CECW-EP

Engineer Regulation 1110-2-100

Department of the ArmyU.S. Army Corps of Engineers

Washington, DC 20314-1000

ER 1110-2-100

15 February1995

Engineering and Design

PERIODIC INSPECTION AND CONTINUINGEVALUATION OF COMPLETED

CIVIL WORKS STRUCTURES

Distribution Restriction StatementApproved for public release; distribution is unlimited.

ER 1110-2-100DEPARTMENT OF THE ARMYU.S. Army Corps of EngineersWashington, D.C. 20314-1000CECW-EP

RegulationNo. 1110-2-100 15 February 1995

Engineering and DesignPERIODIC INSPECTION AND CONTINUING EVALUATION

OF COMPLETED CIVIL WORKS STRUCTURES

1. Purpose.

This regulation provides the policy, defines theobjectives and responsibilities, and establishes theprocedures by which the ~rps of Engineers assuresthe safety, continuing structural integrity, andoperational adequacy of itsrrtajor Civil Worksprojects.

2. Applicability.

This regulation applies to all HQUSACE elements,major subordinate mmrnands(MSC), districts, andfield operating activities having responsibility forCivil Works projects.

3. References.

a. Federal Guidelines for Dam Safety, datedJune 25, 1979.

b. Federal Power Act(41 Stat. 1063, U.S.C.791-823), 10 June 1920, as amended (FPA).

c. Water Resourm Development Act of 1986,PL 99-662.

d. AR335-15, Management InformationControl System.

e. ER 1110-2-101, Reporting of Evidence ofDistress of Civil Works Projects.

f. ER 1110-2-110, Instrumentation for Safety- Evaluations of Civil Works Projects.

g. ER 1110-2-111, Periodic Safety Inspectionand Continuing Evaluation of USACE Bridges.

h. ER 1110-2-1150, Engineering and Desi~for Civil Works Rejects.

i. ER 1110-2-1156, Dam Safety -Organization, Responsibilities, and Activities.

j. ER 1110-2-1942, Inspection, Monitoringand Maintenance of Relief Wells.

k. ER 1130-2-339, Inspection of Local FloodProtection Projects.

1. ER 1130-2-419, Dam OperationsManagement Policy.

RI. EM 1110-2-1908, Instrumentation of Earthand Rock Fill Dams.

n. EM 1110-2-2002, Evaluation and Repair ofConcrete Structures.

o. EM 1110-2-4300, Instrumentation forConcrete Structures.

p. ETL 1110-2-231, Initial Reservoir Filling.

q. ETL 1110-2-346, Structural Inspection andEvaluation of Existing Welded Lock Gates.

r. ~L 1110-2-351, Structural Inspection andEvaluation of Existing Spillway Gates.

s. Policy Guidance Letter (PGL) No. 39,Responsibtiities for Operation, Maintenance, Repair,Replacement and Rehabilitation (OMRR&R), dated13 November 1992.

4. Policy.

a. Civil Works structures whose failure orpartial failure could jeopardize the operationalintegrity of the project, endanger the lives andsafety of the public or cause substantial propertydamage shall be periodically inspected andevaluated to ensure their structural stability, safety,

This regulation supersedes ER 1110-2-100, dated 8 April 1988

ER 1110-2-10015 Feb 95

and operational adequacy. This policy will beaccomplished as follows:

(1) The inspections and evaluations shall besupported by appropriate instrumentation programsthat provide the timeliness and level of accuracyneeded for evaluations under all operatingwnditions. During periods when a reservoir will beabove the maximum pool of record or above athreshold level established horn past performance,an appropriate team shall be dispatched to the damto monitor and evaluate performance. A report ofperformance outlining the findings and evaluationshall be prepared and submitted to the MSC forreview within 30 days after the event. Specialinspections shall be performed during andimmediately after any unusual loading events.Evaluation reports shall provide a basis for initiatingtimely remedial or rehabilitation measures.

