slope protection,
roadways, etc.

The embankment surfacing must

be capable of withstanding the
worst-expected conditions (rainfall,
wave action, high winds, vehicular
and foot traffic) to prevent damage
to the underlying dam structure. If
the dam contains an impervious
core, adequate protective material
should be provided on the surface Figure 2-11 Riprap slope protection on an embankment dam.

to protect the core from damage by frost heave and from the formation of desiccation
cracks at the top of the impervious core. In all cases, it is preferable that the material
used to cover the embankment is a material that will not shrink or crack when dried out.
This will prevent the formation of drying cracks in the embankment and the possible
infiltration of reservoir water or surface runoff into the dam's cross section through the
surface cracking. If the embankment is a homogeneous earth fill dam constructed of
cohesive soil material (common in Indiana), a layer of topsoil is usually placed over the
fill to cover the cohesive soil and promote grass growth.

Embankment soil fill is usually covered with grasses or riprap to prevent erosion. If the
dam is a rockfilled structure, or a zoned embankment dam, the slopes and crest will
usually be rock. Benches are often used on either the upstream or downstream slopes

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to reduce overall slope angles, or grades, and to help control stormwater runoff.

When access across the dam is

needed only for maintenance
operations that can be scheduled
during favorable weather conditions,
no special crest surfacing is
required. In these cases, the crest
surfacing is usually composed of
soil materials placed during original
embankment construction. If
access across the dam is required
under all weather conditions for the
safe and routine operation of the
dam, or for public travel, the crest
should be surfaced with gravel or
Figure 2-12 Public road on dam crest.
pavement. If the dam is a rockfilled
structure, the crest may also be rock. Again, if access is required, the top of the rockfill
is often smoothly finished or gravel is placed on the crest to provide a smooth roadway.
Any modifications to retrofit a dam with an access road may require a proper
engineered design and approval from state and local agencies.

2.4 GEOLOGICAL SETTING

The geological setting is a very important factor when designing dams, or when trying to
troubleshoot problems or safety deficiencies. It is crucial that the inspector fully
understand the geological features and conditions of the site to better assess problems
and deficiencies. For example a dam located in a glacial outwash area is likely to be
sitting on permeable granular materials, which would tend to transmit water (seepage)
in the foundation and abutment areas.

Site-specific information obtained from a geotechnical exploration program will better

define and qualify the subsurface conditions in a given geological setting. For example,
a dam located in a karstic geological setting will require subsurface exploration data to
better define the physical parameters and extent of typical solution features (voids and
joint openings) in the foundation, abutment, and spillway areas of the structure.

All dams should be assessed in light of both the local site and regional geological
conditions. In addition to knowing the construction history of the dam and appurtenant
structures, the inspector or the inspection team should have knowledge of the potential
geologic factors that may influence the performance and safety of an existing dam. For
example, successful filling and sustainability of the impoundment are directly linked to
the geological setting. Part 5 contains a fact sheet to help dam owners gain a better
understanding of their geological conditions.

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Indiana dams typically consist of embankments made of earth materials over soil or
rock foundations with auxiliary channel spillways through natural ground. As such,
dams in specific regions tend to have similar characteristic or potential problems, some
of which were not considered in the original design but later emerged as geologic
hazards.

Many existing dams were constructed without appropriate methods and/or components
to adequately address the existing geologic materials or the geologic conditions. Some
of the dam safety deficiencies, as listed below, are a result of the dam builder not
recognizing the physical characteristics and technical problems of certain geologic
materials/conditions and implementing an appropriate design to mitigate the problems.

• Settlement, instability and/or cracking of the dam may reflect weak foundation
conditions or unsuitable soil materials in the embankment.
• Seepage and/or leakage at the downstream toe or abutment/groin areas are
frequently associated with the permeability characteristics of the underlying
bedrock or soil.
• Natural hazards such as landslides, subsidence, and seismic events may quickly
cause a component of the dam to fail leading to an uncontrolled breach.

2.5 THE WATERSHED

The watershed is the area that is located upstream of the dam that contributes water to
the reservoir. The size of the watershed, shape of the watershed, soil and surface
conditions, topographic features, land use, the amount and intensity of rainfall, and
vegetative conditions are the principal factors that will determine how much water will
drain into the reservoir and the time it will take for the water to reach the reservoir. The
water that flows across the land surface and ends up in the reservoir is commonly
known as runoff. Generally, the larger the watershed is, the greater the amount of
runoff will be. It is also easy to see that the smoother the land surface is, the greater
the runoff will be. For this reason, urban
development in the watershed will typically
increase the amount of runoff that will enter
the reservoir. Urban development usually
consists of construction of buildings, roads,
parking lots, sidewalks, piping, ditches, etc. LAKE
All of these features make the land surface
smoother and more impermeable, resulting
in more runoff. Installing stormwater
collection and conveyance ditches and
piping will make the runoff travel quicker
and reach the reservoir sooner. This will
also tend to increase the peak rate of runoff
entering the reservoir. Therefore, more Figure 2-13 USGS quadrangle map depicting approximate
urban development in the watershed will watershed and divide for a small reservoir.

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result in more water entering the reservoir.

The limits of the watershed are defined by the watershed divide; a line that divides the
area whose runoff flows toward the reservoir from land whose runoff flows away from
the reservoir. The watershed divide is determined by the topographic characteristics,
and generally, it follows topographically high points. Hydrologists typically draw the
location of the watershed divide on a topographic map, such as a detailed site survey or
a USGS quadrangle map. Defining the divide is usually the first step in analyzing the
watershed characteristics.

Dam owners must monitor urban development in the watershed and fully understand
how the development can affect the reservoir and dam. If a dam and its spillways were
constructed before the urban development occurs, and if they were not designed to
account for the development, the dam may not be able to safely pass the increased
amount of runoff that will result. The ability of the dam and its spillways to
accommodate flood events diminishes as the amount of urban development increases.
If significant new development occurs, new hydrologic and hydraulic analyses should be
performed to determine the impact the new development has on the dam. Larger
spillway structures may have to be installed to maintain the safety of the dam and
downstream property. The best way to monitor watershed development is through a
combination of visual inspection and review of recent aerial photography. Many
counties and the Indiana State Land Office periodically obtain aerial photography that is
available to the public. Examples of upstream development projects that commonly
affect the dam are the construction of another dam, a water conveyance system, or the
construction of a new housing subdivision.

Generally, the more water that enters the reservoir from the watershed, the higher the
water level will rise behind the dam. And in turn, the higher the reservoir rises in the
dam, the higher the discharge will be through the spillway(s). Through a combination of
reservoir storage and spillway discharge, a dam must be able to handle the watershed
runoff that enters the reservoir from the design storm event without overtopping the dam
or adversely affecting the spillway or it outlet structures.

2.6 DOWNSTREAM DEVELOPMENT ISSUES

In Indiana, the hazard classification of dams is based on the potential for loss of life and
property in the area downstream of the dam. High hazard dams are those that do pose
a threat if the dam were to fail, regardless of how safe the dam and its appurtenant
works are at the present time. A dam’s hazard classification can change at anytime due
to potential development in the downstream area. Therefore, just because a dam is not
classified as a high hazard dam when it is designed and built does not mean it may not
someday become a high hazard dam. The implications of a high hazard classification
are increased monitoring and reporting obligations, larger spillway system, as well as
increased risk and liability for the dam owner.

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The dam owner must continually monitor downstream development throughout the life
of the dam and reservoir. And unless the dam owner has ownership of the land
downstream, he/she has no control over building and development in the potential
inundation zone. Government entities usually do not have the means or authority to
limit development below dams in all of the dam-failure inundation areas.

The dam owner must have a good idea of

the dam-failure inundation zone below the
dam to be able to monitor development
within that zone. This is usually
accomplished by obtaining professional help
to perform a dam breach analysis. The
breach analysis provides an estimate of the
elevations to which flood waters would rise
and the distance downstream that would be
impacted in the event of a catastrophic dam
failure. The inundation area is plotted on a
map of the downstream area, typically a
USGS 7 ½ minute quadrangle map, along Figure 2-14 This house, located along the receiving stream
downstream of a dam, represents poor planning,
with the location of any development within development, and technical judgment.
the zone. The list of downstream residents
with their telephone numbers is often plotted on the map for easy reference in the case
of emergencies. Sometimes it is obvious that development has occurred in the
inundation zone without performing a breach analysis, especially when the development
is close to the dam in the low-lying areas.

The best way to monitor downstream development is through a combination of visual

inspection and review of recent aerial photography. It is the dam owner’s responsibility
to protect downstream landowners from harm no matter when the development occurs.
Therefore, the dam owner should make downstream inspections part of the normal dam
operating plan.

2.7 STORAGE AND RELEASE OF WATER

A dam is constructed for the purpose of storing water; the storage of water poses a risk
to downstream areas and a liability to the dam owner. Therefore the ability of the dam
to retain the water is of prime importance.

Uncontrolled release of water, such as seeps, piping, or embankment overtopping, is

usually undesirable and must be monitored and controlled to prevent a dam breach
failure. Some concrete dams are designed to be overtopped; in these cases the
spillway is over the top of the dam. Overtopping of an earth dam is usually a disastrous
event and should be prevented at all costs. Water seeping through or under the dam is
undesirable, but usually occurs at most dams since the soil used to construct dams and
their foundations is permeable. Therefore, plans and controls are usually implemented

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to control the seeping water and discharge it safely without endangering the dam. The
dam owner is responsible and liable for any damage that might occur because of an
uncontrolled (or controlled) release of stored water.

The spillways and outlets works are designed for controlled release of the reservoir
water, during sunny day operation and flood events. Spillways are the normal, day-to-
day release mode; outlets are designed to drawdown the reservoir below the spillway
elevation. Outlet works, also called drawdown works or drains, are used for various
reasons:

● quickly lower water level if dam failure is an issue

● lower water level for dam repairs or maintenance
● regulate downstream flow
● provide irrigation water
● drive hydro-machinery

Whatever the release mechanism, dam owners must design spillways, outlet works, of
seepage discharge facilities to avoid impacts to downstream receiving waters, land
adjacent to the receiving water, or the dam itself. The release structure must be
designed to avoid excessive flows and flow velocities that could inundate or erode
buildings, roads, or other structures in the downstream areas. Typically, spillways
should be designed so that the discharge during flood events is no greater than the
flows before the dam was built. On the other hand, outlet facilities may need to be
operated on a continual basis to provide irrigation water or to maintain minimum stream
flows for downstream users. Dam owners must be aware of riparian rights of
downstream landowners and water users so that they don’t diminish the availability of
water to those entities.

