Director's Order #40: Dams and Appurtenant Works--Maintenance, Operation, and Safety

Approved: ________________

Effective Date: _____________

Duration: _____________

Contents:

I.     Background
II.    Purpose and Scope
III.  Authority to Issue this Director's Order
IV.  Management Policies
V.    Instructions/Requirements/Responsibilities
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I.  Background

Director's Order #40, together with Reference Manual 40, updates and supersedes the National Park Service's basic guidance documents previously issued on the subject of maintenance, operation, and safety of dams and appurtenant works. In particular, this order and RM-40 supersede:

• NPS Special Directive 87-4, "Dams and Appurtenant Works-Desk Reference Manual for Maintenance, Operation, and Safety," which was first approved October 9, 1987; and
• Guideline NPS-40, "Dams and Appurtenant Works-Maintenance, Operation, and Safety," which was first approved February 1983; and
• Any other conflicting guidance that is within the discretionary authority of the NPS.

II.  Purpose and Scope

  A.  The purpose of this Director's Order is to summarize instructions, requirements, and responsibilities for maintaining, operating, and ensuring the safety of dams and appurtenant works under the jurisdiction of the NPS and ensure coordination with non-NPS dam owners whose projects affect the National Park System.

  B.  This Director's Order and RM-40 promulgate operational policies and procedures in accordance with, and consistent with:

• The Dam Safety & Security Act of 2002;
• Federal Guidelines for Dam Safety, June 25, 1979;
• Departmental Manual Part 753, Dam Safety and Security Program, October 14, 2004; and
• National Park Service Management Policies 2001, December 2000 (sections 1.5 External Threats and Opportunities, 8.2.5.2, Emergency Preparedness and Emergency Operations, and 9.5 Dams and Reservoirs).

  C.  This Director's Order provides a list of key tasks for NPS personnel to perform to ensure the protection of life, property, and park resources, and the continuation of project purposes. It also provides instructions on recommended coordination with local officials and non NPS dam owners. Application of this Director's Order by NPS personnel should be commensurate with each dam's size, complexity, operational importance, hazard potential classification, and ownership.

  D.  This Director's Order is intended only to improve the internal management of the NPS, and is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or equity by a party against the United States, its departments, agencies, instrumentalities or entities, its officers or employees, or any other person.

  E.  Inquires about the application of this Director's Order may be made to the NPS Maintenance, Operation, and Safety of Dams (MOSD) Program Engineer, Washington Office (WASO), Park Facility Management Division. Alternatively, please contact your regional MOSD Program Coordinator. Complete management responsibilities are outlined in more detail in Reference Manual 40, "Dams and Appurtenant Works: Maintenance, Operation, and Safety," Chapter 2.

III.  Authority to Issue this Director's Order

The authority for issuing this Director's Order is found in 16 U.S.C. 1 through 4 (the National Park Service Organic Act), and Part 245 of the Departmental Manual. In addition, Part 753 of the Departmental Manual requires each bureau to develop policies and guidelines necessary to implement its dam safety and security programs.

IV.  Management Policies

NPS Management Policies specific to this subject are found in section 9.5, which reads as follows:
9.5 Dams and Reservoirs

Dams and reservoirs will not be constructed in parks. The National Park Service will seek to deactivate existing structures unless they contribute to the cultural, natural, or recreational resource bases of the area, or are a necessary part of a park's water supply system.

All dams will be subject to annual safety inspections. Each park with a dam or reservoir will prepare an emergency action plan. The emergency action plan will also address potential hazards posed by dams outside the park and beyond the Service's control. The National Park Service inventory of dams will be used to record all NPS and non- NPS dams and reservoirs, and any other type of stream flow control structures affecting units of the national park system, including those that are proposed or have been deactivated.

Other important and related sections of Management Policies are Section 1.5, External Threats and Opportunities, and 8.2.5.2, Emergency Preparedness and Emergency Operations.

V.  Instructions/Requirements/Responsibilities

  A.  The Associate Director for Park Planning, Facilities, and Lands will ensure that this Director's Order is updated as necessary to keep it current, and will ensure that RM-40 meets the content requirements of DM Part 753 and is made widely available for the guidance of field managers who have dams and appurtenant works under their jurisdiction.

