[logo] DEPARTMENT OF SETTLEMENT AND REGIONAL INFRASTRUCTURE

DIRECTORATE GENERAL OF WATER RESOURCES

DAM SAFETY STUDY GUIDELINES

MARCH 2003

SECRETARIAT OFFICE

DAM SAFETY COMMISSION

(DAM SAFETY CENTER)

 DECREE OF THE DIRECTOR GENERAL OF WATER RESOURCES/

CHAIRMAN OF THE DAM SAFETY COMMISSION

NUMBER: 05/KPTS/2003

Concerning:

A. DAM SAFETY STUDY GUIDELINES

B. GENERAL DAM DESIGN CRITERIA GUIDELINES

C. DAM SAFETY INSPECTION AND EVALUATION GUIDELINES

The Director General of Water Resources/

Chairman of the Dam SAFETY Commission

Considering : a. that dams as structures with public

benefits need safety measures to obtain

continuous benefits and public Safety

guarantees;

b. that dam safety efforts need to be followed

up with arrangements for inspection and

evaluation of dam safety in Dam Safety

Inspection and Evaluation Guidelines;

d. that to carry out its duties and

responsibilities, the Dam Safety Commission

is authorized to further regulate the

implementation;

e. that in connection with the foregoing

matters, it is necessary to stipulate Dam

Safety Inspection and Evaluation Guidelines

 under the Director General Decree on Water

Resources.

In view of : 1. Law Number 11 of 1974 concerning

Irrigation;

2. Government Regulation Number 22 of 1982

concerning Water Regulation;

3. Government Regulation Number 35 of 1991

concerning Rivers;

4. Government Regulation Number 25 of 2000

concerning Government Authorities and

Provincial Authorities as Autonomous

Regions;

5. Presidential Decree of the Republic of

Indonesia Number 228 of 2001 concerning

Establishment of the Mutual Cooperation

Cabinet;

6. Presidential Decree of the Republic of

Indonesia Number 102 of 2001 concerning

Organizational Structure and Work Procedure

of Departments;

7. Decree of the Minister of Settlement and

Regional Infrastructure Number

01/KPTS/M/2001 concerning Organization and

Work Procedures of the Department of

Settlement and Regional Infrastructure;

 8. Regulation of the Minister of Public Works

Number 41/PRT/1989 concerning SNI No. 1731-

199 F concerning Dam Safety Guidelines;

9. Regulation of the Minister of Public Works

Number 72/PRT/1997 concerning Dam Safety in

conjunction with Decree of the Minister of

Settlement and Regional Infrastructure

Number 296/KPTS/M/2001 on Amendment to

Regulation of the Minister of Public Works

Number 72/PRT/1997 concerning Dam Safety.

10. Decree of the Minister of Public Works

Number 39/PRT/1989 concerning Division of

River Areas;

11. Decree of the Minister of Public Works

Number 102 of 1994 concerning Designation/

Appointment of Chairmen, Members,

Secretaries of Dam Safety Organizations;

12. Presidential Decree Number 105/M. 2002

concerning Designation and Appointment of

the Director General of Water Resources at

the Department of Settlement and Regional

Infrastructure.

DECIDED

To stipulate : DECREE OF THE DIRECTOR GENERAL OF WATER

RESOURCES CONCERNING:
 A. DAM SAFETY STUDY GUIDELINES;

B. GENERAL DAM DESIGN CRITERIA GUIDELINES;

C. DAM SAFETY INSPECTION AND EVALUATION

GUIDELINES.

FIRST : To ratify the enactment of these three

Guidelines above as set forth in appendix to

this Decree as guidelines for Dam Owners/

Managers and the Dam SAFETY Center in

conducting studies on the construction and

operation of dams.

SECOND : This Decree shall come into force as from the

date of stipulation provided that any

amendments and improvements will be made as

necessary in the event of any error found in

its stipulation in the future.

Stipulated in Jakarta

On: March 14, 2003

DIRECTOR GENERAL OF WATER RESOURCES

DEPARTMENT OF SETTLEMENT AND REGIONAL

INFRASTRUCTURE,

CHAIRMAN OF DAM SAFETY COMMISSION

[signed]

DR. Ir. Roestam Sjarief, MNRM.

