PURPOSE: The purpose of this rule is to itemize the requirements for a construction permit.

1. (1) In addition to the basic requirements for all permits listed in 10 CSR 22-3.030, the construction permit application for a conventional dam and reservoir shall be prepared under the direction of and certified by an experienced professional engineer and shall be in accordance with practices reputable and appropriate in the engineering, geologic, and construction professions.

   1. (A) The following information shall be provided by the owner:

      1. 1. Up-to-date topographic map(s) show-

ing the location of the proposed or existing dam, the upstream watershed, the reservoir, and the downstream environment zone. An up-to-date United States Geological Survey topographic map is considered a minimum;

1. 2. Exploration records and results

including the location of all exploration, especially in the area of the core trench, the method(s) used to explore the site, a record of what was found, the method(s) used to obtain samples, and the number of samples taken;

1. 3. Testing records and results including

information on the care and treatment of samples, types of tests performed on samples or in situ, reference(s) to or the procedures used in testing, and the test results. Physical and mechanical properties of foundation and construction materials must include the information source for these values, especially if they are not the results of testing;

1. 4. The geotechnical design procedure(s)

or method(s) shall be identified and referenced or described so that they may be reviewed and the applicability verified. This shall include all assumptions made. The geotechnical procedure(s) or design results shall include the minimum computed factors of safety and they must meet or exceed the design factors of safety (see 10 CSR 22- 3.020(4)). The geotechnical design information shall be presented for the foundation, core trench, and dam embankment. Earthquake loading must be analyzed as outlined in 10 CSR 22-3.020(5) and (6);

1. 5. The structural design procedure(s) or

method(s) shall be identified and referenced or described so that they may be reviewed and their applicability verified. Design results for concreted dams and concrete structures appurtenant to embankment dams shall provide for and show an adequate factor of safety for normal and maximum loading conditions of compression, tension, shear, torsion, buckling, sliding, and overturning;

1. 6. Hydrologic information used to eval-

uate the watershed, reservoir, spillway, and downstream environment zone including the watershed area, rainfall rate and duration, antecedent moisture conditions, time of concentration, area capacity curves, description of spillway elevation(s), type(s), dimensions, locations, cross section and profiles, dam crest elevation, and the downstream valley cross sections;

1. 7. The hydrologic/hydraulic design pro-

cedure(s) or method(s) used shall be identified and referenced or described so that they may be reviewed and their applicability verified. This includes all assumptions made. The hydrologic/hydraulic procedure(s) or design results shall include the reservoir inflow hydrograph, the reservoir outflow hydrograph, the spillway discharge capacity, the freeboard at the maximum water storage elevation, and the environmental class of the dam. The dam shall be capable of safely containing or discharging the required design flood (see 10 CSR 22-3.020(5));

1. 8. Location and design of diversion

channels or other structures to control stream flow during or after construction shall be provided if failure of these channels or other structures would affect hydrologic conditions of the dam. Stream diversion systems used during construction shall be designed to provide protection to the dam and the safety of the public;

1. 9. Construction control and inspection

procedures shall be used during the construction of a new dam and reservoir or modification of an existing dam and reservoir. Construction control and inspection procedures should include compaction testing and density testing;

1. 10. Procedures shall be used for record-

keeping and monitoring throughout the construction or modification process to provide information about any construction progress and conditions that may cause difficulties during construction;

1. 11. The location of and protective mea-

sures used in conjunction with all drain lines, sewer lines, utilities, or other structures that pass through or under the dam;

1. 12. Topographic surveys showing the

location of baselines, centerlines, and other horizontal and vertical control points sufficiently accurate to locate the proposed construction and to define the volume of storage in the reservoir;

1. 13. Two (2) sets of plans and specifica-

tions including—

1. A. Graphic scales for all scaled draw-

ings;

1. B. The title, displayed identical on the

plans and the specifications, shall include: the name of the dam; the name of the owner; whether the work shows an existing dam, a proposed dam, or an enlargement, repair, or alteration of the dam, or reservoir; the county(ies) the dam and reservoir are in; the location of the dam by quarter section, section, township and range, or by geodetic coordinates; and each sheet shall have in an appropriate title block the name of the dam as well as the sheet number in relation to the total, for example, sheet one (1) of twelve (12); and

