United States Society on Dams Guidelines for Dam Decommissioning Projects July 2015 Prepared by the USSD Committee on Dam Decommissioning U.S. Society on Dams Vision A world class organization dedicated to advancing the role of dam and levee systems and building the community of practice. Mission USSD, as the United States member of the International Commission on Large Dams, is dedicated to: ADVOCATE: Champion the role of dam and levee systems in society. EDUCATE: Be the premier source for technical information about dam and levee systems. COLLABORATE: Build networks and relationships to strengthen the community of practice. CULTIVATE: Nurture the growth of the community of practice. The information contained in this report regarding commercial products or firms may not be used for advertising or promotional purposes and may not be construed as an endorsement of any product or firm by the United States Society on Dams. USSD accepts no responsibility for the statements made or the opinions expressed in this publication. Copyright © 2015 U. S. Society on Dams Printed in the United States of America ISBN 978-1-884575-71-6 U.S. Society on Dams 1616 Seventeenth Street, #483 Denver, CO 80202 Telephone: 303-628-5430 Fax: 303-628-5431 E-mail: [email protected] Internet: www.ussdams.org FOREWORD The primary objective of these Guidelines for Dam Decommissioning Projects is to provide dam owners, dam engineers, and other professionals with the information necessary to help guide decision-making when considering dam removal as a project alternative. If selected as the preferred alternative, these Guidelines may help in the development and execution of a successful dam decommissioning project, which would include all necessary activities associated with the removal of a dam and restoration of the river, from project planning through design and implementation. These Guidelines define dam removal as the full or partial removal of an existing dam and its associated facilities such that the statutory definition of a dam is no longer met or the structure no longer presents a downstream hazard. Chapter 1 provides this definition and other background information on dams within the United States. Chapter 2 describes the primary factors to consider in the decision-making process, including public safety, fish passage and aquatic migration, river restoration, economics, funding availability and source, potential public and owner benefits, and potential environmental impacts. Chapter 3 describes the general project planning components and issues, including problem and stakeholder identification, environmental compliance, and permitting requirements, and the evaluation of project alternatives. Chapter 4 addresses the basis of design, design stages, project schedules, and cost estimates. Chapter 5 focuses on issues related to sediment management, including potential downstream impacts and management alternatives. Chapter 6 describes various construction activities related to dam removal and site restoration. Chapter 7 describes performance monitoring and mitigation for potential physical, biological, and socioeconomic impacts. Chapter 8 provides case histories representative of various types of decommissioning projects completed or planned within the United States. These Guidelines have been prepared by the Committee on Dam Decommissioning of the United States Society on Dams (Hover et al., 2006; Randle and Hepler, 2012) The principal contributors are listed below: • Timothy Randle, Bureau of Reclamation – Committee Chair • Thomas E. Hepler, Bureau of Reclamation (retired) – Past Committee Chair • Wayne D. Edwards, W.D. Edwards Consulting - Past Committee Chair • William H. Hover, GZA GeoEnvironmental, Inc. - Past Committee Chair • Chris Krivanec, HDR – Past Committee Vice-Chair Additional contributions and review comments were received from the following Committee members: • Michael L. Brown, Golder Associates, Inc. • Robert L. Dewey, Bureau of Reclamation (retired) • Charles Karpowicz, National Park Service (retired) • David M. Leone, GZA GeoEnvironmental, Inc. • Kevin Schneider, Barnard Construction Company, Inc. iii • John R. Shuman, Johnson, Miraman & Thompson, Inc. • Stephen L. Whiteside, CDM Smith • Jennifer Bountry, Bureau of Reclamation The Committee is grateful to external peer reviewers Kenneth A. Steele, Consultant; Daniel J. Hertel, Engineering Solutions, LLC; Martin J. Teal, WEST Consultants, Inc.; and Laura Wildman, Princeton Hydro, who provided very helpful contributions; and to Susan Ward, Bureau of Reclamation, who provided final format editing and word processing services. iv LIST OF ACRONYMS Acronym Definition AACE Association for the Advancement of Cost Estimating ACHP Advisory Council on Historic Preservation ADA