W 32nd St Detention Basin Proj
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MEMORANDUM
November 29, 2004
TO:
The Honorable Mayor and City Council Members
FROM:
Michael C. Van Milligen, City Manager
SUBJECT: Design Services for the West 32nd Street Detention Basin Project
It is the City's goal to have the improvements to the West 32nd Street Detention Basin
functional prior to the spring 2006 rainstorms. To achieve that goal and because of the
unique circumstances involved with the design and construction of the West 32nd Street
Detention Basin, the City requires a consulting engineer with expertise in the design of
dams in Iowa. The design consultant must design a detention basin that blends into the
West 32nd Street neighborhood, while meeting the stormwater management criteria
established in the Drainage Basin Master Plan.
Acting Public Works Director/City Engineer Gus Psihoyos recommends City Council
approval of the issuance of a Request for Proposals for design services for the West
32nd Street Detention Basin.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
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(llI¡J/1 L:1î /1 Î £L,--
Michael C. Van Milligen
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Attachment
cc: Barry Lindahl, Corporation Counsel
Cindy Steinhauser, Assistant City Manager
Gus Psihoyos, Acting Public Works Director/City Engineer
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MEMORANDUM
November 29, 2004
TO:
FROM:
Michael C. Van Milligan, City Manager
Gus Psihoyos, Acting Public Works Director/City Engineer _0
SUBJECT: Design Services for the W. 32nd Street Detention Basin Project
INTRODUCTION
The purpose of this memorandum is to present an RFP for the W. 32nd Street Detention
Basin project.
BACKGROUND
In December of 2001, the City Council formally adopted the Drainage Basin Master Plan
(DBMP) prepared by HDR Engineering (Omaha, NE). Based on the study,
approximately 1,150 homes and businesses in the Bee Branch watershed are at risk of
flood damage. The DBMP includes three projects that would reduce the threat of flood
damage. They are the new Carter Road Detention Basin, expansion of the existing W.
32nd Street Detention Basin, and the recreation of an new open waterway from 16th
Street to 24th Street. The Carter Road Detention Basin was completed in the spring of
2004.
With the adoption of the Fiscal Year 2004 Capital Improvement Budget, the City Council
established funding to begin acquiring homes for the W. 32nd Street Detention Basin
project. A Fiscal Year 2005 appropriation established funding to design the
improvements to the detention basin and the current five-year Capital Improvements
Program budget includes $1,573,000 to construct the improvements in Fiscal Year
2006.
DISCUSSION
Our goal is to have the improvements to the W. 32nd Street detention basin functional
prior to spring 2006 rainstorms. To achieve that goal and because of the unique
circumstances involved with the design and construction of the W. 32nd Street Detention
Basin, the City requires a consulting engineer with expertise in the design of dams in
Iowa. The design consultant must design a detention basin that blends into the W. 32nd
Street neighborhood while meeting the stormwater management criteria established in
the DBMP. While any consultant can design a detention basin, aesthetics will be an
important aspect of the overall design. The design shall also include features to
minimize or ease maintenance activities required to keep the facility operating at an
optimum level.
RECOMMENDATION
I recommend that the City release the attached RFP, soliciting proposals from qualified
engineering consultants for the design of the W. 32nd Street Detention Basin.
BUDGET IMPACT
The estimated cost to obtain design services for the detention basin is $250,000. The
project will be funded from a Fiscal Year 2005 stormwater appropriation of $250,000.
ACTION REQUESTED
I respectfully request endorsement of the RFP and authorization to release the RFP to
the public.
attachment: W. 32nd Street Detention Basin Request for Proposals
Prepared by Deron Muehring
cc: Cindy Steinhauser, Assistant City Manager
Dawn lang, Budget Director
Ken TeKippe, Finance Director
Gil Spence, leisure Services Manager
Don Vogt, Operations & Maintenance Manager
John Klostermann, Street & Sewer Maintenance Supervisor
Deron Muehring, Civil Engineer II
CITY OF DUBUQUE
PUBLIC WORKS: ENGINEERING DIVISION
REQUEST FOR PROPOSALS
FOR
W32nd STREET DETENTION
BASIN PROJECT
1.0
2.0
3.0
4.0
5.0
6.0
7.0
8.0
9.0
RFP Organization
W32ND STREET DETENTION BASIN
General Information
Introduction
Project Objectives
Project Budget and Schedule
Scope of Services
Proposal Requirements
6.1 Letter of Transmittal
6.2 Qualifications of the Firm
6.3 Fees and Compensation
Services by the City
Selection Criteria
Submission Requirements
Iowa Department of Natural Resources, Technical
Bulletin No. 16, Design Criteria and Guidelines for
Iowa Dams
Attachment A:
Iowa Department of Natural Resources and U.S.
Army Corps of Engineers Joint Application Form,
Protecting Iowa Waters
Attachment B:
Attachment C:
Conceptual Drawing of the W32nd Street Detention
Basin
Attachment D:
City of Dubuque Insurance Requirements for
Professional Services
2
1.0
GENERAL INFORMATION
The City of Dubuque' Engineering Division is seeking a consulting engineer to
prepare the design of the W32nd Street Detention Basin. Originally constructed
in the 1950's, the existing detention basin is to be expanded from forty-six (46)
acre-feet to approximately ninety-four (94) acre-feet of storage.
See the "Scope of Services" section of this Request for Proposals for more
details on the work to be performed. In general, the consultant must produce
detailed plans, specifications, and contract documents for the detention basin. In
addition, the consultant will act as the project engineer during the construction
phase of the project with regard to potential change orders or shop-drawing
review.
The consultant must satisfy Iowa Department of Natural Resources (IDNR) and
U.S. Army Corp of Engineers (USACE) requirements. It is anticipated that a
permit will be required by each agency and it will be the consultant's
responsibility to obtain all required permits.
Proposals must be received no later than 5:00 p.m. CDT on December 30th, 2004
at: City of Dubuque
C/O Jeanne Schneider, City Clerk
50 West 13th Street
Dubuque, Iowa 52001-4864
Please direct all questions and correspondence regarding this RFP to Deron
Muehring (563-589-4276) from the City of Dubuque Engineering Division or by
fax at (563) 589 - 4205.
INTRODUCTION
2.0
The City of Dubuque (City) is located in northeastern Iowa just across the
Mississippi River from Illinois and Wisconsin. The City is approximately 27
square miles in area, with a population of nearly 60,000 persons. Providing a full
range of services, the City's annual operating and capital budget is nearly $100
million. More information about the City organization can be found on the City's
official web site at www.cityofdubuque.org.
Dubuque's terrain is widely varied, with steep hills, bluffs, and a flat area
protected from the Mississippi River by a floodwall. Rugged rock outcroppings
dot the bluffs and many wooded areas are located within the city limits.
Purpose
The following RFP contains a scope of services for the design and construction
management services for the detention basin. The design team must have a
strong background and project experience in dam design, detention basin
design, and be experience with the requirements set forth by the permitting
agencies.
3
Background
In December of 2001, the City Council formally adopted the Drainage Basin
Master Plan (DBMP) prepared by HDR Engineering (Omaha, NE). Based on the
study, approximately 1,150 homes and businesses in the Bee Branch watershed
are at risk of flood damage. located in the north portion of the city, the 1.9
square mile drainage area to the W. 32nd Street detention basin makes up 26.7%
of the Bee Branch watershed (see Figure 1). The DBMP includes three projects
that would reduce the threat of flood damage. They are the new Carter Road
Detention Basin, expansion of the existing W. 32nd Street Detention Basin, and
the recreation of an new open waterway from 16th Street to 24th Street. The
Carter Road Detention Basin was completed in the spring of 2004.
With the adoption of the Fiscal Year 2004 Capital Improvement Budget, the City
Council established funding to begin acquiring homes for the W. 32nd Street
Detention Basin project. A Fiscal Year 2005 appropriation established funding to
design the improvements to the detention basin and the current five-year Capital
Improvements Program budget includes $1,573,000 to construct the
improvements in Fiscal Year 2006.
Figure 1.Location of the W32nd Street Detention Basin and its contributing drainage area.
Drainage Area i
¡ to W32nd Street ¡ \.
, detention basin' "
4
The hydrologic and hydraulic model results produced by HDR as part of the
Drainage Basin Master Plan and produced by Veenstra & Kimm as part of the
Carter Road detention basin are available as a resource for the design of the
W32nd Street detention basin.
Currently, a metal fence surrounds the detention basin physically separating it
from its surroundings. It will be the goal of the consultant to design a detention
basin that blends into the landscape without the need for a fence. Moreover, the
design should pay special attention to future maintenance needs.
3.0
PROJECT OBJECTIVES
The objectives for the consultant are:
Design the W32nd Street Detention Basin;
Prepare plans and specifications;
Acquire permits from regulatory agencies;
Respond to regulatory agencies, impacted residents, and potential
construction contractors; and
Manage/oversee the construction of the detention basin.
3.1
3.2
3.3
3.4
3.5
4.0
PROJECT BUDGET AND SCHEDULE
A total design and construction budget of $2,223,000 has been established for
the W32nd Street Detention Basin project. The anticipated project schedule is as
follows:
RFPs released to public:
Responses due:
Short list established:
Interviews:
Staff consultant selection:
Staff recommendation to City Manager
City Manager Recommendation to Council:
Project Initiated by Consultant:
Project Initiation by City Council:
Project letting:
Project Awarded by City Council:
Construction Project Deadline:
December 7,2004
December 30, 2004
January 6, 2005
Week of January 17, 2005
January 27,2005
January 31,2005
February 7,2005
March 1, 2005
August 15, 2005
September 1, 2005
September 19, 2005
February 3, 2006
SCOPE OF SERVICES
The scope of services outlined below defines some but not all of the anticipated
tasks and products required to complete the design and construction of the
W32nd Street Detention basin.
5.0
5
5.1
5.2
Project Management
The consultant will be required to suggest innovations that reduce the
project timeline and cost and monitor design and construction progress.
5.1.1 Oversee the design of the detention basin
5.1.2 Satisfy IDNR, USACE, and other permitting requirements
(e.g. NPDES Construction Site Permit, Floodplain Permit, 404
permit, etc.)
5.1.3 Oversee the detention basin construction
5.1.3.1 Construction Submittals
It will be the responsibility of the consultant to review
shop drawings and other information submitted by
contractors for compliance with the design plans and
specifications and requirements of the contract
documents.
5.1.3.2 Construction Inspection (Site Visits)
The consultant shall make visits to the construction site
to observe the progress and quality of the work being
performed.
5.1.3.3 Change Orders
The consultant is responsible for participating in the
negotiation and approval process for change orders.
5.1.3.4 Contract Document Interpretation
The consultant will be responsible for furnishing detailed
working drawings, specifications and written instructions
as necessary to interpret the Contract Documents and
resolve changes brought about by actual field conditions
encountered.
5.1.4 Attend Pre-Construction Meeting with Winning Contractor
Engineering Analysis
The consultant must meet or exceed the design criteria and guidelines
established in the IDNR's Technical Bulletin No. 16 (see attachment A).
5.2.1 Hydrologic Modeling
The detention basin and associated dam must be designed to
impound the 1 OO-year recurrence interval rainstorm for flood control
purposes. Because the proposed embankment will be considered
a "high hazard dam," the freeboard must be designed for the
probable maximum flood (PMF). The hydrologic model (HEC-
HMS) prepared by HDR Engineering will be made available.
While HDR Engineering has outlined a conceptual plan to provide
94 acre-feet of storage for the 100-year design storm, the
consultant must allocate time and resources to provide additional
hydrological and hydraulic engineering calculations to be utilized by
the City and Consultant to determine if more storage can be
achieved and if the detention basin can provide increased benefits
during the smaller 2 and 10-year storms. The consultant must
6
establish the basin flood depths due to the 2, 10, 100-year rainfall
events.
5.2.2 Site Characterization - Data Collection
It is the responsibility of the consultant to collect any and all data,
which is necessary for the design and construction of the detention
basin.
5.2.2.1
5.2.2.2
Detailed Ground Survey
The consultant shall be responsible for a detailed ground
survey. The consultant will be responsible to record and
verify all pertinent topographic elevations, identify
ownership of adjacent properties, and locating existing
utilities. The ground control and elevations are to be
referenced to the City's existing geographical information
system. It will be the consultant's responsibility to field-
locate structures, utilities, and easement limits etc., to
establish and protect limits of disturbance zones during
construction.
Geotechnical inspections
The consultant shall provide or obtain geotechnical
services to perform an investigation (soil borings/testing)
and make determinations as to the existing soil
conditions and how the conditions impact the design the
detention basin.
A soils and foundation analysis is required that includes
an evaluation of the slope stability, anticipated vertical
settlement and horizontal elongation, seepage and
under-seepage potential. and proper construction
practices.
The geotechnical report shall discuss appropriate
construction techniques for the soil types and conditions
encountered.
Property lines and corners; and
Existing utilities (e.g. sewer, water, gas, and others)
Stream Bed Loading
The consultant must establish/estimate a stream bed
load to establish maintenance activities required to
ensure hydrologic and hydraulic function as designed.
5.2.2.6 Additional Relevant Data
The consultant will be responsible for collecting any
additional data that is necessary for the design,
construction, and maintenance of the detention basin.
5.2.3 Settling Basin
5.2.4 Hydraulic Analysis
In the State of Iowa, a dam breach analysis is required to determine
the hazard classification of a dam or identify the consequences of
improper gate operation. Through conversations with the IDNR,
5.2.2.3
5.2.2.4
5.2.2.5
7
5.3
5.4
5.5
the City of Dubuque understands that such an analysis will be
necessary. Moreover, it is likely that the proposed W32nd Street
Detention basin would be classified as a "Moderate Hazard" dam.
The City will highly discourage the design of an outlet works that
could be compromised by the loss of power or require a person to
manually operate any portion of the outlet works during periods of
inclement weather. The consultant should include a cost to do a
dam breach analysis with the proposal.
Preliminary Design
The purpose of the preliminary design is to ensure that the consultant fully
communicates the functional details of the proposed detention facility. low
maintenance requirements and landscaping will be an important part of
the project design so that the detention basin contributes positively to the
aesthetics of the neighborhood and surrounding W. 32nd Street properties.
5.3.1 landscaping Plan
5.3.2 Maintenance Requirements
The final design must include features that promote simple, cost-
effective maintenance requirements.
5.3.3 Maximize Stormwater Management Benefits of the Detention Basin
Ways to maximize the benefits of the project such as maximizing its
storage capacity or designing it so that it provides benefits during
smaller rainstorms such as the 10-year design storm is another
aspect of the preliminary design stage.
Construction Drainage Plan
The Consultant must establish the plan for maintaining the flow of the
existing creek during the construction of the detention basin.
Detailed Design
5.5.1 Foundation Design
5.5.2 Embankment Design
The consultant is responsible for determining the suitability of
available fill material and the associated embankment design
requirements.
5.5.3 Grading Plan
5.5.4 Sediment Trap or Settling Basin Design
5.5.5 Trickle Channel Design
5.5.6 Outlet Works Design
5.5.6.1 Anti-seep collars or other means of piping and seep
control;
5.5.6.2 Anti-vortex devices;
5.5.6.3 Trash racks or other inlet debris controls; and
5.5.7 Spillway Design
5.5.8 Aesthetic Treatment Design (landscaping)
5.5.9 Access Roadways
The consultant will be responsible for the design of construction
and maintenance access roadways to perform the work specified in
8
5.6
5.7
the construction plans. The roadways must be capable of
supporting construction equipment for the duration of the project.
The consultant must also prepare design plans for two access
roadways, which mayor may not be the same used during
construction, to be utilized for maintenance purposes.
Develop Construction Plans, Specifications, and Bid Documents
The Consultant shall be required to complete all of the specifications
required to complete the bid documents. The detailed specifications shall
include, but not be limited to, cover in sufficient detail the type and quality
of materials, required tests and guarantees, methods of construction
unrelated to OSHA requirements, sequence of construction, and all other
information required for the construction of the project.
5.6.1 Provide a set of reproducible construction plans and specifications
signed by a Professional Engineer licensed in the State of Iowa.
The plans shall include a minimum of three indivisible control points
to establish horizontal and vertical control for the project. The points
must be tied into the City's GIS and must have at least three ties to
identify their location in the field.
5.6.2 Prepare and manage the issuance of addenda that may be
required.
5.6.3 Produce a Construction Cost Estimate.
5.6.4 Erosion Control Plan (Pollution Prevention Plan)
The pollution prevention plan must meet IDNR guidelines.
Construction Staking
PROPOSAL REQUIREMENTS
The proposal should present and discuss a project approach to accomplish the
objectives of the project outlined herein. The proposal should discuss how the
proposed project approach differs from the scope of services in this RFP and
present the rational for the proposed changes. The fees and compensation
proposal (see below) must reflect the scope of services outlined in the RFP and
any deviations from the scope of services identified by the consultant.
6.0
The City desires that the detention basin is operational by February of 2006. The
consultant is encouraged to review the entire design process and scope outlined
herein and identify alternative design techniques or processes to accomplish the
design and construction in a more efficienUtimely or cost effective manner.
The proposal will include the following information and must be organized in the
manner specified below.
6.1
Letter of Transmittal
Provide a letter of transmittal briefly outlining the consultant's
understanding of the work and the name, address, telephone number and
fax number of the consultant's primary contact person.
9
6.2
Profile of Firm
Provide and present the following information in a clear and concise
format. Consultants should present material that illustrates the firm's
experience and expertise with this type of project.