Copies of this Decree to be submitted to:

1. Minister of Settlement and Regional Infrastructure

2. Secretary General of the Department of Settlement and

Regional Infrastructure

3. Inspector General of the Department of Settlement and

Regional Infrastructure

4. Head of Research and Development Department of the

Department of Settlement and Regional Infrastructure

5. Expert Staff of the Minister for Regional Autonomy and

Integrated Development

6. Expert Staff of the Minister for Expertise and Manpower

Development

7. Head of Research Center for Water Resources

8. Secretary of the Directorate General of Water Resources,

Department of Settlement and Regional Infrastructure

9. Directors at the Directorate General of Water Resources

10. Head of Budget Planning and Foreign Cooperation Bureau,

Department of Settlement and Regional Infrastructure

11. Heads of the Offices of Public Works for Irrigation/

Settlement and Provincial Area Infrastructure

12. Perum Jasa Tirta I and II.

 FOREWORD

One of the tasks of the Dam Safety Center is to conduct a

study of dam development safety and function removal, which is

one of the efforts to encourage the application of dam safety

rules as stipulated in SNI No. 1731-1989-F concerning Dam

Safety Guidelines.

The Dam Safety Study Guidelines are mainly intended as a

guide for the Study Team of the Dam Safety Center in

conducting the dam safety study to be more directed to cover

all aspects in connection with the dam safety.

Furthermore, the Guidelines can also be used as a guide

for Dam Owners or Managers, especially in the context of

preparation to obtain approval for the dam development safety

and function removal to be implemented, in line with the

required dam safety rules.

The Dam Safety Study Guidelines are not only applied for

the construction of new dams, but they are also for any

changes, expansions and rehabilitations of existing dams. The

Guidelines only contain general instructions, so that the

application should be in line with other applicable Standards

and Guidelines.

Finally, we thank the authors of the Guidelines and all

parties who have helped and participated in the completion.

Positive suggestions and criticisms are expected to improve

these Guidelines.
Jakarta, July 2002

Head of Dam Safety Center

(Ir. Pudji Hastowo Dipl, HE)

 LIST OF NAMES AND INSTITUTIONS

1) Initiator

The Dam Safety Center

2) Director

Ir. Pudji Hastowo Dipl, HE

3) Authors

NAME INSTITUTION

1. Ir. Zainuddin, ME The Dam Safety Center

2. Ir. Bambang Pinuji Oetomo The Dam Safety Center

3. Ir. Soedaryanto Consultant

 ACKNOWLEDGMENT

Nowadays, the world community begins to face the threat

of water crisis, which needs to be handled wisely. One of the

tested and properly working handling efforts is to accommodate

water in reservoirs by building dams. In Indonesia, up to now

more than two hundred large and small dams have been built,

which have a significant role in supplying the water needs of

the community. Besides, the construction of a dam may also aim

to meet other needs, such as replenishing ground water, as an

industrial waste container, a mining waste container, and so

on.

The construction of a dam requires relatively very large

investments, both in funds and in sacrifice of the community

around the dam site and in the inundation area of the

reservoir. Thus, dam failure or collapse can cause multiple

losses, such as losses of investment and floods in the

downstream area of the dam. The aforementioned threats of

disaster and losses can be prevented and reduced by

implementing a dam safety program, which must be applied from

the stage of design preparation, construction and operation

and maintenance of the dam.

The Guidelines for Operations, Maintenance and

Observation of Dams initiated and prepared in collaboration of

the Dam Safety Center and the Directorate of Technical

Development of the Directorate General of Water Resources are

part of the realization of the dam safety program, which is

expected to be a reference for dam managers in managing the

dams, so as to reduce the risk of dam failure as little as

possible due to the operation and maintenance errors, and for

sustainable function of the dam as expected. In addition to

being reviewed through discussions in the Small Team, these

Guidelines also have as far as possible accommodated the

opinions and suggestions of related experts through

discussions and workshops or seminars.

With the issuance of these guidelines, it is expected

that dam managers and planners can take the benefits,

particularly in the formulation of guidelines and operation

and maintenance of the dams managed. These guidelines are not

static in nature, which are open for future developments and

improvements in accordance with the technological progress.

However, anything noted in these guidelines has at least

covered and reflected the basic concepts of the current

operation and maintenance of dams.

Finally, congratulation for the issuance of these

guidelines for Operation, Maintenance and Observation of Dams,

which are expected to be useful as per our common

expectations.