Figure 2-15 Valve for drawdown works located in bottom of riser structure;
the valve stem should be extended to the top of the riser.

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CHAPTER 3.0

DAM OWNER’S ROLE

3.1 SAFETY PROGRAM.................................................................................. 3-1

3.2 COMPLIANCE WITH CURRENT STATE REQUIREMENTS .................... 3-1

3.3 REPORTING REQUIREMENTS................................................................ 3-2

3.4 FINANCIAL OBLIGATIONS ....................................................................... 3-2

3.5 SELECTION OF A QUALIFIED DAM SAFETY PROFESSIONAL ............ 3-3

3.6 PERMITS ................................................................................................... 3-5

3.7 RECORD KEEPING................................................................................... 3-6

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3.0 DAM OWNER’S ROLE

3.1 SAFETY PROGRAM

The dam owner is responsible for maintaining the safety of the dam. Owners should
develop their own safety program which includes dam safety inspections, monitoring
plans, maintenance of the structures, emergency action plans when necessary, and
dam operation. A well planned safety program is directly related to the dam structure
and its immediate environment and depends on the owner's knowledge of the dam and
how it works. The elements of the safety program are combined to form the Dam
Management and Maintenance Plan which is described in more detail in Part 2 of the
Indiana Dam Safety Inspection Manual.

Developing an effective dam safety program is the single most important measure a
dam owner can take to reduce the possibility or consequences of dam failure. Potential
losses resulting from dam failure will continue to increase and may intensify as pop-
ulation growth and land development continue. Determination of liability is the legal
means developed by society to recover damages due to a "wrong" (in this case, lack of
dam safety) and is another aspect of the dam safety problem. A thorough
understanding of this legal process can help the dam owner decide the steps to be
taken to reduce liability.

Dam owners should also be financially prepared to perform necessary dam inspections,
maintenance, and repairs. A reserve monetary fund that will cover the required
expenses throughout the life of the dam should be established and maintained. The
owner will have to make an estimate of the required annual expenditures to set up an
appropriate financial mechanism.

3.2 COMPLIANCE WITH CURRENT STATE REQUIREMENTS

The dam owner is responsible for complying with all current state requirements
concerning dam ownership and operation. This responsibility applies to constructing
and operating new dams, existing dams, modification of existing dams and their
appurtenant works, safety inspection procedures, and dam maintenance. Failure to
comply with the laws can result in state-imposed fines and penalties, as well as state
mandates to drawdown or remove the dam and reservoir completely. When in doubt,
the dam owner should contact IDNR or obtain assistance from a qualified dam safety
professional to determine the applicability of current dam safety laws (see Part 1,
Chapter 1).

Ignorance of the laws is no excuse for noncompliance, and failure to follow Indiana laws
will generally cost the dam owner more money than had he/she properly complied in the
first place. Noncompliance may also increase the owner’s potential liability costs
associated with downstream damages in the event of a dam failure, especially if the
noncompliance can be proven to be intentional negligence.

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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.

3.3 REPORTING REQUIREMENTS

Under current law, the dam owner must have a professional engineer inspect high
hazard dams at regular intervals and submit an inspection report to IDNR on an
approved form (see Part 3). The report must include an evaluation of the dam’s
condition, spillway capacity, operational adequacy, and structural integrity. The report
must also include a determination of whether deficiencies exist that could lead to the
failure of the dam, along with recommendations for maintenance, repairs, or alterations
to the structure to eliminate the deficiencies.

IDNR is currently responsible for the inspection of significant and low hazard dams at
regular intervals. IDNR completes an inspection report for these dams and maintains a
copy of each report in their files. IDNR presently charges the dam owner a fee for these
inspections: significant hazard dam - $200; low hazard dam - $100. However, such
routine inspection by the IDNR does not absolve the dam owner of the liability and
responsibility to operate and maintain a safe dam. Dam owners are encouraged to
conduct independent inspections no matter what hazard classification the dam has.

The dam owner should also file a verbal or written report for any of the following
incidents to their engineer as well as the IDNR as soon as they occur or as they begin
to occur:

● significant changes in the dam’s condition that affect dam safety, such as slides,
deep sink holes, significant seepage, or piping
● unintentional releases of reservoir water resulting from a dam component failure
● an uncontrolled breach failure
● change in hazard classification due to downstream development
● intent to make major dam repairs

The dam owner must notify IDNR in writing of the sale or other transfer of ownership of
the dam. The notice must include the name and address of the new owner.

3.4 FINANCIAL OBLIGATIONS

Anyone who builds a new dam or owns or acquires an existing dam must be prepared
to bear certain financial obligations, including:

● ongoing dam inspection and repair

● routine dam maintenance

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● potential upgrades if upstream/downstream conditions or dam structure

degradation so warrant
● liability insurance

Depending on the hazard classification, the current condition, and the size and type of
the dam or structure, these financial obligations can be substantial expenditures.
Therefore, it is very important for a prospective dam owner to fully evaluate the
requirements before building or purchasing a dam. Routine dam maintenance costs
may be relatively modest, but large scale repairs, or dam upgrades can cost the dam
owner large amounts of money.

Insurance can provide liability and asset protection, so it is very important to dam
owners, especially high hazard dam owners. The level of insurance is based on the
value of the facilities at risk, potential downstream impacts, condition and age of the
dam, likelihood of an incident occurring, government requirements, and the cost of
available insurance. Insurance may cover liability and damage, the cost of business
interruption, lost income, and worker’s compensation.

3.5 SELECTION OF A QUALIFIED DAM SAFETY PROFESSIONAL

A property owner planning to construct or acquire 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 should remain in close
contact with the engineer to periodically review the design and the desired project goals.
Design plans that are submitted to IDNR or other agencies for permitting usually require
the seal and signature of a professional engineer licensed in the state of Indiana.

The inspection of a dam requires the services of a dam safety professional with a broad
range of specialized expertise. Dam safety inspections require an understanding of
hydrology, hydraulics, soils, and the behavior of the materials used to construct and
support the dam. The inspection should be supervised by a project engineer, who is a
registered professional engineer. The project engineer will likely need specialized
technical input and support from hydraulic, geotechnical, geological, structural, and
mechanical engineers as well as licensed land surveyors.

Finding and hiring a registered professional engineer to design or inspect a dam can be
a difficult task from the point of view of the owner. The dam owner should get feedback
on the engineer's qualifications, responsiveness, experience, and ability to obtain a
permit. Compared to the number of engineers in Indiana, very few have experience
designing dams, performing construction inspections, and inspecting existing dams.
During the period 1977-1981, 607 Corps of Engineers Phase I Reports were prepared
for non-federal dams in Indiana, and the vast majority of these reports were prepared by
professional engineers in private practice.

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The proper way to select an engineer or inspector is by assessing their qualifications,

ability to perform the work in a timely manner, and willingness to work with the owner.
Selecting a professional firm by comparing cost proposals or by competitive bidding can
result in selecting someone who asks the lowest fee and provides the least service;
therefore, the owner should be aware of the pitfalls of competitive bidding for
professional services. 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 generally accepted procedure for selecting a qualified dam safety professional
includes the following:

● define the scope of work for the project

● identify potential professional firms
● send several firms the scope of work, and request
● evaluate the proposals and conduct selected interviews
● determine which firm best meets the owners needs
● negotiate the terms of the agreement and the price

Proposals are normally requested from three or four firms and usually contain the
following information:

● firm’s background and understanding of the project

● related project experience
● a work plan for the project
● qualifications of the key personnel that will be involved.

The fee for professional services should always be reasonable from the point of view of
the owner and the professional firm. This is especially true because many dams are
owned by people with fixed incomes and limited resources. The fee proposal that an
owner will receive from a professional firm normally relates only to direct labor and
administrative costs. With regard to permits, the condition of an existing dam is usually
the most important factor in determining the cost of preparing a permit application.
When numerous modifications are required to bring an existing dam into compliance
with the law, the fees will ordinarily be higher.

A written contract should be insisted upon by the professional firm. In today's society, a
handshake by the owner and the professional and reliance upon good faith simply will
not do. Litigation seems to be a popular course of action and it is extremely important
for understandings and agreements between the dam owner and the professional to be
in writing. At a minimum, the contract should cover the following items:

● a description of services to be provided by the engineer

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● a description of any services to be provided by the owner

● the fee to be paid to the firm, including payment procedure and terms
● procedures for changing the scope of services
● provisions for termination of the contract

During dam construction or repair, the owner should work closely with both the engineer
and the contractor. Unforeseen site conditions are frequently uncovered that require
the owner to approve design changes. The contractor's primary role is to construct or
repair 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 for making sure 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 Division of Water should be contacted before significant field changes are made to
the approved plans. Once the dam has been constructed and the reservoir has filled,
the engineer should certify that the dam was constructed in accordance with the design
plans and submit as-built drawings to IDNR, Division of Water.

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. The owner may have to, or may want to, hire a qualified
dam safety professional to conduct routine safety inspections, particularly on high-
hazard dams.

3.6 PERMITS

If a dam does fall under IDNR jurisdiction, a permit will be required to construct or
modify the dam or its appurtenant structures. During the permit application process,
IDNR will review the information provided by the dam owner for adequacy. The owner’s
designer is responsible for the safe design of all components of the dam and
appurtenant works. IDNR has specific guidelines (see Subchapter 1.7, Part 1) that
should be followed for the design and construction of the dam, and these guidelines
should be adhered to by the dam owner to obtain and maintain a permit. Part of the
permitting process involves public notification of the construction activities before
construction begins.

Most new dams and significant dam repair work will also require erosion control plan
approval before construction may begin. The Indiana Department of Environmental
Management (IDEM) and the Natural Resource Conservation Service are involved with

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review and approval of the design and construction plans. Public notification is also
required for this permitting process.

IDEM and the US Army Corps of Engineers (USACE) may also be involved with dam
construction projects, and may issue permits for construction in State or Federal waters,
stream impacts, wetland impacts, or wetland mitigation, depending on the site specific
conditions.

Local permits may be required from county or city drainage boards, and from sanitary
authorities, as applicable. Drainage board approval is usually required for the
embankment grading plans and the modification to the county drainage patterns and
stormwater discharge. Approval may also be required from county or city sanitary
authorities if residences are located adjacent to the reservoir and they are on well water
or septic systems. In these cases, the dam plans and calculations must demonstrate
that the reservoir flood stage levels will not impact the water wells or septic systems.
Local requirements may vary from one municipality to another.

