2 CCR 402-1-6 - Design Submittal Requirements

6.1 An Owner proposing to construct a new jurisdictional dam or alter, modify, repair, or enlarge an existing jurisdictional dam and/or appurtenant structures shall submit an application package in a form acceptable to the State Engineer. Construction activities may not commence until the State Engineer has provided written approval of the design.

6.2 Pre-Design Meeting. Prior to design commencement, the Owner and Engineer shall meet with the State Engineer to discuss the project scope, objectives, and selected design criteria. Meeting minutes shall be provided by the Engineer to establish a clear understanding of the project requirements.

6.3 Application Package. The application package shall meet the following criteria:

6.3.1 Format. The application package shall be submitted in portable digital file (PDF) format unless otherwise requested by the State Engineer. All electronic submissions shall consider the following:

6.3.1.1 File Size. Efforts shall be made to minimize digital file size from the earliest stages of document development. Efforts may include use of file compression techniques in each step of the document development.

6.3.1.2 Appropriate Security Settings. Security settings shall allow for the required digital review and approval process by the State Engineer.

6.3.1.3 Appropriate Resolution. Digital files shall include a resolution appropriate to allow for printing both 22- by 34-inch and 11- by 17-inch (half-size) drawings without losing clarity, quality, or scalability.

6.3.1.4 Electronic Signatures. Appropriate engineering stamps and signatures will be required on the final version of the design documents before construction approval will be granted.

6.3.1.5 File Name. A table with document name, document description, and document type of all materials in the application package shall be included.

6.3.1.6 File Transfer. Digital file transfer methods shall be discussed and arranged in consultation with the State Engineer.

6.3.2 Content. The application package shall include the following:

A. Application Form,

B. Engineer's Qualification Statement and Affidavit,

C. Construction Plans,

D. Construction Specifications,

E. Design Report,

F. Inundation Map (High and Significant Hazard dams only),

G. Cost Estimate, and

H. Filing Fee.

6.4 Application Form. A completed application form shall be provided to the State Engineer. The application shall be signed by the Owner or an authorized representative of the Owner. The Engineer may act as the Owner's representative if authorized by the Owner.

6.5 Engineer's Qualification Statement and Affidavit. The Engineer shall submit qualifications and a signed affidavit attesting compliance with the requirements as defined in Rule 4.10.

6.6 Construction Plans. The plans shall show the design of the dam and each appurtenant structure in sufficient detail so that the contractor or builder is able to construct the proposed structure from the plans and the specifications. Construction plans shall meet the following requirements:

6.6.1 Contents. The plan set shall contain the following features:

6.6.1.1 The Engineer's seal in accordance with current practice defined by The Bylaws and Rules of Procedure of the State Board of Registration for Architects, Professional Engineers, and Professional Land Surveyors (4 CCR 730-1).

6.6.1.2 A cover sheet with the following information at a minimum:

A. The name of the dam;

B. The County, Water Division, and Water District in which the dam is located;

C. DAMID;

D. State Construction File Number; and

E. A project location map.

6.6.1.3 A list of the drawings that follow the cover sheet, placed on the second sheet of the plans, and a note on the cover sheet indicating the location of the list of the drawings.

6.6.1.4 The Engineer's certification statement, the State Engineer's approval signature block, and the Engineer's as-constructed statement in the lower right quadrant of the cover sheet in the following format:

These plans have been prepared by me or under my direct supervision.

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6.6.1.5 When appropriate, stage discharge curves and tables for spillways and outlets shall be placed on the drawings. For spillways, the curves and tables shall include the discharge for each vertical foot between the spillway crest and dam crest. For outlets, the curves and tables shall include the discharge for each vertical foot between the invert of the outlet works intake and the dam crest. Crest elevations of all spillways and the dam, and the invert elevation of the outlet shall be clearly noted on the tables. The rating data shall be referenced to both gage height and elevation.

6.6.1.6 Area capacity and stage capacity curves and tables shall be provided for all new dams and enlargements and when otherwise determined appropriate. The curves and tables shall be provided in a format determined in consultation with the State Engineer.