6.2.1 Provide the Firm's official name, address, and principal offices
6.2.2 Provide project references illustrating the firm's experience with:
6.2.2.1 High hazard dam design;
6.2.2.2 High hazard dam designs in Iowa;
6.2.2.3 Detention Basin Design;
6.2.2.4 Working with the Iowa Department of Natural Resources
(IDNR), Iowa's permitting authority for dam construction;
6.2.2.5 Working with the U.S. Army Corp of Engineers and 404
permits;
6.2.2.6 Hydrologic and hydraulic modeling; and
6.2.2.7 Working with impacted residents acquiring easements.
6.2.3 For at least three references list:
6.2.3.1 Project name and location;
6.2.3.2 Contact person and telephone number;
6.2.3.3 Cost of work (actual cost vs. initial estimated cost);
6.2.3.4 Time required to complete the project; and
6.2.3.5 The role and responsibility of members of the firm's
proposed 'W32nd Street Detention Basin" design team.
6.2.4 Provide abbreviated resumes highlighting their experience in
relation to the work referenced in Section 5 above of the
personnel who will be working on the W32nd Street Detention
Basin project (including sub-consultants). Include their education,
as well as, specialized and technical competence to perform the
tasks they will be called on to do in conjunction with the design of
the W32nd Street Detention Basin.
6.2.5 Specify the Firm's ability to integrate this project into their work
schedule.
6.2.6 Include any thoughts that would improve the development of the
plan and recommend any work not identified in this RFP that is
considered essential for the design of the detention basin.
6.2.7 The proposal should include a list of deliverables.
6.2.8 Include a project schedule outlining the time and estimated
completion date of the proposed scope of work. This should include
a schedule for and description of all deliverable products
throughout the period.
6.2.8.1 Site Survey
6.2.8.2 Geotechnical analysis
6.2.8.3 Detention basin design
6.2.8.4 Development of plans and specifications
6.2.8.5 Acquisition of permits: The IDNR has indicated that it
takes approximately two to three months to move through
the permitting process.
10
6.2.8.6 Construction Bidding: The City's goal is to have the
detention basin operational by February of 2006.
6.2.9 The proposal should specify anticipated City resources in terms of
personnel, facilities or equipment utilized by the consultant during
the project contract period.
6.3
Fees and Compensation
Separate the Fees and Compensation proposal (separate enclosure) from
the other portion of the RFP submittal. The fees and compensation
proposal must reflect the scope of services outlined in the RFP with any
deviations from the scope of services identified by the consultant. The cost
for individual tasks must be identified. For example: The costs associated
with the survey work should be identified. There are some tasks outlined
in the scope of services that the City might choose to perform.
Taxes
The City of Dubuque is exempt from all State sales tax. Do not include
sales tax in the Firm's proposal price. Tax exemption certificates will be
supplied upon request.
7.0
SERVICES BY THE CITY
Hydrological information pertaining to the Bee Branch watershed compiled by
HDR Engineering (Omaha, NE) and Veenstra & Kimm will be provided to the
selected firm. Electronic files associated with the computer modeling efforts will
be made available upon request.
The City of Dubuque has a geographical information system referred to as the
Dubuque Area Geographical Information System, or DAGIS. Available
topographical mapping includes 2-foot contours, digital terrain data, parcel
outlines, building outlines, edge of pavement, storm sewers, sanitary sewers,
water main, and aerial orthogonal photos.
The City will handle the administration of the construction contract by providing
inspection to ensure compliance with the plans and specifications and
establishing the work performed for the basis of partial payments to the
Contractor. City also to provide construction staking for the project.
8.0
SELECTION CRITERIA
Proposals will be screened to ensure that they meet the minimum requirements
of the proposal format. A review of qualifying proposals will identify firms that
most closely meet the needs of the City of Dubuque. The City will evaluate
proposals based upon the following criteria (not necessarily listed in order of
importance):
8.1
Qualifications and experience of the firm-reference checks, achievements
and completion of similar projects.
Project team-qualifications and experience with similar projects of the
principal consulting staff proposed to work on the project, variety and
8.2
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8.5
application of various disciplines within the team, and availability and
qualifications of any subcontracting staff.
Grasp of the project requirements-the firm's understanding of the scope,
preparation and level of interest.
Design approach/methodology in completing the scope of work and
services-technical alternatives, creativity and problem solving ability.
Responsiveness-general attitude and ability to communicate to audiences
with varying technical backgrounds.
local economic impact-ability to incorporate local firms.
Schedule evaluation-time required to complete the project.
8.3
8.4
8.6
8.7
9.0
SELECTION PROCESS
9.1 Proposal Review: The RFP committee will review the proposals and rank
them based on which consultants best meet the criteria listed above.
9.2 Interviews: Consultants remaining after the initial screening will be
contacted and invited to interview.
9.3 Staff Recommendation: City staff will make a recommendation to the City
Manager based on the consultant's interview and overall responsiveness
to the RFP.
9.4 Consultant Selection bv City Council: The City Manager will recommend a
consultant to the City Council and the City Council will then choose a
consultant for the W. 32nd Street Detention Basin Project. The City of
Dubuque is an Equal Employment Opportunity Employer.
10.0 SUBMISSION REQUIREMENTS
Proposals are to be signed by an officer of the firm authorized to bind the
submitter to its provisions. Proposals are to contain a statement indicating the
period during which the proposal will remain valid. A period of not less than
ninety (90) days is required. The proposal submitted by the firm shall become an
integral part of the contract between the City and the Firm and representations,
covenants, and conditions therein contained shall be binding upon the person,
firm or corporation executing the same. Failure to manually sign proposal will
disqualify it.
An original plus 10 copies of the proposal must be received in the office of the
City Clerk by 5:00 p.m. CDT on December 7th, 2004 at:
City of Dubuque
C/O Jeanne Schneider, City Clerk
50 West 13th Street
Dubuque, Iowa 52001-4864
Please direct all questions and correspondence regarding this RFP to Gus
Psihoyos (563-589-4275) or Deron Muehring (563-589-4276) from the City of
Dubuque Engineering Division or by fax at (563) 589 - 4205.)
Each firm assumes full responsibility for delivery and deposit of the completed
proposal package on or before the deadline. Proposals received after the
12
specified time will be returned unopened. The City of Dubuque is not responsible
for any loss or delay with respect to delivery of the proposals.
The City of Dubuque is not liable for any cost incurred by any firm before the
execution of an agreement or contract. Nor shall the City of Dubuque be liable
for any costs incurred by the firms not specified in contract documents. The City
shall become owners of the proposals upon submission.
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MEMORANDUM
November 29,2004
TO:
Michael C. Van Milligen, City Manager
FROM:
Gus Psi hoyos, Acting Public Works Director
SUBJECT: W32nd Street Detention Basin Consultant Selection Committee
INTRODUCTION
The purpose of this memo is to request input for the committee to recommend a
consulting firm to provide design services for the construction of the W32nd Street
Detention Basin.
BACKGROUND
In December of 2001, the City Council adopted the DBMP prepared by HDR. The
W32nd Street Detention Basin project was identified as a component of the
recommended solution to downstream flooding problems.
The FY2005 budget includes $200,000 for the engineering design of the improvements
to the W32nd Street Detention Basin.
DISCUSSION
The current five-year Capital Improvement Program budget includes $1,573,000 in FY
2006 to construct the W. 32nd Street Detention Basin improvements and an additional
$50,000 for engineering services.
RECOMENDA TION
I recommend the following staff members to serve on the committee:
1. Gus Psihoyos, Acting Public Works Director
2. Gil Spence, leisure Service Manager
3. Ken TeKippe, Finance Director
4. John Klostermann, Street and Sewer Maintenance Manager
5. Deron Muehring, Civil Engineer II
ACTION STEP
I respectfully request your direction as to the makeup of the proposal review committee
for the W32nd Street Detention Basin project.
Prepared by Deron Muehring
CC: Cindy Steinhauser, Assistant City Manager
Dawn lang, Budget Director
Ken TeKippe, Finance Director
Don Vogt, Operations & Maintenance Manager
Gil Spence, leisure Service Manager
John Klostermann, Street and Sewer Maintenance Manager
Deron Muehring, Civil Engineer II
low A DEPARTMENT OF NATURAL RESOURCES
Technical Bulletin No. 16
DESIGN CRITERIA AND GUIDELINES
FOR
IOWA DAMS
December, 1990
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
December, 1990
IOWA DEPARTMENT OF NATURAL RESOURCES
TECHNICAL BULLETIN NUMBER 16
FLOODPLAIN MANAGEMENT PROGRAM
DESIGN CRITERIA AND GUIDELINES FOR IOWA DAMS.
CONTENTS
Chapter
Title
Introduction. . . . . .
. . . . .
II
III
Hazard Classification
. . . . . . . . . . . . . . . . . .
Design Floods
. . . . . . . . . . . . . . . . . .
IV
Hydraulic and Structural Criteria and Guidelines
for Spillways.........
V
VI
Embankments
. . . . . . . . . . . . . . . . . . .
Special Requirements for Major Dam Structures
. . . . . .
VII
VIII
Specifications. . . . .
. . . . .
Dam Breach Wave Analysis................ .
IX
X
Operating Plan. . . . . . . . . . . . .
. . . . .
Lands, Easements, Rights-of-way
. . . . .
XI
Hydrologic and Hydraulic Design References. . . . . . . .
* Adopted by reference 567--72.3(1)"a", Iowa Administrative Code
A:DAI'IS/354-90/:p
- 1 -
Paqe
2
3
3
5
7
9
10
10
11
11
12
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
December, 1990
IOWA DEPARTMENT OF NATURAL RESOURCES
TECHNICAL BULLETIN NUMBER 16
FLOODPLAIN MANAGEMENT PROGRAM
DESIGN CRITERIA AND GUIDELINES FOR IOWA DAMS.
CONTENTS
Chapter
Title
Introduction. . . . . .
. . . . .
II
III
Hazard Classification
. . . . . . . . . . . . . . . . . .
Design Floods
. . . . . . . . . . . . . . . . . .
IV
Hydraulic and Structural Criteria and Guidelines
for Spillways.........
V
VI
Embankments
. . . . . . . . . . . . . . . . . . .
Special Requirements for Major Dam Structures
. . . . . .
VII
VIII
Specifications. . . . .
. . . . .
Dam Breach Wave Analysis................ .
IX
X
Operating Plan. . . . . . . . . . . . .
. . . . .
Lands, Easements, Rights-of-way
. . . . .
XI
Hydrologic and Hydraulic Design References. . . . . . . .
* Adopted by reference 567--72.3(1)"a", Iowa Administrative Code
A:DAI'IS/354-90/:p
- 1 -
Paqe
2
3
3
5
7
9
10
10
11
11
12
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
CIIAPIEII J:
INTRŒ1UCTIOH
The purpose of this bulletin is to set forth
technical design eriteria and guidelines that
the Departllent of Natural Resourees will use
in reviewing applications to obtain a peO8it
for eonstruetion, operation and maintenanee or
aodif ieaHon of a dano. Other re,uir..ents
whieh Rust be aet in order to seeure sueh a
pe...it are outlined in the Iowa AcbinistraHve
~ under agenc:y nuaber 567. Saveral
ehapters of the department's acllllinistraHve
ruIes in 567 Iowa AciainistraHve Code eoneern
the eonstruetion. operation and _dntenanee of
_s as follow..
Chapter 70 eontains definitions of tèO8s'
used in other ehapters.
Chapters 50. 51 and 5Z eoneern water
permits whieh Rust be obtained to authorize
storage of water in surfaee iapoundaents.
Chapter 71 explains when approval is
re,uired in order to eonstruet. aodify,
operate and aaintain _e.
Chapter 7Z lists eriteria for approval of
- projeets.
Chapter 73 eoneerns operational procedures
for claas. fluetuation of water levels in
iapouncinents. abandonaent and r....oval of
_s, inspeetions of - sites and _e.
and designation of unsafe _e. Chapter 73
applies to all _e. whose dimensions or
effeets exeeed the regulatory thresholds in
Chapter 71.
Copies of the departllent's a"'inistrative
rules Ray "" obtained frOlO the Records Cent.r.
Department of Natural Resourees. Nallace State
Office Building. Des lIoines, Iowa 50319. upon
1'8<uest.
The above-described rules should be consulted
when planning to construct or aodify a -.
change the operation or uae of a duo, or
abandon or reeove a_. This bulletin is
part of the above-described rules and is
intended for use in conjunction with thee.
The chapters entitled "Hazard Classifications"
and "Lands. Easeeents. Right-of-Hay" are
A:DAJIS/354-S0/.p
December. 1990
substantively identical to rules published in
the Iowa Aciainistrative Code. These
non-technieal criteria are repeated 10 this
bulletin for the eonvenience of the user.
Minh... re,uir....ents in thi8 bulletin are
labeled "guidelines" or "criteria"
depending on the fre<uenc:y with which they are
likely to be relevant to the safety of a
particular type of structure. The distinction
bet1leen criteria and guidelines is not
intended to be rigid. Hhen the applicability
of a criterion or guideline to a particular
project is not clear to the design engineer,
the engineer should consult the departllent.
Any pe..it issued by the departllent Rust
explain the reasons for waiving conforeity
with a eriterion or guideline detereined to be
applicable to the type of structure proposed.
Adoption and Aeendaent of Bulletin 816. This
bulletin has been adopted as part of the
departllent'e adainistrative rules. Pursuant
to Section 17A.6I3J, Code of Iowa. this
bulletin is not published in the Iowa
Adeinistrative Code but copies will be _de
available to the public upon re,uest at no
aore than the eost of reproduction.
This bulletin Ray be _ended frOlO tble to time
by ruleeaking proceedings. Aeended editions
of this bulletin will be identified in Chapter
7Z of the departllent's rules by reference to
the year and aonth that the new. superseding
edition beeOlOes effective. The user should
obtain a copy of current departllental rules as
published in the Iowa Adoinistrative Code and
coepare the edi Hon date on the cover page of
this bulletin with the edition date identified
in the rules.
- 2 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
CIIAPIEII !:I
1
HAZARD CLASSIFICATIOH
Danis shall be assigned a hazard class based on
the potential conse,uences of failure.
Anticipated future land and impoundllent use
shall be considered in the determination of
hazard class. The criteria in this chapter
shall be used to determine hazard class
regardless of the aethodology used in
engineering design of a <IaIII. The hazard class
shall determine the design r"'luirements of! the
structure as outlined in this bulletin. The
hazard cla,ss shall be evaluated using the
following criteria.
AI
Low HaZard. Structures located in
areas where claaages fr'" a failure
would be limited to loss of the dam.
loss of livestock, danges to fara
out-buildings, agricultural lands, and
lesser used roads, and where loss of
hUllan life is considered unlikely.
BI
_rate Hazard. Structures located
in areas where failure may claaage
isolateð h...es or cabins, industrial
or c....ercial buildings, soderately
traveled roads or railroads, interrupt
_jor utility services. but without
substantial risk of loss of hUllan
life.
In addition, structures where the <IaIII
and its impoundllent are of theaselves
of public importance. such as claas
associated with public water supply
sys_s. industrial water supply or
public recreation. or which are an
integral feature of a private
developsent coaplex, shall be
considered soderate hazard for design
and regulatory purposes unless a
higher hazard class is warranted by
downstre.. conditions.
CI
High Hazard. Structures located in
areas where failure say create a
serious threat of loss of hUllan life
or result in serious claaage to
residential, industrial or c....ercial
areas, iaportant public utilities,
public buildings, or njor
transportation facilities.
1
This chapter is substantively identical to
567--72.3121"a", Iowa Adainistrative Code.
December, 1990
DI
Multip Ie Dams. Where failure of a dam
could contribute to failure of
downstream danI or dams, the JOinimUII
hazard class of the danI shall not be
less than that of any such downstream
structure.
CIUPlEII !:II
DESIGN FUXDS
A cIaa will be re,uired to safely accOlMloclate
or pass certain 8inimUII flood events.
Routings of the flood hydrograph through the
iJapoundlllent should begin at an elevation no
lower than the norlllal operating level. The
magnitude or fre,ueney of the re,uired flood
discharges will vary with the hazard
classificati~n. size, and drainage area of the
project.
AI
Freeboard Design Flood
The specified freeboard design flood
represents the greatest flood the dam
sut be designed to acc....ocIate. The
flood must be passed without
overtopping of the cIaa and endangering
its safety or the cIaa sust be designed
to withstand such overflow. Soae
er"",ion damage in earth eaergency
spillways will be tolerated. provided
the safety of the cIaa would not be
compr...ised.
For class with eaergeney spillways, the
top of dam elevation after settleaent
shall not be less than the highest
peak pool elevation reached during the
freeboard design flood. For dass
without an eaergeney spillway, the top
of cIas elevation shall be 'two feet
higher than the peak flood elevation
expected to occur during passage of
the freeboard design flood, unless it
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
is specifically designed to withstand
the overflow.
In the following cirC>Ølstances, the
indicated freeboard design flood will
be used,
1)
All High Hazard Dams,
Probable llaxinoWII Flood.
The
ZI
All IIoderate Hazard D....s, and Low
Hazard D....s Cla..ified as ajor
Structures, Dne-haU 10.51 of
the Probable llaxaWl Flood (a
flood hydrograph produced by
.ultiplying the ordinates of the
PtIF hydrograph by a factor of
0.51.
31
Low Hazard D....s not Classified as
ajor Structures.
a.
Hhere the height of th:
eoergency spillway crest
measured above the elevation
of the channel bott"", at the
centerline of the - I in
feet] oultipUed by the
total storage vol...e I in
acre-feet to the -erg:ncy
spillway crest elevation is
between 3,000 and 30,000,
the flood shall correspond
to the rainfall calculated
frcoo the following fomula
developed by the USDA Soil
Conservation Service.
Rainfall = PIOO + O.IZ IPIIP -
PIOOJ
b.
Hhere the height of th:
_ergeney spillway crest
..easured above the elevation
of the channel bottcoo at the
centerline of the - I in
feet I oul tip lied by the
total storage vol_e ( in
acre-feet] to the eoerg:ncy
spillway crest elevation is
less than 3.000. the flood
shall be that resulting frcoo
the "SO-year. Z4-hour
"
A:DAM/354-90/sp
- 4 -
December, 1990
precipitation.