Jakarta, March, 2003

The Director of Technical Development,

Ir. Moh. Hasan Dipl.HE.

 TABLE OF CONTENTS

CHAPTER I INTRODUCTION ...................................1

1.1 General ..........................................1

1.2 Purposes and Objectives ..........................2

1.3 Scope and Limitations ............................2

1.4 Definitions ......................................3

1.5 Things to consider ...............................4

1.6 General Provisions ...............................6

CHAPTER II DESIGN STUDY.....................................8

2.1 General ..........................................8

2.2 Survey and Investigation..........................9

2.2.1 Survey and Investigation Method and Scope 9

2.2.2 Geology and Technical Geology ............10

2.3 Hydrology and Hydraulic Design....................11

2.3.1 Criteria and Design Method ................11

2.3.2 Hydrological Characteristics, Flood Pattern,

and Runoff Conditions .....................12

2.3.3 Tail Water Conditions .....................13

2.3.4 Floods in Downstream Area ................13

2.3.5 River Management .........................13

2.4 Structure Design and Dam behavior ................14

2.4.1 Design Method and Criteria ................14

2.4.2 Loads and Safety Factors .................15

2.4.3 Foundation Stability .....................16

2.4.4 Dam Deformation ...........................16

 2.4.5 Material Quality Degradation .............16

2.4.6 Seepage and Uplift Pressure ..............17

2.4.7 Reactions (Responses) to Earthquake

Activities ...............................17

2.4.8 Electrical and Mechanical Equipment ......18

2.5 Instrumentation ...................................19

2.5.1 Hydrological Observation System ...........19

2.5.2 Structural Monitoring ......................19

2.5.3 Earthquake Monitoring .....................20

2.5.4 Abutment Behavior Monitoring ..............20

2.5.5 Sedimentation Monitoring ...................21

2.5.6 Spillway Stilling Basin Monitoring .........21

2.6 Reservoir Operation ..............................22

2.6.1. Spillway Operation and Flood Handling ......22

2.6.2. Stability of Reservoir Cliff...............22

2.6.3 Environmental Safety ......................22

2.7. Field Inspection and Examination..................22

2.7.1. BKB Inspection Team........................23

2.7.2. Study Schedule and Principles..............23

2.7.3. Routine Inspection by Owner................23

2.8. Documentation and Archiving.......................24

2.8.1. Document Coverage .........................24

2.8.2. Accessibility .............................24

2.9. Emergency Procedures and Plans ...................24

2.9.1. Emergency Operation Plan...................24

2.9.2. Emergency/ Danger Warning Sign.............25

 2.10. Safety Aspects Related to Border River ..........25

2.10.1. Dam Safety and Reservoir Exploitation.....25

2.10.2. Flood Control and Reservoir Water

Discharge ................................26

2.10.3. River Basin Cooperation and Management....26

2.10.4. Emergency Sign/ Warning System

Coordination ..............................26

2.11. Criteria of Dam Danger Class Determination .....26

2.12. Disaster Prevention ............................27

2.13. Design of Expansion, Modification, Rehabilitation,

Repair and Removal of Dam Functions .............27

2.13.1. Design procedure .........................27

2.13.2. Principles and Design Criteria............27

CHAPTER III. CONSTRUCTION IMPLEMENTATION STUDY..............28

3.1. General .........................................28

3.2. Follow-ups on Suggestions ........................28

3.3. Technical Geology ................................28

3.4. Hydrological Design ..............................29

3.4.1. Hydrological Characteristics, Flood

Patterns and Surface Runoff Conditions ....29

3.4.2. River and River Basin Management .........29

3.5. Dam Design and Behavior ..........................29

3.5.1. Criteria, Designs and Methods ............29

3.5.2. Load Conditions and Safety Factors ........31

3.5.3. Foundation Stability and Abutment .........31

 3.5.4. Deformation on Dam Bodies and Other

Structures ................................31

3.5.5. Seepage and Lift Force due to Water

Pressure ..................................32

3.5.6. Reactions/ Responses to Earthquake

Activities ................................32

3.5.7. Hydro-mechanical Equipment ................32

3.6. Instrumentation .................................33

3.6.1. Hydrological Observation ..................33

3.6.2. Dam Observation ..........................33

3.6.3. Seismic Monitoring .......................34

3.6.4. Abutment Behavior Observation .............34