6.6.1.7 The plans shall clearly identify the vertical and horizontal datum used, and to the extent possible, shall include a description of vertical and horizontal translations if the proposed datum is different from that used in past projects for the same dam.

6.6.1.8 In no cases shall construction specifications be provided on the drawings.

6.6.2 Format. All plan sets shall meet the following format requirements:

6.6.2.1 Drawings shall be prepared in an appropriate scale so details and text are clearly legible on an overall sheet size of 22- by 34-inches and half-size sheet size of 11- by 17-inches.

6.6.2.2 Drawings shall have bar scales to allow scaling of reduced-sized drawings.

6.6.2.3 Full size drawings shall have a 1/2- by 3-inch space for the State Engineer's construction file number inside the margin in the lower right-hand corner. A unique construction file number will be assigned by the State Engineer prior to final approval of the project documents for construction and shall be placed in bold characters on all of the drawings.

6.6.2.4 Each sheet shall be numbered sequentially with the first sheet being sheet number one along with the total number of sheets (e.g., sheet 1 of 6).

6.7 Construction Specifications. Construction Specifications shall be submitted on 81/2- by 11-inch paper in PDF format, and in printed format if requested by the State Engineer. Specifications shall meet the following requirements:

6.7.1 The specifications shall display the Engineer's seal in accordance with current practice defined by The Bylaws and Rules of Procedure of the State Board of Registration for Architects, Professional Engineers and Professional Land Surveyors (4 CCR 730-1).

6.7.2 The cover sheet shall show the following information at a minimum:

A. The name of the dam;

B. The County, Water Division, and Water District in which the dam is located;

C. DAMID;

D. State Construction File Number; and

E. Date.

6.7.3 The first page behind the cover shall show the following information at a minimum:

A. The same information as on the cover sheet; and

B. The Engineer's certification statement with seal and signature, and the State Engineer's approval statement as shown in Rule 6.6.1.4 (without the As-Constructed block).

6.7.4 The specifications shall have an index.

6.7.5 Printed specifications shall be bound. Loose-leaf and 3-ring binders are not acceptable.

6.7.6 The specifications shall include a separate section with the following provisions stating the State Engineer's authority:

6.7.6.1 The plans and specifications cannot be significantly changed without the prior written approval of the State Engineer. If changed conditions are encountered after the State Engineer's approval is issued, the changes shall be documented in accordance with Rule 8.2.5.

6.7.6.2 Construction shall not be considered complete until the State Engineer has accepted the construction in writing.

6.7.6.3 The Engineer will monitor the quality of construction as specified in Rule 8.1.2 . The Engineer monitoring the construction for the Owner is responsible for compliance with the approved design and specifications, preparation of the necessary documentation for the State Engineer's review and approval of all design change orders, and preparation of the project completion documents, and for recommending the project for acceptance to the State Engineer.

6.7.7 The specifications shall include the following at a minimum:

A. Quality of materials used in construction,

B. Acceptable quality of workmanship,

C. References to applicable standards as appropriate,

D. Required tests and estimated frequency of testing, and

E. Action to be taken if unsatisfactory materials or workmanship are discovered in the construction.

6.7.8 Only technical specifications shall be submitted. No contract documents or extraneous specifications unrelated to the project shall be included.

6.8 Design Report. A design report shall be submitted with the application package. The purpose of the design report is to present the project design criteria and all supporting engineering analyses including applicable design standards and references. The design report shall display the Engineer's seal in accordance with current practice defined by The Bylaws and Rules of Procedure of the State Board of Registration for Architects, Professional Engineers and Professional Land Surveyors (4 CCR 730-1). The following topics shall be addressed in the design report when applicable to the proposed project. Stand-alone reports addressing individual topics shall be sealed by the Engineer and summarized in the design report.

6.8.1 Introduction. This section shall describe the project and review process, including a discussion of the project objectives and how the proposed design will meet those objectives.