The dam owner should enlist the help of a qualified dam safety professional to
determine the full range of permitting requirements for the construction, repair, or
upgrade of the dam. The type of permitting issues also affect the type of engineering
plans and calculations that must be performed, the information that must be submitted
to the agencies, and the length of time it will take before actual construction work may
begin.

3.7 RECORD KEEPING

Dam project files should be compiled in a systematic format. A standardized, orderly,

predetermined arrangement will facilitate the use of the files and accommodate future
additions more readily. Generally, the project files will grow with time as new and
additional information is added.

Dam owners should file all pertinent information in the project file, including background
information, geological data, mapping, design information and plans, construction
records, inspection records, monitoring data, photographs, maintenance and repair
records, project correspondence, and other operational information. Table 3-1 contains
a summary of the broad range of information that may be included in the project file.

The data sources for a specific dam may be in several locations, depending upon the
developmental history of the project, previous file maintenance techniques, and any
ownership changes.

Records for dams constructed with the Natural Resource Conservation Service (NRCS,
formerly the Soil Conservation Service) or IDNR assistance may be found in the active
files and archives of those agencies. If design or other engineering services were
provided by other Federal agencies such as the Bureau of Reclamation (now the Water

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and Power Resources Service) or the U.S. Army Corps of Engineers (USACE), records
may be located in the archives of those agencies. Engineering firms that have been
involved with the dam should have project files concerning the work they performed.

Table 3-1
Recommended Information Database for Project Files

(1) Background Information Sources

Dam owner & responsible parties Regional & site geologic & seismic reports
Dam location Logs of drill holes & test pits
Site topographic mapping Geophysical exploration reports
Surface & subsurface geology Project files & maps
Exploration techniques employed Materials testing reports
Regional & site seismicity USGS Quadrangle maps
Soil surveys and land use County soil maps
Photographs
Emergency Action Plan (if available)

(2) Design Information Sources

Material engineering properties Design reports & calculations

Embankment design & materials Technical record of design
Stability analysis & assumptions IDNR project files
Structural design criteria Field & laboratory test reports
Drainage area characteristics Flood hydrology reports
Rainfall & stormwater runoff analysis Hydraulic model reports
Design flood Precipitation and runoff calculations
Reservoir flood routing analysis Contract plans & specifications
Spillway and outlet hydraulic analysis & design Dam breach flood routing analysis
Mechanical & electrical components Geotechnical reports
Hazard potential classification

(3) Construction Records Sources

Construction procedures, methods & control Construction specifications

Quality control test procedures & results Daily construction inspection reports
Foundation surface characteristics & treatment Construction progress record
Abutment surface & treatment Quality control testing reports
Subsurface treatment & drainage control Foundation acceptance reports
Design-related changes Project correspondence
Final configuration of dam & foundation As-constructed drawings & photographs
Extraordinary events during construction Instrumentation installation reports

(4) Operational Performance Records Sources

Inspection Reports Previous operation & maintenance reports

Post-construction record floods & seismic activity Previous inspection reports
Hydraulic performance of spillway & outlet Special inspection reports
Structural behavior of embankment & foundation Instrumentation records
Water retention behavior of embankment & foundation Design operating criteria
Chronological reservoir stages Standard operating procedures & manuals
Noteworthy spillway & outlet discharges Materials testing reports
Repairs, alterations or modifications & reasons Regional & site maps showing access routes
Materials deterioration descriptions IDNR project files
Layout & performance of surveillance instrumentation Dam owner’s project files
Original instrumentation design assumptions
Access route to the dam, spillway & outlet
Maintenance records
Operating procedures & records

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CHAPTER 4.0

DAM INSPECTOR RESPONSIBILITIES

4.1 EXPERIENCE AND TRAINING ................................................................. 4-1

4.2 INSPECTOR LIABILITIES ......................................................................... 4-3

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4.0 DAM INSPECTOR RESPONSIBILITIES

4.1 EXPERIENCE AND TRAINING

The required expertise of the inspector or inspection team depends on the type of
inspection being performed, the type of dam, and the site conditions. The inspection
personnel should be familiar with dam design and construction, the causes of dam
failures, and the visual signs which identify problems or potential concerns. It is
recommended that inspectors have formal training on dam inspection techniques.
Table 4-1 lists some guidelines for the qualifications of the inspector or inspection team.

Inspection teams for a formal Table 4-1

technical inspection should Recommended Inspection Team
include a registered professional Formal Technical Inspection
engineer, experienced in dams, ● Lead Inspector - registered professional engineer with dam experience
as the lead inspector. The lead ● Assistant Inspector(s) - other dam safety professionals as needed based
on type of dam and appurtenant works
inspector should have knowledge ● Dam Owner or representative
with soil and soil construction, Maintenance Inspection
hydrology, hydraulics, dam ● Dam Maintenance Personnel - may be accompanied by a qualified dam
design and construction, and safety professional

dam safety inspection methods. Informal Inspection

The inspection team size and ● Dam Owner or Maintenance Personnel
member expertise will vary Special Inspection
depending upon the type of dam, ● Dam Owner or Maintenance Personnel - should be accompanied by
engineer or other professional
and the condition of the dam or
types of problems that may be Note: Assistant Inspectors should be professional engineers or geologists
with expertise in the materials or area of investigation; e.g. a
present. A formal technical geologist would be required for complex geological foundation
inspection of a dam and its conditions.

appurtenances requires study, investigation, and analyses of many diverse, individual

subjects and conditions, together with evaluations of their interrelationships.
Accordingly, this kind of inspection requires skilled specialists with expertise that is
pertinent to the dam conditions, and individuals with the broadest possible experience in
all phases of dam design and construction engineering for overall review. Inspecting
personnel may include individuals who are civil engineers, geotechnical or mining
engineers, hydrologists, geologists, structural engineers, engineering technicians, dam
operators or tenders, and other specialists, depending on the components of the dam to
be inspected. The lead inspector may perform the visual inspection alone if he/she has
a broad-based, educational and technical experience with dams and if the dam does not
have complex features or severe problems. On larger, complex dams it is likely that no
one individual will have all the necessary expertise that is required, and an inspection
team will be needed. Larger organizations may be fortunate enough to have staff that
includes mechanical engineers, hydrologists, electrical engineers, geotechnical
engineers, and other specialists available to evaluate specific features of a dam.

Inspecting personnel, regardless of their field of expertise, need to have knowledge in

the design, analysis, construction, and operation of dams. The dam owner or his

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representative should always be present during a formal technical inspection to learn as

much as possible about the dam and potential problems.

A maintenance inspection is typically performed by the person(s) assigned responsibility

for the operation or maintenance of the dam and its appurtenant works. This person is
often referred to as the dam operator or dam tender. The person assigned this
responsibility should be familiar with the dam and should possess sufficient knowledge
to make accurate assessment of the dam’s condition. An engineer or other qualified
dam safety professional may accompany the dam operator or tender during a
maintenance inspection, but generally does not.

The dam owner, dam operator, or dam tender typically performs informal inspections
and special inspections. Again, an engineer or other qualified dam safety professional
may be required to assist in a special inspection depending on the specific situation.

There may be times when specialists

must apply scientific and engineering
knowledge and experience to a wide
range of tasks during a dam inspection.
These tasks may include interpretation of
the geologic structure of dam sites,
appraising the engineering properties of
the foundation and embankment,
predicting and analyzing seepage,
calculating and analyzing stresses and
stability of embankments and
appurtenant structures, evaluating the
runoff from watersheds, estimating the Figure 4-1The inspector evaluating this dam must be familiar
with concrete, modes of deterioration, and repair methods.
capacity and flow in spillways and
outfalls, evaluating the mechanical and electrical equipment if present, and analyzing
instrumentation and other monitoring data. The proper performance of these tasks
usually requires qualified individuals such as civil engineers, soils or geotechnical
engineers, engineering geologists, structural engineers, hydraulic engineers, and
hydrologists. Occasionally there may be a need for the services of a mechanical
engineer, an electrical engineer, or a seismologist. The assistance of engineering and
geological technicians, surveyors, and laboratory technicians may also be required.

Highly specialized services may also be required for some dams. These services may
include underwater visual inspections, televised conduit inspections, or geophysical
investigations. These services are readily available through specialized firms and will
usually require advance notification and contractual arrangements. Televised conduit
inspection may be required when conduit diameters are small or when direct access is
not possible or feasible. Drilling or other geophysical services may be required if
additional subsurface information is needed. If drilling is required, more often than not
soils laboratory services will be required to determine the engineering parameters of the
soil samples obtained during drilling. Only firms with experience pertaining to the

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specific materials at the site should be selected.

Finally, the prepared inspector or inspection team needs to have a thorough knowledge
of the dam's history so that they can put what they see into perspective. A review of
applicable project records improves the inspector’s ability to evaluate observed
conditions while on the site. The review of the project documents will alert the
inspector to conditions and features of special concern and should identify information
the owner or operator should have available at the inspection. With prior notification,
the owner or operator can have this information available and be prepared to answer
pertinent questions.

4.2 INSPECTOR LIABILITIES

Dam inspectors are responsible for helping the dam owner protect the safety of life and
property, so they must possess the expertise and knowledge needed to fully evaluate
the dam in question. Failure to discover potential dam safety problems due to a poor
inspection could have disastrous results and the inspector could be held liable for such
an oversight, especially if the problem should have been detected by an experienced
dam safety professional. The dam owner hires a professional inspector to perform a
service that will help protect him (the dam owner) from potential financial and legal
liabilities resulting from dam failures. Therefore, the dam owner has a reasonable right
to expect an accurate and comprehensive report on the condition of the dam, along with
recommendations for needed repairs, monitoring, or other follow-up work. An individual
should not perform the inspection if he/she is not knowledgeable with the conditions or
materials that are present at the dam. It is important that the dam owner use only
qualified inspectors, and it is even more important that inspectors do not perform
inspections that are beyond their expertise or capabilities.

Inspectors should approach every inspection as though they could be held accountable
for any damage that would result from a potential safety problem that they did not
discover. On the other hand, it is reasonable to expect that the inspector can not be
held accountable for safety problems that could not be observed during the field
examination. These problems could include such things as foundation piping that exited
in some obscure spot downstream of the dam, embankment problems that occur under
water where normal inspections could not detect the problem, or a problem on an
embankment that is heavily vegetated and not accessible for inspection. Likewise, an
inspector can not be held liable for safety problems that develop after the visual
inspection is completed.

It is recommended that inspectors, or their firms, carry professional liability insurance to

cover errors of omission, such as problem oversight, or negligence due to incomplete
inspection coverage. It is further recommended that the dam owner only hire
professionals or firms that carry liability insurance.