Americans with Disabilities Act APE Area of Potential Effect ASDSO Association of State Dam Safety Officials BIA Bureau of Indian Affairs BMPs Best Management Practices CAA Clean Air Act CAW California American Water CCAA California Clean Air Act CEQA California Environmental Quality Act CESA California Endangered Species Act CFR Code of Federal Regulations CWA Clean Water Act DEP Department of Environmental Protection DFG Department of Fish & Game EA Environmental Assessment EAP Emergency Action Plans EFH Essential Fish Habitat EIR Environmental Impact Report EIS Environmental Impact Statement EPA Environmental Protection Agency ESA Endangered Species Act FEMA Federal Emergency Management Agency FERC Federal Energy Regulatory Commission FONSI Finding of No Significant Impact FPA Federal Power Act FWCA Fish & Wildlife Coordination Act FWS US Fish & Wildlife Service GIS Geographic Information System GPS Global Positioning System HABS Historic American Buildings Survey HAER Historic American Engineering Record ICOLD International Commission on Large Dams IDF Inflow Design Flood LiDAR Light Detection and Ranging M&I Municipal and Industrial MCE Maximum Credible Earthquake MISD Management Information System for Dams MPE Most Probable Estimate MPID Modoc Point Irrigation District v Acronym Definition MW Megawatts NAGPRA Native American Graves Protection and Repatriation Act NCDRI National Clearinghouse of Dam Removal Information NED National Economic Development NEPA National Environmental Policy Act NGOs Non-governmental Organizations NHPA National Historic Preservation Act NID National Inventory of Dams NMFS National Marine Fisheries Service NOAA National Oceanic and Atmospheric Agency NOI Notice of Intent NPDES National Pollutant Discharge Elimination System NPS National Park Service NRHP National Register of Historic Places NTP Notice to Proceed ODFW Oregon Department of Fish and Wildlife PADEP Pennsylvania Department of Environmental Protection PCBs Polychlorinated Biphenyls PG&E Pacific Gas & Electric Company PHE Probable High Estimate PLE Probable Low Estimate PMF Probable Maximum Flood PUC Public Utilities Commission RCC Roller Compacted Concrete Reclamation U.S. Department of the Interior, Bureau of Reclamation RED Regional Economic Development RM River Mile ROD Record of Decision SCD San Clemente Dam SHPO State Historic Preservation Officer SWPPP Storm Water Pollution Protection Plan USACE U.S. Army Corps of Engineers USFWS U.S. Fish & Wildlife Service USID U.S. Indian Service USSD United States Society on Dams WBS Work Breakdown Structure vi TABLE OF CONTENTS FOREWORD ..................................................................................................................... iii LIST OF ACRONYMS .......................................................................................................v TABLE OF CONTENTS .................................................................................................. vii LIST OF TABLES ...............................................................................................................x LIST OF FIGURES ........................................................................................................... xi 1. INTRODUCTION .......................................................................................................1 1.1 Objective of Guidelines ......................................................................................1 1.2 Definitions for Dams and Appurtenant Structures..............................................2 1.3 Dam Size and Hazard Classifications .................................................................7 1.4 National Inventory of Dams ...............................................................................9 1.5 Dam Removal Statistics in the United States ...................................................10 2. FACTORS TO CONSIDER FOR DAM DECOMMISSIONING PROJECTS ........14 2.1 General ..............................................................................................................14 2.2 Public Safety .....................................................................................................14 2.3 Fish Passage and Aquatic Migration ................................................................15 2.4 River Restoration ..............................................................................................16 2.5 Economics .........................................................................................................18 2.6 Project Funding .................................................................................................19 2.7 Public Benefits ..................................................................................................20 2.8