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Dam Inspection and Plan Review Handbook

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Dam Inspection and Plan Review Handbook MSHA HANDBOOK SERIES U.S. Department of Labor Mine Safety and Health Administration Mine Safety and Health Enforcement January 2021 Handbook Number: PH21-V-6 DAM INSPECTION AND PLAN REVIEW HANDBOOK DAM INSPECTION AND PLAN REVIEW HANDBOOK PREFACE This handbook sets forth general procedures for conducting inspections of impoundments and tailings dams at coal and metal and nonmetal mines consistent with Section 103(a) of the Mine Act. This handbook supersedes instructions included in a separate Coal handbook that MSHA previously issued. The guidance is general and persons should refer to the Federal Mine Safety and Health Act of 1977, as amended (Mine Act or the Act), the Mine Improvement and New Emergency Response Act of 2006 (MINER Act), and 30 Code of Federal Regulations (CFR). This handbook provides MSHA personnel with procedures, tools and general guidance for inspecting dams and reviewing engineering design plans for dams; all activities should take into account specific conditions and practices at a mine. Not all procedures and requirements are applicable for all mine types. Inspectors should base any deviation from procedures in this handbook on their professional judgement and discussions with their supervisor. Timothy R. Watkins Administrator for Mine Safety and Health Enforcement DAM INSPECTION AND PLAN REVIEW HANDBOOK Table of Contents CHAPTER 1 - INTRODUCTION ............................................................................................................. 1-1 A. PURPOSE ......................................................................................................................................... 1-1 B. AUTHORITY .................................................................................................................................... 1-1 C. RESPONSIBILITY ............................................................................................................................. 1-1 CHAPTER 2 - INTRODUCTION TO DAMS ........................................................................................ 2-1 A. DAM CONFIGURATION AND CONSTRUCTION METHOD............................................................. 2-1 B. ANATOMY OF AN EMBANKMENT DAM ....................................................................................... 2-5 C. CONSTRUCTION AND OPERATION OF THE DAM ......................................................................... 2-7 D. DAM CONSTRUCTION SEQUENCE .............................................................................................. 2-10 CHAPTER 3 - ADMINISTRATIVE ISSUES ......................................................................................... 3-1 A. IDENTIFICATION NUMBER ............................................................................................................ 3-1 Coal Mines ...................................................................................................................................... 3-1 Metal and Nonmetal Mines............................................................................................................ 3-1 B. HAZARD POTENTIAL CLASSIFICATION ........................................................................................ 3-2 C. INVENTORY OF DAMS .................................................................................................................... 3-3 D. IMPOUNDMENT DESIGN PLAN TRACKING .................................................................................. 3-4 E. ANNUAL REPORT .......................................................................................................................... 3-5 F. NOTIFICATION OF FAILURES AND INCIDENTS ............................................................................. 3-6 CHAPTER 4 - DAM INSPECTION FREQUENCY ............................................................................... 4-1 A. MSHA INSPECTION FREQUENCY ................................................................................................. 4-1 B. MINE OPERATOR INSPECTION FREQUENCY ................................................................................ 4-1 Construction Inspections ................................................................................................................ 4-2 Informal During Operation Inspections ........................................................................................ 4-2 Normal During Operation Inspections .......................................................................................... 4-2 Formal During Operation Inspections ........................................................................................... 4-2 Pre- and Post-Extreme Weather or First Filling Inspections ......................................................... 4-3 Post Seismic Event Inspections ...................................................................................................... 4-3 CHAPTER 5 - INSPECTION OF DAMS ................................................................................................ 5-1 A. PRE-INSPECTION PROCEDURES ..................................................................................................... 5-1 In-office Inspection Preparation ..................................................................................................... 5-1 Recommended Inspection Equipment ............................................................................................. 5-2 Mine-office Inspection Preparation ................................................................................................ 5-2 B. CONDUCTING THE INSPECTION .................................................................................................... 5-3 C. CRITICAL CONSTRUCTION ACTIVITY ........................................................................................... 5-4 D. INSPECTION CRITERIA ................................................................................................................... 5-4 Site Configuration .......................................................................................................................... 5-5 Watershed Conditions .................................................................................................................... 5-5 Crest Conditions ............................................................................................................................. 5-5 Foundation Preparation ................................................................................................................. 5-6 Blanket, Toe, Spring Collection, or Internal Drain Installation .................................................... 5-7 Embankment Fill Placement ........................................................................................................... 5-8 Upstream Pushouts or Construction of the Initial Lifts of an Upstream Stage ........................... 5-10 i DAM INSPECTION AND PLAN REVIEW HANDBOOK Upstream Slope and Pool.............................................................................................................. 5-12 Slurry/Tailings Discharge Location and Slurry/Tailings Surface ............................................... 5-12 Principal Spillway or Decant Installation .................................................................................... 5-14 Principal Spillway or Decant Inlet Condition ............................................................................. 5-17 Open-Channel or Emergency Spillway Construction .................................................................. 5-18 Pumps ........................................................................................................................................... 5-20 Diversion Ditches ......................................................................................................................... 5-20 Mining Adjacent to or Under Impoundments ............................................................................. 5-21 Downstream Slopes and Benches ................................................................................................. 5-23 Principal Spillway or Decant Discharge Condition ..................................................................... 5-26 Downstream Foundation Area ..................................................................................................... 5-27 Instrumentation ............................................................................................................................ 5-29 Hazard potential classification ..................................................................................................... 5-32 E. MSHA DAM INSPECTION FORM ................................................................................................ 5-32 CHAPTER 6 - DAM ABANDONMENT AND MISCELLANEOUS ISSUES.................................. 6-1 A. ABANDONMENT/RECLAMATION OF DAMS ................................................................................ 6-1 Dams at Active Mines .................................................................................................................... 6-1 Dams at Inactive Mines ................................................................................................................. 6-1 Dams at Orphaned Mines .............................................................................................................. 6-2 Abandonment Allowing for the Continued Existence of the Dam ................................................
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