BI
Principal Spillway Design Flood. and
Discharge Capacity
The principal spillway is normally a
concrete or setal conduit or structure
which conveys water through or around
the dam. Its size and discharge
capacity are governed praarily by the
following factor.. the need to
control flood discharges downstream
fr"", the daJo¡, and the need to lait
both the depth to which floodwaters
are impounded and the length of tin
for which they are apounded. Related
to these factors is the need to lait
the frequency of operation of
e..ergeney spillways.
Except where special consideration.
..ust be addressed, the criteria listed
below shall apply to the design of
principal spillways. The design
floods indicated oust be passed by the
principal spillway without need for
operation of an _ergency spillway.
IJ
Design Floods
a. High Hazard ea..s
100-year flood.
the
b.
IIoderate Hazard ea..s - the
50-year flood.
c.
Low Hazard Da.. with
drainage areas of 250 acres
or sore - the ZS-ye.r flood.
d.
Low
Hazard
ea.. s
with
drainage areas less than ZSO
acres - the 10-year flood.
ZJ
The sp illway discharge capacity
shall be sufficient to evacuate
at least 80)( of the vol...e of
water t-porarily stored during
the principal spillway design
flood within 10 days.
Hhere
this
cannot
be
aec""'pUshed, the _ergency
spillway and freeboard design
flood routings shall be ...de
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
beginning with ~he iIopoundmen~
level a~ ~he 10 clay drawdown
elevation.
31
For daoIs with ...ergency spillways
of s~ructural concre~e or which
are excava~ed in~o sound rock, a
higher frequency of use, and
~herefore lower principal
spillway design flood. nay be
permi~~ed if flood con~rol or daoI
safe~y would no~ be adversely
affec~ed.
""or clans wi~hou~ enoergency spillways, ~he
s~orage vol_e and heigh~ shall be de~erained
by neasuring ~o ~he ~op of daoI elevation.
CI
Rainfall Dep~h and Dis~ribution
Precipitation values for various
fre<uency s~ora even~" 10. 25, 50.
100-year and PIIP are contained in ~he
Iowa Departaen~ of Agriculture and
Land Stewardship publication.
Cliloa~ol""y of Iowa Series 8Z,
Revised,' Iowa Rainfall Frequencies by
Paul Hai~e. Ten clay rainfall _oun~s
are contained in the National Mea~her
Service publication, Technical Paper
Mo. 49.
Sone acceptable ne~hocls of
dis~ributing ~he rainfall in Iowa are
found in ~he U.S.D.A. Soil
Conservation Service publication,
~, Ear~h Dans and Reservoirsl and
the Illinois Sta~e Ha~er Survey
publication, Tille Dis~ribution of
Rainfall. In HeavY Swras by
F. A. Huff.
DI
Rainfall Losses
Conservative loss ra~es I in~erception,
infiUration, etc. I and anteeedent
noisture conditions ebould be used in
c,,",puting rainfall excess. Also, when
applicabl.. .noNe.1t runoff rat..
should be estiloated.
The Soil Conservation Service (SCSI
weighted curve nueber eethod is
acceptable for deteraining rainfall
A:D!t.MS/354-90/sp
December, 1990
losses and is explained in National
Encineerinc Handbook Section ..
Hydrology, SCS, 197Z.
EJ
Storm Duration
Cri~eria and guidelines for developing
design storms frOlll rainfall events are
as follow..
II
The critical duration storm, or
~he storm which results in the
highest wa~er level in ~he
iIIpoun..ent. shall be used in
deteraining the freeboard design
flood for a high hazard dam.
ZI
Six hour s~orms are recClllOended
for clete1'lllining ~he freeboard
design flood for class designa~ed
in paragraphs AI Z I and AI 3 I"a" of
this chapter except where the
~;".e of concen~ration exceeds six
hours. The Z4-hour sto.... is
rec....encled for cIaJos designated
in paragraph AI3 I"b" of this
chapter.
31
Twenty-four-hour ( Z4-hour I
10-day s~oras are rec....encled for
developing principal spillway
design floods.
CIW'IEII 1'9
K'iDRAULIC AND STRIJC''URIo.L
GUmELINES FOR SPILLHA'tS
CRITERIA
,\1m
The following criteria and guidelines are
design considerations which will be used by
the departaent to insure that spillway
structures are capable of functioning safely
and efficienUy and of resisting ~he forces to
which they nay be exposed during the life of
the structure.
AI
Spillways should be designed ~o
operate safely for the life of the
.tructure and at ~he discharges and
pre..ure. which would. be experienced
under all noraal or flood flow
conditions including the freeboard
design flood.
- 5 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
B)
Anti-seepage collars or other uans of
piping and seepage control le.g..
drainage diaphragn). anti-vortex
devices. trash racks or other inlet
debris control seasures, and outlet
stilling basins should be provided for
all conduits unless evidence can be
presented establishing they are not
necessary.
C)
For dams where a conduit is proposed
to serve as the principal spillway,
suggested einill... sizes of the
principal spillway concluit for the
indicated type of structure are as
follows.
1)
High Hazard Dus and lInderate
De..s classed as llajor Structures
- 36-inch inside diueter.
Z)
lIoderate Hazard Dams not classed
llajor Structures and Low
Hazard De... which are classed as
llajor Structures - Z4-inch inside
di-eter.
3)
Low Hazard Dees not classed as
llajor Structures but which hav.e
drainage areas of ZSO acres or
sore - 18-inch inside di..eter.
4)
Low Hazard Dees with drainage
areas under ZSO acres - IZ-inch
inside di...eter.
These einiaue sizes are
applicable to dass with ...ergency
spillways or which are designed
for overtopping only. For daes
without ...ergency spillways,
substantially larger conclui 10
sizes with speeial provisions
against plugging will noreally be
re,uired.
01
Drop inlets I risers) should have an
inlet cross-seetional area at least
1.5 t18es that of the conduit and
should be constructed of c"'"parable
eaterials.
E I Concluits and risers should be of
. sufficient strength and have ade>uate
A:DAlfS/154-90/sp
- 6 -
December, 1990
joints to withstand all anticipated
external and internal pressures
without daeage or leakage. with
provision eade for vertical
setU...ent. Concluits should be
caJllbered where significant setU..ent
of the overlying eebanJcoent is
anticipated. Articulated or bell
joints should be provided as necessary
to accCllUllodate the e""h... elongation
estiaated to "",cur during the life of
the structure. Risers oust be
designed to counteract buoyant forces.
F)
Corrugated eetal pipe conduits end
risers should be close riveted with
watertight connecting bands and should
be fiber bonded. asphalt coated. or
given e<uivalent protection. Cathodic
protection shall be provided in
corrosive soils. Corrugated eetal
pipe laIP) conduits are not
rec""""ended for high hazard daes.
eoderate hazard daes classed as eajor
structures. or where the height of
earth f ill over the conduit exceeds ZS
feet.
GI
Concrete conduit and drop inlet
I riser design using precast pipe
sections should specify reinforced
concrete pressure pipe.
HI
Open concrete spillways. concrete box
conclui ts. and concrete fluees or
chutes should have longitudinal curbs
or raised joints which will prevent
contact by noreal flows with the
construction joint between the floor
and wall alabs. Seepage barriers,
drainage blankets and drains should be
installed where needed to eaintain
hydraulic flow integrity through the
structure and to accoeeodate
anticipated setU...ent or elongation
in the longitudinal or transverse
directions.
I)
Eurgency spillways should boo capable
oI: safely conveying excess flood flows
eround or through the dae. They
should not operate except at floods
greater than the principal spillway
design flood.
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
~I
Ear~ _ergency spillways should be
subjec~ ~o ~he following aina....
re~uireaenb a~ ~he con~rol section,
1)
lIina.... bo~~oa wid~h - 10 fee~.
Z)
On llajor S~ructures, aina....
dep~h 3 fee~. On o~er
s~ructures, ainaWl dep~h - Z
fee~. (Elevation of ~op of claa
sinus elevation of eaergency
spillway cres~. I
3)
The profile ~hrough ~he ...ergency
spillway should be horizontal for
a~ leas~ 30 fee~ ~rough ~he
crest control section.
4)
Exi~ channel slopes should not be
less than IX or greater ~an lOX.
but should provide for
aaintaining critical dep~
control at the crest.
(I
For da.. where substantial erosion in
the eaerø-ency spillway would pose the
risk of a daa failure. ~e flow
velocities during the freeboard design
flood should be non-1rosive. Nhere
such erosion would pose no substantial
risk of failure. the flow velocities
should be non-erosive at the discharge
which occurs when flow through the
con~rol section isa~ 3070 of the
.ua.... depth. On vegetated
spillways. ~e non-1rosive velocity
should be <leterained ass_ing the
vegetation is well established.
LI
Eaergency spillways should be
constructed in undisturbed soil
wherever possible. Nhere no viable
alternative is available. they say be
constructed on fill as a rasp
spillway.
III
Saooth transitions in horizontal and
vutical alignaent should he provided
a~ and between the inlet. the control
at ~he cres~ and the outlet sections
of eaergency spillways.
HI
All spillways should discharge a safe
A:DItM/ 354-90/.p
December, 1990
distance froa the toe of the cIaa, and
the inle~s and outle~s should be so
located and aligned as to ainilaize
risk of erosion cIa.age to ~e daIII or
of daIIIage to downstreas buildings,
roads, class or other structures.
0)
An adequate energy dissipation
structure I stilling basin) or an
aUernative acceptable .ethod should
be incorporated at the outlet of all
struc~ural spillways. On aajor
structures. uplif~ analysis and
arching requir...ents should be
considered.
CIIAPIER "
E!IIAJOCI1EKIS
The earth eabankloent of a daa should be
designed and built according to the following
criteria and guidelines.
AI
Foreslopes and Backslopes.
Eabankloenb should be built of
suitable aaterials and wi~h stable
slopes. Foreslopes should not be
steeper than 301 (horizontal to
vertical I in till or loess soils below
the peraanent water level. Above the
peraanent water level, foreslopes
should not be steeper than Z.S,l in
till soil or 3,1 in loess soU.
Backslopes should not be steeper than
Z.Sol in till soils or 301 in loess
soils. steeper foreslopes or
backs lopes say be used if justified by
soil tests and stability analysis.
BI
Settl_ent Allowance. A .inau.
vertical se~tl_ent allowance of five
percent of the depth of fill should be
provided unless a lesser _ount is
justified by soil tests.
CI
Top Width. The .in1lo- ..bankloen~ top
width should be 14 feet for daas ZS
feet high or higher. As a rule of
th_b. the top width could he reduced
by two feet for every five feet of
reduction in the height of the cIas to
a .ina- width of eight feet. The
top width of class witl>~oads acroSS
the crest should be consistent with
- 7 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
no...al roadway design practices,
including roadway and shoulders.
01
Core Trench. Core trenches should be
located approximately along the
centerline laxis! of the earth fill.
It should be continuous across the
base of the fill extending into and up
the side slopes of the ciano abut>oents
to normal reservoir level. The core
trench should be excavated to
sinill... depth of five feet or until a
suitable base saterial is reached.
The base width should be that which
will acconuoodate excavating e,uipsent,
but not less than eight feet. The
side slopes of the core trench should
not be steeper than 1,1, regardless of
depth or width of base. hopervious
saterial shall be used in backfilling
the core trench.
EI
Have Erosion Protection. On the
upstre.... face of the daB, a horizontal
bench or bel'1ll at least 10 feet wide
usually should be provided at the
no...al pool elevation to lillit cIanoage
frOla wave erosion. On larger
inlpoundaents, rip rap or other physical
aeans of protection should be
considered whether or not the be... is
provided.
FI
Site Preparation. All vegetation,
sod, st...ps, and large roots should be
rellloved fr... the eabanlaaent site, and
the ground surface scarified to
provide bond with the earth fill.
Overhanging banks, pits, or holes
should be sloped and graded so slopes
do not exceed 101, and any other sharp
discontinuities in the ground surface
shall be ..oothed. Special
consideration should be given to the
reaoval of sandy or sucky deposits
unle..s otherwise provided for in the
design.
In till soils, topsoil should be saved
and placed as a surface layer over the
finished eabankaent to provide an
ade,uate seed base in estabUshing
vegetation.
A:DAJ1S/354-90/sp
- 8 -
December, 1990
GI
Fill. Fill .aterial should be clean
earth containing no appreciable
asounts of vegetation, large rock,
frozen saterial or other foreign
substances. Fill should not be pleced
on a frozen foundation or in freezing
weather.
Hoisture content of the fill should be
sufficient to assure acle<uate
cOlapaction. A soisture content
slightly higher than optinl... is
reconuoended. An above OptinlWII
soisture content is desirable frOla the
standpoint of providing a sore plastic
eoobanlaaent capable of resisting
greater differential settl.ent
without experiencing potentially
hazardous cracking. Unless otherwise
specified after soil testing, fill
should be placed in horizontal lifts
not exceeding eight inches extending
over the entire fill area and
cOllpacted by not less than four
overlapping passes by sheepsfoot or
rubber tired rollers. Ssooth steel
rollers or passes by caterpillar
tracks are not considered acle<uate for
cOllpaction of earth-fill class. The
surface of the fill should be
scarified or roughened if sufficient
tise elapses between lifts for a crust
to develop.
Backfill adjacent to spillway
structures and anti-seep collars
should be carefully placed and
....pacted by hand e<uipsent. Heavy
e<uip.ent shall not pass OYer conduit
structures until two feet of cOllpacted
earth cover is in place.
HI
Drains. Internal ...page control
drains are rec....ended for all daas
and are nornoally 1'e<uired on ....jor
structures unle.. soils investigation
finds they are not needed. Drains
should be capable of preventing
saturation of the cIownstr..... portion
of the eabanbent by intercepting any
seepage through the fill or the
foundation and any seepage along
structural spillways or concluits.
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
December, 1990
U springs are encountered during site
preparation. drains should be provided
to allow a controlled outlet.
II
Seeding. As soon as possible after
earth fill for the _banlanent is
cCllpleted. the _bankaent and any
other exposed areas should be seeded.
lIuteh or other aeans of erosion
control can be placed as part of
seeding and Maintained until
vegetation is established. Grass or
vegetative species selected for use
should be appropriate for the soils
and conditions expected at the site.
Crown vetch is gsnerallY not
acceptable for daB eabankaents or
eaergency spillways.
JI
Riprap. Riprap shall be designed for
its expected use and anticipated vater
velocities. All riprap should be
placed on a properlY designed bedding
unless the gradation of the underlying
base saterial is such that it will not
infiltrate through the riprap. or an
acceptable filter fabric is used.
10
Groins. HIIere the eabankaent
foreslopes and backslopes intersect
the natural or sodified abu_nt
slopes, appropriate groin design and
erosion control recOlUOendations should
be provided.
bbankaents CCllpOSed of concrete, rock. or
other saterials, as associated with gravity,
rockfill and arch _s, designed in accordance
with standards by the U.S. Aray Corps of
Engineers. U.s.D.A. Soil Conservation Service.
or the U.s. Bureau of Rec::l..ation are
generally acceptable. These types of _s are
not noraally constructed in Iowa.
CIAPIEII n
SPECIAL REQUIREJ1EK1'5 FOR IlAJOR DAI! 5TllUCI'llRES
Because of the size. public ÌIIportance. or
potential hazard of a sajor - structure. a
higher level of investigation. design and
usurance of proper construction is needed. A
ujor - structure 18 defined as a -
_ting any of the following criteria.
A:DAl!S/354-90/sp
1.
Any high hazard daM.
z.
Any soderate hazard dam vith
penanent storage exceeding one
hundred (100) acre-feet or a total of
penanent and tesporary storage
exceeding tvo hundred fifty (ZSO J
acre-f.et at the top of the dam
elevation.
Any dam. including Iou hazard claas,
vhere the height of the emergency
spillway crest seasured above the
elevation of the channel bottCII at the
centerline of the dam (in feet I
sultiplied by the total storage vol...e
( in acre-feet I to the emergency
spillvay crest elevation exceeds
30.000. For _s without emergency
spillways. these aeasur..enb shall be
taken to the top of - elevation.
3.
"" a condition of penit approval, the
folloving it..s will be required for sajor
- structures.
AI
A soils and foundation investigation
shall be sade vhich includes the
evaluation of slope stability
re<uir..ents, anticipated vertical
settle...nt and horizontal elongation.
seepage and underseepage potential.
vhether cathodic protection 18 needed
for setal pipes, and proper
construction practices for the soil
types and conditions encountered.
stability evaluation shall include end
of construction. steady state seepage
and suelden drawdown conditions.
BJ
Anticipated sedÌllentation rates and
their apact on the life and
usefulness of the apoundaent shall be
investigated. SeelÌllent storage sball
be provided in the, vol.... nec.s....ry
for continuation of design uses of the
ÌIIpoundaent throughout its design
lifs.
CI
A gated low lsvsl owtlst shall be
provided vhich is capable of draining
st least SO percent of the penanent
storage behind the - within
reasonable length of tÌlle. The pipe
conduits shall be designed so that
- 9 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
negative pressures will not occur at
any point along the system.
DJ
In order to assess the degree of
threat to lile and property located
downstre.. of the -. a daJII breach
analysis uy be required. The
analysis will be made to determine the
MoSt adverse failure condition and the
resulting peak outflows and water
surt"ace elevations downstre... of the
d... following failure of the -
during the freeboard design storm.
EJ
Construction shall be inspected by an
engineer registered under Chapter 114
of the Code of Iowa or by a trained
inspector under the supervision of the
engineer. The engineer shall prepare
and certily as-built plans ~ter
cOlllpletion and a report detailing any
unusual circuutances encountered
during construction and sublit th.. to
the Departaent of Natural Resources.
ATI'II. Flood Plains.
FJ
The applicant. as a condition of the
penit. shall su...it an annual
eaintenance and inspection report.
