New York State Department of Environmental Conservation
Division of Water
Bureau of Flood Protection and Dam Safety, 4th Floor
625 Broadway, Albany, New York 12233-3504
Phone: (518) 402-8185 • FAX: (518) 402-9029
Website: www.dec.ny.gov
A Template for an Inspection
And Maintenance Plan for Dams
Purpose:
Pursuant to New York State Environmental Conservation Law Article 15-0507: Dam owners
shall at all times operate and maintain the dam and all appurtenant works in a safe
condition. The purpose of this document is to assist dam owners in developing a Dam Safety
Inspection and Maintenance Plan (I&M Plan) as required by NYCRR Part 673.6. The I&M Plan
should be used by the owner and kept on file, but does not need to be submitted to the
Department unless requested.
This template reflects the general components of an I&M plan for the average dam. Use of this
format does not guarantee acceptance of the Inspection and Maintenance Plan by the
Department. Dam owners may use other guidance and formats so long as the plan complies with
6 NYCRR Part 673.6.
Additional narrative space should be added as needed.
TEMPLATE
An I&M Plan should indicate who prepared it, when it was last revised and where the Plan is
located, as in the following:
Prepared By: Name: ____________________________________________________________
Title: _____________________________________________________________
Company: _________________________________________________________
Date Last Revised: ______________________________________________________________
Location of Dam Inspection and Maintenance Plan: ____________________________________
______________________________________________________________________________
______________________________________________________________________________
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Part 1: Dam Data
Dam Name: ____________________________________________________________________
Dam State Identification Number: __________________________________________________
Federal Energy Regulatory Commission Identification Number, if applicable: _______________
Dam Hazard Classification: _______________________________________________________
(C-High Hazard, B-Intermediate Hazard, A-Low Hazard)
Date of last Hazard Class Verification: ______________________________________________
Dam Location: County: _____________________ Town/City/Village: ____________________
Latitude:_____________________ Longitude: ___________________________
Dam Type: ________________________________ (embankment, concrete, combination, other)
Year of original construction: ______________ Year of last construction activity: ____________
Name of last Engineer and Builder: _________________________________________________
Dam Use(s): ___________________________________________________________________
(water supply, flood control, energy generation, recreation, irrigation, pollution control, other)
Dam Owner(s) Name: ____________________________________________________________
Dam Owner(s) Mailing Address: ___________________________________________________
Dam Owner(s) Telephone Number: _________________________________________________
Dam Owner(s) Facsimile Number: __________________________________________________
Dam Owner(s) E-Mail: ___________________________________________________________
Reservoir and stream (inflow and outflow) name and class (and/or navigability?):
______________________________________________________________________________
Associated wetlands and other natural resources of special concern:
______________________________________________________________________________
Dam height: ________________________________________________________________ feet
(as measured from downstream toe at lowest point to top of dam)
Dam Crest length: ___________________________________________________________feet
Dam Crest width: ___________________________________________________________ feet
Maximum Impoundment Volume: ___________________________________________ gallons
All Counties/Towns/Cities/Villages within downstream inundation zone:
(B and C Hazard Class dam owners should refer to their Emergency Action Plans)
________________________________________________________________________
________________________________________________________________________
Normal Pool Elevation:___________________________________________________________
(set by crest of service spillway)
Auxiliary/Emergency Spillway Elevation: ____________________________________________
Maximum Design Water Surface Elevation: __________________________________________
(specify vertical datum used: local, barge canal, NGVD 29, NAVD 88, IGLD)
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Part II: Dam Inspection and Maintenance
Primary person responsible for Dam Operations: ______________________________________
(name, title, phone number)
INSPECTION - This section of your I&M Plan should indicate who, how frequent, and what is
involved in an inspection. A form or forms should be developed and included which can be used
for each type of inspection or items to be monitored. Each dam will typically have specific
features which will require monitoring. Such features may be adapted from past inspection
reports that were either prepared by NYSDEC or the owner=s engineer. Include a table, such as
the following, to identify the various type of inspections.
