Instructions for Form DWR4 "Application for Approval of Plans and Specifications for the Repair or Alteration of a Dam and Reservoir" - California

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State of California
DEPARTMENT OF WATER RESOURCES
California Natural Resources Agency
Division of Safety of Dams
OUTLINE OF PROCEDURE FOR THE REPAIR OR ALTERATION
OF DAMS AND RESERVOIRS WITHIN STATE JURISDICTION
1. Compile a repair or alteration application package that includes:
i. Application form (DWR 4).
ii. Plan sheets prepared by registered civil engineer in California. A signed and stamped digital copy of
the plans will be required prior to approval of the application.
iii. Project specifications.
iv. Filing fee.
v. Additional information may be required depending on the project. This may include soils data, logs
of borings or other exploratory data, geologic reports, hydrologic data, structural and hydraulic
design notes, any models or analyses, etc.
2. Submit the application package to the Department of Water Resources, Division of Safety of Dams
(DSOD).
i. Digital/electronic filing: Please contact DSOD for direction.
ii. Filing by mail: Division of Safety of Dams, Post Office Box 942836, Sacramento, CA 94236 or 2720
Gateway Oaks Drive, Suite 300, Sacramento, CA 95833.
3. Evidence of compliance with the California Environmental Quality Act must be provided before a repair or
alteration application can be approved (California Code of Regulations, Title 23, Division 2, Article 1,
section 310(f)(2)).
4. After DSOD completes its review of plans, specifications, other required information, and inspects the site,
the application may be approved or rejected, or changes in the plans and specifications, necessary for
approval, will be identified.
5. Notify DSOD when construction is to begin and keep DSOD informed of the status of construction work at
all times. Inspections will be made during construction as deemed necessary.
6. Upon the completion of construction, notify DSOD and a final inspection will be made as soon as
practicable.
7. Following the completion of work and a final inspection by DSOD, you will be asked to submit the following:
i. An affidavit for the actual cost of construction with a breakdown of costs. Cost items include:
1. The cost of all labor and materials entering into the construction of the dam and appurtenant
works or reservoir.
2. The cost of preliminary investigations and surveys.
3. The cost of the construction plant properly chargeable to the cost of the dam or reservoir.
4. Labor costs related to the preparation of required environmental documents under the
California Environmental Quality Act (CEQA).
5. Any and all other items entering directly into the cost of the dam or reservoir.
ii. A digital copy of as-constructed plans.
iii. A final construction report as applicable.
8. Note: An additional filing fee will be required if the final cost of construction exceeds the estimated cost by
more than 15 percent (California Water Code, Division 3, Part 2, section 6305).
9. All submitted civil engineering work shall be signed and sealed according to the Professional Engineer Act
(Business and Professions Code sections 6700-6799) and regulations related to the practices of
professional engineering and professional land surveying (California Code of Regulations, Title 16, Division
5, sections 400-476).
DWR 4 Instructions (Rev. 12/20)
State of California
DEPARTMENT OF WATER RESOURCES
California Natural Resources Agency
Division of Safety of Dams
OUTLINE OF PROCEDURE FOR THE REPAIR OR ALTERATION
OF DAMS AND RESERVOIRS WITHIN STATE JURISDICTION
1. Compile a repair or alteration application package that includes:
i. Application form (DWR 4).
ii. Plan sheets prepared by registered civil engineer in California. A signed and stamped digital copy of
the plans will be required prior to approval of the application.
iii. Project specifications.
iv. Filing fee.
v. Additional information may be required depending on the project. This may include soils data, logs
of borings or other exploratory data, geologic reports, hydrologic data, structural and hydraulic
design notes, any models or analyses, etc.
2. Submit the application package to the Department of Water Resources, Division of Safety of Dams
(DSOD).
i. Digital/electronic filing: Please contact DSOD for direction.
ii. Filing by mail: Division of Safety of Dams, Post Office Box 942836, Sacramento, CA 94236 or 2720
Gateway Oaks Drive, Suite 300, Sacramento, CA 95833.
3. Evidence of compliance with the California Environmental Quality Act must be provided before a repair or
alteration application can be approved (California Code of Regulations, Title 23, Division 2, Article 1,
section 310(f)(2)).
4. After DSOD completes its review of plans, specifications, other required information, and inspects the site,
the application may be approved or rejected, or changes in the plans and specifications, necessary for
approval, will be identified.
5. Notify DSOD when construction is to begin and keep DSOD informed of the status of construction work at
all times. Inspections will be made during construction as deemed necessary.
6. Upon the completion of construction, notify DSOD and a final inspection will be made as soon as
practicable.
7. Following the completion of work and a final inspection by DSOD, you will be asked to submit the following:
i. An affidavit for the actual cost of construction with a breakdown of costs. Cost items include:
1. The cost of all labor and materials entering into the construction of the dam and appurtenant
works or reservoir.
2. The cost of preliminary investigations and surveys.
3. The cost of the construction plant properly chargeable to the cost of the dam or reservoir.
4. Labor costs related to the preparation of required environmental documents under the
California Environmental Quality Act (CEQA).
5. Any and all other items entering directly into the cost of the dam or reservoir.
ii. A digital copy of as-constructed plans.
iii. A final construction report as applicable.
8. Note: An additional filing fee will be required if the final cost of construction exceeds the estimated cost by
more than 15 percent (California Water Code, Division 3, Part 2, section 6305).
9. All submitted civil engineering work shall be signed and sealed according to the Professional Engineer Act
(Business and Professions Code sections 6700-6799) and regulations related to the practices of
professional engineering and professional land surveying (California Code of Regulations, Title 16, Division
5, sections 400-476).
DWR 4 Instructions (Rev. 12/20)