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CHAPTER 5.0

RISKS AND HAZARDS OF DAM FAILURE

5.1 RISKS OF DAM FAILURE ......................................................................... 5-1

5.2 TYPES AND CAUSES OF DAM FAILURE................................................ 5-5

5.3 NOTABLE DAM FAILURES....................................................................... 5-7

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5.0 RISKS AND HAZARDS OF DAM FAILURE

5.1 RISKS OF DAM FAILURE

Risk can be defined as the probability that a dam may fail; no matter how well a dam is
built or maintained, the risk of failure cannot be reduced to zero. Hazard describes the
probable consequences of dam failure, such as, loss of life and property damage. A
dam may have a small risk of failure, but may present a high hazard should failure
occur, particularly if a large number of people live within the inundation zone of the dam.
Since all dams pose some risk, no matter how small, all dams present a hazard to the
public or property. Dam failures are severe threats to life and property and are now
being recorded and documented much more thoroughly than in the past. Recorded
losses have been high. Life and property loss statistics fully justify the need for dam
owners to better understand the risks of failure and the hazards to the public posed by
dams, the types of conditions or factors that promote these risks, and, generally, the
reasons why dams fail. Improving a dam owner's understanding of risk factors and
possible reasons for failure is an essential first step in any overall effort to improve dam
safety and preserve the benefits of dam ownership.

The risk factors that can cause dam failure are translated into high risks when people or
property are threatened. These risk factors can be classified into one of four categories:
1) structural factors, 2) natural factors, 3) human factors, and 4) operating factors.

Structural Factors

The dam structure itself can be a source of risk due to possible design or construction
flaws, the size of the dam and the storage area of the reservoir, the complexity of the
dam and its appurtenant works, the age and condition of the dam, general foundation
and abutment conditions, seepage potential, construction material characteristics, and
weaknesses which develop because of aging. Poor embankment design or
construction can lead to cracking or sliding of the soils which may result in the
uncontrolled discharge of water. Poorly installed embankment materials or spillway
structures can lead to serious soil piping or seepage, both of which can lead to
uncontrolled loss of water. The site immediately surrounding the structure may also in-
crease structural risk if the dam is not positioned or anchored properly or if excessive
reservoir seepage erodes the foundation or abutments. The abutments and foundation
may have inherent weaknesses in the form of faulting and rock condition, such as
fractures, shear zones, relief jointing and solubility. Some embankment, foundation, or
abutment materials have a potential for liquefaction to occur during seismic events.
High dams will impose more pressure on the embankment and foundation of the dam
which can increase the risk of seepage and slope failure. Reservoirs with inadequate
storage capacity can lose their ability to contain flood events by losing storage from
sedimentation. Construction material characteristics such as permeability, erodibility,
and strength also may present a risk to dam failure if they are inadequate for the dam
loading conditions. As dams age, they tend to lose their strength through material
deterioration, making them more susceptible to dam failure. All of these conditions

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pose risks to the dam safety by potentially affecting the structural integrity of the dam,
the foundation, or the abutments.

Natural Factors

Natural risks such as floods from high precipitation, floods from dam failures, earth-
quakes, landslides, and sedimentation are also important contributors to risk. Floods
from high precipitation are the most significant natural events that can impact dams and
pose a hazard to people and property. Failure to account for these events has been
costly both to dam owners and the public in general.

Flash floods can happen anywhere, even in small watersheds. Floods are the most
frequent and costly natural events that lead to disaster in the U.S. Therefore, flood
potential must be included in risk analyses for dam failure. Indiana has design flood
criteria that are based on a percentage of the probable maximum precipitation (PMP)
based on the dam's hazard potential. A PMP is the precipitation that may be expected
from the most severe combination of critical meteorologic conditions that are reasonably
possible in the region. This assumed event becomes the basis for the design of
structural and hydraulic elements of the dam.

When a dam fails as a result of a flood, more people and property are generally placed
in jeopardy than during natural floods. The Rapid City, South Dakota flood of 1970,
which killed 242 people, caused a dam failure which added significantly to the loss of
life. When a natural flood occurs near a dam, the probability of failure and loss of life
almost always increases. The sudden surge of water generated by a dam failure
usually exceeds the maximum flood expected naturally, therefore, residences and
businesses that would escape natural flooding can be at extreme risk from dam failure
flooding. When one dam fails, the sudden surge of water may well be powerful enough
to destroy another downstream dam, compounding the disaster.

Earthquakes are also significant threats to dam safety. Both earthen and concrete
dams can be damaged by ground motions caused by seismic activity. Cracks or
seepage can develop, leading to immediate or delayed failure. Recent detailed seismic
analyses have indicated that the seismic risk is essentially nationwide. Dam owners
should be aware of the history of seismic activity in their locality and should develop
their dam safety emergency procedures accordingly.

Indiana has several faults, but, unlike California’s famous San Andreas Fault, nearly all
of Indiana’s faults are buried and can’t be seen at the surface. Most of the faults that
have been mapped in Indiana are located in the southwestern corner of the state.
These faults extend into Illinois and are collectively known as the Wabash Valley Fault
System. These mapped faults are believed to be unlikely candidates for future
movement. The earthquakes that have occurred in Indiana during the last 200 years
are believed to be the result of movement along faults at great depth below the surface.
This depth and the nature of the rock layers at that depth have limited the ability of
seismologists to successfully map earthquake-generating faults using reflection seismic

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profiling. Much more research is needed before we will know the full extent of faulting
beneath Indiana and the potential for movement along those faults.

During the last two centuries, earthquakes with epicenters in Indiana have been
relatively minor events. However, this has not always been the case. Indiana
University archaeologists Pat Munson and Cheryl Munson, and U.S. Geological Survey
geologist Steve Obermeier have found evidence of at least 6 major earthquakes with
epicenters in Indiana during the last 12,000 years. The largest of these quakes appears
to have had an epicenter near Vincennes and has been estimated to have been many
times more powerful than the quake that struck the Los Angeles area in January 1994.

The New Madrid fault in what is now

southeastern Missouri experienced
movement on December 15, 1811, that
produced shock waves that rippled through
the earth with such force that buildings
collapsed, trees toppled, and the
Mississippi River changed course. The
result was one of the most powerful
earthquakes ever recorded in North
America. During the next two months, the
area was rocked by three more quakes as
powerful as the first (one just six hours after
the first) and hundreds of smaller ones. The
larger quakes shook the earth with enough
force to cause church bells to ring in
Washington, D.C. They were felt in Indiana
and were even felt a thousand miles away
in New Hampshire.

Since the New Madrid quakes, Indiana has Figure 5-1 Earthquake epicenters in Indiana and neighboring
states from 1800 to 1995 (source: Indiana Geological
felt the effects of many earthquakes (see Survey).
figure 5-1). The strongest of these was the
1895 Charleston, Missouri quake, which damaged buildings in Evansville and other
parts of southwestern Indiana. According to the U.S. Geological Survey, the strongest
quake centered in Indiana during historic times struck the Wabash River valley on
September 27, 1909. This quake knocked down chimneys, broke windows, and
cracked plaster in the lower Wabash Valley and was reportedly felt in Arkansas, Illinois,
Iowa, Kentucky, Missouri, Ohio, and Tennessee. More recently, Indiana was shaken in
1987 by a quake centered near Olney, Illinois, just west of Vincennes.

Rock slides and landslides may impact dams directly by blocking a spillway or by
eroding and weakening abutments. Indirectly, a large landslide into a reservoir behind a
dam could cause an overflow wave which may exceed the capacity of the spillway and
lead to failure. A land (or mud) slide can form a natural dam across a stream which can
then be overtopped and fail. In turn, failure of such a natural dam could then cause the

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overtopping of a downstream dam or by itself cause damage equivalent to the failure of

a human-made dam. In addition, large increases in sediment caused by slides (or
runoff) events can materially reduce storage capacity in reservoirs and thus increase a
downstream dam's vulnerability to flooding. Sedimentation can also damage low-level
gates and water outlets; damaged gates and outlets can lead to failure.

Human Factors

Human behavior is another element of dam failure risk; simple mistakes, operational
mismanagement, unnecessary oversights, or destructive intent can interact with other
hazards to compound the possibility of failure.

All sorts of other human behavior should be included in risk analyses. Vandalism for
example cannot be excluded and is, in fact, a problem faced by many dam owners.
Vegetated surfaces of a dam embankment, mechanical equipment, manhole covers,
and rock riprap are particularly susceptible to damage by people. Every precaution
should be taken to limit access to a dam by unauthorized persons and vehicles. Dirt
bikes (motorcycles) and four-wheel drive vehicles, in particular, can severely degrade
the vegetation on embankments. Worn areas lead to erosion and more serious
problems. Mechanical equipment and associated control mechanisms should be pro-
tected from purposeful or inadvertent tampering. Buildings housing mechanical
equipment should be sturdy, have protected windows, heavy duty doors, and should be
secured with deadbolt locks or padlocks. Detachable controls, such as handles and
wheels, should be removed when not in use and stored inside the padlocked building.
Other controls should be secured with locks and heavy chains where possible.
Manhole covers are often removed and sometimes thrown into reservoirs or spillways
by vandals. Rock used as riprap around dams is sometimes thrown into the reservoirs,
spillways, stilling basins, pipe spillway risers, and elsewhere. Riprap is often displaced
by fishermen to form benches. The best way to prevent this abuse is to use rock too
large and heavy to move easily or to slush grout the riprap. Otherwise, the rock must
be regularly replenished and other damages repaired. Regular visual inspection can
easily detect such human impacts.

Two extremes of human purpose can both result in public risks: 1) the will to destroy
through war or terrorism, and 2) the urge to develop and to construct. Dams have
proven to be attractive wartime targets, and they may be tempting to terrorists. On the
other hand, a terrorist's advantage from holding the public at risk may well be illusory;
the deliberate destruction of a dam is not at all easy to bring about. Yet the possibility
exists that such an act could take place, and it should not be discounted by the dam
owner. Another more common activity that poses a risk is the tendency for people to
settle below dams. The construction of residences, buildings, and other structures in
the potential flood inundation zone creates new risks, and will probably create increased
risks in the future.

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Operating Factors

Operating factors that could pose a risk to dam failure, and thus, create a safety hazard
to people and property include the remoteness and accessibility to the site, lack of
operator training or experience, poor dam maintenance procedures, lack of an
inspection program, reliability of power for electrical equipment, and the complexity of
the equipment and operating procedures at the dam.

Thus, a broad range of natural and human hazards exist that, taken separately or in
combination, increase the probability of dam failure and injury to people and property.