INSPECTION TYPE FREQUENCY ITEMS TO PERSONNEL
INSPECT/MONITOR
Informal As needed, after event Spillway/Aux. Spillway/Seepage Damtender/Owner
(i.e. storm events,
snow melts)
Informal Monthly/Bi-Monthly/Other Seepage/Wet Areas/ Toe Drain Damtender/Owner
Flow/ Pool Level/ Trash Rack
Debris/ Slides/Cracks/ Rodent
Activity/ Vegetation/ Concrete
Surfaces/ Vandalism/ Piezometers
Maintenance Semi-Annually/ Annually/ In addition to above items: Slope Damtender/Owner/
Other Protection/Riprap Erosion/ Engineer
Condition of Vegetative Cover/
Spillway and embankment
Condition/ Lake Drain
Conditions/
Settlement Monuments
Technical Periodic* Safety Inspection Engineer
(See Part 673.12)
Technical Periodic (After initial, Engineering Assessment Engineer
every 10 years) (See Part 673.13)
* For Class C dams, typical Safety Inspection frequency should be every 2 years,
For Class B dams, typical Safety Inspection frequency should be every 4 years
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MAINTENANCE – Indicate in your I&M Plan the items which will require periodic
maintenance. Particular attention should be given to conditions noted on past inspection reports.
Examples of typical maintenance are given below. Your dam may consist of some or all of these items
and/ or require additional measures, or modified frequencies.
ITEM FREQUENCY
Mow embankment and emergency spillway 2 times/year
Lubricate and repair as needed lake drain Annually
valve mechanism
Re-establish proper vegetative cover As needed
Address erosion As needed
Address rodent damage As needed
Clean trash rack As needed
Concrete Maintenance As needed
Maintain other mechanical equipment Annually
Replace/ replenish riprap Annually
OPERATION - Give a summary of all your operation procedures for the dam. Specific
procedures for operation of mechanical equipment such as valves should be included here, or
attached. Emergency operation should be covered in an Emergency Action Plan (EAP).
Some examples of items that would require operational/ procedural descriptions may include:
• pool level drawdown for the winter season
• exercise (specified frequency – i.e. 2x/year), lubrication of valves
• record keeping (who is maintaining, location)
SAFE RATE DRAWDOWN PLAN - This section should include the method to be used for
drawing the impoundment down under emergency and non-emergency conditions. This could
include the maximum release rate which will not cause downstream flooding or rapid drawdown
damage. Alternative ways to provide for drawdown if needed (i.e. portable pumps, temporary
siphons) should also be included. (Hasty, unplanned action during emergency situations could
increase the dam failure rate or actually cause failure)
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Part III: Training
List of procedures and frequency for training personnel regarding the I&M Plan. Also note other
training needs, such as confined space entry procedures per OSHA requirements.
Part IV: Notifications
List of Items Requiring Notification and Notification Procedures pursuant to ECL Part 673. This
should consist of at a minimum the following:
Form Submittal Date
Annual Certification By January 31, of each year
Incident Report Form (EAP Activation, Flow Within 5 days of incident
in Erodible Spillway)
Notification of Property Transfer Sale of property where dam is located
Part V: Appendices
Examples of typical appendices include the following:
1. Inspection Forms
2. Past Inspection Reports
3. Reduced Size As-Built Drawings
4. Spillway Rating Curve
5. Drain Rating Curve
6. Pictures
Part VI: Available References
1. An Owners Guidance Manual for the Inspection and Maintenance of Dams in New York
State, DEC June 1987.
http://www.dec.ny.gov/docs/water_pdf/damguideman.pdf
2. Guidelines for Design of Dams, DEC Revised January 1989.
http://www.dec.ny.gov/docs/water_pdf/damguideli.pdf
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