3.7. Reservoir Operation .............................34

3.7.1. Social and Environmental Aspects .........34

3.7.2. Flood Sign/ Warning ......................35

3.8. Inspection and Supervision ......................35

3.8.1. Center Inspection and Construction

Supervision Team ..........................35

3.8.2. Schedule and Object of Inspection/

Investigation .............................36

3.8.3. Methods and Routine Supervision ...........37

3.8.4. Process and Evaluation of Inspection

Results ...................................38

3.8.5. Data Analysis and Report ..................38

3.8.6. Decision Making Process and Procedure ....38

3.9. Documentation and Archives ......................38

 3.9.1. Records and Archives ......................38

3.9.2. Availability and Accessibility of Data.....39

3.10. Emergency Conditions ..........................39

3.10.1 Emergency Action Plan (RTD)................39

3.10.2 Emergency Warning System...................39

3.10.3 Emergency Communication Scheme/ Chart .....39

3.10.4 Decision Making, Process and Procedure.....39

3.10.5 Emergency Operation Training .............39

3.11. Border River ...................................40

3.12. Incidents and Disasters ........................40

3.13. Prevention of Disasters ........................40

3.14. Public Health and Environmental Risks ..........40

CHAPTER IV OPERATION AND MAINTENANCE STUDY..................42

4.1. General .........................................42

4.2. Technical Geology ..............................42

4.3. Hydrological Design ............................42

4.3.1. Hydrological Characteristics and Flood

Patterns .................................42

4.3.2. Control of Reservoir Operations .........43

4.3.3. Tail Water Conditions ....................43

4.3.4. Flood Control ............................43

4.3.5. River and River Basin Management ........43

4.4. Dam Design and Behavior .........................44

4.4.1. Method and Design Standard ...............44

4.4.2. Load Conditions and Safety Factors .......44

4.4.3. Foundation Stability .....................44

 4.4.4. Dam Deformation and Other Structures .....45

4.4.5. Material Quality Degradation .............46

4.4.6. Seepage and Lifting ......................46

4.4.7. Reaction/ Response to seismicity .........46

4.4.8. Electro-Mechanical Equipment .............47

4.5. Instrumentation .................................48

4.5.1. Hydrological Observation System ..........48

4.5.2. Dam Monitoring ...........................48

4.5.3. Seismic Monitoring .......................48

4.5.4. Abutment Behavior Monitoring .............48

4.5.5. Sedimentation Monitoring .................48

4.5.6. Plunge Pool Monitoring ...................49

4.6. Reservoir Operation .............................49

4.6.1. Flood Discharge and Spillway Operation ...49

4.6.2. Reservoir Slope Stability ................49

4.6.3. Environmental Safety Aspects .............49

4.6.4. Flood Warning ............................49

4.7. Study and Inspection ...........................49

4.7.1. Study Team ..............................49

4.7.2. Study Schedule and Scope .................50

4.7.3. Method and Routine Inspection ............50

4.7.4. Process and Data Evaluation ..............51

4.7.5. Data Flow and Report .....................51

4.7.6. Decision Making Process and Procedure ...51

4.8. Documentation and Archives ......................51

4.8.1. Records and Archiving ....................51

 4.8.2. Availability and Accessibility of Data ..51

4.9. Procedure and Plan of Emergency Actions ........52

4.9.1. Emergency Condition Classification

(KKD) ....................................52

4.9.2. Emergency Action Plan (RTD) ..............52

4.9.3. Emergency Warning System (SPD) ...........53

4.9.4. Emergency Communication Scheme (SSKD) ....53

4.9.5. Emergency Decision Procedure and Process

(PKD) ....................................53

4.9.6. Emergency Operational Training ...........53

4.10. Border River ...................................54

4.10.1 Dam Safety ...............................54

4.10.2 Flood Control and Outlet Discharge .......54

4.10.3 Border River Basin Management and Joint

Operation ................................54

4.10.4 Emergency Warning ........................54

4.11. Classification of Dam Danger Level .............54

4.11.1 Classification Standard ..................54

4.11.2 Flexibility and Change ...................55

4.12. Disasters, Accidents and Extraordinary Events ..55

4.12.1 Investigation and Evaluation .............55

4.12.2 Repair ...................................55

4.12.3 Accident Prevention ......................55

4.13. Financing ......................................55

4.13.1 Estimated Costs ..........................55