6.8.2 Project Components. This section shall describe the dam, spillway, outlet works, and other appurtenant structures.

6.8.3 Site Requirements. This section shall describe any site improvements and unusual construction considerations required to construct the project.

6.8.4 Hazard Classification. This section shall identify the hazard classification for the dam. This may be submitted, reviewed, and approved as a stand-alone report prior to submittal of the application package. A detailed analysis is not required for dams that are declared as High Hazard; however, a dam failure inundation map will be required for the Emergency Action Plan pursuant to Rule 13.7.

6.8.5 Hydrology. This section shall include all pertinent design analyses and assumptions necessary to determine the inflow design flood (IDF) for sizing the spillway in accordance with Rule 7.2 . This may be submitted, reviewed, and approved as a stand-alone report prior to submittal of the application package.

6.8.6 Hydraulics. This section shall discuss how the proposed spillway design will protect the dam from damage during the IDF and how the proposed outlet will comply with the downstream delivery and reservoir evacuation requirements.

6.8.7 Geotechnical Design. This section shall include all pertinent geotechnical and engineering geology considerations for a given project. Documentation and interpretation of all appropriate field and laboratory testing programs shall be sufficiently comprehensive to support the basis of design for dam and appurtenant structure foundations. This may be submitted and reviewed as a stand-alone report prior to submittal of the application package.

6.8.8 Structural Design. This section shall include discussion of the design and analyses for all structural components.

6.8.9 Instrumentation Plan. This section shall describe the objectives and details of the proposed instrumentation.

6.8.10 Mechanical and Electrical Design. This section shall include discussion of designs and analyses for all mechanical and electrical systems including, but not limited to, gates, valves, trash racks and mechanical systems, systems for operating gates and valves, electrical power requirements and emergency backup power or manual override.

6.8.11 River Diversion during Construction. This section shall describe the means to protect the proposed work, the stream, and public safety during the proposed construction period as required by Rule 8.1.1.

6.9 Cost Estimate. A detailed cost estimate of the construction of the dam including the engineering and construction oversight tasks. The cost estimate will remain confidential until after the construction contract is executed.

6.10 Fee. A fee shall be assessed in accordance with section 37-80-110(1)(e), C.R.S. A check for the fee shall accompany the application form and be made payable to Colorado Division of Water Resources.

6.11 Design Review Approvals and Limitations.

6.11.1 Approval of Plans and Specifications. The State Engineer will approve acceptable plans and specifications for construction. Unacceptable submittals will be rejected.

6.11.2 Design Review Limitation. Re-submittal of the design package shall be required if resolution of the design review comments does not occur within three years. Resubmitted designs shall be accompanied by a new application package and fee.

6.11.3 Approval Limitation. Construction shall commence within five years of approval of the application, after which time the State Engineer's approval shall be void. The new application will be reviewed and reevaluated against current standards. Resubmitted designs shall be accompanied by a new application package and fee.

6.11.4 Resubmittal of Rejected Designs and Expired Approvals. The Owner is required to submit a complete application package and fee, addressing any previously identified deficiencies, before the design will be reconsidered. The new application will be reviewed and reevaluated against current standards.

6.12 Application and Approval Requirements for Low Hazard and NPH Dams. Plans for alteration, modification, repair, or enlargement of an existing Low Hazard or NPH dam and/or appurtenant structures of Low Hazard dams or NPH dams will be reviewed in accordance with the following procedure:

6.12.1 Notice. The Owner shall provide written notice to the State Engineer at least thirty (30) days in advance of construction. The written notice shall contain the name of the dam, the location of the dam, the name of the Owner, contact information for the Owner, and a clear description of the work to be performed.

6.12.2 Determination. The State Engineer will notify the Owner whether plans and specifications are required.

6.12.2.1 If plans and specifications are required, Rules 6, 7, and 8 will apply.

6.12.2.2 If plans and specifications are not required, the State Engineer will inform the Owner of any engineering, construction, and project documentation requirements, and will perform construction inspections as determined necessary.

Notes

2 CCR 402-1-6

42 CR 23, December 10, 2019, effective 1/1/2020