The report shall describe eaintenance
work done since the previous annual
report. describe any deBciencies
observed in the - or appurtenant
structures. detail the r_edial
eeasures necessary and the eethod and
tiee the. applicant proposes to correct
the deficiencies found. If there is a
change in the land use downstre... of
the dam. this change should be noted
on the annual eaintenanee and
inspection report. The applicant uy
also be r..,uired to provide additional
inspections and reports by an engineer
or other ~ual1fied personnel.
CIIAPIER 't'U
SPECIFICATIONS
Nban detailed project specifications ara
prepared. they should include the following
i~onation .
AJ
The general provisions. which specily
. the rights. duties. and
A:DAIIS/354-90/ s-p
- 10 -
December, 1990
responsibilities of the Duner.
Applicant, Applicant's Engineer. and
Builder or Contractor. and th~
prescribed order of the work.
BI
The technical provisions which
describe approved work aethods.
..,uip"ent, uterials and desired end
results.
CI
Special provisions as say be re~uired
which describe those technical details
that ara not usually contained in
standard technical provisione.
CIIAPIER nn:
DAK BREACI AllAI.YSIS
AJ
In sOllIe cases it will be necessary to
evaluate the conse~uences of a daa
'failure to verily hazard
classilication or ad..,uacy of design.
A special case of - breach analysis
will involve failure or lIoproper
operation of flood control gates or
other structures.
BJ
Nbere such evaluations are ude by the
departaent' s staff. the necessary data
will be obtained froa topographic -po
or other available inforution. If
that infonlation is not adeouate. the
applicant uy be r..,uired to obtain'
additional downstre... eurvey data.
CJ
Prediction of the downstrea..
cons..,uences of a hypothetical da"
breach r..,uires several coaponent
eteps. developeent of the iIIpoundeent
inflow hydrographl routing the
hydrograph through the lIopoundeentl
selecting failure conditions for the
structure I calculating the outflow
hydrograph froa the failed structure I
and eodeling aov_ent of the flood
wave downstre... to detenine travel
tille. inundated areas. auill.. water
surt"ace elevations. etc.
DJ
The criteria. .ethodology. and
coaputer prograes developed by the
U.S. Corps of Engineers. the National
Heather Service. the U.S.D.A. Soil
Conservation Serviee. and the U.S.
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
Geological Survey for saulating a
hypothetical da8 failure are, in
general, acceptable.
CIW'ŒII DC
OPERATING PLAN
For any - with gates or other aoveable
structures which MuSt operate or be operated
during tiDIeS of flood or to provide a aina...
downstre... release rate, a written operating
plan shall be prepared. DevelopMent of such a
plan is considered part of the design process.
The following shall be addressed in
preparation of the operating plan.
AI
Responsibility
No operating plan can be expected to
work properly unless it can be assured
the necessary personnel will be
present to operate the ""uipaent. or.
in the case of autOMatic ""uipllent, to
Monitor it and insure it is
functioning properlY.
The plan shall identify who is
responsible for operating and
Monitoring the e<uip..ent and provide
Means to assure the necessary
personnel are present when needed.
81
Operating Circwastances
The circwastances under which
operation MuSt occur shall be clearly
defined. and a Means provided to
insure that operating personnel are
present when necessary.
CI
llethod of Operation
The Means and Methods by which
operation is to be conducted shall be
clearly defined. Included shall be
such iteas as rates and s""uences for
opening or closure of gates, pool
level vs. gate setting tables. etc.,
as r""uired.
The operating plan shall allow for
safe passage of all floods up to and
including the freeboard design flood.
Flood discharges through the daa
A:DANJ/ 354-90/ Jp
December, 1990
greater than the design peak flood
inflows into the apoundloent shall not
be permitted. In design and analysis,
due consideration shall be given to
the potential apacts of the operating
procedure on both downstre... and
poolside lands.
The plan should also address low flow
situations and should specify
ainaua release rate and how it will
be provided and Maintained.
Consideration shall also be given to
and allowance Made for the possible
failure of or aaUunctioning of the
equipMent.
DJ
Discharge "easur....ent
A aeans shall be provided to determine
the discharge through the control
structures, especially where operation
is to Maintain a aina... downstrea.
flow. Control setting vs. discharge
tables, streaaflow gages or other
aeans of obtaining discharge readings
shall be provided. The settings of
control structures shall be easily
read.
CIW'ŒII X
.
UI8IS. EASeIEHI'S, RIGHTS-oF-WAY
The dete...ination of lands, eas...ents. and
rights-of-way required for the construction,
operation and aaintenance of a da8 project are
considered part of the design process. An
application for approval of a daa project
shall include infonlation showing the nature
and extent of lands. easeaents. and
rights-of-way which the applicant bas acquired
or propose. to aC<uire for the project.
Ac<uisition of lands, easeaents or
rights-of-way for construction, operation, and
aaintenance of daa project shall be
consistent with the following criteria.
AI
Ownership or perpetual easeaent. shall
be obtained for the area to be
occupied by the - eabankllent,
spillways and appurtenant structures,
and the pereaoeot or aaxaUII oo...al
pool.
- 11 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
BJ
Ownerohip or easeJIenb shall be
obtained tor teMporary flooding ot
areas which would be inundated by the
flood pool up to the top ot daM
elevation and tor spillway discharge
areas .
C)
Ea_ents covering areas attected by
t...porary flooding or spillway
discharges shall include provisions
prohibiting the erection and usage of
structures for h...an habitation or
ooouoeroial purposes without prior
approval by the Departeent ot Hatural
Resouroes .
DJ
In locating the site of a daII and in
obtaining ease.ents and righb-of-way,
consideration should be given to the
iapaob which changes in land use
dewnstrean ot a daII and adjacent to
the iIIIpoundnoent could have on the
hazard olass ot the daII. the operation
of the daII, and the potential
liability of the dam ewner.
EJ
The applioant .ay be re~uired to
ao~uire control over lands dewnstrean
froe the dae as necessary to prevent
dewnstrean develop.ent which would
aftect the hazard class ot the daII.
* This chapter is substantively identical to
S67--72.3IZJ"b", Iowa Ac8inistrative Code.
CIIAPŒJI XI
Jm)ROLDGIC AMI HYDRAULIC DESIGN REFEREIICES
~
Handbook ot Applied Hydrology by Ven Te Chew.
_w-Hill Book Coepany. 1964.
Handbook of Applied Hydraulios by David and
Sorensen. IIc:Graw-Hill Book Coepany. 1969.
Handbook of HYdraulios by )(ing and Brater.
IIc:Graw-Hill Book Coepany. 1963.
Nater Resources Engineering by Linsley and
Frandni. IIc:Graw-Hill Book Coepany. 1963.
u.s.
Departeent
ot
Interior.
Bureau
ot
A:DAlfS/354-90/ sp
- 12 -
December, 1990
Reolantion
Design ot Aroh Dans. 1977.
Design ot Gravity D....s, 1976.
Design ot Small Canal Structures. 1974,
Revised Reprint. 1978.
Design ot SIoall Dans, Znd Edition. 19731
Revised Reprint. 1977.
Disoharge Coettioienb tor Irregular
Owedall Spillways, Engineering IIonograph
No.9, 19SZ.
Hydraulio Design ot Stilling Basins and
Energy Dissipators. Engineering IIonograph
No. ZS. 197B.
Unitgraph Procedures, 1965.
InteriJa Guidelines tor Preparing Inundation
lleps tor Areas Downstrean ot Bureau ot
Reclaeation Dans.
Corps ot Engineers
Engineering llenuals (Ell),
Ell
IIID-Z-1411
Standard Project Flood
Deterllinations .
Ell IIID-Z-I6DZ Hydraulio
Reservoir Outlet Structures.
Dedgn
ot
Ell IIID-Z-16D3
Spillways.
Hydraulio
Design
of
Ell IIID-Z-I908 Instr_entation ot Earth
and Rooktill Dans.
Ell IIID-Z-ZZDD Gravity Dan Design.
Ell IIID-Z-Z30D Earth and Rocktill Dees
General Design and Construotion
Considerations.
Ell IIID-Z-SO Low Level Disoharge
Faoilities for Drawdown ot bapouncaents.
Ell IIID-Z-145D
EstiJaates.
Hydrologic
Frequency
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
En 1110-Z-Z%1 Have JIIInup and llind Setup
on Reservoir Eabanlallents.
Il1ning E~orc....ent and Safety Adlll1nistration
Engineering and Design ltanual. Coal Refuse
Dbposal Facilities. 1975.
Sol1 Conservation Service
National Engineering Handbook.
Section 4 - Hydrology
Section 5 - Hydraulics
Section 11 - Drop Sp111ways
TR-39 Hydraulics of Broad-crested Spillway
TR-48 C-puter Prog.... for Project
Fonoulation-Structure Site Analysis
"DAIIS-Z"
TR-49 Criteria for the Hydraulic Design of
bopact Baeins
TR-SZ A ¡;"ide for Design and Layout of
Earth Eaergency Sp111ways
TR-SS Urban Hydrology for _11 Hatersheds
TR-S9 Hydraulic Design of Riprap Gradient
Control Structures
TR-60 Earth IIaJos and Reservoirs
TR-61 CoIIputer Prog.... for Nater Surface
Profl1es
TR-66 Siapl1fied
Procedure
IIaJo
Breach
Routing
DH-8 Entrance Head Losses in Drop-Inlet
Spillways
_-I Tentative Gwides for Dete...ining the
Gradation of! Fl1ter !laterals
National Neather Service
Techn1ea1 Paper No. 40 - Rainfall Frequency
Atlae of the United States (for Duration
froll 3G n1nuten to 24 hourn and Return
A:DANS/354-90/<p
December, 1990
Periods frea I to 100 yearsl. 1961.
Technieal Paper No. 49 - Two to Ten Day
PreciPitation for Return Periods of Z to
100 Years in the Contiauous United States,
1964.
HydrOOleteorological Report No. 51
Probable llaxiøo... Precipitation Estiøoates,
United States East of! the IOSth lleridian,
June. 197B.
DAI1BRI(. NIlS Daa-Break Flood Forecasting
Hodel. Hov_ber. 1979.
Illinob State Hater Supply
Precipitation Relations for Uae in Daa
~ety Pro1ect by Floyd Hwff. 1980.
Tin Dbtribution of Rai~all in Heavy
~ by Floyd Huff. 1967.
Iowa Departaent
Stewardship
of
Agriculture
and
Land
CI1aatology of Iowa Series .Z. Revbed.
Iowa Rai~all Frequencies by Pawl Haite,
1988.
CI1aatology of! Iowa Series No. 3 - ~
Greate.t Z4-Hour Precipitation and Related
Store Data by Pawl Haite and Pawl Jaeger.
United States Geological Survey
Bulletin No. 7 - Drainage Areas of! "Iowa
Streaas by O.J. Lariøoerl Reprinted. !larch,
1974.
Bulletin No. IZ - Floods in Iowa. A
C-parative study of Reaional Flood
Frequency llethods by Oscar G. Lara. 19'74.
Nater Resource. Investigation Report
87-4132 llethod for E.tiaatin" The
lIa"nitude and Frequency of Floods at
u""""ed Sites on Unreøulated Jlllral S-
~. by Oscar G. Lara. 1987.
Federal Highway Ac8inbtration
Hydraulic. Engineering Circulars.
.",
- 13 -
DNR TIJ-16
Design Criteria and Guidelines 'for Iowa Dams
December, 1990
HEC No. 10 - Capaci~ Charls for the
Hydraulic Design of Highway Culverts,
Nove.ber, 197Z.
HEC No. 11 - Use of Riprap for Bank
Protection, June, 196 7.
HEC Ho. 13 - Hydraulic Design of IoIproved
Inlets for Culverts, August, 197Z.
HEC No. 14 - Hydraulic Design of Energy
Dissipator for Culverts and Channels,
Dec....ber, 1975.
HEC Ho. 15 - Design of Stable Channels with
Flexible Linings. October, 1975.
Hydraulic Design Series Ho. 1 - Hydraulics
of Bridge Waterways. Znd Edition, 1970.
Hydraulic Design Series No. 3 - Design
Charts for Open-Channel Flow, 1973.
Hydraulic Design Series No. 4 - Des1an of
Roadside Drainage Channels, 1965.
Hydraulic Design Series No. 5 - Design of
Highway Culverts. Sept....ber 1985.
Agricultural Research Service
The SAF Stilling Basin, 1959.
Hydraulics of Closed Conduit Spillways,
Parts I - XVII.
A:DAJ1S/354-90/sp
- 14 -
Joint Application Form
PROTECTING lOW A WATERS
lOW A DEPARTMENT OF
NATURAL RESOURCES
AND
U.S. ARMY
CORPS OF ENGINEERS
Section
Examples
Forms
PROTECTING IOWA'S WATERS
TABLE OF CONTENTS
1.
2.
3.
4.
5.
6.
7.
8.
Introduction
Regulated Activities - Who Must Apply
The Applicant's Role
The Regulatory Agencies
The Permit Process
Preliminary Coordination
Reporting Unauthorized Construction
Permit Programs
9.
U.S. Army Corps of Engineers
Iowa Department of Natural Resources
Instructions for Completing the Joint Application Form
10. Special Instructions for Completing Joint Application Form.
II. Agency Mailing Addresses
Example Completed Application
Example Completed Drawing
Joint Application Form
Drawing Sheets (Sheets I and 2)
~
I
I
I
I
I
I
I
2
I
~
.~
3
3&4
4
I. INTRODUCTION
Laws of the United States and the State of Iowa have assigned the
U.S. Army Corps of Engineers and the Iowa Depanment of Naturat
Resources with specific and different regulatory roles designed to
protect the waters within and on the State's boundaries. Protecting
Iowa's waters is a cooperative effort between the applicant and
regulatory agencies. This application package has been designed to
assist applicants in initiating the pennit process with both agencies
for construction, excavation or filling in a water of the state or on a
floodplain. Instruction and application fonns are contained within
the package. This application package also contains a description of
the activities that are regulated by these agencies, the applicant's role
io protecting lowa's waters, an explanarion of the agencies' roles,
and a description of the application process.
2. REGULATED ACTIVITIES WHO MUST APPLY
Construction, excavation or filling in streams, lakes, wetlands. or
floodplains DUly require pennits from both agencies. The anached
application fonn is to be used to begin the pennit process for any of
the following activities:
a. cuning the bank of a river or stream;
b. any excavation or dredging in a stream or river channel;
c. channel changes or relocations (including stream
straightening);
d. construction of any permanent dock, pier, wharf, seawall.
boat ramp, beach, intake or outfall structure on a stream,
river. or lake;
e. placement of any fill, riprap, or similar material in a stream,
river channel, lake, or wetland;
f. construction of a dam across aoy waterway;
g. placement of fill. construction of levees. roadways and
bridges; and similar activities on a floodplain; or
h. construction of buildings on a floodplain.
The Iowa Depanment of Natural Resources also requires pennits for
the construction and operation of water and waStewater treatment
facilities, water withdrawal, water storage, and solid waste disposal
and should be contacted for infonnation about these pennits.
3. THE APPLICANT'S ROLE
Iowa's water resources were once seemingly abundant and limitless.
As development intensified and technolngy advanced, it became
apparent that individual and cumulative effects of man's actions did
have an impact and there indeed was a limit to the state's water
resources. The applicant's role is to obtain the necessary approvals
and pennits to conduct an activity so that the wise use and the
protection and maintenance of the existing state's water resources
can be ensured.
4. REGULATORY AGENCIES' ROLES
In Iowa, two agencies administer pennit programs for protecting the
state's water resources and ensuring their wise use. These agencIes
are:
a. The US Army Corps of Engineers; and
b. The Iowa Department of Natural Resources.
Their roles, when considered together, include the protection of
navigable waters; protection against unwise floodplain development;
ensuring the Wise and beneficial use of water; maintenance and
enhancement of water quality; protection of fish and wildlife habitat
and protection of the public interest.
The regulatory programs administered by each of these two agencies
are described in more detail in Section 8. "Pennit Programs" has
distinctive review criteria and administrative and legal requirements.
5. THE PERMIT PROCESS
The application package is designed to assiSt the prospective
applicant in meering tbe various legal and administrative
requirements of both agencies. By following the instructions for
completing the application fonn and submining a copy to each ofthe
agencies listed in the instructions, the pennit process is initiated.
Each agency will review the application fonn to detennine whether a
pennit (or permits) will be required. If a pennit or pennits are
required you will be notified of that and whether any additional
infonnation will be needed before tbe penni! can be processed. If a
pennit is no! required from either agency receiving your application,
you will be notified by that agency. Be sure to allow 60 to 120 days
for application review and processing. Proceeding without the
necessary permits is against state and Federal laws and may result in
legal proceedings and fines.
6. PRELIMINARY COORDINA nON
If you are unsure whether a particular action or project is regulated
and requires a permit. or if you wish to discuss specific concerns
with any agency, please call. The agencies and telephone numbers
are listed in the instructions of the application form.
7. REPORTING UNAUTHORIZED CONSTRUCTION
Altbough the permit programs described in Sectinn 8 on page 2 use
the pennit requirement mechanism to protect our waters, the
programs also have specific powers to deal with unauthorized
projects or activities. If you wisb to request an inveStigation of a
project which may be unauthorized. contact either of the agencies
listed. Specific infonnation describing the activity, dates and
individuals invnlved, as well as photographs are extremely helpful
and should be forwarded whenever possible. Remember, protecting
lowa's waters is a cooperative effort.