4.13.2 Funding ..................................56

CHAPTER V REMOVAL OF DAM FUNCTIONS .........................57

5.1. General .........................................57

5.2. Hydrological Design .............................57

5.2.1. Method and Hydrological Design Standard ..57

5.2.2. Hydrological Characteristics, Flood

Pattern ...................................57

5.3. Design and Dam Behavior .........................57

5.3.1. Method and Design Standard ...............57

5.3.2. Load Conditions and Safety Factors .......58

5.3.3. Foundation Stability ....................58

5.3.4. Dam Deformation .........................58

5.3.5. Material Quality Degradation .............58

5.4. Instrumentation .................................58

5.5. Reservoir Operation .............................58

5.5.1. Environmental Safety Aspects .............58

5.5.2. Flood Warning ...........................59

5.6. Field Investigation and Inspection ..............59

5.6.1. Supervisor and Inspection Team ..........59

5.6.2. Inspection Methods and Routines ..........59

5.7. Records and Documentation .......................59

5.8. Emergency Action Plan (RTD) .....................60

5.9. Border River ....................................60

5.9.1. Flood Control ............................60

5.9.2. River Basin Joint Operation and

Management ..............................60

5.10. Funding ........................................60

 CHAPTER I

INTRODUCTION

1.1 GENERAL

In addition to its great benefits, it is understandable

that dams also have tremendous potential hazards to the safety

of the community and property downstream of the dam.

Therefore, the construction of a dam needs particular handling

and supervision starting from the design stage, construction

to the operation and management stage.

In connection with the foregoing, in 1993 a Dam Safety

Organization (Organisasi Keamanan Bendungan, OKB) was

established within the Ministry of Public Works through the

Ministerial Decree No. 98/1993. In further developments, the

existence of this organization and legislation related to dam

safety has been confirmed and strengthened by the issuance of

Regulation of the Minister of Public Works No. 72/PRT/1997

concerning Dam Safety in conjunction with Decree of the

Minister of Settlement and Regional Infrastructure No.

296/KPTS/M/2001 concerning amendments thereto. OKB’s

supporting units consist of the Dam Safety Commission (Komisi

Keamanan Bendungan, KKB) and the Dam Safety Center (Balai

Keamanan Bendungan, BKB). The main task of KKB is to carry out

Safety activities for dam construction by providing advice and

consideration to the Minister in connection with these Safety

activities. BKB is functionally in charge of supporting the

activities of the Dam Safety Commission in terms of:

• General supervision of the implementation and enforcement

of regulation or legislation concerning the Safety and

order of the construction of a dam.

• Conducting a Safety study on dam construction starting

from the technical planning (design) stage, construction

implementation, reservoir filling, management/

exploitation, rehabilitation, expansion to removal of dam

functions and reservoirs.

• Conducting an inspection in the context of analyzing dam

behavior and monitoring in terms of its Safety.

• Conducting a periodic monitoring in the context of

undertaking studies and supervision on the implementation

of dam construction and reservoir filling.

The activities/results of the BKB study are then reported

and evaluated by KKB for preparing recommendations to the

Minister.

1.2 PURPOSES AND OBJECTIVES

The Guidelines are intended as a guide for the BKB Study

Team in carrying out a comprehensive dam safety study from the

design stage, construction implementation, operation to

removal of dam functions, with the aim that the study can be

more directed and integrated, covering both technical and non-

technical aspects, such as social environment, etc. in

accordance with the Dam Safety Guidelines of SNI no. 1731-

1989-F (SKBI-1.7.10.1987).

Moreover, the Guidelines can also be used by Dam Owners

or Managers in preparing the process of obtaining approval for

the development stage or removal of dam functions for more

effective and efficient preparation, in line with the rules

stipulated in the Dam Safety Guidelines, for smooth

maintenance of approval process.

1.3 SCOPE AND LIMITATIONS

a. The Dam Safety study Guidelines apply to all types of

dams that meet the criteria as reflected in Article 2

paragraph (1) SNI No. 1731-1989-F concerning Dam Safety

Guidelines (SKBI-1.7.10.1987), as attached to the Decree

of Minister of Settlement and Regional Infrastructure No.