(2) For those facilities instructed by theCorps and turned over to others for operation andmaintenance, the operating entity is responsible forperiodic inspection and evaluation. The Grps mayconduct the inspection and write the report, onbehalf of the Project Sponsor, provided appropriateprocedural and financial reimbursementarrangements are made. The inspection will beconducted in accordance with appropriate guidancecontained in the operation and maintenance manualfor the facility and in accordance with applicableportions of this regulation. In the future, althoughthe Project *ration Agreements (PCA) willinclude language on the inspection responsibilityies,the operating entity shall again be notified, at thetime of its acceptance of the structure, of theinspections and observations considered appropriateand its mnsequent responsibilities. Dams built bythe brps and turned over to others for OMRR&Rshall have, in the O&M manual, requirements thatthe Corps will conduct the frost and Semndinspections and/or first falling inspection inaccordance with this regulation. See ETL 1110-2-231 for the initial reservoir falling and surveillanceplan. ‘This is to insure design/construction quality.See Policy Guidance Letter No. 39, dated 13November 1992 for Corps and sponsorresponsibilities. Under PL 99-662, Section 103,j(2)(B), the government may terminate or adjust therights and privileges of the non-Federal interest to

project outputs under the terms of the agreement.See structural flood model PCA, Article VIII,Paragraph B and Article XIV.

(3) Under the authority of ER 1130-2-339,the Corps, at government expense, will participatein the inspection of a sponsor operated andmaintained structure (e.g., local flood protectionproject) with the operating entity to assure that theoperating entity is conforming to the requirementsof the PCA, the agreed upon inspection program,and operation and maintenance program.

(4) In cases where the ownership of majorelements of a project is divided between the Corpsand other organizations, government or municipal,the ~rps will inspect those features of thenon-Corps elements which muld adversely affectthe stability, safety, or operation of the~rps-owned portion of the project. This includesfeatures not constructed by the Corps.

(5) Non-Federal dams located upstream of a~rps project may have a substantial bearing on thesafety of the tirps project. men structures of theCorps project are inspected, it may be appropriateto evaluate the safety of the upstream non-Federaldam(s) and to ascertain operational procedures oremergency situations which muld make excessivedemands on a Corps project. These structuresshould be ins~ted when their failure auld causeovertopping of the brps project and the upstreamdam is not regulated by the Federal EnergyRegulatory Commission (FERC) or by an activeState Dam Safety Program. Every effort should bemade to encourage owners of such projects tocomply with the National Dam Safety Guidelines.

(6) Federally owned dams (non-Corps) on amilitary installation may have a substantial bearingon the safety of life and could endangerdownstream property. The ~rps may inspect suchdams upon request from the installation havingownership or control of the facility. meinspections and reports shall be accomplished on acost reimbursable basis. This policy extends tonon-Federally owned dams on a militaryinstallation where the safety of life and Federalproperty is in jeopardy if a failure should occur.These inspections shall be performed and

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documented in the same reamer as the Corps dams.

b. It is essential that the Corps maintaininstitutional knowledge and technical expertise inthe disciplines related to dam dwign and safety.An important component of this knowledge isgained by the conduct of periodic inspections bydistrict engineering, construction, and operationspersonnel. Many “lessons” are learned over a longperiod of darn observations and analyses. Theselessons are then applied by the multi-disciplinaryinspection team to the design, construction,operation, and maintenance of existing and futureprojects. Since Districts must remain fullyresponsible for id] decisions made as a result of theinspection program (the decisions are governmentalfunctions that may not be contracted), it would beinappropriate to fully contract the inspectionprogram. On the other hand, where manpowerconstraints exist, inspections may be aum ented bycontracts. Care must be taken to maintain in-housecapability for the on-site conduct of the programand continue to keep the involved disciplines(dmign, construction, and operations persomel)fully integrated in project inspections.

5. Program Implementation.

Periodic inspection programs shall be established onthe basis of project size, importance, or the potentialhazard they present. MSC mmmanders arer~ponsible for program management and oversight.District commanders are responsible to implementthe requirements of this regulation.

a. Frequency of Inspections. Periodicinspections shall be mnducted as outlined below:

(1) Dams and Appurtenant Structures. Theguidance for developing the interval of inspectionsfor dams and appurtenant structures is set forth inthe following subparagraphs. This guidance doesnot preclude other intervals of inspection as thesituation or structural integrity warrants, nor doesthis preclude the surveillant plan for the initirdfilling of Grps r~ervoirs as prmcribed by ER1110-2-1150 and ~L 1110-2-231.

(a) Initial Periodic Inspection. The firstperiodic inspection and evaluation of a new earth

and rock-fill dam shall be carried out immediatelyafter topping out and prior to impoundment of thepool. The initial inspection of concrete darns shallbe accomplished immediately prior to impoundmentof reservoir water.

(b) Seand Periodic Inspection. The secondinspection for new earth and rock-fill darns shall bemade at a reasonable stage of normal operatingpool. The second inspection of mncrete dams shallbe made when the reservoir water attains thenormal operating pool. [n either case, no later thanone year after initial impoundment has begun.