8. PERMIT PROGRAMS
US ARMY CORPS OF ENGINEERS
The basis for the US Army Corps of Engineers regulato!)' functions
over public waterways was formed in 1899 when Congress passed
the Rivers and Harbors Act of 1899. Until 1968 the Rivers and
Harbors Act of 1899 was administered to protect only navigation and
the navigable capacity of this nation's water. In 1968, in response to
a growing national concern for environmental values. the policy for
review of permit applications with respect to Sections 9 and 10 of the
Rivers and Harbors Act was revised to include additiooal concerns
(fish and wildlife. conservation, pollution, aesthetics, ecology, and
general welfare) besides navigation. This new type of review was
identified as a "public interest review,"
The Corps of Engineers regulatory function was expanded when
Congress passed the Federal Water Pollution Control Act
Amendments of 1972. The purpose of the Federal Water Pollution
Control Act was to restore and maintain the chemical, physical, and
biological integrity of this nation's waters. Section 402 of the Act
established the National Pollutant Discharge Elimination System
(NPDES) to regulate industrial and municipal source discharges of
pollutants into the nation's waters. The NPDES permit program is
administered by the Iowa Department of Natural Resources and
should not be confused with the Corps of Engineer's Section 404
permit program. Section 404 of the Federal Water Pollution Control
Act (now called the Clean Water Act due to amendments in 1977)
established a permit program to be administered by the Corps of
Engineers to regulate the nonpoint source discharges of dredged or
fill material into waters of the United States.
IOWA DEPARTMENT OF NATURAL RESOURCES
The Iowa Department of Natural Resources (IDNR) is the state
agency creàied by consolidating all previous duties of the
Department of Water, Air and Waste Management; the Conservation
Commission; the Energy Policy Council; and the Iowa Geological
Survey. The IDNR administers permit programs for conserving and
protecting Iowa's water, recreational and environmental resources,
and, for the prevention of damage resulting from unwise floodplain
development. The Department also has jurisdiction over sovereign
lands and waters and cenain fee title lands of the State (Iowa Code,
Chapters 106 aod I I I). 00 meandered streams and lakes, sovereign
state property is that land helow the ordinary high water mark,
A summa!)' of the Department's permit programs relating to
protection of water and recreational resources and adjacent lands. is
as follows:
a. Floodplain Construction Permits
b. Water Quality Cenification
c. Construction Permits on Fee Title and Sovereigo Lands and
Waters
d. Permits Requiring Special Applications
I. non-permaneot docks
2. commercial sand and aggregate removal from
meandered streams
e. Other Related Permits
(a). Floodplain Construction Permits
The Department has authority to regulate construction on all
floodplains and floodways in the state. The Department's
administrative rules explain when a permit must he ohtained for
various types of floodway/floodplain-development. Examples are
chanoel straightening. levee constructioo, excavation and stockpiling
of overburden and rock materials, huilding construction, dams,
stream crossing, and bank protection work. Any person who plans to
perform or allow such floodplain construction has a duty to contact
the Department to determine if a floodplain construction permit is
needed.
(h). Water Quality Certification
State Section 401 water quality cenification is mandatory for all
projects requiring a Federal Section 404 permit. Section 401 water
quality cenification is the Department's concurrence that a project is
consistent with the state's water quality standards. Short and long-
term impacts to water quality and water-related uses are evaluated in
the Section 401 certification review.
(c). Construction Permits
~
"
Pursuant to Section 114.4 of the Iowa Code, the Iowa Department of
Natural Resources may authorize a person, association, or
corporation to huild or erect any pier, wharf, sluice, piling, wall,
fence, obstruction, building or erection of any kind upon the
jurisdiction of the Iowa Department of Natural Resources when it is
found to be in the best interest of the public.
(d). Special Applications
Non-permanent docks - (This is the standard recreatiooal boat dock.)
special dock permit application forms are available throughout the
state at all Iowa Department of Natural Resources field offices, and
at the Iowa Department of Natural Resources central office located in
Des Moines, Iowa. If your project involves a dock structure, then the
dock permit application form should be sent to the Iowa Departmeot
of Natural Resources conservation officer in your area, in lieu of the
forms in this packet.
If your dock is located along the Mississippi River, Missouti River or
on a Corps managed reservoir, you should send the completed
application form in this packet to the Corps of Engineers only.
Sand and Aggregate Removal from Meaodered Streams - special
application forms are required. These are available at the Iowa
Department of Natural Resources, land and Acquisitioo and
Management Bureau. Wallace State Office Building, Des Moines,
Iowa 50319.
(e), Other Permits Related to Water Resources
Additional Departmental permits may be required depending upon
the project. Examples of additional permitS from tbe Department
relate to the construction and operation of water and wastewater
treatment facilities, water withdrawal and water storage permitS,
solid waste disposal, air quality permitS, etc.
2
9. INSTRUCTIONS FOR COMPLETING THE JOINT
APPLICA TrON FORM
Submit a copy of the completed application form and drawings to
the appropriate District of the US Army Corps of Engioeers, and
to the Floodplain Management and Sovereign Lands Sections
(one copy to each) of the Iowa Depanment of Natural Resources.
The mailing address and telephone number of each agency is
provided in Section II. Please remember to keep a copy for your
own reference. The application form tIUly be photocopied.
It is very important that the application is complete and accurate.
If additional space is needed for any item on the application form,
anach a separate sheet or paper to the application sent to each
agency. A sample copy of a completed application is provided for
reference.
IF YOU NEED ASSISTANCE IN FILLING OUT THE
APPLICATION FORM, PLEASE CALL ANY AGENCY
OFFICE LISTED.
Additional information may be required by any or all of the
agencies before further processing of your application may
proceed. The applicant will, however, be notified of such needs
by the agencies.
General instructions for completing the applicatwn form are
provided on the form Itself. Specific instructions on completing
items 3. 4. 5, and 12 of the form and the information to be
provided on the drawings are provided in Section 10.
Information in the application is made a maner of puhlic record
through issuance of a public notice. Disclosure of the information
requested is voluntary; however, the data requested is necessary in
order to communicate with the applicant and to evaluate the
permit application. If necessary information is not provided, the
permit application cannot he processed nor can a permit be issued.
18 United States Code Section 100 I provides that: Whoever, in
any manner within the jurisdiction of any depanmcnt or ageocy of
the United States knowingly and willfully falsifies. conceals, or
covers up by any trick, scheme, or device a material fact or makes
any false, fictitious, or fraudulent statements or representations or
makes or uses any false writing or document knowing same to
contain any false, fictitious, or ITaudulent statement or entry, shall
be fined not more thao $10,000 or imprisoned not more than five
years or both.
Applicant is informed that all approvals must be obtained before
work can be started.
10. SPECIAL INSTRUCTIONS FOR COMPLETING THE
JOINT APPLICATION FORM
JOINT APPLICATION FORM
Item 3 - Applicant(s)
List the name, mailing address, and telephone number of each
applicant. The applicant(s) shall be the person(s), firm(s),
corporation(s). etc. who have or will have the responsibility for
the property on which the project will be located by reason of
ownership, easement. or other agreement. If the property is not
presently owned by the applicant, anach an explanation of any
easement or rights-of-way which have been or will be obtained, or
how such land will be acquired. If a project is being proposed by
a lessee, the lessee and lessor should be joint applicants. In some
instances, agency staff may request additional information on all
panies having a legal or equitable interest in the involved land,
List all applicants. Space has been provided for the listing of up
to three applicants. Attach an additional sheet if necessary.
Item 4 - Authorized Agent
If the applicant designates an authorized agent for the purpose of
obtaining the permits, list the name, address, and phone number of
the authorized agent in Item 4. During the permit process, all
cOfmpondence, such as requests for additional information, will
be sent to the authorized agent.
Item 5 - Project Description and Remarks
The applicant must provide a complete description of the activity
and always include the purpose and intended use. For any major
activity, additional support information should be provided by
attached sheets to the application.
Dredging and fill Activities. Describe the location, type,
composition and quantity oftIUlterial to be dredged/filled, method
of dredging/filling, and method of transponation to disposaVfill
site. Also describe the disposaVfill site by including location,
quantity of material it will hold, composition of receiving soil,
and the method of containment. Provide Iowa Depanment of
Natural Resources material analysis data as required.
Item 12 - Applicant Verification
The applicarion must be signed by each applicant.
However, Ibe applicarion may be signed by a duly authorized
agent (name in Item 4) if Ibis form is accompanied by a statement
by the applicant(s) designating the agent.
NOTE:
b.
If Ibe applicant is a corporation, Ibe president or otber
aulborized officer shall sign Ibe application form.
If the applicant is a county, city or other political
subdivisioo, the applicarion form shall be signed by an
appropriate authorized officer.
If Ibe applicant is a partnership, each partner shall sign
Ibe application form.
If Ibe applicant is a trust, Ibe trust officer shall sign the
name of the trustee by him (or ber) as trust officer. A
disclosure affidavit must be filed wilb the application,
identifying eacb beneficiary of the trust by name and
address and defining the respecrive interests Iberein.
c.
d.
DRAWINGS (forms provided)
Each sheet of drawing submitted should contain a title block in
the lower right hand comer identifying the proposed activity, the
name of the body of water, river mile (if applicable), number of
sheets and total number of sheets in a set, and date Ibe drawing
was prepared. Certified engineering plans may be submined in
lieu oflbe drawing sheets if Ibe magnitude of the project warrants.
(Note: The Department of Natural Resources may require
submission of certified engineering plans.)
(I) A vicinity map (in the upper right hand comer) which shows:
a. project site;
b. name ofwaterway;
c. name of and distance to local town, community or oilier
identifying location such as roads; and
d. north MOW.
(2) A plan (overhead) view ofthe project showing:
a. existing shoreline and the normal water surface
elevarion (if mean sea level datum is not used,
adjustment should be indicated);
b, adjacent property lines and ownership as listed in the
application form;
c. principal dimensions of the structure or work and extent
of encroachment into Ibe waterway (as measured from a
fixed Structure or object);
d. floodway/floodplain lines if established and ifknown;
north MOW; and
f. graphic or numerical scale.
(3) A cross-sectional view oflbe project showing:
a. shoreline, elevations, extent of encroachment, principal
dimensions of the work as show in plan view; and
b. graphic or numerical scales (horizontal and venical).
11. AGENCY MAILING ADDRESSES
Send appropriate copies of !be completed application to each
agency listed below. (Agencies are specified at !be bottom of
each sheet in the packet.)
(I) Corps of Engineers (I copy)
Cboose Ibe appropriate address. The Omaha District bas
regulatory jurisdiction over the Missouri River, its contiguous
wetlands, and Carter Lake. The remainder of the projects
occurring in Iowa are regulated by Ibe Rock Island DiStrict.
US ARMY ENGINEER DISTRICT
Rock Island Corps of Engineers
Clock Tower Building
Post Office Box 2004
Rock Island, minois 61204-2004
Tel: 309/794-5373
OR
î
.!
US ARMY ENGINEER DISTRICT
Omaha Corps of Engineers
8901 South 154" Street
Omaha, Nebraska 68138-3621
Tel: 402/896-0896
(2) The Iowa Department of Naturnl Resources (2 copies)
Wallace State Office Building
Attention: Floodplain Permits Section
(AND Sovereign Lands Section)
502 EaSt 9" Street
Des Moines, Iowa 50319-0034
Tel: 515/281-8693
For information on specific permitting activities, telephone:
Flood Plain Permits
(515) 281-8693
(515)281-8675
Sovereign Land - Fee Title
Water Quality Certification
(515) 281-7025
(515) 28t-6615
(515) 281-6554
Recreational Boat Docks
Sand and Gravel Permits
(515) 281-5806
4
1. AppJi,"iooN=b"
JOINT APPLICATION FORM
rmMS 1 AND' FOR AGENCY USI.
2.D",R"~""
J "d 4. (SEE SPECIAL INSTRUCTIONS) NAME, MAIUNG ADDRESS AND TELEPHONE NUMBERS
Hom'
(319 )
536 . 7829
Hom'
kAppli~",
'>App"""
'b.Appli~",
Donald Hilton
486 N. Waring Ave.
Iowa City, IA 52240
B"si"", (
B".i.m (
4>A"~"i"dA"",(if,,y)
Sarah J. Smith
Smith and Associates
1234 Main Street
Iowa City, IA 52240
Pho",
(319 )
555 - 6489
Plio",
Plio",
5. PROJECT DESCRIPTION AND REMARKS,
Place riprap along approximately 600 feet of eroding riverbank, The purpose is to protect the bank from ero ding
closer to existing building. Approximately 1,200 cubic yards of quarry run rock riprap is expected to be placed
along the bank at a slope of 2:1.
6. IMMEDIATE AND ADJOINING PROPERTY OWNERS
1. Mr. Winston G. Smith 484 N. Waring Ave" Iowa City, IA 52240
2. Mr. Richard Thomas 488 N. Waring Ave" Iowa City, IA 52240
319-536-5738
319-536-7736
7. PROJECT LOCATION
486 N, Waring Avenue
IN OR NEAR CITY OR TOWN (NAME)
in Iowa City
COUNTY
Lo,., D""ip'ioo
SE
S,,"oo Tow",hip """
15 78N 6W
Zoos N,,~ w,
15 4755810 555700
Ri",MiI,
15Mav2001
STREET, ROAD OR OTHER DESCRIPTIVE LOCATION
Q~rt"
VTM (U.i",.., T".w"" Mm"')'
IfA"iI.bl,
STATE
ZIP CODE
W"'~'Y
Johnson
IA 52240
1 Mav 2001
Iowa River
E. D>"."i,i~i1pwpo"d'o..mm,""
D." A,",i'y" "p,,"d 10 b, ..mp'",d
9. ¡"'yportiooof'h,"'i,i~f"whi,h..~"iu'iooisso",h'oow..mpl""1 IY" I X INo If>"w"i,"y"",i"">w",i.'h,P,oj,oD",rip"oo"dR,m,,ksS,,"oo.Mo",h,,d
Ym.oi,i'ywti..mp"'"
I."""'h",i"i"w",koo~,d"wi.,,.
IO.Li">II>ppw'""""'rtifi"'ioo"dd"i.'"",i,,'fwmo~,,f,d"",i.""a". "'" "Io"""",i,, fo"""""'",""",,"io, ""h"", "..h"..",i,i" d",,", 'i. ,hi,
.'ï,"¡i:!ìN'GAGENCY TYPE APPROVAL I!J.!!. DATEOFAPPIICATION DATE OF APPROVAL DATE OF DENlAL
11. CONSENTTO ENTER PROPERTY LISTED IN PART 7 ABOVE IS HEREBY GRANTED
YES IX I
NO I ]
12. APPLICATION VERIFICATION (SEE SPECIAL INSTRUCTIONS)
Appli~,i" is h",bym>d, f"Jb, ."i,i,i" d",rib,d h",i.. I ,"'iCy ~"I.m f.milwwi,h~, i.fo~"oo ...ai",d '" ~'.ppli,"ioo, "d~" 10 'h,b", ofmykoow',d"..d bdid, .",h
i.fo~1ioo i","" ..mp""'" "",m", I furth""niCy 'h..1 po"""h' ..Jbori~1O "d,"'k,~, pwpo"d ""vi",,,
b~~
Januarv 20 2001
D'"
Sign."",ofAppli"","A"'ho""'A,,",
~,.,:. L. J. .t'.... ¡it:"
Si,.."", of Appli",'" A"'horizoiA",,
Januarv 20, 2001
D..,
Si,."""ofAppli~","A,,'h",i,,dA,,",
Mail Copy To: 0 US Army Corps of Eogineers 0 IDNR Floodplain Permits Section
0..,
0 IDNR Sovereign Lands Section
(Page 2 ofthe Application Form for Maps or Sketches)
Project 51U
Ì')
1
jDrt:ðs &ck lDp of'
f!ocA R.iprap Existing Bank
.3 Th,cK ApPTbx. 2:1 Slope
Z I #o"/I'IQI Water
I I L~v~/
I
I
I
Max.
River
Bottom
SECTION A-A
8mith
Property
l3uilding
0
PLAN VIEW
Place a Vicinity Map in box above.
i
$
N
i
1"
7r
/ Thomas
I Property
/
I
::/'T<JI' Areo /
I
LIST OF ADJACENT PROPERTY OWNERS
PROJECT DESCRIPTION:
No.
Address
Name
1. Mr. Winston G. Smith 484 N, Waring Ave.
2. Mr. Richard Thomas 488 N. Waring Ave
3.
4.
Riprap, Bank Stabilization
LOCATION: Iowa River
In Iowa City, Iowa
CENCR FORM 427
1 OCT 07 (R.vi,"')
SHEET - OF-
JOINT APPLICATION FORM
ITEMS I AND' FOR AO¡¡NCY USE
I. Appb""on Nwnb" 2. Dol' R<c,ivod
3. ood 4. (SEE SPECIAL INSTRUCTIONS) NAME, MAILING ADDRESS AND TELEPHONE NUMBERS
30. Appb"nl 3b.Appb,," kApp¡',,",
B",¡"" ( ) B",i"" ( ) B"i"" ( )
H""" ( ) Hom, ( ) Hom, ( )
40. AoIhoriudAg,,'(ifooy) 4b.AOIho"',dAg,,'(ifooy) 4,. A"Ihoriud Ag"! (if "yl
Pbo" ( ) Phon, ( ) Pho" ( )
5 PROJECT DESCRlPTlDN AND REMARKS,
6. IMMEDIATE AND ADJOINING PROPERTY OWNERS.
7. PROJECTLOCATION
STREET. ROAD OR OTHER DESCRIPTIVE LOCATION I 0""" S",i" Town'hio "n"
Logol D""ip'o,
IN OR NEAR CITY OR TDWN INAME) UTM (Univmol T"",v",, M"",,¡ Zoo, North Eo"
IfAniiohl,
COUNTY ¡STATE I ZIP CODE W",~.y Riv"Milo
8. Do.o"ivi!y¡'p"p",d"'oo~'n" D"'A"i~'yi",p""d,,b,oompl",d
9. b'nypo"¡"of'h' "'ivi<y f"whi,ho"Ihoriu'ion i, "",h'now oomol",' OY" ONo If ",w" i, "y,," giv, ~uo"' i, 'h, p"J'" D""ip"" "d R,m"k, S"h". MooIh ood
y"",'i'",yw",oompl"" 1,"""Ih, "¡"i'gw,,k "Ih'dmw¡'g'.