5.2 TYPES AND CAUSES OF DAM FAILURE

Dam failures are usually the result of improper

design or construction, or poor maintenance.
Dam failures are categorized into two types in
this manual: Type 1, component failure of a
structure that does not result in a significant
reservoir release; and, Type 2, uncontrolled
breach failure of a structure that results in a
significant reservoir release.

Type 1 failures include localized seepage and

structural failures of dam components that do
not breach the dam into the reservoir. Type 1 Figure 5-1 Type 1 component failure.
failures are generally local failures of a dam
feature, such as an embankment slide that does not breach the crest, a spillway
structural failure, a piping condition in its early stage of formation, a trash rack failure, or
settlement on an earth dam embankment that does not extend to the water level. Type
1 failures are critical, require immediate
attention, and may lead to a Type 2 failure.
Type 1 failures may also require emergency
response, reservoir drawdown, or remedial
correction.

Type 2 failures are failures that do result in a

significant release of the reservoir and may
eventually result in a dam breach with total
release of the reservoir. There are three
general categories of Type 2 failures: (1)
hydraulic failures, (2) seepage failures, and
(3) structural failures. Type 2 failures often
result from Type 1 failures that were Figure 5-2 Type 2 uncontrolled breach failure. This started
as a seepage failure and progressed to a structural failure of
improperly corrected or were ignored. the dam.

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There are many complex reasons for dam failure, including both structural and
nonstructural. Many sources of failure can be traced to decisions made during the
design and construction process and to inadequate maintenance or operational
mismanagement. Failures have also resulted from the natural hazards already
mentioned, such as large scale flooding and earthquake movement.

The United States Bureau of Reclamation Research has shown that approximately one-
third of all uncontrolled breach failures are a result of overtopping due to inadequate
spillway capacity. Another one-third of dam failures are caused by uncontrolled
seepage through the embankment or foundation. The remaining one-third of dam
failures is caused by foundation failures and other miscellaneous causes. This summary
is highly simplified, and in reality, most dam failures result from a combination of events.

Overtopping may develop from many sources, but often evolves from inadequate
spillway design. Alternatively, even an adequate spillway may become clogged with
debris. In either situation, water flows over Table 1-1
other sensitive parts of the dam, such as Types of Dam Failures

abutments or the dam crest, and erosion and Type 1 - Component Failure
failure follow. Concrete dams are more ● Localized, does not breach dam
● Insignificant release of reservoir water
susceptible to foundation failure than ● Types
overtopping, whereas earthfill dams suffer 1. Seepage failure
Pervious reservoir rim or bottom
more from seepage and piping. Pervious foundation
Pervious dam
Leaking conduits
The major reason for failure of fill or Cracks in dam
embankment dams is piping or seepage. All Seepage erosion
Inappropriate vegetation
earthen dams exhibit some seepage; 2. Structural failure
however, this seepage can and must be Dam or foundation slides and sloughs
Dam settlement
controlled in velocity and amount. Seepage Spillway cracks or failure
occurs through the structure and, if Severe erosion

uncontrolled, can erode material from the Type 2 - Uncontrolled Breach Failure
downstream slope or foundation backward ● Results in dam breach
● Significant or total release of reservoir water
toward the upstream slope. This "piping" ● Types
phenomenon can lead to a complete failure 1. Hydraulic failure
Dam overtopping
of the structure. Piping action can be Wave erosion
recognized by an increased seepage flow Dam toe erosion
Severe erosion
rate, the discharge of muddy or discolored 2. Seepage failure
water below the dam, sinkholes on or near Pervious reservoir rim or bottom
Pervious foundation
the embankment, and a whirlpool in the Pervious dam
reservoir. Leaking conduits
Cracks in dam
Piping through dam or along conduits
Earth dams are particularly susceptible to Inappropriate vegetation
Windblown trees
hydrologic failure since most soils erode at Animal burrows
relatively low water flow velocities. 3. Structural failure
Dam and foundation slides
Hydrologic failures result from the Dam failure
uncontrolled flow of water over the dam, Dam settlement
Spillway cracks or failure
around the dam, adjacent to the dam, and

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the erosive action of water on the dam's foundation. Once erosion has begun during
overtopping, it is almost impossible to stop. In a very special case, a well-vegetated
earth embankment may withstand limited overtopping if water flows over the top and
down the face as an evenly distributed sheet and does not become concentrated in a
single channel.

Failure of concrete dams is primarily associated with foundation problems. Overtopping

is also a significant cause, primarily because of spillways with inadequate capacity.
Earthquakes and poor concrete design or construction may also result in failure of
concrete dams.

5.3 NOTABLE DAM FAILURES

Earthen Dam Failures

South Fork Dam, Pennsylvania

South Fork Dam was an embankment dam built across the Conemaugh River, about 9
miles above Johnstown, Pennsylvania, between 1838 and 1853. The purpose of the
dam was to supply water to a navigable canal from Johnstown to Pittsburg. The dam
was 70 feet high and impounded 12,400 acre-feet. The dam was modified by closing
off the outlet pipes, building a bridge over the spillway, installing a road on the
embankment crest, and lowering the embankment by 3 feet. A fish screen was also
installed in front of the spillway to keep the fish from passing over the spillway. A very
heavy rainstorm occurred on May 30 and 31, 1889. The reservoir filled and the spillway
went into operation. A large amount of debris was washed into the reservoir and moved
toward the spillway where it became lodged against the fish screen. The reservoir
continued to rise as the spillway was largely blocked. Attempts to clear the spillway
were unsuccessful, and eventually the dam was overtopped. The dam subsequently
failed by erosion releasing a flood wave estimated to be 30 to 40 feet high. The flood
moved down the narrow valley of the Conemaugh River toward Johnstown and other
smaller communities, which were already experiencing flooding from the rainfall. The
flood wave swept through Johnstown in about 10 minutes. The devastation was
tremendous. Altogether, the death toll was estimated at 2,209, making this one of the
worst disasters in terms of loss of life in United States history. It was later calculated
that if a spillway had been built according to specifications and if the original outlet pipes
had been available for full capacity discharge, there would have been no overtopping.

Teton Dam, Idaho

Teton Dam was a 305-ft high central core, zoned, earth and gravel fill embankment
designed by the Bureau of Reclamation and completed in November 1975. The dam
was located on the Teton River in eastern Idaho. The Teton Dam failed on June 4,
1976, when reservoir filling was nearly complete. The failure was attributed to (1)
internal erosion (piping) of the core of the dam deep in the right abutment foundation
key trench, with the eroded soil particles finding exits through channels in and along the
interface of the dam with the highly pervious abutment rock and talus to points at the

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right groin of the dam; (2) destruction of the exit avenues and their removal by the out-
rush of reservoir water, (3) the existence of openings through inadequately sealed rock
joints which may have developed through cracks in the core zone in the abutment key
trench; (4) the development of piping through the main body of the dam that quickly led
to complete failure; and (5) the design of the dam did not adequately take into account
the foundation conditions and the characteristics of the soil used for filling the abutment
key trench. Flooding downstream inundated the communities of Rexburg and Sugar
City, Idaho, among others, and 11 people were killed. Property damage was in excess
of half a billion dollars.

Fontenelle Dam, Wyoming

Fontenelle Dam is a zoned earthfill embankment located on the Green River in Western
Wyoming. The dam was completed in 1964, and is 128 feet high and over 1 mile long.
A cutoff trench extends to bedrock and a grout cap and line of grout holes was drilled
along the centerline of the trench. During construction, several open joints and cracks
were encountered in the area of the spillway intake. These cracks angled into the
abutment in a downstream direction. A line of grout holes was added around the
spillway intake to restrict seepage through the foundation in this area. Also, an
impervious blanket was extended upstream along the lower part of the abutment. No
foundation surface preparation was done to seal the foundation in contact with the
embankment. Embankment material was placed directly over the open joints and
cracks in the foundation rock. As the reservoir began to fill, a seep occurred about
2,000 feet downstream of the dam. Seepage continued to increase as the reservoir
level rose. On September 3, 1965, when the reservoir was nearly full, a seep appeared
on the downstream slope of the dam. Within one day, the seep worsened and removed
10,000 cubic yards of soil from the embankment. A 30 feet deep sinkhole developed on
the crest the following day. Repair operations, consisting of rebuilding the damaged
embankment section, and extensive grouting, and a concrete diaphragm cutoff wall
eventually solved the seepage problem and averted an uncontrolled breach failure. The
seepage had come through the rock joints in the abutment and exited on the
downstream slope, causing the near disastrous failure.

Baldwin Hills Dam, California

The Baldwin Hills Dam was constructed between 1947 and 1951 in the city of Los
Angeles. Located on a ravine, the reservoir was formed by a continuous homogeneous
compacted embankment, with the maximum section being 232 feet high. The Baldwin
Hills Dam failed on December 14, 1963 following displacement of its foundation. The
displacement created a 3-ft wide crack in the embankment, causing seepage and
eventual breaching. The reservoir was completely drained in 2 hours. At least 2
theories for the failure have been proposed. It has been speculated that pressurization
of the nearby oil field caused movement along one of the faults passing beneath the
reservoir. Others believe that differential settlement occurred along one of the faults
due to the fractured and loosened nature of the fault zone material. Five people were
killed by the flood waters and nearly 1,000 homes were damaged. Total property
damage was over $11 million.

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Lawn Lake Dam

The Lawn Lake Dam was a 24-ft high earthfill dam built in 1903 in the Rocky Mountains
of Colorado at an elevation of almost 11,000 feet. The dam was owned and operated
by a private irrigation company. Early on the morning of July 15, 1982, the dam failed
releasing 700 acre-feet of water at a peak discharge of 18,000 ft3/s. The flood waters
raced down the steep Roaring River channel scouring it to a depth of as much as 35
feet and into the broad flat valley of the Fall River. There the flood waters were briefly
impounded by Cascade Dam, a 17-ft-high concrete gravity dam. Eventually, Cascade
Dam was overtopped by more than 4 feet and also failed. The damages from the failure
totaled $31 million and three people were killed. The probable cause of the failure was
believed to be the deterioration of the lead caulking used to seal the connection
between the upstream outlet-works pipe and the valve housing. As a result, water
under reservoir head was able to enter the fill and rapid progressive internal erosion, or
piping, led to a breaching of the dam.

Kelly Barnes Dam

The Kelly Barnes Dam on Toccoa Creek near Toccoa, Georgia, was about 400 feet
long, 20 feet wide at the crest, and 42 feet high at the maximum section. The dam was
concave upstream. The lake had a normal impoundment of about 18 million cubic feet
(410 acre-feet) and a surface area of about 42 acres. The lake level rose by
approximately 4.5 feet before the dam failed, and the water volume increased to about
27 million cubic feet. The Kelly Barnes Dam failed at approximately 1:30 a.m.,
November 6, 1977, after a period of intensive rain. Thirty-nine people were killed and
damages were estimated at $2.8 million.