(c) Subsequent Periodic Inspections.Subsequent inspections for wncrete structures, andearth/rock-fill dams and embankments will be madeat one-year intervals for the following four years, attwo-year intervals for the next four years and thenextended to five-yew intervals if warranted by theresults of the previous inspections.

(d) Intermediate Inspections. For projects on afive-year cycle, an intermediate inspection of all orsome of the features may be scheduled, ifwarranted. Selection shall be based onconsequences of failure, age, degree of routineobservation, a natural event such as an earthquake,performance record and history of remedialmeasures. Intermediate inspections shall aJso bemade of any portion of a project exposed duringdewatering that muld not be awomplished duringthe scheduled periodic inspection and betweenperiodic inspections for certain projects on a five–year cycle. A summary of intermediate inspectionsis to be included in the next periodic inspectionreport.

(e) Informal Inspections. Employees at theproject are to make frequent observations of thedam and appurtenances and of operation andmaintenance. The purpose is to identify and reportabnormal conditions in accordance with traininginstructions and guidance. Any unusual conditionsthat seem critical or dangerous should be reportedimmediately using proper proadures and channels.

(2) Navigation Structures. me guidance fordeveloping the interval of inspections for dams withlocks is set forth in the following subparagraphs.

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This frequency is different than for flood controlciams occausc or UIC]CVCISor rlsx mvolvca.Normally the risks of a navigation darn failurewould be the economic consequences due to loss ofthe navigation pool, instead of the risks to humanlife in downstream immunities associated with theloss of a flood control reservoir. This guidancedoes not preclude other intervals of inspection asthe situation or structural integrity warrants.

(a) Initial Periodic Inspection. The initialperiodic inspection of navigation projects shall bemade immediately prior to flooding of cofferdams,culverts or chambers.

(b) Semnd Periodic Inspection. A secondinspection of new or major rehabilitated navigationprojects shall be made no later than one year afterthe new operating pool has been attained.

(c) Subsequent Periodic Inspections.Subsequent inspections are not to exceed five years,without obtaining prior approval by HQUSACE.

(d) Intermediate Inspections. Intermediateinspections shall be made of any portion of aproject exposed during dewatering that could not beaccomplished during the scheduled periodicinspection. me intermediate inspection trip reportsshall be included in the next periodic inspectionreport.

(3) Other Corps Owned and OperatedStructures. This includes major levees, flood walls,pumping stations, and other pertinent civil worksstructures. The MSC is responsible for establishingthe periodic inspection intervals of these items, butthey are not to exceed five years withoutHQUSACE approval. me inspection intervals areto be defined within the Operation and Maintenance(O&M) manual prepared for each project. Suchprojects dmigned and constructed by the Grps, butoperated and maintained by the sponsor, will havethe inspection intervals defined in the O&Mmanual.

b. Report. A formal technical report ofinspection, entitled Periodic Inspection Reuort of~roiect nam e) Proiect, shall be prepared forpermanent remrd, reference, and as a basis for

needed remedial work for all periodic andIntcrmcalatc InspccIlons. Tnls rcporI Snail Dc Dasca

on a detailed, systematic technical inspection andevaluation of each structure and its individualcomponents regarding its safety, stability, andoperational adequacy. See Appendix A for reportcontent, format.

(1) Inspections or routine observationsindicating that the safety of a structure is injeopardy shall also be reported in accordance withER 1110-2-101.

(2) Inspections indicating the necessity forproject modifications, repairs, rehabilitation,replacement or need for further study beyond thescope of normal maintenance shall be reported tothe MSC as part of the endorsement transmittingthe report. Inspection reports of conditionsrequiring major modification shall mntain astatement as to whether studies will be pursuedunder authority of the Major RehabilitationProgram, or the Dam Safety Assurance Program.

c. Report Approval Authority. MSCcommanders are delegated authority to approveinspection reports. HQUSACE approval is requiredfor periodic inspection reports ordy when a specificrequest is made by HQUSACE that the inspectionreport be submitted to HQUSACE for approval dueto extraordinary circumstances.