1. C. Certifications by the experienced

professional engineer and the owner shall be provided and be similar to those presented in figures 1 and 2 (see figures 1 and 2); and

Figure 1

Certification by Experienced Professional Engineer

I hereby certify that these plans for the (insert the correct word or words choosing

from: existing; construction of the; repair of the; enlargement of the; or alteration of the

___________________________________________________ Dam were prepared by me (or under my Name of Dam direct supervision) for the owners thereof.

________________________________________ Firm Name

________________________________________ Registered Engineer (Seal)

Figure 2

Certification by Owner

I,______________________________________________________________, owner, whose Post Office Address is Name of Owner __________________________________________________ , Zip __________________________________ , do Owner’s Address

hereby accept and approve these plans.

________________________________________ Owner

1. 14. If a construction permit is requested

to convert a dam to a retaining or retarding structure, the procedure to be followed in making the conversion shall be described by the owner; and

1. 15. The procedures set up for regular

inspection by the owner. The owner shall develop an emergency action plan, inspect his/her dam regularly and as necessary to protect public safety, life and property. A list of items to be inspected, a time schedule for these inspections, and a form for reporting the results shall be established.

1. (B) The council or chief engineer may require the following action and information from the owner:

   1. 1. Procedures set up to provide regular

maintenance and minor repairs to the dam and reservoir after construction and to continue or start recordkeeping and monitoring work so that the dam and reservoir are maintained in a safe condition and a complete history of its performance is available;

1. 2. Location and types of instrumenta-

tion, drainage, and/or seepage control facilities. Monitoring equipment and drainage and seepage control facilities are recommended for all dams and reservoirs, however, depending on conditions, they may be mandatory items if necessary to accomplish the purposes of the law;

1. 3. The downstream environment zone

warning procedure to be used if dam failure is a threat. A downstream environment zone warning system is recommended for all dams and reservoirs, however, depending on conditions, it may be necessary to accomplish the purposes of the law. This would consist of the current name(s) of the dam and reservoir owners’ representative(s) responsible for giving notification of a threat of failure and the current phone numbers of appropriate local police and other persons having emergency assistance authority;

1. 4. Upstream slope protection from wave

action; and

1. 5. Additional actions or information as

required to protect public safety, life and property and to accomplish the purposes of the law.

1. (C) Visits for the purpose of inspecting during or after construction or observation of operation and maintenance may be made by the council, the chief engineer, or a member of the chief engineer’s staff. Visits will be at any reasonable time following reasonable notice, except that in the case of an emergency threatening public safety, life or property, inspection may be made at any time.

1. (2) In addition to the basic requirements for all permits listed in 10 CSR 22-3.020, the construction permit application for an industrial water retention dam and reservoir shall be prepared under the direction of and certified by an experienced professional engineer and shall be in accordance with practices reputable and appropriate in the engineering, geologic, and construction professions.

   1. (A) The engineer who plans and designs an industrial water retention dam and reservoir or its modification shall assess the sequence, timing, method of placement and stability control program during construction from the beginning of the starter dam or modification through the life of the structure and after operation ceases or until the dam and reservoir no longer need a permit.
   2. (B) Adequate records, as required by best practices in the geologic and engineering professions, shall be kept and made available to the council or chief engineer for the construction, maintenance, and operation procedures. Adequate instrumentation and monitoring of seepage water shall be provided where necessary. Any significant settling or movement in the foundation of the dam should be measured, if possible. Trained personnel and adequate supervision shall be provided to insure the construction and operation of the dam and reservoir are carried out to specifications.