The dam went through various stages of development: first as a rock crib dam, and
then with subsequent stages as an earth dam. The rock crib dam was completed about
1899 to back up water which would be used to power a small hydroelectric plant located
near the foot of the falls. About 1937, the Toccoa Falls Bible Institute was interested in
developing a more dependable power source and decided to build an earth dam over
the rock crib dam. This construction was performed with equipment provided by a local
manufacturer. After World War II, the earth fill was raised to a point where an earth
spillway on the left side of the valley could be utilized, and a low point on the rim on the
right side away from the dam would serve as a secondary spillway in case high flows
occurred. The final height of the dam was approximately 42 feet above the rock
foundation. This installation served as a power source until 1957 for the Toccoa Falls
Bible Institute, which later became the Toccoa Falls College. At this time, the
development of power was stopped but the dam continued to be used as a recreation
lake.

The Federal Investigative Board could not determine a sole cause of the November 6,
failure. It did conclude that a combination of factors caused the failure. The most
probable causes were a local slide on the steep downstream slope, probably associated
with piping, an attendant localized breach in the crest followed by progressive erosion,
saturation of the downstream embankment, and subsequently a total collapse of the
structure.

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Buffalo Creek Dam

On February 26, 1972, the Buffalo Creek (tailings) Dam in West Virginia failed, causing
a flood wave that killed 125 people and left another 4,000 homeless. The embankment,
which consisted of a pile of coal mine waste, impounded the reservoir but lacked the
features of an engineered dam. It was part of a system of spoil embankments and
sediment basins on a tributary of Buffalo Creek. Waste had been accumulating for
about 25 years before the failure. The piles consisted of shale, sandstone, low-grade
coal, and various kinds of timber and metal scrap. By 1960, the first embankment had
been extended to a length of approximately 1200 feet, a width of roughly 500 feet, and a
height of approximately 150 feet. This embankment had evidently burned for many
years. In about 1960, the mining company, to reduce stream pollution, began to run
waste water from its plant into the impoundment behind the embankment. The material
from this source was naturally finer than the embankment material and tended to seal
the embankment. The seepage slowed, and the reservoir level rose. Federal
inspectors visited the complex in 1966 and reportedly called attention to the precarious
condition of the embankment. In 1967, a new embankment was constructed 600 feet
upstream from the first barrier. Then, in 1970, a third fill was placed 600 feet upstream
from the second. The result was a staircase of poorly built embankments, with the
upper two founded on the soft sediment in the settling basins. By 1972, the newest of
the three embankments was roughly 500 feet in length and had risen about 44 feet
above the sediment in the middle pool. Its broad crest was nearly as wide as it was
long. A 24-inch steel overflow pipe was reportedly installed in July 1971, which
extended diagonally through the fill from one side toward the center. Aside from this,
the reservoir had neither spillway nor outlet. The pipe evidently did not have an inlet
structure or any cutoff collars.

Occasional slips and breaks had occurred during the lifetime of the embankments. In
1971, a mining company worker said that he had seen black water issuing from the floor
of the middle pool, indicating leakage through or under the uppermost dam. In the three
days preceding the failure, about 3.7 inches of rain fell in the area. Storm runoff caused
the reservoir behind the third dam to rise. The water level reportedly was within 1 foot
of the crest 4 hours before the collapse. Between 6 and 8 a.m. on that day, the water
rose onto the graded crest and washed through dumped waste that stood as high as 7
feet above the crest. A mining company employee reportedly was dispatched at 6:30
a.m. to find bulldozers for excavation of an emergency spillway, but the equipment
never reached the site. Longitudinal cracks appeared in the soggy fill. Slumping of the
downstream face dropped the crest and accelerated the overflow. The dam broke at
about 8 a.m. The upper pool had contained approximately 40O acre-feet of sludge and
water, which was completely discharged within a quarter of an hour. During the next 3
hours, a flood wave estimated as high as 20 feet moved down the 15 miles of the
Buffalo Creek valley at about 5 miles per hour. The village of Saunders at the upper
end of this reach was washed out, and extensive damage was done to several other
settlements downstream.

Canyon Lake Dam

One of the most intense floods in American history struck South Dakota's Black Hills on

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June 9, 1972, and destroyed much of Rapid City, a community of 43,000 people.
Canyon Lake was a 40-acre reservoir west of Rapid City. Canyon Lake Dam was an
earthen embankment approximately 20 feet high and 500 feet long, constructed by the
Works Progress Administration in 1938. The cause of the disaster was a violent rain-
storm which developed suddenly. Beginning early in the evening and continuing into
the night, as much as 10 inches of rain fell on a watershed where the normal annual
precipitation was only about 14 inches. Runoff accumulated rapidly on the steep rock
slopes and gained velocity in the narrow canyons on its way to the populated areas to
the east. Rapid Creek was discharging an estimated 30,000 cubic feet per second into
Canyon Lake. Floodwaters were rising fast against the 20-foot high earth dam. At
approximately 8:30 p.m., spillway releases were made in an attempt to control the lake
level. Beginning at about 9 p.m., a cloudburst brought as much as 6 inches of rain in 2
hours. Rapid Creek broke out of its banks. The mayor and the city engineer of Rapid
City inspected the Canyon Lake Dam just before 10 p.m. Men from the police and fire
departments were dispatched to warn people downstream from the reservoir. Many
residents underestimated the danger at first and remained in their homes. Water was
surging down the streets.

Near 10:30 p.m., the Canyon Lake Dam spillway was obstructed by debris and the
embankment was on the verge of overtopping. The storm water began to overtop the
dam and began to scour the embankment. The muddy torrent pouring from the
reservoir overwhelmed the winding channel of Rapid Creek all the way through the city.
At about 10:45 p.m., the dam washed out. The water and debris disgorged through the
breach. When the Canyon Lake Dam collapsed, the surge of debris-laden water struck
Rapid City with full force. Buildings near the creek were shattered. Many of the
occupants were unable to escape. Mobile homes and trailers were washed away.
Powerlines were knocked down and propane tanks were ruptured. There were many
fires and explosions. Natural gas escaped from broken pipelines and burst into flames
from the sparks of the downed powerlines. The final toll was 237 fatalities, 5 persons
missing, and 5,000 homeless in the path of the flood. More than half of Rapid City was
said to be devastated. Twelve hundred houses were demolished, and 2,500 others
were extensively damaged. About 100 commercial and industrial buildings had been
ruined. Approximately 5,000 wrecked automobiles were scattered throughout the city.
Seven of the nine bridges which had spanned Rapid Creek, 80 blocks of street, and 5.5
miles of railroad trackage were reported to have been destroyed. Total property damage
was estimated at $60 million.

Concrete Dam Failures

Austin, Pennsylvania
An example of a foundation problem can be found in the failure of the Austin,
Pennsylvania Dam in September, 1911. The concrete gravity dam was constructed in
1910 and was designed to contain 600 acre-ft of water. Shortly after reservoir filling
began, the dam dropped about 6 inches at the toe and slid out about 18 inches at the
spillway. Reservoir filling continued. On September 30, 1911 the dam suffered failure
as portions of the dam slid along the base and/or fell on their downstream face.

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Eventual failure occurred because of weakness in the foundation or in the bond

between the foundation and the concrete. The death toll was estimated at 87.

Walnut Grove, Arizona

In 1890 the Walnut Grove dam on the Hassayompa River failed due to overtopping, kill-
ing about 150 people. The failure was blamed on inadequate capacity of the spillway
and poor construction and workmanship. A spillway 6 X 26 feet had been blasted out of
rock on one abutment, but with a drainage area above the dam site of about 500 square
miles, the spillway could not provide nearly enough discharge capacity.

St. Frances Dam, California

The St. Francis Dam was a 205-ft high concrete gravity arch dam built in 1926. The
dam impounded a reservoir of 38,000 acre-feet. The design of St. Francis Dam was
suspect. The dam was raised twice during construction by a total of 20 feet or 11
percent of its design height without widening the base. The failure of the St. Francis
Dam (part of the water supply system for Los Angeles) was also attributed to a variety
of problems related to foundation pressures, seepage around the foundation and
operation. St. Francis Dam failed suddenly just before midnight on March 12, 1928.
The reservoir was nearly full at the time and emptied in about 70 minutes. The failure
not only removed most of the dam, but large sections of the foundation as well. The
flood wave traveled 9 miles down San Fancisquito Creek and then another 40 miles
down the Santa Clara River to the Pacific Ocean. Between the dam and the ocean, 450
people in towns and construction camps were killed. A recent analysis of the failure
concluded that the failure initiated with downslope movement of the left abutment
leading to tension cracks in the upstream face of the dam causing destabilizing uplift
pressures within the dam and subsequent collapse. Seepage through the abutments
prior to the failure had been reportedly muddy, suggesting that foundation material was
being removed, but the cloudy water had been dismissed by the dam's designer as
originating from a nearby construction site.

Vaiont Dam
The Vaiont Dam in Northern Italy is a thin-arch concrete dam built in the late 1950's and
filled in 1959; the dam is 850 feet high. In 1960, a relatively small slide of some 1.3
million yd3 occurred on the left abutment near the dam. At this time, it was discovered
that creep was occurring over a much larger area on the left abutment. In 1960-1961, a
bypass tunnel was driven through the right abutment for a distance of 1¼ miles. This
was done to assure that water could reach the outlet works in case of future slides.
Also, as a precaution, after the 1960 slide the reservoir was limited to a maximum
elevation of 2,230 feet. This reservoir elevation was about 145 feet below the top of the
dam. Gravitational creep on the left reservoir slope continued during the 1960-1963
period. Movements of up to 10 to 12 inches per week were observed on occasion. In
early October 1963, following weeks of heavy rains, engineers realized that all the
observation stations on the left abutment were moving together as a "uniform unstable
mass.” On October 8, the engineers began to lower the reservoir, however, because of
the heavy inflow from rainfall and the movement of the huge slide mass into the
reservoir, the level of the reservoir actually rose. On the evening of October 9, 1963, a

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massive rock slide occurred on the left abutment immediately upstream from the dam.
Over 300 million yd3 slid into the reservoir, filling the reservoir for 1¼ miles upstream
from the dam to depths of over 1,000 feet. This all occurred within a period of 15 to 30
seconds. The dam was overtopped by a 330-foot wave which headed down the narrow
canyon toward the city of Longarone, about a mile downstream from the dam. The
flood wave was over 230 feet high at the mouth of Vaiont Canyon and hit Longarone
head on. Everything in its path was destroyed. Over 2,600 people were killed by the
flood. The slide created strong earth tremors which were recorded in Brussels, over
500 miles away. Remarkably, the dam sustained no damage to the main shell or
abutments. However, the dam can no longer be used because the cost of removing
slide material is too great. The slide was caused by a combination of factors including:

1. adverse geologic features in the reservoir area

2. man-made conditions imposed by impounding water with bank storage, affecting
the otherwise delicately balanced stability of a steep rock slope
3. progressive weakening of the rock mass with time, accelerated by excessive
groundwater recharge (2 weeks of rain)

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APPENDICES

APPENDIX A INDIANA CODE FOR REGULATION OF DAMS

APPENDIX B HAZARD CLASSIFICATION OF DAMS

APPENDIX C REFERENCES

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APPENDIX A

INDIANA CODE FOR REGULATION OF DAMS

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INDIANA CODE (IC) 14-27-7.5 Chapter 7.5 Regulation of Dams

(Note: Consult the Indiana General Assembly web page for the most recent version of
this Code.)