d. Report Submittal Schedule. A periodicinspection report requiring HQUSACE approval isto be submitted (ATTN: CECW-E) by the MSCcommander as follows: inspection reports shall besubmitted within 60 days after the inspection.Reports Control Symbol (RCS) is exempt based onAR 335-15, paragraph 5-2e(8). For reportsapproved at the MSC level, the MSC wmmandermay establish its submittal requirements. MSCshall submit one information copy of inspectionreports to HQUSACE (Am: CECW-E) upon theresolution or incorporation of MSCS comments.The commanders of CEPOD and CENED, asoperating MSCS will insure that their approvalprocess includes an in-depth, rigorous review, in amanner similar to higher authority oversight. TheMSC commander shall mmplete action on allperiodic inspection and evaluation reports within 60

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ER 1110-2-10015 Feb 95

days after the initial receipt of the report. ~isshould include satisfactory resolution to all reviewcomments.

e. Obligation to Others. In those roses whereownership of major elements is divided between theCorps and others, information pertinent to thecondition of project elements owned by others, asobserved by the Corps inspection team, shall befurnished to the m-owner. The district will alsofurnish this information to the FERC, when hydro-electric power projects are under the purview of theFederal Power Act (41 Stat. 1063, U.S.C. 791-823)10 June 1920, as amended (FPA). Owners of such

FERC licensed facilities shall be advised that theinformation made available by the Corps will not bepresented as representing results of inspectionsperformed for the licensee by the Corps and is not asubstitute for the FERC inspection under the FPA.

6. Instrumentstion.

Instrumentation is essential in evaluating theperformance and will be incorporated in the projectstructures as appropriate to measure and monitorforces, pressures, loads, stresses, displawrnent,alinement, plumb and other renditions related tomonitoring the structural safety and stability. mescope of the instrumentation shall be indicated inthe “Instrumentation” design memorandum andupdated by subsequent inspections, evaluations andperformance record. See EM 1110-2-1908 andEM 1110-2-4300 for instrumentation guidance.

7. Responsibilities.

a. me engineering division of the districtoffice will be responsible for:

(1) Formulating the inspection plans,wnducting the inspections, processing andanalyzing the results of the instrument observations,evaluating the rendition of the structures,recommending the schedule of the next inspection,and preparing and submitting the periodic inspectionand evaluation reports.

(2) Preparing an annual report whichsummarizes the periodic inspection and evaluationprogram for the 12-month period ending 30

September. The report should include the number,type and list of structures inspected and district mstof inspections including reports, average cost ofinspections, and a brief narrative on the majorfindings of both full periodic inspections andevaluations and interim inspections. This data isrequired for the biamual report to FederalEmergency Management Agency (FEMA) on theCorps Dam Safety program. The report shall besubmitted to the MSC office by 31 October withinformation mpy provided to HQUSACE (CECW-EP). The FEMA report covers Federal Agency darnsafety activities on a FY basis, with agency inputdue to FEh9.A in Dewmber of each odd year.

(3) Coordinating with the operations divisionof the district offiws to ensure that sufficientfunding for inspections is requested in theOperations and Maintenanm, General budget.

(4) Notifying operations division persomel ofthe inspection for their assistace and participation.For those projects or structures being inspected forthe first time, personnel from the instructiondivision shall be invited to participate. An invitationto the appropriate State Dam Safety official toattend the inspection shall be made. If hydropoweris a feature of the project, FERC should be invited.Operations division personnel in turn are to ensurethat project personnel are prepared for theinspection and provide support as necemry.

(5) Forwarding the approved periodicinspection and evaluation report to the districtoperations division for implementation ofrecommendations.

(6) Ensuring that the inspection team iswmprised of the expertise necessary to execute athorough and technical] y sound inspection. Neededexpertise may be obtained from HQUSACE, otherFOAS, or by mntract. HQUSACE personnel willnot normally participate in inspections unlessrequested or when project wnditions dictate. SeeAppendix A, paragraph 3 for further details.

(7) Maintain assurances that sponsors withOMRR&R responsibilities are performing asrequired under the PCA agreements.

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b. Theengineering directorate of MSCofflcesshall provide oversight and management for thisprogram. The director of engineering is responsiblefor the selection and approval of structures to beincluded in the program and for maintaining a listof the selected projects and structures, maintainingthe five-year schedule of inspections, and the statusof reports and recommendations. The inspectionschedule shall be revised annually, and shall wntainthe dates of inspections for the coming fisul year.As a minimum, the MSC office shall:

(1) Provide representation at the first andse~nd inspections, the inspection of high hazardstructures, inspections of structures that haveexperienced a change in operation such as a changein the normal pool level or structures that haveexperienud a pool of record, inspections ofdewatered structures, gates and operatingequipments, and inspections of structures whoserendition or performance has warranted morefrequent attention.