   3. (C) The following information shall be provided by the owner:

      1. 1. A description of the system used to

deposit tailings on the dam;

1. 2. Up-to-date topographic map(s) show-

ing the location of the proposed dam, the upstream watershed, the reservoir, and the downstream environment zone. An up-to-date United States Geological Survey topographic map is considered minimum;

1. 3. The location(s) of surface and under-

ground mine workings if these workings would cause, would contribute to the cause, or would be affected in the event of failure;

1. 4. Exploration records and results

including the location of all exploration, especially in the area of the core trench, the method(s) used to explore the site, a record of what was found, the method(s) used to obtain samples, and the number of samples taken;

1. 5. Testing records and results including

information on the care and treatment of samples, types of tests performed on samples or in situ, reference(s) to or the procedures used in testing, and the test results. Physical and mechanical properties of foundation and construction materials must include the information source for these values, especially if they are not the results of testing;

1. 6. The geotechnical design procedure(s)

or method(s) shall be identified and referenced or described so that they may be reviewed and their applicability verified. This shall include all assumptions made. The geotechnical procedure(s) or design results shall include the minimum computed factors of safety and they must meet or exceed the design factors of safety (see 10 CSR 22- 3.020(4)). The geotechnical design information shall be presented for the foundation core trench and dam embankment. Earthquake loading must be analyzed as outlined in 10 CSR 22-3.020(5) and (6);

1. 7. Type and physical properties of the

liquid and solid materials to be used in construction of the dam and contained in the reservoir;

1. 8. The changes created in the down-

stream environment zone as the dam and reservoir become incrementally larger;

1. 9. The embankment changes and new

factors of safety for stability as the dam and reservoir become incrementally larger;

1. 10. If a starter dam is used, whether it

will be pervious or impervious;

1. 11. The expected crest elevation, dam

configuration, spillway elevation, and the size and configuration of each successive stage of the dam shall be included;

1. 12. Anticipated storage volume of solid

or semisolid materials and of liquids at the completion of the dam;

1. 13. The structural design procedure(s) or

method(s) shall be identified and referenced or described so that they may be reviewed and their applicability verified. Design results for concrete dams and concrete structures appurtenant to embankment dams shall provide for and show an adequate factor of safety for normal and maximum loading conditions of compression, tension, shear, torsion, buckling, sliding, and overturning;

1. 14. Hydrologic information used to eval-

uate the watershed, reservoir, spillway, and downstream environment zone including the watershed area, rainfall rate and duration, antecedent moisture conditions, time of concentration, area capacity curves, description of spillway elevation(s), type(s), dimensions, locations, cross sections and profiles, dam crest elevation, and the downstream valley cross sections;

1. 15. Hydrologic/hydraulic design proce-

dure(s) or method(s) used shall be identified and referenced or described so that they may be reviewed and their applicability verified. This shall include all assumptions made. The hydrologic/hydraulic procedure(s) or design results shall include the reservoir inflow hydrograph, the reservoir outflow hydrograph, the spillway discharge capacity, the freeboard at the maximum water storage elevation and the environmental class of the dam. The dam shall be capable of safely containing or discharging the required design flood (see 10 CSR 22-3.020(5));

1. 16. The hydrologic changes, the spillway

alterations proposed, and the freeboard changes as the dam becomes incrementally larger;

1. 17. Location and design of diversion

channels or other structures to control stream flow during or after construction shall be provided if failure of these channels or other structures would affect the stability or hydrologic conditions of the dam. Stream diversion systems used during construction shall be designed to provide protection to the dam and to protect public safety, life and property;

1. 18. Location and design of any diversion

channels or other structures to control runoff or reclaimed water;

1. 19. Construction control and inspection

procedures shall be determined by the engineer and used during the construction of a new dam and reservoir or modification of an existing dam and reservoir. Construction control and inspection procedures shall include compaction testing and density testing and any other quality control measures used to insure compliance with the construction specifications;

1. 20. Procedures shall be used for record-

keeping and monitoring throughout the construction, enlargement, or modification process to provide information about any construction progress and conditions that may cause difficulties during construction;

1. 21. The location of and protective mea-

sures used in conjunction with all drain lines, sewer lines, utilities, or other structures that pass through or under the dam;

1. 22. Topographic surveys showing the

location of baselines, centerlines, and other horizontal and vertical control points sufficiently accurate to locate the proposed construction and to define the volume of storage in the reservoir at each planned stage of construction;