IC 14-27-7.5-1
Applicability

Sec. 1. This chapter does not apply to the following:

(1) A structure that meets the following conditions:
(A) Is built for the sole purpose of erosion control, watering livestock,
recreation, or providing a haven or refuge for fish or wildlife.
(B) Has a drainage area above the dam of not more than one (1)
square mile.
(C) Does not exceed twenty (20) feet in height.
(D) Does not impound a volume of more than one hundred (100) acre-
feet of water.
(2) A structure that is regulated under the federal Mine Safety and Health Act
of 1977, unless the structure is proposed to be retained as a permanent
structure after bond release.

As added by P.L.148-2002, SEC.15.

IC 14-27-7.5-2
"Hazard classification"

Sec. 2. As used in this chapter, "hazard classification" means a rating assigned to a

structure by the department based on the potential consequences resulting from the
uncontrolled release of its contents due to a failure or misoperation of the structure.

As added by P.L.148-2002, SEC.15.

IC 14-27-7.5-3
"Height"

Sec. 3. As used in this chapter, "height" means the vertical dimension of a structure as
measured from the lowest point in the natural streambed or watercourse under the
centerline of the structure to the top of the structure.

As added by P.L.148-2002, SEC.15.

IC 14-27-7.5-4
"Owner"

Sec. 4. As used in this chapter, "owner" means an individual, a firm, a partnership, a

copartnership, a lessee, an association, a corporation, an executor, an administrator, a

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trustee, the state, an agency of the state, a municipal corporation, a political subdivision
of the state, a legal entity, a drainage district, a levee district, a conservancy district, any
other district established by law, or any other person who has a right, a title, or an
interest in or to the property upon which the structure is located.

As added by P.L.148-2002, SEC.15.

IC 14-27-7.5-5
"Structure"

Sec. 5. As used in this chapter, "structure" means a dam and its appurtenant works.

As added by P.L.148-2002, SEC.15.

IC 14-27-7.5-6
"Volume"

Sec. 6. As used in this chapter, "volume" means the amount of water that is impounded
by a structure:
(1) at or below the elevation of the top of the structure; or
(2) at or below the maximum design flood pool elevation;
whichever is lower.

As added by P.L.148-2002, SEC.15.

IC 14-27-7.5-7
Maintenance, repair, and sale; duties of owner

Sec. 7. (a) The owner of a structure shall maintain and keep the structure in the state of
repair and operating condition required by the following:
(1) The exercise of prudence.
(2) Due regard for life and property.
(3) The application of sound and accepted technical principles.
(b) The owner of a structure shall notify the department in writng of the sale or other
transfer of ownership of the structure. The notice must include the name and address
of the new owner of the structure.

As added by P.L.148-2002, SEC.15. Amended by P.L. 71-2004, SEC. 13.

IC 14-27-7.5-8
Powers and duties of department; hazard classifications

Sec. 8. (a) The department:

(1) has, on behalf of the state, jurisdiction and supervision over the
maintenance and repair of structures in, on, or along the rivers, streams,
and lakes of Indiana;

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(2) shall exercise care to see that the structures are maintained in a good and
sufficient state of repair and operating condition to fully perform the
intended purpose;
(3) shall grant permits for the construction and operation of structures in, on,
or along the rivers, streams, and lakes of Indiana;
(4) may adopt rules under IC 4-22-2 for permitting, maintenance, and
operation that are necessary for the purposes of this chapter; and
(5) may vary the standards for permits, maintenance, and operation, giving
due consideration to the following:
(A) The type and location of the structure.
(B) The hazards to which the structure is or may be exposed.
(C) The peril to life or property if the structure fails to perform the
structure's function.

(b) The department shall establish by rule the criteria for assigning a hazard
classification to a structure that is based on the potential consequences resulting
from the uncontrolled release of the structure's contents due to a failure of the
structure. The hazard classification system must include the following classes of
structures:
(1) High hazard: A structure the failure of which may cause the loss of life and
serious damage to homes, industrial and commercial buildings, public
utilities, major highways, or railroads.
(2) Significant hazard: A structure the failure of which may damage isolated
homes and highways, or cause the temporary interruption of public utility
services.
(3) Low hazard: A structure the failure of which may damage farm buildings,
agricultural land, or local roads.

As added by P.L.148-2002, SEC.15.

IC 14-27-7.5-9
High hazard structures; inspections; report; duty to make repairs or alterations;
notice of violation

Sec. 9. (a) The owner of a high hazard structure shall:

(1) have a professional engineer licensed under IC 25-31 make a technical
inspection of the high hazard structure and prepare or revise the
emergency action plan for the structure at least one (1) time every two (2)
years;
(2) submit a report of the inspection in a form approved by the department to
the department. The report must include at least the following information:
(A) An evaluation of the structure's condition, spillway capacity,
operational adequacy, and structural integrity.
(B) A determination of whether deficiencies exist that could lead to the
failure of the structure, and recommendations for maintenance,
repairs, and alterations to the structure to eliminate deficiencies,

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including a recommended schedule for necessary upgrades to the

structure.

(b) If after an inspection under subsection (a) the licensed professional engineer who
conducted the inspection determines that maintenance, repairs, or alterations to
a high hazard structure are necessary to remedy deficiencies in the structure, the
owner shall perform the recommended maintenance, repairs, or alterations.

(c) The department shall issue a notice of violation under section 11 of this chapter
to the owner of a high hazard structure who fails to:
(1) have the structure inspected under subsection (a);
(2) perform recommended maintenance, repairs, or alterations to the
structure under subsection (b); or
(3) biennially submit the inspection report prepared under subsection (a).

(d) The department may make a technical inspection of a high hazard structure to
ensure compliance with this chapter.

As added by P.L.148-2002, SEC.15. Amended by P.L. 1-2003, SEC 60; P.L. 186-2003,
SEC. 72.

IC 14-27-7.5-10
Significant and low hazard structures; inspections; reports; fees

Sec. 10. (a) The department shall make a technical inspection of:
(1) a significant hazard structure at least one (1) time every three (3) years;
and
(2) a low hazard structure at least one (1) time every five (5) years;
or at more frequent intervals if the exigencies of the case require.

(b) The department shall place in the files of the department a report of each
inspection conducted under subsection (a).
(c) The department shall charge the following for engineering inspections:
(1) For a significant hazard structure under subsection (a)(1), a fee of two hundred
dollars ($200).
(2) For a low hazard structure under subsection (a)(2), a fee of one hundred dollars
($100).

As added by P.L.148-2002, SEC.15. Amended by P.L. 186-2003, SEC. 73.

IC 14-27-7.5-11
Notice of violation

Sec. 11. (a) If the department finds that a structure is:

(1) not sufficiently strong;
(2) not maintained in a good and sufficient state of repair or operating

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condition;
(3) not designed to remain safe during infrequent loading events; or
(4) unsafe and dangerous to life and property;
the department may issue a notice of violation under IC 14-25.5-2..

As added by P.L.148-2002, SEC.15. Amended by P.L. 71-2004, SEC 14.

IC 14-27-7.5-12
Emergency measures to protect life and property

Sec. 12. (a) If at any time the condition of a structure becomes so dangerous to the
safety of life and property that, in the opinion of the department, there is not sufficient
time for the issuance and enforcement of an order for the maintenance, alteration,
repair, reconstruction, change in construction or location, or removal of the structure in
the manner provided in this chapter, the department may immediately take the
measures that are essential to provide emergency protection to life and property,
including the lowering of the water level by releasing water or by a controlled breach of
the structure.

(b) The department may recover the cost of the emergency measures from the
owner by appropriate legal action.

As added by P.L.148-2002, SEC.15.

IC 14-27-7.5-13
Violations

Sec. 13. An owner who knowingly fails to effect the maintenance, alteration, repair,
reconstruction, change in construction or location, or removal within the time limit set
forth in the notice of violation of the department under:
(1) section 11 of this chapter; or
(2) IC 13-2-20-4 (before its repeal);
commits a Class B infraction. Every day of failure constitutes a separate infraction.

As added by P.L.148-2002, SEC.15. Amended by P.L. 71-2004, SEC. 15.

IC 14-27-7.5-14
Right of entry upon premises

Sec. 14. The department and the department's agents, engineers, geologists, and other
employees may, for purposes of determining the department's jurisdiction and
performing the engineering inspections provided in sections 9 and 10 of this chapter,
enter upon any land or water in Indiana without liability for trespass. The owner of a
structure shall do the following:
(1) Cooperate with the department and the department's agents, engineers,
geologists, and other employees in the conduct of the inspections.

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(2) Facilitate access to the structure.

(3) Furnish upon request the plans, specifications, operating and
maintenance data, or other information that is pertinent to the structure.

As added by P.L.148-2002, SEC.15. Amended by P.L. 186-2003, SEC 74.

IC 14-27-7.5-15
Exemption of department from liability

Sec. 15. This chapter does not create a liability for damages against the department or
the department's officers, agents, and employees caused by or arising out of any of the
following:
(1) The construction, maintenance, operation, or failure of a structure.
(2) The issuance and enforcement of a notice of violation or a rule issued by
the department to carry out the department's duties.

As added by P.L.148-2002, SEC.15.