(2) Provide the review and monitoring of datacollection, processing, evaluation, and inspectionactivity.

(3) Determine the frequency and scope offuture inspections, and maintain the inspectionschedule.

(4) Establish and maintain an MSC-widedatabase which will include periodic inspectionschedules and history of project remedial measures.The history of remedial measures that areimplemented by hired labor or mntract will includeproject deficiencies, status of deficiencies,completion dates, estimates, actual expenditures,

funding sources and priority levels.

8. Program Review.

At the end of each fiscal year, the district shallreview and set priorities for the recommendedactions from this program for the next budgetsubmission.

9. Reporting Distress.

Refer to ER 1110-2-101 for promdures whenreporting evidence of distress.

10. Funding.

Funding for the periodic inspection report for eachproject shall come from the district’sfiscal year allocation for the inspection andpreparation of the report. Costs incurred byHeadquarters and MSCS will be funded from theGeneral Expense appropriation.

a. Funding for the inspection and evaluationprogram during the period of construction shall beunder Cost Code 51, Appropriation 96X3122,Construction, General. me term “period ofinstruction” is defined as the period from theissuance of the solicitation of the first instructionmntract to the date the District Engineer notifies thesponsor in writing of the government’sdetermination that construction is complete.

b. Funding for the inspection and evaluationprogram after the project components are placed inoperation shall be under Appropriation 96X3123,Operation and Maintenance, General.

FOR THE COMWER:

1 AppendixAPP A - Inspection and Evaluation

Program Procedures

R. C.F

stilonel, @rps of EngineersChief of Staff

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APPENDIX AINSPE~ION AND EVALUATION PROGRAM PROCEDURES

1. Project Documentation.

All engineering data relating to project structuresinspected should be collected and permanentlyretained in appropriate files at the project site andavailable to the inspection team during theinspection. Reject engineering data shall also beretained at the district office. In the absence of onsite administrative headquarters, the data shall beretained at the nearest field office. ‘lhesedocuments and drawings shall be ansidered aspermanent engineering data, subject to retirement oxdisposal ody upon termination of operation of theproject. These data shall consist of but not limitedto the following:

a. All previous Periodic Inspection Reports.

b. Remrds of inspections by project persomeland interim inspections by district personnel.

c. Design Memoranda to include principaldesign assumptions and stability and stress analysis,slope stability, seepage and settlement analyses,mnsolidation, shear, permeability, compaction,classification tests or summaries thereof, andcontract plans and specifications.

d. Typical as-built plans, elevation, andsections.

e. Selected as-built drawings of importantproject features, to include details such asinstrumentation, internal drainage, transition zones,or relief wells, md reports of any specialinvestigations.

f. Foundation data and geologid features,including boring profiles, foundation mapping, andsubsurface exploration results.

g. Location of bomow areas and identificationof ernbardanent, filter, riprap, large stone sources.

h. Laboratory Reports:

(l). As-built properties of foundation and

embankment materials, such as shear strength, unitweight, and water mntent and classification. Thenumber of control tests and undisturbed recordsample tests should be included.

(2). Physical, chemical, and themal propertiesof concrete and mncrete materials.

(3). Summary of concrete mixture proportionsand control procedures.

i. Identification of concrete material sources.

j. Construction history records, includingdiversion schemes and construction sequencesshown on appropriate drawings.

k. Details of the overall instrumentationprogram to include predicted performance andrecord of actual observations, and annual updatedevaluations.

1. Operations and Maintenance Manual.

m. Water bntrol Manual.

n. tipy of PCA.

o. Dam Safety Information:

(l). Project copy of “Federal Guidelines forDam Safety”.

(2). Emergency Action Plans - complete withthe emergency identification subplan (Federal),emergency operations and repair subplan (Federal),fu~ scale inundation maps (Federal), notificationsubplan (Federal and non-Federal) and evacuationsubplan (non-Federal).

(3). Records of dam safety training for projectpersonnel.

(4). Surveillance plan of the project thatincludes events and threshold reservoir levels thatinitiate observations and/or inspections andreporting procedures.

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(5). List oflocal attractors andwnstructionmaterials available for use in emergency situations.