10. L"'ollopp"nl"","¡fi,"i""dd"¡ol,~"i"df"moIh"f,d"ol,¡""'m"",o""""I','n,i"f""roolU~'.oon"ru"i".""h"g""",h"o,,¡v",i,,d,,,rih,di,Ihi,oppb"",,.
ISSUTNG AGENCY TYPE APPROVAL JQJ! DATE OF APPLICATION DATE OF MPROV AL DATE OF DENIAL
II. CONSENT TO ENTER PROPERTY LISTED IN PART 7 ABOVE IS HEREBY GRANTED. YES [[ ~ NO n 1)
12. APPLICATION VERIFICATION (SEE SPECIAL INSTRUCTIONS)
Appli"'¡"i'h"'bym,Ikf"'h,"'vi""d,,,rih,dh,,,i, l'ortify'h"I'mf=ib"wi'hIh,i,fo~'i"oon"i"dinIh"ppb"'ioo,'ndIh""Ih,h,", ofmy knowl,dg, "db,b,f, Mh
info~'i"¡"ruo,oompl"'ood,,oom". I fu"¡'",,"ify Ih" lp""" Ih"'Ihon<y "'ood,"'k,Ih'p"p",d""vi'i". -
SigM"",ofApp"',,"'A"Ih,,¡,"Ag'" DOl'
SigMIu~ of Appb"n! " AoIhoriud Ag,n' Dol,
SignoIu~ of Appli"n!" A"Ihori," Ag,", Dm
'°=" Mail Copy To: 0 US Army Corps of Eogineers
0 IDNR Floodplain Permits Section
0 IDNR Sovereign Lands Section
(Page 2 of the Application Form for Maps or Sketches)
Place a Vicinity Map in box above.
¡
,
LIST OF ADJACENT PROPERTY OWNERS
PROJECT DESCRIPTION:
No.
Name
Address
1.
2.
3.
LOCATION:
4.
CENCR FORM 427
1 OCT S7 (Rovlood)
SHEET - OF-
(page 3 ofthe Application Form for Maps or Sketches)
Applicant: PROJECT DESCRIPTION:
LOCATION:
CENCR FORM 427
IOcr 87 (Rem"')
SHEET - OF-
ATTACHMENT C
SCHEDULE C
INSURANCE REQUIREMENTS FOR PROFESSIONAL SERVICES
1. All policies of insurance required hereunder shall be with an insurer authorized to
do business in Iowa, All insurers shall have a rating of A of better in the current
A.M. Best Rating Guide.
2. All policies of insurance shall be endorsed to provide a thirty (30) day advance
notice of cancellation to the City of Dubuque if cancellation is prior to the
expiration date. This endorsement supersedes the standard cancellation
statement on the Certificate of Insurance.
3.
shall furnish a Certificate of Insurance to the City of
Dubuque, Iowa for the coverage required in Paragraph 6 below. Such
Certificates shall include copies of the following endorsements:
a) Thirty day notice of cancellation to the City of Dubuque.
b) Commercial General Liability policy is prirnary and non-contributing.
c) Cornmercial General Liability additional insured endorsement.
d) Governmental Immunities Endorsement.
e) Waiver of Recovery under workers compensation.
shall also be required to provide Certificates of
Insurance of all subcontractors and all sub-sub contractors who perform work or
services pursuant to the provisions of this contract. Said certificates shall meet
the same insurance requirements as required of
4. Each certificate shall be submitted to the contracting department of the City of
Dubuque.
5. Failure to provide minimum coverage shall not be deemed a waiver of these
requirements by the City of Dubuque, Failure to obtain or maintain the required
insurance shall be considered a material breach of this agreement.
6. Contractor shall be required to carry the following minimum coverage/limits or
greater if required by law or other legal agreement:
a) COMMERCIAL GENERAL LIABILITY
General Aggregate Limit
Products-Completed Operations Aggregate Limit
Personal and Advertising Injury Limit
Each Occurrence Limit
Fire Damage Limit (anyone occurrence)
Medical Payments
$2,000,000
$1,000,000
$1,000,000
$1,000,000
$ 50,000
$ 5,000
This coverage shall be written on an occurrence, not claims made, form
per project. All deviations or exclusions from the standard ISO
commercial general liability form CG 0001 or Businessowners BP 0002
shall be clearly identified,
Page I of4
AuguSl2oo3
"
Governmental Immunity endorsement identical or equivalent to form
attached.
An additional insured endorsement identical or equivalent to ISO Form
CG 2026 and include as additional insureds: "The City of Dubuque,
including all its elected and appointed officials, all its employees and
volunteers, all its boards, commissions and/or authorities and their board
members, employees. and volunteers."
b) WORKERS COMPENSATION & EMPLOYERS LIABILITY
Statutory for Coverage A
Employers Liability:
$100,000 each accident
$100,000 each employee-disease
$500,000 policy limit-disease
Policy shall include an endorsement waiving right of recovery
against City of Dubuque.
c) PROFESSIONAL LIABILITY:
d) UMBRELLA/EXCESS LIABILITY
$1,000,000
Coverage to be determined on a case-by-case basis by Finance Director.
P'ge 2 of4
ADgust 2003
"
POLICY NUMBER
COMMERCIAL GENERAL LIABILITY
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFUllY.
ADDITIONAL INSURED - DESIGNATED PERSON OR
ORGANIZATION
This endorsement modifies insurance provided under the following:
COMMERCIAL GENERAL LIABILITY COVERAGE PART.
SCHEDULE
Name of Person Or Organization:
The City of Dubuque, including all its elected and appointed officials, all its employees and
volunteers, all its boards, commissions and/or authorities and their board members, employees,
and volunteers.
(If no entry appears above, information required to compiete this endorsement will be shown in
the Declarations as applicable to this endorsement)
WHO IS AN INSURED (Section II) is amended to include as an insured the person or
organization shown in the Schedule as an insured but only with respect to liability arising out of
your operations or premises owned by or rented to you.
Coovrioht. Insurance Services Office. Inc. 1994
CG 20 26 11 85
Pagd of4
A"g"st 2003
,
CITY OF DUBUQUE, IOWA
GOVERNMENTAL IMMUNITIES ENDORSEMENT
1.
Nonwaiver of Governmental Immunity, The insurance carrier expressly
agrees and states that the purchase of this policy and the including of the City
of Dubuque, Iowa as an Additional Insured does not waive any of the
defenses of governmental immunity available to the City of Dubuque, Iowa
under Code of Iowa Section 670.4 as it is now exists and as it may be
amended from time to time.
2.
Claims Coveraqe. The insurance carrier further agrees that this policy of
insurance shall cover only those claims not subject to the defense of
governmental immunity under the Code of Iowa Section 670.4 as it now exists
and as it may be amended from time to time. Those claims not subject to
Code of Iowa Section 670.4 shall be covered by the terms and conditions of
this insurance policy.
3.
Assertion of Government Immunity. The City of Dubuque, Iowa shall be
responsible for asserting any defense of governmental immunity, and may do
so at any time and shall do so upon the timely written request of the
insurance carrier.
4,
Non-Denial of Coveraqe. The insurance carrier shall not deny coverage under
this policy and the insurance carrier shall not deny any of the rights and
benefits accruing to the City of Dubuque, Iowa under this policy for reasons of
governmental immunity unless and until a court of competent jurisdiction has
ruled in favor of the defense(s) of governmental immunity asserted by the City
of Dubuque, Iowa.
No Other Chanqe in Policy. The above preservation of governmental immunities
shall not otherwise change or alter the coverage available under the policy.
Page 4 of4
Aug"" 2003
SCHEDULE C
INSURANCE REQUIREMENTS FOR PROFESSIONAL SERVICES
1. All policies of insurance required hereunder shall be with an insurer authorized to
do business in Iowa. All insurers shall have a rating of A of better in the current
A.M. Best Rating Guide,
2. All policies of insurance shall be endorsed to provide a thirty (30) day advance
notice of cancellation to the City of Dubuque if cancellation is prior to the
expiration date. This endorsement supersedes the standard cancellation
statement on the Certificate of Insurance.
3.
shall furnish a Certificate of Insurance to the City of
Dubuque, Iowa for the coverage required in Paragraph 6 below. Such
Certificates shall include copies of the following endorsements:
a) Thirty day notice of cancellation to the City of Dubuque,
b) Commercial General Liability policy is primary and non-contributing,
c) Commercial General Liability additional insured endorsement.
d) Governmental Immunities Endorsement.
e) Waiver of Recovery under workers compensation.
shall also be required to provide Certificates of
Insurance of all subcontractors and all sub-sub contractors who perform work or
services pursuant to the provisions of this contract. Said certificates shall meet
the same insurance requirements as required of
4. Each certificate shall be submitted to the contracting department of the City of
Dubuque.
5. Failure to provide minimum coverage shall not be deemed a waiver of these
requirements by the City of Dubuque, Failure to obtain or maintain the required
insurance shall be considered a material breach of this agreement.
6. Contractor shall be required to carry the following minimum coverage/limits or
greater if required by law or other legal agreement:
a) COMMERCIAL GENERAL LIABILITY
General Aggregate Limit
Products-Completed Operations Aggregate Limit
Personal and Advertising Injury Limit
Each Occurrence Limit
Fire Damage Limit (anyone occurrence)
Medical Payments
$2,000,000
$1,000,000
$1,000,000
$1,000,000
$ 50,000
$ 5,000
This coverage shall be written on an occurrence, not claims made, form
per project. All deviations or exclusions from the standard ISO
commercial general liability form CG 0001 or Businessowners BP 0002
shall be clearly identified.
Page 1 0[4
Augus12003
"
Governmental Immunity endorsement identical or equivalent to form
attached.
An additional insured endorsement identical or equivalent to ISO Form
CG 2026 and include as additional insureds: "The City of Dubuque,
including all its elected and appointed officials, all its employees and
volunteers, all its boards, commissions and/or authorities and their board
members, employees, and volunteers."
b) WORKERS COMPENSATION & EMPLOYERS LIABILITY
Statutory for Coverage A
Employers Liability:
$100,000 each accident
$100,000 each employee-disease
$500,000 policy limit-{jisease
Policy shall include an endorsement waiving right of recovery
against City of Dubuque.
c) PROFESSIONAL LIABILITY:
d) UMBRELLA/EXCESS LIABILITY
$1,000,000
Coverage to be determined on a case-by-case basis by Finance Director.
Page2of4
August 2003
.
,
POLICY NUMBER
COMMERCIAL GENERAL LIABILITY
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFUllY.
ADDITIONAL INSURED - DESIGNATED PERSON OR
ORGANIZATION
This endorsement modifies insurance provided under the following:
COMMERCIAL GENERAL LIABILITY COVERAGE PART.
SCHEDULE
Name of Person Or Organization:
The City of Dubuque, including all its elected and appointed officials, all its employees and
volunteers, all its boards, commissions and/or authorities and their board members, employees.
and volunteers.
(If no entry appears above, information required to complete this endorsement will be shown in
the Declarations as applicable to this endorsement)
WHO IS AN INSURED (Section II) is amended to include as an insured the person or
organization shown in the Schedule as an insured but only with respect to liability arising out of
your operations or premises owned by or rented to you.
Cocvrioht. Insurance Services Office. Inc. 1994
CG 20 2611 85
Page3 of 4
August 2003
,
>
CITY OF DUBUQUE, IOWA
GOVERNMENTAL IMMUNITIES ENDORSEMENT
1.
Nonwaiver of Governmental Immunity. The insurance carrier expressly
agrees and states that the purchase of this policy and the including of the City
of Dubuque, Iowa as an Additional Insured does not waive any of the
defenses of governmental immunity available to the City of Dubuque, Iowa
under Code of Iowa Section 670.4 as it is now exists and as it may be
amended from time to time.
2.
Claims Coveraqe. The insurance carrier further agrees that this policy of
insurance shall cover only those claims not subject to the defense of
governmental immunity under the Code of Iowa Section 670.4 as it now exists
and as it may be amended from time to time. Those claims not subject to
Code of Iowa Section 670.4 shall be covered by the terms and conditions of
this insurance policy.
3.
Assertion of Government Immunity, The City of Dubuque, Iowa shall be
responsible for asserting any defense of governmental immunity, and may do
so at any time and shall do so upon the timely written request of the
insurance carrier.
4.
Non-Denial of Coveraqe. The insurance carrier shall not deny coverage under
this policy and the insurance carrier shall not deny any of the rights and
benefits accruing to the City of Dubuque, Iowa under this policy for reasons of
governmental immunity unless and until a court of competent jurisdiction has
ruled in favor of the defense(s) of governmental immunity asserted by the City
of Dubuque, Iowa.
No Other Chanqe in Policy. The above preservation of governmental immunities
shall not otherwise change or alter the coverage available under the policy.
Page 4 of4
August 2003
low A DEPARTMENT OF NATURAL RESOURCES
Technical Bulletin No. 16
DESIGN CRITERIA AND GUIDELINES
FOR
lOW A DAMS
December, 1990
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
December, 1990
IOWA DEPARTMENT OF NATURAL RESOURCES
TECHNICAL BULLETIN NUMBER 16
FLOODPLAIN MANAGEMENT PROGRAM
DESIGN CRITERIA AND GUIDELINES FOR IOWA DAMS.
CONTENTS
Chapter
Title
Introduction. . . . . . . . . . . . . . .
II
III
Hazard Classification
. . . . . . . . . . . . . . . . . .
Design Floods
. . . . . . . . . . . . . . . . . .
IV
Hydraulic and Structural Criteria and Guidelines
for Spillways...........,"""'"
V
VI
Embankments
. . . . . . . . . . . . . . . . . . . . . . .
Special Requirements for Major Dam Structures
. . . . . .
VII
VIII
Specifications......................
Dam Breach Wave Analysis..........."'" .
IX
X
OperatingPlan......................
lands, Easements, Rights-of-way
. . . . . . . . . . . . .
XI
Hydrologic and Hydraulic Design References. . . . . . . .
* Adopted by reference 567--72.3(1)la", Iowa Administrative Code
A:DAlIS/ 354 -90/ sp
- 1 -
Page
2
3
3
5
7
9
10
10
11
11
12
DNR TB-16
Design Criteria and Guidelines £or Iowa Dams
CIIAPIEII I
DlI'RCDUCTIOH
The purpose oE ~his bulleUn is -to se~ Eor-th
~echnical design cri ~eria and guidelines ~ha~
~he Depart1oen~ oE Ha~ural Resources will use
in reviewing applicaUons ~o obtain a penli~
Eor cons~rucUon, operaUon and eain-tenance or
eod1fication oE a daa. O-ther re~uir...ento
which .us~ be ee-t in order to secure such a
pe...it are outlined in ~he Iowa Adlllinistrative
Code under agency nueber 567. Several
chap~ers oE the deput1oen~' s achinistrative
rules in 567 Iowa Adnoinis-trative Code concern
-the cons~ruction, operation and eain~enance oE
daas as Eollo..,
Chapter 70 contains denniti;,ns oE teras'
used in o~her chap~ers.
Chapters SO, 51 and 5Z concern water
peraits which oust be obtained ~o authorize
s~orage oE water in surEace iIIpounchen-ts.
Chapter 71 explains when approval is
required in order to cons-truc-t, aodUy,
operate and eaintain daas.
Chapter 7Z lis-ts cri~eria Eor approval oE
daa projec-ts.
Chapter 73 concerns operational procedures
Eor daas, n..~uation oE wa-ter levels in
iIIpouneleento, abandonaent and .--oval oE
daas, inspections oE daa sites and daas,
and designation oE unsaEe daIIIs. Chap-ter 73
applies to all daas. whose dillensions or
enec-ts exceed -the regula~ory thresholds in
Chap~er 71.
Copies oE ~he deputaent's achinis-trative
rules nay be' obtained Eron the Records Cen'ter,
Deputllent oE Ha-tural Resources, Hallace Sta~e
WUce Building, Des lIoineo, Iowa 50319, upon
""'Iues~.
The above-described rules should be consulted
when planning to cons~ruct or aodUy a daa,
change -the operation or uae oE a daJI, or
abandon or r..ove a daa. This bulletin is
put oE -the above-described rules and is
in-tencled Eor use in conjunction wHh t_.
The chap-tcrs entitled "Hazard Class1ficaUons"
and "Lands, Eas..en-ts, Right-oE-Hay" are
A:DAM/354-S0/sp
December, 1990
substantively identical ~o rules published in
the Iowa Adlllinis~raUvc Code. These
non-~cchnical criteria are repeated in this
bulletin Eor ~he convenience oE ~he user.
lIinilo... re~uireeento in ~his bulletin ue
labeled "guidelines" or "criteria"
depending on the Erequency with which ~hey ue
likely -to be relevan-t -to ~he sah~y oE a
particular type oE s-truc-tore. The distinction
between criteria and guidelines is not
in~ended to be rigid. Hhen the applicabili~y
oE a criterion or guideline to a particular
project is not clear to -the design engineer,
~he engineer should consult -the deputllen-t.
Any per1llit issued by ~he depu""'ent aus-t
explain -the reasons Eor waiving conEoraity
with a criterion or guideline deterained -to be
applicable -to -the type oE s-truc"""re proposed.
Adoption and Anaenclaent oE BulleUn .16. This
bulletin has been adopted lIS par-t oE the
deputllent' e achinis-traUve rules. Pursuant
to SecUon 17A.6131, Code oE Iowa, -this
bulleUn is not published in the Iowa
Adainistrative Code bu-t copies will be _de
available to -the public upon request at no
aore than the cost oE rcproducUon.
This bulleUn eay be -ended Erell -tiJoe -to -tille
by rul..aking proceedings. Mended editions
oE this bulletin will be iden-tUied in Chapter
7Z oE the departllent's rules by rcEerence -to
the yeu and aonth that the new, superseding
edition becones cnecUve. The us.r sh""ld
obtain a copy oE current deputllental rules as
published in the Iowa Adnoinis-trative Code and
conpare -the edition date on -the cover page oE
this bulleUn with the ediUon date icientUied
in the rules.