IC14-27-7.5-16
Request to have structure declared high hazard; notice

Sec. 16. (a) A property owner, the owner's representative, or an individual who resides
downstream from a structure:
(1) over which the department does not have jurisdiction under this chapter;
and
(2) that the property owner, the owner's representative, or the individual
believes would cause a loss of life or damage to the person's home,
industrial or commercial building, public utility, major highway, or railroad if
the structure fails;
may request in writing that the department declare the structure a high hazard structure

(b) If the department receives a request under subsection (a), the department shall:
(1) investigate the structure and the area downstream from the structure;
(2) notify the owner of the structure that the structure is being investigated;
(3) review written statements and technical documentation from any
interested party; and
(4 after considering the available information, determine whether or not the
structure is a high hazard structure.

(c) The department shall issue a written notice of the department's determination
under subsection (b) to:
(1) the individual who requested the determination; and
(2) the owner of the structure that is the subject of the request.

(d) Either:
(1) the individual who requested a determination;

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(2) the owner of the structure that is the subject of the request;
may request an administrative review under IC 4-21.5-3-6 within thirty (30) days after
receipt of the written determination.

(e) If the department determines that a structure is a high hazard structure under
subsection (b), the provisions of this chapter concerning high hazard structures
apply to the structure.

As added by P.L.71-2004, SEC.16

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APPENDIX B

HAZARD CLASSIFICATION OF DAMS

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HAZARD CLASSIFICATION FOR DAMS

AREA AFFECTED BY DAM BREACH

DAMAGE TO:
LOW SIGNIFICANT HIGH

LOCATION Rural or Agricultural Predominantly Rural or Developing or Urban

Damage would be minimal and Agricultural but roads, buildings, Where individuals could be seriously
would mostly occur on dam utilities or railroads may be injured or killed. Buildings, roads,
owner’s property. No building, damaged. railroads or utilities seriously
road, railroad, utility, or individual damaged.
significantly affected. Damage is
limited to farm buildings,
agricultural land, and local roads.

POTENTIAL LOSS OF LIFE No No Yes

Flood depths greater than 1
foot in occupied quarters.
Potential of loss of human life
may occur.

ROADS No Damage May Damage Serious Damage

County roads, state two-lane Interruption of service for not Interruption of service for more than 1
highways. or U.S. highways more than 1 day. day.
Serving as the only access to a
community. Multilane divided
state or US highway, including an
interstate highway.

RAILROADS No Damage May Damage Serious Damage

Operating Railroads Interruption of service for not Interruption of service for more than 1
more than 1 day. day.

OCCUPIED QUARTERS No Damage May Damage Serious Damage

Homes-Single family residences, Damage that would not render Damage where the flow velocity at
apartments, nursing homes, the structure unusable the building compromises the
motels and hospitals integrity of the structure for human
occupation.

UTILITIES No Damage May Damage Serious Damage

Damage may occur to important Interruption of service to interstate
utilities where service would not and intrastate utility, power or
be interrupted for more than 1 communication lines serving towns,
day but either of the following communities or significant military
may occur: 1) buried lines can be and commercial facilities in which
exposed by erosion, or 2) towers, disruption of power and
poles and above ground lines can communication would adversely
be damaged by undermining or affect the economy, safety, and
debris loading. general well-being of the area for
more than 1 day.

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Indiana Department of Natural Resources Dam Safety Inspection Manual

APPENDIX C

REFERENCES

Part 1 8/28/07
Indiana Department of Natural Resources Dam Safety Inspection Manual

REFERENCES
(Used throughout the manual)

● Arkansas Soil and Water Conservation Commission

Inspection and Maintenance Manual for Arkansas Dam Owners, 2002
101 East Capitol, Suite 350
Little Rock, Arkansas 72201

● Association of State Dam Safety Officials

Compendium of State Dam safety Inspection Forms, 1997
450 Old East Vine Street
Lexington, Kentucky 40507

● Colorado Division of Water Resources, State Engineer’s Office

Dam Safety Manual, 2002
1313 Sherman Street
Denver, Colorado 80203

● Department of the Army, U.S. Army Corps of Engineers

Instrumentation for Concrete Structures, EM 1110-2-4300, 1987
Washington, D.C. 20314-1000

● Department of the Army, U.S. Army Corps of Engineers

Evaluation and Repair of Concrete Structures, EM 1110-2-2002, 1995
Washington, D.C. 20314-1000

● Department of the Army, U.S. Army Corps of Engineers

Seepage Analysis and Control for Dams, EM 1110-2-1901, 1993
Washington, D.C. 20314-1000

● Department of the Army, U.S. Army Corps of Engineers

Seepage Analysis and Control for Dams, EM 1110-2-1901, 1993
Washington, D.C. 20314-1000

● Department of the Army, U.S. Army Corps of Engineers

Instrumentation of Embankment Dams and Levees, EM 1110-2-1908, 1995
Washington, D.C. 20314-1000

● Department of the Army, U.S. Army Corps of Engineers

Earth and Rock-fill Dams - General Design& Construction Considerations, EM 1110-2-2300, 1994
Washington, D.C. 20314-1000

● Federal Emergency Management Agency

Technical Manual: Conduits through Embankment Dams, 2005
500 C Street SW
Washington, D.C. 20472

● Georgia Department of Natural Resources, Environmental Protection Division

- Operation, Maintenance and Inspection Procedures for Earthfill Dams
- Engineering Guidelines, 1998
4244 International Parkway, Suite 110
Atlanta, Georgia 30354

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● Illinois Department of Natural Resources, Office of Water Resources

Guidelines and Forms for Inspection of Illinois Dams, 1999
Springfield, Illinois, 62702

● Indiana Department of Natural Resources, Division of Soil Conservation

Indiana Handbook for Erosion Control in Developing Areas, 1992
402 West Washington Street, Room W265
Indianapolis, Indiana 46204-2748

● Indiana Department of Natural Resources, Division of Water

- Dam Safety Guidebook, 1983
- General Guidelines for New Dams and Improvements to Existing Dams in Indiana, 2001
402 West Washington Street, Room W264
Indianapolis, Indiana 46204-2748

● Indiana Department of Natural Resources, Division of Water

Indiana Drainage Handbook, 1996
402 West Washington Street, Room W264
Indianapolis, Indiana 46204-2748

● Indiana Geological Survey

Physiographic Divisions of Indiana, H.H. Gray, 2000
Indiana Geological Survey Special Reports, SR61
611 North Walnut Grove
Bloomington, IN 47405-2208

● John Wiley & Sons Inc.

Seepage, Drainage and Flownets, 1989
Harry R. Cedergren, Author
605 Third Avenue
New York, New York 10158

● Kentucky Natural Resources and Environmental Protection Cabinet, Division of Water

Guidelines for the Geotechnical Investigation and Analysis of Existing Earth Dams
14 Reilly Road
Frankfort, Kentucky 40601

● Marks Enterprises, Dan Marks, P.E.

Remedial Dam Repair: Plant and Animal Penetrations of Earthen Dams
Arden, North Carolina

● Missouri Department of Natural Resources, Division of Geology and Land Survey

Engineering Analysis of Dams, 1989
Maintenance, Inspection, and Operation of Dams in Missouri, 1991
P.O. Box 250
Rolla, Missouri 65401

● New Hampshire Department of Environmental Services

Environmental Fact Sheet s:
- Best Management Practices for the Maintenance and Operation of Dams, 1995
- Tree Growth on and Adjacent to Dams, 1997
- Liability and Responsibility of Dam Owners, 1997
- Typical Failure Modes for Dam Spillways; Typical Failure Modes of Embankment Dams; 1997
6 Hazen Drive, P.O. Box 95
Concord, New Hampshire 03302-0095

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Indiana Department of Natural Resources Dam Safety Inspection Manual

● New Mexico State Engineer Office, Design and Construction Section

A Dam Owner’s Guidance Manual, 1989
Bataan Memorial Building
Santa Fe, New Mexico 87503

● New York State Department of Environmental Conservation, Division of Water

Guidelines for Design of Dams, 1989
50 Wolf Road
Albany, New York 12233

● North Carolina Department of Environment and Natural Resources, Division of Land Resources,
Land Quality Section
Dam Operation, Maintenance and Inspection Manual, 1989
1601 Mail Service Center
Raleigh, North Carolina 27699-1601

● North Dakota Division State Engineer

North Dakota Dam Design Handbook, 1985
900 East Boulevard Ave.
Bismarck, North Dakota 58505-0850

● Ohio Department of Natural Resources, Division of Water

Suggested Procedures for Safety Inspections of Dams, 1987
1939 Fountain Square, Bldg. E-3
Columbus, Ohio 43224-1336

● Ohio Department of Natural Resources, Division of Water

Division of Water Fact Sheets
1939 Fountain Square, Bldg. E-3
Columbus, Ohio 43224-1336

● Pennsylvania Department of Environmental Protection, Division of Dam Safety

The Inspection, Maintenance, and Operation of Dams in Pennsylvania, 1999
P.O. Box 8554
Harrisburg, Pennsylvania 17105

● Texas Water Commission

Guidelines for Operation and Maintenance of Dams in Texas, 1990
P.O. Box 13087
Austin Texas 78711

● U.S. Department of Agriculture, Forest Service, Soil Conservation Service

Guide for Safety Evaluation and Periodic Inspection of Existing Dams, 1980
Washington, D.C. 20013

● U.S. Department of Agriculture, Soil Conservation Service

Earth Dams and Reservoirs Technical Release No. 60, 1985
14th and Independence Ave., SW
Washington D.C. 20250

● U.S. Department of the Interior, Bureau of Reclamation, Dam Safety Office

Prediction of Embankment Dam Breach Parameters DSO-98-004, 1998
1849 C Street NW
Washington, D.C. 20240-0001

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Indiana Department of Natural Resources Dam Safety Inspection Manual

● U.S. Department of the Interior, Bureau of Reclamation, Dam Safety Office

Training Aids for Dam Safety, Inspection of Embankment Dams
1849 C Street NW
Washington, D.C. 20240-0001

● U.S. Department of the Interior, Bureau of Reclamation, Dam Safety Office

Training Aids for Dam Safety, Identification of Material Deficiencies
1849 C Street NW
Washington, D.C. 20240-0001

● U.S. Department of the Interior, Bureau of Reclamation

Safety Evaluation of Existing Dams, 2000
U.S. Government Printing Office
Washington, D.C. 20402-9328

● U.S. Department of the Interior, Bureau of Reclamation

Dams and Public Safety, 1983
U.S. Government Printing Office
Denver, Colorado

● U.S. Department of the Interior, Bureau of Reclamation, Technical Service Center

Guide to Concrete Repair, 1997
U.S. Government Printing Office
Washington, D.C. 20402-9328

● Washington State Department of Ecology

Dam Safety Guidelines, 1992
P.O. Box 47600
Olympia, Washington 98504-7600

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