(6). Physidsecurity plan forthe project.

p. Manufacturers data forpurchased items,

2. Inspection Program.

a. Initial Pre-inspection Brochure. A technicalbrochure shall be prepared in advance of the firs[project inspection in order to familiarize inspectionteam members with general features of the project.In as much detail as possible, this brochure shallinclude a technical summary of the structural,material, and foundation renditions, instrumentationdata, including settlement monuments, location ofinstrumentation and description of reservoiroperations procedures, if pertinent. Also, thebrochure shall include, as appropriate, pertinentproject data, layout and typical section drawings,Federal and non-Federal responsibilities forOMRR&R, summaries of sub-surface soil profilesand boring logs, and the checklist developed formnducting the inspection. Pre-inspectionbrochures shall be mmpleted and distributed toinspection team members at least 30 days prior tothe inspection date.

b. Re-inspection Packets. A technicalpre-inspection packet shall be prepared in advanceof all subsequent project inspections in order tofamiliarize inspection team members with generalfeatures and history of the project. This packetshould include a project access map, history ofproject deficiencies and remedial measures,technical summaries of the structural, material, andfoundation renditions, and description of reservoiroperations procedures, if pertinent. Also includeplots of most recent instrumentation data, includingsettlement monuments, and location ofinstrumentation Also, the packet shodd include, asappropriate, project data, layout and typical sectiondrawings, Federal and non-Federal responsibilitiesfor OMRR&R, summaries of sub-surface soilprofdes and boring logs, and the checklistdeveloped for mnducting the inspection. Packetsmay be tailored to each discipline to avoidexcessive reproduction. Pre-inspection packetsshall be wmpleted and distributed to inspection

team members at least 15 days prior to theinspection date.

c. Inspection Procedures. A systematic planwill be established for the inspection and operationof those features related to the safety and stabilityof the structure and to the operational adequacy ofthe project. Operational adequacy means theinspecting, testing, operating, and evaluation ofthose mmponents of the project whose failure orfailure to operate properly muld impair theoperational capability and/or usability of thestructure. Where the operation of these mmponentsis vital to the safe operation of the project underemergency cx)nditions, these mmponents will beoperated by emergency power at least annually.Emergency generators should be tested under loadon more frequent intervals to maintain theirintegrity. In addition, standby emergencygenerating systems shall be reviewed and testedduring the scheduled inspection to assure theinspection team that all critical project features canbe operated under emergency renditions or in theabsence of the normal source of power. The testingof emergency power should include the maximumpower demand that could be expected in emergencysituations. As much as possible the operation andor inspection of all the features should be mnductedduring the scheduled inspection. fie inspection ofthe remaining features may be mnducted during aperiod of 30 days before the main inspection.Inspection of project features that are best scheduledmore than 30 days in advance of the periodicinspection will require notification and approval ofthe engineering directorate of the MSC office. Ifappropriate, a video of the event muld documentpertinent results of the pre-inspection for showingat the regularly scheduled inspection. Thesystematic inspection plan shall also provide asappropriate, the examination and the operation of,but not be limited to, the following

(1) Flood and oudet control gates (includingflood gates in levees or flood walls), navigationlock gates and valves, emergency closure gates andbulkheads, associated hoists and operatingmachinery (including safety devices such as limitswitches and fail-safe interlocks), flood controlpumps and related equipment, and cathodicprotection systems.

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(2) Structural details of roadways, parapets,training walls, spray walls, building walls andfloors, mnduits, intake towers, bridges to gatetowers, piers, monoliths, steel sheet pile features.

(3) Concrete surfaces.

(4) Structural cracking and deterioration ofmaterial.

(5) Joints and joint materials, including relativemovement at joints between structures or portionsof structures.

(6) Water passages.

(7) Foundation drains, joint drains, face drains.

(8) Spillways, spillway buckets and stillingbasins and outlet channels including submergedfeatures as necessary.

(9) Embankment cracks, bulging, and sliding.

(10) Condition of abutment and embankmentjunctions.

(11) Vertical and horizontal alignment of theembankment or structure crest, slope, or toe area.

(12) Unusual movement or cracking at orbeyond the embankment or slope toe.

(13) Seepage through or under embtient orabutment slopes.

(14) Sloughing or erosion of embankment orabutment slopes.

(15) Condition of riprap, armor or other slopeprotection.

(16) Reservoir rim conditions. (Can be limitedto known areas of potential concern).

(17) bnditions of relief wells, collector pipes,inspection manholes, or other features of seepagecontrol systems. (ER 1110-2-1942).