- 2 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
CIIAPŒII U
1
HAZARD CI.ASSIFICATION
Danis shall be assigned a hazard class based on
the potential conse,uences of failure.
Anticipated future land and iJlpoundaent use
shall be considered in the cleteraination of
hazard class. The criteria in this chapter
shall be used to determine hazard class
regardless of the aethodology used in
engineering design of a cIaa. The hazard class
shall determine the design re<uireaents of the
structure as outlined in this bulletin. The
hazard cla.ss shall be evaluated using the
following criteria.
AI
Low HaZard. Structures located in
areas where claaages froa a failure
would be liooited to loss of the cIaa,
loss of livestock. claaages to farm
out-buildings, agricultural lands. and
lesser used roads. and where loss of
h..an life is consiclered unlikely.
BJ
_rate Hazard. Structures located
in areas where failure aay claaage
isolated hoaes or cabins, industrial
or c....ercial buildings. aoclerately
traveled roads or railroads, interrupt
aajor utility services, but without
substantial risk of loss of hUllan
life.
In acldi tion, structures where the cIaa
and its bpoundaent are of theaselves
of public bportance. sucb as claas
associated with public water supply
sys_s, industrial water supply or
public recreation. or which are an
integral feature of private
developaent caaplex, shall be
considered aoclerate hazard for design
and regulatory purposes unless a
higher hazard class is warranted by
downstre.. conditions.
CJ
High Hazard. Structures located in
areas where failure aay create a
serious threat of loss of bUllan life
or result in serious daaage to
resiclential. industrial or c....ercial
areas, bportant public utilities,
public buildings. or aajar
transportation facilities.
IThis chapter is substantively identical to
567--7Z.3(%)"a", Iowa A<:Iministrative Code.
December, 1990
DJ
Multiple Daas. lIbere failure of a dam
could contribute to failure of
downstre.. ciani or _s, the ainbu.
hazard class of the cIaa shall not be
less than that of any such downstreaa
structure.
CIAPŒII III
DESIGII FLDCIIS
A - will be re,uired to safely accOlllllodate
or pass certain ainim.. flood events.
Routings of the flood hydrograph through the
iapoundaent should begin at an elevation no
lower than the normal operating level. The
aagnitude or fre<uency of the re,uired flood
discharges will vary with the hazard
classificati!,n, size, and drainage area of the
project.
AI
Freeboard Design Flood
The specified freeboard design flood
represents the greatest flood the dam
aust be designed to acc....ocIate. The
flood aust be passed without
overtopping of the cIaa and enclangering
its safety or the cIaa aust be clesigned
to withstand such overflow. Seae
erosion claaage in earth ..ergency
spillways will be tolerated. provided
the safety of the cIaa would not be
cOlllpraaised.
For claas with ..ergency spillways, the
top of cIaa elevation after settl..ent
shall not be less than the highest
peak pool elevation reached during the
freeboard design flood. For claas
without an ...ergency spillway, the top
of cIaa elevation shall be . two feet
higher than the peak flood elevation
expected to occur during passage of
the freeboard design flood, unless it
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
10 specifically designed to withstand
the overflow.
In the following circumstances, the
indicated freeboard design flood will
be used.
1)
All High Hazard Dams.
Probable HaxiJoum Flood.
Z)
All lIoderate Hazard D_s, and Low
Hazard D...s Classified as llajor
Structures. One-half 10.51 of
the Probable HaxiJo... Flood I a
flood hydrograph produced by
.ultiplying the ordinates of the
PIIF hydrograph by a factor of
0.5).
3)
Low Hazard Danos not Classified as
llajor Structures.
a.
Hhere the height of th:
e.ergency spillway crest
measured ahove the elevation
of the channel hottOll at the
centerline of the daJo lin
feet) .ultiplied by the
total storage vol...e I in
acre-feet) to the _erg:ney
spillway crest elevation 10
between 3,000 and 30,000,
the flood shall correspond
to the rainfall calculated
frOll the following fomula
developed by the USDA Soil
Conservation Service.
Rainfall = PIOO + O.IZ IPIIP -
PIOO)
b.
Hhere the height of th:
_ergeney spillway crest
.easured ahove the elevation
of the channel hottOll at the
centerline of the dano I in
feet) .u ltip lied by the
total storage vol_e I in
acre-feet I to the _erg:ney
sp1l1way crest elevation 10
less than 3,000, the flood
shall be that resulting frOll
the . 50-year, Z<t-hour
A:DItlfS/354-90/sp
The
- 4 -
December, 1990
precipitation.
B)
Principal Sp1l1way Design Floods and
Dbcharge Capacity
The principal sp1l1way is normally a
concrete or lIetal conduit or structure
which conveys water through or around
the dam. Its size and discharge
capacity are governed primarily by the
following factors. the need to
control flood discharges downstrea.
frOll the dano, and the need to liJoit
hoth the depth to which floodwaters
are iJopounded and the length of tiJoe
for which they are Lapounded. Related
to these factors 10 the need to lLaU
the fre,ueney of operation of
_ergency spillways.
Except where special considerations
..ust be addressed, the criteria listed
below shall apply to the design of
principal sp1l1ways. The design
floods indicated .ust be passed by the
principal spillway without need for
operation of an _ergeney spllbay.
1)
Design Floods
a. High Hazard D...s
lOa-year flood.
the
b.
Moderate Hazard DaJos - the
50-year flood.
c.
Low Hazard IIaJos with
drainage areas of ZSO acres
or lIore - the ZS-ye.r flood.
d.
Hazard
DaJos
with
Low
drainage areas less than ZSO
acres - the la-year flood.
Z¡
The sp1l1way discharge capacity
shall be sufficient to evacuate
at least 80;>' of the volUMe of
water teeporarlly stored during
the principal sp1l1way design
flood within 10 days.
Hhere thb cannot be
accOlllp lished , the _ergeney
sp1l1way and freeboard design
flood routings shall be .ade
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
beginning with the iJopoundlllent
level at the 10 day drawdown
elevation.
3)
For daJos with _ergency spillways
of structural concrete or which
are excavated into sound rock. a
higher fre,ueney of use. and
therefore lower principal
spillway design flood. say be
pe"",itted if flood control or daJo
safety would not be adversely
affected.
-For daJIos without ""'ergeney spillways. the
storage vol_e and height shall be detenoined
by seasuring to .the top of daJo elevation.
C)
Rainfall Depth and Distribution
Precipitation values for various
fre<ueney stono events < 10. %5. SO.
100-year and PIIP are contained in the
Iowa Departaent of Agriculture and
Land Stewardship publication.
Cliaatology of Iowa Series 8%.
Revised.' Iowa Rainfall Frequencies by
Paul Maite. Ten day rainfall aJlounts
are contained in the Mational Neather
Service publication. Technical Paper
No. ft9.
Sc8e acceptable aethocls of
distributing the rainfall in Iowa are
found in the U.S.D.A. Soil
Conservation Service publication.
~. Earth Dan and Reservoir.. and
the Illinois State Mater Survey
publication. Tiee Distribution of
Rainfall In HeavY Stonos by
F. A. Huff.
DI
Rainfall Losses
Conservative loss rates linterception,
infiltration, etc. I and antecedent
aoisture conditions should be used in
coeputing rainfall excess. Also. when
applicabls. .nOllllelt runoff rate.
should be estiaated.
The Soil Conservation Service ISCS)
weighted curve nueber ..thod is
acceptable for detereining rainfall
A:DAJS/ 354-90/:p
December, 1990
losses and is explained in National
Enaineerina Handbook Section ft
~, SCS. 197Z.
EJ
Storm Duration
Criteria and guidelines for developing
design storms froe rainfall events are
as follow",
II
The critical duration storm, or
the storm which results in the
highest water level in the
Dpounellaent. shall be used in
determining the freeboard design
flood for a high hazard daJo.
21
Six hour storms are recOlUlended
for determining the freeboard
design flood for daJos designated
in paragraphs AI 2) and AI 3 I"a" of
this chapter except where the
time of concentration exceeds six
hours. The 2ft-hour sto"", is
recOlllllended for dalfts designated
in paragraph AI 3 )"b" of tbis
chapter.
31
Twenty-four-hour 12ft-hour I
10-day sto""'s are reeoeeended for
developing principal spillway
design floods.
CIW'IER IV
H'iDIlAULIC All) STRI/Cl'URAL
GUmELINES FOR SPILLHA'tS
CRI'IERIA
All)
The following criteria and guidelines are
design considerations which will be used by
the department to insure that spillway
structures are capable of functioning safely
and efficiently and of resisting the forces to
which they say be exposed during the life of
the structure.
AI
SpilllfilYs should be designed to
operate safely for the life of the
structure and at the discharges and
pre..ures which would. be experienced
under all noreal or flood flow
conditions including the freeboard
design flood.
- 5 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
BJ
Anti-seepage collars or other aeans of
piping and seepage control (e.g.,
drainage diaphraglllsJ, anti-vortex
devices, trash racks or other inlet
dehris control aeasures, and outlet
stilling basins should he provided for
all conduits unless evidence can be
presented estahlishing they are not
necessary.
CJ
For _s where a conduit is proposed
to serve as the principal spillway,
suggested ainÙl'" sizes of the
principal spillway conduit for the
indicated type of structure are as
follow..
IJ
High Hazard D....s and Itoderate
Dams classed as llajor Structures
- 3&-inch inside di....eter.
ZI
lIoderate Hazard D....s not classed
as llajor Structures and Low
Hazard D....s which are classed as
llajor Structures - Z4-inch inside
di""eter.
3J
Low Hazard Dams not classed as
llajor Structures but which hav.e
drainage areas of Z5O acres or
sore - la-inch inside dia_eter.
41
Low Hazard llaes with drainage
areas under ZSO acres - IZ-inch
inside di....eter.
These dnia.. sizes are
applicahle to dams with ....ergency
spillways or which are designed
for overtopping only. For_s
without ...ergeney spillways,
suhstantially larger conduit
sizes with special provisions
against plugging will noraally he
re,uired.
DJ
Drop inlets (risers J should have an
inlet cross-sectional area at least
1.5 tiaes that of the conduit and
should he constructed of coeparahle
aaterials.
E) Conduits and risers should he of
. suUicient strength and have ade,uate
A:DA/!S/ J54-90/sp
- 6 -
December, 1990
joints to withstand all anticipated
external and internal pressures
without _age or laaage, with
provision _ade for vertical
setUement. Conduits should he
C3lllbered where significant setU_ent
of the overlying e_bankeent is
anticipated. Articulated or bell
joints should be provided as necessary
to a=....odate the _""h.. elongation
est hated to occur during the life of
the structure. Risers aust be
designed to counteract buoyant forces.
FJ
Corrugated setal pipe conduits and
risers should he close riveted with
watertight connecting bands and should
be fiber bonded, asphalt coated, or
given ..,uivalent protection. Cathodic
protection shall he provided in
corrosive soils. Corrugated _eta 1
pipe (DIP) conduits are not
rec....ended for high hazard _s,
-ocierate hazard d....s classed as eajor
structures, or where the height of
earth fill over the conduit exceeds ZS
feet.
I;J
Concrete conduit and drop inlet
(riser) design using precast pipe
sections should specify reinforced
concrete pressure pipe.
H)
Open concrete spillways, concrete box
conduits, and concrete fluees or
chutes should have longitudinal curbs
or raised joints which will prevent
contact by noraal flows with the
construction joint between the floor
and wall slabs. Seepage barriers,
drainage blankets and drains shodd be
installed where needed to eaintain
hydraulic flow integrity through the
structurs and to a=...odate
anticipated setU...ent or elongation
in the longitudinal or transverse
directions.
II
Eaergeney spillways should he capable
of safely conveying excess flood flows
around or through the _. They
should not operata except at floods
greater than the principal spillway
design flood.
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
JI
Ear~b "",ergeney spillways should be
.ubjed ~o ~be following _ina..
require.ents a~ ~be con~rol aecUon,
1)
HiniJo... bo~~"'" wid~b - 10 fee~.
%1
On llajor S~ruc~ures. .inm...
dep~b fee~. On o~ber
s~ruc~u..a. aina.. dep~b - %
fee~. (Elevation of ~op of cia.
.inus elevation of ...ergeney
spillway cres~. I
31
The profile ~brougb ~be ...ergency
spillway .bould be borbontal for
a~ leas~ 30 feet througb the
crest control section.
...1
Exit cbannel slopes should no~ be
less than IX or greater than lOX.
but .hould provide for
aaintaining cdtical depth
control at the crest.
IU
For daas whe.. substantial erodon in
the ...e<'geney spillway would pose the
dsk of a - failure. the now
velocities eludng ~he freeboard design
flood ehould be non-erosive. Mhere
such erosion would pose no substantial
dsk of failure. the now veloCities
should be non....rosive at the discharge
which occurs when now through ~he
con~rol section isa~ 3oY. of the
_axial... depth. On vegebted
spillways. the non....rosive velocity
should be dete..ined ass..ing the
vegetation is well established.
LI
Eaergeney spillways should be
constructed in undisturbed soil
wberever possible. Mhe.. no viable
alternative is available. ~hey Bay be
constructed on fill as a ....p
spillway.
HI
Saooth transitions in hodzontal and
vutical aligMent should be provided
at and between the inlet. the control
at the crest and tbe outlet sections
of _ergeney spillways.
HI
All spillways should discharge a safe
A:DAM/354-90/:p
CIW'IEII 't'
ÐIIAJIIa1EHIS
December. 1990
distance fr"" the ~oe of the daJo. and
tbe inlets and outle~s should be ao
located and aligned as to ainmize
risk of erosion da_age ~o ~be daIII or
of _age to cIownstreaa buildings,
roads, daIIIa or other a~ruc~urea.
01
An adequate energy dissipation
s~ruc~ure ( stilling basinJ
alternative acceptable ee~hod
be incorporated a~ the outle~
struc~ural epillways. On
struc~ures. uplif~ analysis
arching re~uir...ents should
considered.
should
of all
aajor
and
be
The earth e_bankllent of a daJo should be
designed and buil~ according to the following
cdteda and guidelines.
- 7 -
AI
Foreslopes and Backslopea.
Eabankllenta should be built of
suitable _atedals and with stable
slopes. Foreslopea sbould not be
ateeper than 3,1 (horizontal ~o
vertical! in till or loess _oils below
the pe..anen~ water level. Above the
perea_nt wa~er level. foreslopes
should not be steeper than %.5,1 in
till aoil or 3,1 in loess soil.
Backslopes should not be steeper than
%.501 in till soils or 3,1 in loess
soils. Steeper fares lopes or
backs lopes Bay be used if justified by
aoil tes~s and atabili~y analysis.
BI
Settl...ent Allowance. A _inial...
vertical settl...ent allowance of five
percent of the depth of fill should be
provided unless a les..r aaount is
justified by aol1 tests.
CJ
Top Width. The ainm.. _bankllent top
width should be 1... feet for _a Z5
feet high or higher. As a rule of
thuab. the top width could be reduced
by two feet for every five feet of
reduction in the height of the - to
a _inboua width of eight feet. The
top width of. _a wi"'l>~cIs across
tbe """at .hould be consistent with
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
n01'1llal roadway design practices,
including roadway and shoulders.
OJ
Core Trench. Core trenches should be
located approxblately along the
centerline laxis) of the earth fill.
It should be continuous across the
base of the fill extending into and up
the side slopes of the dam abutments
to no,,",al reservoir level. The core
trench should be exca....ted to
8inimUII depth of five feet or until a
suitable base aaterial is reached.
The base width should be that which
will acconuoodate excavating equipeent,
but not less than eight feet. The
side slopes of the core trench should
not be steeper than I, I, regardless of
depth or width of base. Iepervious
eaterial shall be used in backfilling
the core trench.
EI
Have Erosion Protection. On the
upstre- face of the cIaJI, a horizontal
bench or bem at least 10 feet wide
usually should be provided at the
nomal pool elevation to Iblit _ge
free erosion. On larger
iIopoundlllents. rip rap or other physical
eeans of protection should be
considered whether or not the bem is
provided.
FI
Site Preparation. All vegetation.
sod. stwnps. and large roots should be
reeoved froe the _bankeent site. and
the ground surface scarified to
provide bond with the earth fill.
Overhanging banks, pits, or holes
should be sloped and graded so slopes
do not exceed l.1. and any other sharp
discontinuities in the ground surface
shall be seoothed. Special
consideration should be given to the
r_oval of sandy or eucky deposits
unless otherwise provided for in the
design.
In till soils. topsoil should be saved
and placed as a surface layer over the
finished eebankaent to provide
ade~uate seed base in establishing
vegetation.
A:DAlIS/354-90/sp
- 8 -
December. 1990
G)
Fill. Fill eaterial should be clean
earth containing no appreciable
","ounts of vegetation, large rock,
frozen eaterial or other foreign
substances. Fill should not be pieced
on a frozen foundation or in freezing
weather.
Moisture content of the fill should be
suff ic1ent to ade<uate
coepaction. A eoisture content
slightly higher than optblUII is
recoeaended. An above opt1eue
eoisture content is desirable free the
standpoint of providing a eore plastic
eebanlaoent capable of resisting
greater differential settl_nt
without experiencing potentially
hazardous cracking. Unless otherwise
specified after soil testing. fill
should be placed in horizontal lifts
not exceeding eight inches extending
over the entire fill area and
coepacted by not less than four
overlapping passes by sheepsfoot or
rubber tired rollers. Sltooth steel
rollers or passes by caterpillar
tracks are not considered ade<uate for
coepacUon of earth-fill cIaJIs. The
surface of the fill should be
scarified or roughened if sufficient
tiee elapses between lifts for a crust
to develop.