  B.  The key action responsibilities of regional directors, superintendents, and other field managers are as follows:

• Prepare, review, and update annually, Emergency Action Plans (EAP's) for any NPS dams that are classified as Downstream HIGH or SIGNIFICANT Hazard Potential. (See Reference Manual 40: chapter 2, section B, paragraph 6; chapter 6, section D, and Appendix A).
• Prepare, review, and update annually park Emergency Operations Plans for park areas that are affected by non NPS dams. This includes contacting state or other dam safety officials regarding non-NPS dams that affect park areas. (See Reference Manual 40, Appendix G.)
• Prepare or obtain official inspection reports for all NPS and non NPS dams and incorporate findings into the on-line NPS National Inventory of Dams database. (See Reference Manual 40, chapter 6, section C and Appendix A, the NPS National Inventory of Dams on-line database.)
• Promptly perform corrective action on deficient dams. Dams listed as SERIOUSLY DEFICIENT should be corrected immediately. A dam is SERIOUSLY DEFICIENT if:

  (1) An official inspection report classifies the dam safety condition as:
  

  (a) POOR-this classification is applied when major damage has occurred, or may be anticipated to occur, at one or more of the essential elements during normal operating conditions. Immediate corrective actions to resolve the deficiency(s) are recommended and reservoir or other restrictions may be necessary until problems are resolved; or

  (b) UNSATISFACTORY-this classification is applied when one or more essential elements will not operate adequately under normal conditions. Problem resolution requires immediate corrective action; and/or

  (2) If the maintenance condition is rated:
  

  (a) "3", which indicates it may not fulfill intended purpose and maintenance or major repair is needed) or;
  
  (b) "4", which indicates it will not fulfill intended purpose and major repair or rehabilitation is needed.

  In carrying out this responsibility, refer to the Reference Manual 40: chapter 3, section C; chapter 6, section C, paragraph 4; and Appendix A, the NPS National Inventory of Dams on-line database.

• Accurately maintain the on-line NPS Inventory of Dams database for any size, type, or owner (NPS or non NPS) of dams, reservoirs, or any other type of streamflow control structures that affect park resources, safety, maintenance, or operations. Dams that are proposed, existing, or deactivated and are either within, adjacent to, or upstream of park areas will be included. (See Reference Manual 40, chapter 2, section C and Appendix A, the NPS National Inventory of Dams on-line database.)
• Dams and appurtenant works, including adjacent areas out to 15 feet, will be kept free of any woody vegetation, trees, roots, shrubs, debris, animal infestation, or any other material that interferes with the access, visibility, inspection, operation, or maintenance of the facility. Grass will be mowed at prescribed intervals, particularly before inspections. Complete inspections cannot be performed when access or visibility is impaired by vegetation, animal infestation, or debris. Spillways and other water control features will be kept clear of obstructions and debris. Mechanical and electrical equipment will be tested annually. Seepage and other specified performance indicators will be monitored and recorded on a regular basis.      Appurtenant works of a dam are ancillary structures including, but not limited to, spillways, inlet and outlet works, tunnels, pipelines, penstocks, power stations, diversions. penstocks, canals, gates, conduits, navigation locks, instrumentation, or mechanical and electrical equipment. (See Reference Manual 40, chapter 6, section B and the Operations and Maintenance Guidelines for Small Dams.)
• Maintain operations and maintenance logs for NPS dams. (See Reference Manual 40, chapter 6, section B and the Operations and Maintenance Guidelines for Small Dams, page 13 and appendix B.)
• Retain only essential dams, reservoirs, or other type streamflow control structures. Dams, appurtenant works, and impoundments unauthorized by legislation or not approved in a General Management Plan will be deactivated, particularly if they are deficient. Deficient dams should not be acquired. (See Reference Manual 40, chapter 1, section C and chapter 3.)
• A list of technical supplements to the Director's Order #40 and RM-40 is provided in Appendix H of RM-40.
  

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