(18) Conditions of instrumentation, and most

ER 1110-2-10015 Feb95

recent measurements prior to the inspection. (ER1110-2-110).

d. A detailed checldist shall be developed byeach technical specialty for each structure in orderto ensure an adequate examination coverage foreach feature. The facilit y’s instrumental ion shall beincluded in the checklist to ensure that data areregularly collected and analyzed and to ascertainwhether the instruments are in a proper operatingcondition.

e. Photographs. In order to more accuratelyportray conditions and changes in conditions ofsurfaces and structural details, color photographs areencouraged. In addition to photographs, video filmis encouraged for use in monitoring weas ofconcern. ~is is especially useful for mmparingmovement, water Jeakages, wave action, etc.

f. Examination of Deteriorated ConcreteStructures. If the inspection reveals the need forany type of in-depth evaluation to determine thecause of deterioration or malfunction and to makesound recommendations for remediation, the needfor the investigation shall be stated in the periodicinspection report. Guidmce on repair of concrete isgiven in EM 1110-2-2002.

g. Steel Structures. Steel structures shall beinspected for structural and operational adequacy.Those structures involved directly in the safety ofthe project shall receive special mnsideration. ETL1110-2-346 and ETL 1110-2-351 provideguidance for such inspection and evaluation.

h. Riprap. Material sources which haveunsatisfactory performance records shall beidentified, reported and eliminated from further use.

3. Composition and Qualifications ofInspection Team,

Inspection team persomel will wnsist of individualsqualified by experienu in the project management,design, construction, and operation of the project,and of individuals with appropriate specializedknowledge in structural, mechanical, electrical,hydraulic, md embankment design, geology, soilmechanics, concrete materials, and ~nstruction

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procedures. A representative(s)of thesponsor is tobe invited to be part of this team. In every case,the inspection team qualifications may vary with theomplexit y of the facility and with the level ofinspection. All team members should receivetraining in the inspection procedures. Training Aidsfor Dam Safety (TADS) modules are recommendedas a minimum for each team member, as well as athorough understanding of this ER. The dam safetyoffice of each MSC and district is responsible forscheduling this training.

4. Inspection Report Content.

The periodic inspection report shall present theresults of each general project inspection. The titleof this report should indicate the name of theproject, watercourse, state, project features, andinspection number and date, in that order. Anexample of an appropriate title is: “Beech ForkLake Reject; Twelvepole Creek, West Virginia;Dam, Outlet Works and Spillway; PeriodicInspection Report No. 1, September 1992”. ReportNo. 1 (report of initial insp~tion) shall provide ageneral project description and present the results ofthe initial inspection. Reports of subsequentinspections shall be supplementary to the initialreport and will be numbered sequentially with theinitial report; i.e., Report No. 2 would describeinspection number 2, etc.

a. Initial Report. To the extent possible, majorelements of this report are:

(1) An executive summary of the major itemsfound in the inspection. Include a statement statingthe projects ability to continue acceptable and safeoperation.

(2) A general project description includinglayouts and typical section for the purpose offamiliarization with general features of the project.

(3) List of project documents and engineeringdata that identifies the status and location of theproject documents.

(4) Resdts of examination for each feature,including a statement as to its ability to function asdesigned and apy of the mmpleted inspection

checklist.

(5) Evaluation and summaries of theobservations and inspection of instrumentation (ER1110-2-110) and relief wells (ER 1110-2-1942)with comparison to design predictions and actual@ndilions that signal changes in the structuresperformance.

(6) Where appropriate, statements, or exhibitssummarizing the duration and frequency of spillwayand mntrol gate operations, including heads orvelocities, and number of lock filling and emptyingoperations.

(7) Technical assessment of the causes ofdistress, of abnormal conditions, and evaluation ofthe behavior, movement, deformation, and loadingof the structure and its individual components. Ifsuch assessment can not be accomplished within thetime allotted to complete the inspection report, apreliminary assessment should be discussed with aplan scheduled to mmplete the assessment.

(8) Color photographs with an appropriatecaption, including the date taken.

(9) A discussion of the deficiencies, theproposed remedial measures, with sketches ifappropriate, related maintenance operations andboth the mst estimates and a mmpletion schedule.

(10) A discussion of the overall structural andindividual project wmponents stability, safety, andoperational adequacy compared to its intendedpurpose(s) for the conditions with and without therecommended remedial measures.

(11) Recommendations should indicate therequired action, proposed schedule and priority ofaction, and proponent. Also recommendations forthe next periodic inspection, including a proposeddate for the inspection, should be indicated.

(12) Views of the non-Federal sponsor on anyof the above should be included (if applicable).