Backfill adjacent to spillway
structures and anti-seep collars
should be carefully placed and
coepacted by hand e~uipeent. H...vy
e~uipeent shall not pass over conduit
structures until two feet of c..pac:ted
earth cover is in place.
HI
Drains. Internal seepage control
drains are reconuoended for sll clan
and are nomally required on aajor
structures unless soils investigation
finds they are not needed. Drains
should be capable of preventing
saturation of the cIownstr.... portion
of the eebankaent by intercepting any
seepage through the fill or the
foundation and any seepage along
structural spillways or conduits.
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
December, 1990
U springs are encoun~ered during sit.
preparation, drains should be provideå
~o allo.. a con~rolled outle~.
II
Seecling. As soon as possible after
eartil fill for ~he embanlooent is
c"'"p leted , ~he ...banlooen~ and any
o~her exposed areas should be seeded.
lIulch or o~her ..eans of erosion
con~rol can be placed as par~ of
seeding and .aintained un~il
vegetation is established. Grass or
vegeta~ive species selec~ed for use
should be appropria~e for ~he soils
.nd conditions expec~ed a~ ~he site.
Crown vetch is generally no~
accep~able for cIao embanlooenb or
emergency spillways.
JI
Riprap. Riprap shall be designed for
its expec~ed use and anticipa~ed "a~er
velocities. All riprap should be
placed on a properly designed beååing
unless ~he gradation of ~he underlying
base .aterial is such tila~ i~ ..ill no~
infiUrate tilrough ~he riprap. or an
.ccep~able fil~er fabric is used.
I::J
Groins. Mhere ~he embanlooen~
foreslopes and backslopes in~ersec~
~be natural or .oåified abu-n~
slopes. appropria~e groin design and
erosion con~rol recOllllendations should
be provideå.
£obanbents c","posed of concrete. rock, or
other .aterials. as associa~ed with gravity.
_ill and arch cIaos. designed in accordance
..itil standards by ~he V.S. Arsy Corps of
Engineers. V.S.D.A. Soil Conservation Service.
or tile V.S. Bureau ~ Reel...ation
generallY acceptable. These types of class are
no~ no....lly cons~"""- in Iowa.
CW'IEI! 9I
SPECIAL REQUIREIIEHTS FOR JlAJOR DAII srRVCIllRES
Because ~ tile siZe. public isportance. or
potential hazard of a .ajor ciao s~ru~r... a
higher level ~ inves~igation. design and
.-aurance of! proper cons~ruction is n-. A
_jor ciao s~ructare is defined as a ciao
_tiog any of ~he following cri~eria.
A:DAJ!S/J54-90/ sp
1.
Any high hazard ciao.
z.
Any soåerate hazard d... wi~h a
penanent s~orage exceeding one
hundred 1100 I acre-fee~ or a ~o~al of
penanen~ and ~esporary s~orage
exceeding two hundred fifty I ZSO)
acre-fee~ a~ ~he ~op of ~he dam
elevation.
Asly cIaJo. including low hazard _s,
where ~he heigh~ of ~he emergency
spillway cres~ aeasured above ~he
elevation of the channel boU"," a~ ~he
cen~erline of ~he cIao 1 in fee~ )
aultiplied by ~he total s~orage volu...
I in acre-fee~ I ~o ~he emergency
spill..ay cres~ elevation exceeds
3D.OOO. For _s without _ergency
spillways, tilese aeasur_enb shall be
taken to the ~op of ciao elevation.
3.
As a condition of peni~ approval. the
following i~e" ..ill be required for ujor
ciao s~ructur...
AI
A soils and foundation investigation
shall be aacls which includes the
evaluation of slope stability
requirements. anticipa~ed vertical
se~tl_ent and horizontal elongation.
seepage and underseepage potential.
whe~her catiloåic pro~ection is needed
for .etal pipes, and proper
cons~ruction practices for the soil
types and conditions encountered.
Stability evaluation shall inclucls end
~ construction. s~eady state seepage
and suclclen dra..äo..n condi ~ions.
III
Aslticipated sedisentation ra~es and
their iapac~ on tile life and
usefulness ~ ~he ispounålllen~ shall be
investiga~ed. Seå1aent s~orage shall
be provided in the. vol..e necessary
for continuation ~ design uses of the
ispoun..ent throughout its clesign
life.
CI
A ga~eå low lev81 outls~ shall be
provideå which is capable ~ draining
at least SO percent ~ the penansnt
storage behind the ciao within a
reasonable leng~h of tise. The pipe
conduits sball be designed so that
- 9 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
negative pressures will not occur at
any point along the system.
DI
In order to asseu the degree of
threat to life and property located
downstre.. of the d.., a daa breach
analysis aay be required. The
analysis will be nde to deteraine the
Most adverse failure condition and the
resulting peak outflows and water
surface elevations downstre.. of the
d.. following failure of the daa
during the freeboard design stora.
EI
Construction shall be inspected by an
engineer registered under Chapter 114
of the Code of Iowa or by a trained
inspector under the supervision of the
engineer. The engineer shall prepare
and certify as-built plans after
c,,",p1etion and a report detailing any
unusual circuJIIstances encountered
during construction and subRit th.. to
the Departaent of Natural Resources,
ATI'II. Flood Plains.
FI
The applicant, as a condition of the
perait, shall sulait an annual
nintenance and inspection report.
The report shall de...ribe aaintenance
work done since the previous annual
report, describe any deficiencies
observed in the daa or appurtenant
structures, detail the r_edia1
aeasures necessary and the aethod and
tiee the' applicant proposes to correct
the deficiencies found. If there is a
change in the land use downatreaa of
the dam, this change should be noted
the annual aaintenance and
inspection report. The applicant aay
also be r",!uired to provide additional
inspectiona and reports by an engineer
or other ~ualified peraonne1.
CIIAPlEII m
SPECIFICATIONS
Nhen detailed project specifications are
prepared, they ahou1d include the following
intonation.
AI
The general provisiona, which specify
the rights, duties, and
A:DAl1S/ 3S4-90/sp
- 10 -
December, 1990
responsibilities of the Owner,
Applicant, Applicant 's Engineer, and
Builder or Contractor, and the
prescribed order of the work.
BI
The technical provisions which
describe approved work aethods,
e~uip.ent. aaterials and desired end
results.
CI
Special provisions aa aay be re~uired
which describe those technical details
that are not usually contained in
standard technical provisions.
CIAPŒII nn:
DM! BREACH AHALïSlS
AI
In s,,",e cases it will be necessary to
evaluate the conae,uences of a daM
'failure to verify hazard
c1aasification or ade,uacy of design.
A special caae of daa breach analysis
will involve failure or ieproper
operation of flood control gates or
other structures.
BI
Nhere such evaluations are -de by the
departaent's stan, the necessary data
will be obtained froe topographic -ps
or other available infonation. U
that inforaation is not adeo¡uats, the
applicant aay be r",!uired to obtain'
additional downstreaa survey data.
CI
Prediction of the downstreaM
cons",!uencea of a hypothetical daB
breach r",!uires several c,,",ponent
steps. deve10paent of the iepouncioent
inflow hydrograph routing the
hydrograph through the iepoundloent.
selecting failure conditions for the
structure. calculating the outflow
hydrograph frea the failed atructure.
and aodeling aov...ent of the flood
wave downstre.. to deteraine travel
tiee, inundated areas, aaxie... water
surface elevations, ete:.
DI
The criteria, aethodo1ogy, and
c"",puter prograJIIs developed by the
U.S. Corps of Engineers, the National
lleather Service, the U.S.D.A. Soil
Conservation Service, and the U.S.
DNRTB-16
Design Criteria and Guidelines for Iowa Dams
Geological Survey for saulating a
hypothetical d"" failure are. in
general, acceptable.
CIW'IEII ]X
OPERATlHG PLAN
For any danI with gates or other soveable
structures which must operate or be operated
during taes of flood or to provide a aina-
downstre"" release rate. a written operating
plan shall be prepared. Developaent of such a
plan is considered part of the design process.
The following shall be addressed in
preparation of the operating plan.
AJ
Responsibility
No operating plan can be expected to
work properly unless it can be assured
the necessary personnel will be
present to operate the ""uipaent. or,
in the case of aut"",atic ""uip..ent, to
aonitor it and insure it is
functioning properly.
The plan shall identify who is
responsible for operating and
monitoring the ""uiplllent and provide
aeans to assure the necessary
personnel are present when needed.
BJ
Operating CirCQlllstances
The circ..stances under which
operation must occur shall be clearly
defined, and a aeans provided to
insure that operating personnel are
present when necessary.
CJ
""thod of Operation
The aeans and methods by which
operation is to be conducted shall be
clearly defined. Included shall be
sucb iteas as rates and s""uences for
opening or closure of gates, pool
level vs. gate setting tables. etc.,
as r""uired.
The operating plan shall allow for
safe passage of all floods up to and
including the freeboard dedgn flood.
Flood discbarges tbrougb the daIo
A:DAJS/ J54-90/:p
December, 1990
greater than the design peak flood
i~lows into the iIIIpoundment shall not
be permitted. In design and analysis.
due consideration shall be given to
tbe potential iIIIpacts of the operating
procedure on both downstre"" and
pools ide lands.
The plan should also address low flow
situations and sbould specify
dnilllUII release rate and bow it will
be provided and aaintained.
Consideration shall also be given to
and allowance ..ade for the possible
failure of or ...Uunctioning of the
""uipaent.
OJ
Discharge tleasur...ent
A means shall be provided to determine
the discharge through the control
structures. especially where operation
is to maintain a ainaua downstrea..
flow. Control setting n. discharge
tables, str_flow gages or other
means of obtaining discharge readings
shall be provided. The settings of
control structures shall be easily
read.
CIW'IEII X
.
LAlmS. EASÐŒHIS, RIGI£IS-oF-HAY
The dete1'lllination of lancls, easeaents, and
rights-of-way re~uired for the construction.
operation and ..intenance of a danI project are
considered part of tbe design process. An
application for approval of a claa project
shall include i~o...tion showing the nature
and extent of lands. easeaents. and
rights-of-way whicb the applicant bas ac>uired
or proposee to ac>uire for tbe project.
",,",uisi tion of lands. easeaents
rigbts-of-way for construction, operation, and
maintenance of cIaa project sball be
consistent with the following criteria.
AJ
Ownersbip or perpetual ......enta shall
be obtained for the area to be
oc:cupied by the - _banlooent.
spillways and appurtenant structures,
and the pe..,anent or a.,,1II.. no..,al
pool.
- 11 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
BJ
Ownership or easesents shall be
obtained for tenporary flooding of
areas which would be inundated by the
flood pool up to the top of dan
elevation and for spillway discharge
areas.
CJ
Eas_ents covering areas affected by
teaporary flooding or spillway
discharges shall include provisions
prohibiting the erection and usage of
structures for h...an habitation or
c....ercial purposes without prior
approval by the Departloent of Natural
Resources.
DJ
In locating the site of a dam and in
obtaining eas...ents and rights-of-way,
consideration should be given to the
iapacts which changes in land use
downstre... of a dan and adjacent to
the iapoundsent could have on the
hazard class of the das. the operation
of the das. and the potential
liability of the dam owner.
EJ
The applicant say be r.~uired to
ac~uire control over lands downstreas
frOll the das as necessary to prevent
dewnstreas develop.ent which would
affect the hazard class of the das.
.. This chapter is subatantively identical to
567--72.3(2J"b". Iowa Adsinistrative Code.
CIW'IEII XI
HYDROLOGIC AND HYDRAULIC DESIGN REFEREJtŒS
General
Handbook of Applied Hydrology by Ven Te Clew.
_w-Hill Book Ccspany. 1964.
"
,
...
Handbook of Applied Hydraulics by David and
Sorensen. IIcGraw-Hill Book Ccspany. 1969.
Handbook of Hydraulics by King and Brater.
IIcGraw-Hill Book Ccspany. 1963.
Hater Resources En"ineering by Linsley and
Franzini. IIcGraw-Hill Book Ccspany. 1963.
V.S.
Depar1:loent
of
Bureau
Interior.
A:DIJIS/154-90/sp
December, 1990
Reclasation
Design of Arch Dallls, 1977.
Desi"n of Gravity Dass, 1976.
Desi"n of Small Canal Structures. 19741
Revised Reprint. 1978.
Design of Small Dams, 2nd Edition, 19731
Revised Reprint, 1977.
Discha1'!l'e Coefficients for Irreaular
Overfall Spillways. Engineering I1onograph
Ro. 9, 1952.
Hydraulic Desi"n of Stillin" Basins and
EnerllY Dissipators. Engineering I1onograph
Ro. %5. 1978.
Vnitgraph Procedures. 1965.
InteriJa Guidelines for Preparing Inundation
llaps for Areas Dewnstr.as of 8u.....u of
Reclasation Das..
Corp. of Engineers
Engineering llanuals (Ell],
Ell
1110-2-1411
Standard Project Flood
DeteniDation. .
Ell 1110-2-1602 Hydraulic
Reservoir Outlet Structures.
of
Dedgn
Ell 1110-2-1603
Spillways.
Hydraulic
Design
of
Ell 1110-2-1908 Instr...entation of Earth
and Rocldill llass.
Ell 1110-2-2200 Gravity lias Design.
Ell 1110-2-%300 Earth and Rocldill llass
General Design and Construction
Consideration. .
Ell 1110-2-50 Low IAvel Discharge
Facilities for Drawdown of Ispounchents.
Ell 1110-2-1450
Est1Jaates .
Hydrologic
Frequency
of
- 12 -
DNR TB-16
Design Criteria and Guidelines for Iowa Dams
ETL 1110-2-221 Have Runup and Wind Setup
on Reservoir EabalÙOllents.
Hining E~orc-ent and Sahty Adllliniatration
Engineering and Design !lanual. Coal Rehse
Disposal Facilities. 1975.
Soil Conservation Service
National Engineering Handbook.
Section 4 - Hydrology
Section S - Hydraulics
Section 11 - Drop Spillways
TR-39 Hydraulics of! Broad-!:rested Spillway
TR-4B CoIIputer Prog..... for Project
Foraulation-Structure Site Analysis
"DAKS-ZM
TR-49 Criteria for the Hydraulic Design of
Iapact Badns
TR-SZ A Guide for Design and Layout of
Earth Eaergeney Spillways
TR-SS Urban Hydrology for SIoall Hatersheds
TR-59 Hydraulic Design of Riprap ~dient
Control Structures
TR-60 Earth I1aIos and Reservoirs
TR-61 CoIIputer Prog..... for Water Surface
Prof!iles
TR-66 Siaplified
Procedure
I1aIo
Breach
Routing
DH-8 Enttance Head Loss.. in Drop-Inlet
Spillways
SIØI-1 Tentative Guides for Deteraining the
~dation of! Filter Hateriab
National Neather Service
Technical Paper Wo. 40 - Rainfall Frequency
Atla. of! the United States «for Duration
fr.. 30 ainute. to Z4 hours and lIeturn
A:DAl1S/ J54-90/sp
December. 1990
Periods fr.. 1 to 100 years), 1961.
Technical Paper Wo. 49 - Two to Ten Day
Precipitation for Return Periods of 2 to
100 Years in the Contiguous United States.
1964.
HydrOOleteorological Report Ho. 51
Probable llaxiJoWl Precipitation EstÌllates.
United States East of the 105th Keridian,
June. 1978.
DAllBRK. HIlS l1aIo-Break Flood Forecasting
Hodel. Hov_ber. 1979.
Illinois State Hater Supply
Precipitation Relations for Use in 0....
Safety Pr01ect by Floyd Huff. 1980.
TiJoe Distribution of Rainfall in Heavy
~ by Floyd Huff. 1967.
Iowa Departaent
Stewardship
of
Agriculture
and
Land
Cliaatology of! Iowa Series .2. Revised.
Iowa Rai~all Frequencies by Paul Waite.
1988.
C11aatology of Iowa Series No. 3 - Iowa's
Sreatest 24-Hour Precipitation and Related
Stora Data by Paul Haite and Paul Jaeger. .
United States Geological Survey
Bulletin Wo. 7 - Drainage Areas of 'Iowa
St_s by D.J. Lariaer) Reprinted. !larch,
1974.
Bulletin Ho. 12 - Floods in Iowa. A
CoIIparative Study of! Regional Flood
Frequency Kethods by Decar g. Lara. 1974.
Water Resources Investigation Report
87-4132 llethod for Est1aating. The
ltagnitude and Frequency of! Floods at
U""""ed Sitee on Unregulated Rural S-
~. by Decar g. Lara. 1987.
Federal Highway Acleinistration
Hydraulic. Engineering Circulars.
- 13 -
DNR TlI-16
Design Criteria and Guidelines 'for Iowa Dams
December, 1990
HEC No. 10 - Capacity Char-ts for -the
Hydraulic Design of Highway Culverts,
Nov....ber, 19n.
HEC No. 11 - Use of Riprap for Bank
Pro-tecUon, June, 1967.
HEC No. 13 - Nydraulic Design of ¡'proved
Inle-ts for Culver-ts, Augus-t, 19n.
HEC No. 14 - Hydraulic Design of Energy
Dissipator for CuIver-ts and Channels.
Deceaber, 1975.
HEC Ho. 15 - Design of Stable Channels with
Flexible Linings, Oc-tober, 1975.
Hydraulic Design Series No. 1 - Hydraulics
of Bridge Haterways, Znd EdiUon, 1970.
Hydraulic Design Series No. 3 - Design
Charts for Open-Channel Flow, 1973.
Hydraulic Design Series No. .,. - Design of
Roadside Drainage Channels, 1965.
Hydraulic Design Series No. 5 - Design of
Highway Culverts. Sep-t....ber 1985.
Agricultural Research Service
The SAF SUl1ing Basin, 1959.
Hydraulics of Closed Conduit Spinways.
Parts I - XVII.
A:DAlfS/ J54-90/sp
- 14 -