1. 23. Two (2) sets of plans and specifica-

tions including:

1. A. Graphic scales for all scaled draw-

ings;

1. B. The title, displayed identical on the

plans and the specifications, shall include: the name of the dam; the name of the owner; whether the work shows an existing dam, a proposed dam or an enlargement, repair, or alteration of the dam and reservoir; the county(ies) the dam and reservoir are in; the location of the dam by quarter section, section, township, and range, or by geodetic coordinates; and each sheet shall have in an appropriate title block the name of the dam, as well as the sheet number in relation to the total, for example, sheet one (1) of twelve (12); and

1. C. Certification by the experienced

professional engineer and the owner shall be placed near the lower right-hand corner of the title sheet (first sheet) of the drawing. The certifications shall be as presented in figures 1 and 2 (see figures 1 and 2 preceding);

1. 24. If a construction permit is requested

to convert a dam to a retaining or retarding structure, the procedure to be followed in making the conversion shall be described by the owner; and

1. 25. The procedure set up for regular

inspection by the owner. The owner shall develop an emergency action plan, inspect his/her dam and reservoir regularly and as necessary to protect public safety, life and property. A list of items to be inspected, a time schedule for these inspections, and a form for reporting the results shall be established by the council or chief engineer. Items that shall receive maintenance to and/or inspections on a daily basis during periods of active dam enlargement include: the spigots or cyclones; the decant lines; the position of the water pool in relation to the spillway, decant intake, and crest of the tailings dam; drain lines checked for quantity of water and sediment; the embankment observed for visual defects such as slides or significant seepage changes; the spillway shall be checked to verify that it has not become blocked.

1. (D) The council or chief engineer may require the following action and information from the owner:

   1. 1. Procedures set up to provide regular

maintenance and minor repairs to the dam and reservoir during construction and enlargement so that the dam and reservoir are maintained in a safe condition and a complete history of its performance is available;

1. 2. Location and types of instrumenta-

tion, drainage, and/or seepage control facilities. Monitoring equipment and drainage and seepage control facilities are recommended for all dams and reservoirs, however, depending on conditions, they may be mandatory items, if necessary, to accomplish the purposes of the law; a list of items to be inspected, a time schedule for these inspections, and a form for reporting the results shall be established by the council or chief engineer;

1. 3. The downstream environment zone

warning procedure to be used if dam failure is a threat. A downstream environment zone warning system is recommended for all dams and reservoirs, however, depending on conditions, it may be necessary to accomplish the purposes of the law. This would consist of the current name(s) of the dam and reservoir owners’ representative(s) responsible for giving notification of a threat of failure and the current phone numbers of appropriate local police and other persons having emergency 10 CSR 22-3

assistance authority;

1. 4. Upstream slope protection from wave

action; and

1. 5. Additional actions or information as

required to protect public safety, life and property and to accomplish the purposes of the law.

1. (E) Visits for the purpose of inspecting during or after construction or observation of operation and maintenance may be made by the council, the chief engineer, or member of the chief engineer’s staff. Visits will be at any reasonable time following reasonable notice, except that in the case of an emergency threatening public safety, life or property, inspection may be made at any time.
2. (F) Drawings to show changes shall be submitted when changes are made to the original plans including, without limitation, changes in incremental dam crest heights, spillway locations, and cross sections.

AUTHORITY: sections 236.400, 236.405, 236.415, 236.420, 236.425, 236.435, 236.440, and 236.465, RSMo 2016.* Original rule filed April 14, 1981, effective Aug. 13, 1981. Amended: Filed June 14, 1984, effective Jan. 1, 1985. Amended: Filed June 27, 2018, effective Feb. 28, 2019.

*Original authority: 236.400, RSMo 1979; 236.405, RSMo 1979, amended 1993, 1995; 236.415, RSMo 1979, amended 1995; 236.420, RSMo 1979; 236.425, RSMo 1979; 236.435, RSMo 1979; 236.440, RSMo 1979; and 236.465, RSMo 1979.