(13) Appendices shall include, as appropriate:pre-inspection packe~ trip repo~ plots ofinstrumentation data; inspection checklisc results of

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crack surveys; correspondence that documents theperformance of the project; the results of specialinvestigations; and the status and location of theproject documents required by this regulation andER 1130-2-419.

b. Subsequent Reports. Subsequent reportsshall generally follow the requirements of paragraph5.a below, however should also include:

(1) Brief summary of past performance andproblems and mncentrate on the new andmntinuing conditions that affect or may tiect theoverall safety and operational capability of thestructure.

(2) A discussion on maintenance and remedialactivities to include materials used, applicationtechniques, and performance shall be included.

(3) A discussion on recommended remedialmeasures not completed since the previousinspection report will also be included.

(4) ~pies of selected drawings should beincluded; however, extensive reproduction ofpreviously published drawings shall be avoided. Asa minimum, a location and vicinity map which alsoshow project access shall be rncluded, as well as ageneral plan which shows each feature discussed inthe report. me names and stationing shall beconsistent on the drawings, narrative, andphotograph captions.

(5) A summary of the projects bridgeinspections that may impact project safety or accessduring emergency renditions shall be included. ER1110-2-111 provides guidance on bridgeinspections.

5. Inspection Report Format.

a. Reports shall generally be organized asfollows:

Table of Contents

1. fiecutive Summary, including a statementregarding the projects safety status for continuedoperation.

2. General Statement of Inspection Program(include statement on hazard classification andreport approval authority).

3. Description of the Project.

4. Brief Project Summary.

(a) Construction conditions.(b) Project characteristic.(c) History of remedial measures.(d) Deficiencies mrrected since last

inspection.(e) Past deficiencies not yet mrrected.(~ Non-Federal sponsor OMRR&R

responsibilities (if applicable).

5. Inspection Results. (Reference to tripreports or appendices is not acceptable).

6. Recommendations.

Appendices

I History of Remedial Measures.

II Photographs.

III Figures.

IV Inspection Checklist.

v Summary of Inspection Notes.

VI Intermediate Trip Reports (documentationonly, not to replace the narrative in the body of thereport).

VII Instrumentation Data and/or Plots. Datashould contain all figures since the last inspectionand have sufficient background data to support thereport discussion, conclusions andrecommendations. Reproduce the plan ofinstrument locations in each report. Cross-sectionsshowing piezometric data should show design upliftassumptions along with the cument pressure line.

VIII Results of Crack Surveys.

IX Listing of the status of engineering and

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ER 1110-2-10015 Feb 95

operation design data, manuals, reports andarrespondence as required by this re~lation, ER1130-2-419 and others as deemed necessary toprovide mmprehensive project documentation.

x Status of Dam Operation ManagementPolicy (DOMP) training. (ER 1130-2-419).

b. Text. All sections and paragraphs shall benumbered and lettered and shall be on 8 1/2 by1l-inch paper with a l-inch margin on the leftside. Reproduction shall be any available processwith printing done head-to-head, if possible.

c. Drawings. Drawings or plates shallnormally be 8 In by 11-inch with sufficientmargin on the left for binding. Foldouts normallyshall not exceed 20 inches. Drawings and photosmay be included in the text or placed entirely in theAppendix. However, any figure or drawing in thetext should support the written material.

d. Binding and cover. Reports shall haveflexible paper or card stock, hidden-hinge wverswith fasteners that facilitate removal and insertionof pages and drawings. Information to be on thewver will be as described in paragraph 5 above.

Also, the name of the preparing agency and the dateof inspection shall be shown on the wver.

6. Distribution of Inspection Reports,

a. Six mpies of those reports to be approvedby HQUSACE shall be submitted to CECW-EP.The views and recommendations of the MSCmmmander shall be included in the transmittalwrrespondence. Transmittal mrrespondence shallalso state the MSCS position on the return of wpiesin excess of HQUSACE needs.

b. For those reports approved at the MSClevel, the MSC timrnander shall transmit toCECW-EP one mpy of each report includingsubmittal and approval correspondence. Theapproving off]cer shall receive the inspection reportwithin 60 days after the inspection is @mpleted.

c. Upon approval of the inspection report, onecopy together witi a Qpy of all mrrespondencebound under the front cover, will be sent by theoriginating district directly to the WatemaysExperiment Station, ATTN: Research ~nterLibrary, 3909 Halls Ferry Road, Vicksburg,Mississippi 39180-6199. A copy of the transmittalletter to WES is to be provided to the MSC.

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