296/KPTS/M/2001 concerning the Amendment to Regulation of

the Minister of Public Work No.72/PRT/1997.

b. The Dam Safety Study Guidelines cover dam safety study on

the stages of Design, Construction Implementation and

Initial Filling and Removal of Dam functions.

c. These Guidelines are not a guide in the dam development

or specifically describe the development stages ,

including design, construction, operation, maintenance

and monitoring of dams.

d. These guidelines only provide general instructions, the

use of which shall be in line with other related

standards and guidelines.

e. Broadly speaking, the subject matter of this study is

summarized in the Checklist in Appendix 1 and documents

that need to be reviewed at each stage of development and

removal of dam functions are presented at Appendices 2a,

2b, 2c, 2d.

1.4 DEFINITIONS

a. Center is a Dam Safety Center as referred to point 1.1

b. Dam is each artificial barrier, of landfill or other

types, which is able to hold water naturally and

artificially, including foundation, abutment and

complementary structures and equipment. In this

definition, it includes waste dam.

c. Complementary structures and/or facilities are all

structures or their components and other facilities that

are functionally related to dams, including: spillway,

outlet structures, main off-take structures and conduits,

sluice gates, power generation facilities including

connecting equipment and transmission line although their

locations are secluded from the main dam.

d. Probable Maximum Precipitation (PMP) is the highest

rainfall that theoretically can occur in an area within a

particular duration.
e. River Basin is a unit of a naturally formed water system,

where rainwater is infiltrating and/or flowing through

land, creeks and the main river forming a particular

drainage system.

f. Dam Safety Study is an attempt or action in order to

assess or evaluate the feasibility of dam development or

removal in terms of the dam safety requirements.

g. Commission is the Dam Safety Commission as referred to

point 1.1.

h. Maximum Water Level is the permissible water level

elevation in a reservoir and with determined height to

the minimum agreed/ determined freeboard.

i. Normal Water Level is the maximum water level in a

reservoir under normal condition of exploitation.

j. Free Panel is an organization or individual approved by

the Commission and employed by Dam Owners and/or Dam

Managers to provide suggestion on specific issues.

k. Dam Construction is a series of actions or activities to

build a dam starting from design, construction

implementation to exploitation.

l. Dam Owners are Government Agencies, Organizations,

Business Entities, Legal Entities, or individuals having

legitimate property rights according to law on dams,

dykes and/or reservoirs.

m. Contractors/ Purveyors are Organizations, Business

Entities, Legal Entities, or individuals having

 experience in the field of dam construction and

responsible for carrying out construction of dams and/or

reservoirs entirely or partially.

n. Dam Managers are Government Agencies, Organizations,

Business Entities, Legal Entities or individuals

responsible for supervision, exploitation and maintenance

of dams and/or reservoirs under the official provisions

of Dam Owners.

o. Planners/ designers are Government Agencies, Business

Entities, Legal Entities or individuals holding a

certificate of expertise, and trusted/ appointed to

design and be responsible for the design of dams and/or

reservoirs entirely or partially.

p. Changes are any deviations from the original design that

produces or will produce structural modifications.

q. Dam Rehabilitation is the action of repairing dams and/

or reservoirs that are damaged, deteriorated, or unsafe,

in order to secure structural and/or operational

conditions, including engineering, implementation of

repair works and testing of dam behavior, without or with

any design changes.

r. Dam expansion is any changes to the dam in the sense of

expansion and/or addition of height, which can increase

or allow the increase of maximum water level of reservoir

or the increase of freeboard.

s. Dam removal is discontinuation of dam function and/or

utilization permanently by emptying the reservoir and

allowing the river to form a flow regime naturally with

or without demolishing the dam.

t. Border River is a river that borders or crosses several

countries or Provinces.

1.5 THINGS TO CONSIDER

One of the efforts to prevent dam failure or collapse is

to consider the possible causes of such dam failure/ collapse,

and then make preventive measures. Things to be considered

that can cause a dam collapse include:

a. Post-construction event or incident, external and/or

internal, which can trigger a dam collapse as follows:

1) Overtopping at the peak of the dam (landfill) due to

insufficient capacity of spillway, freeboard or

not/lack of functioning of spillway gates.

2) Internal erosion that occurs in the foundation rock or

inside the dam body, particularly during the contact

between the dam body and the foundation including the

abutment and construction of complementary structures.

The internal erosion can occur due to poor compaction

of the dam body in the contact area or unavailability

of adequate filters.
 3) Differential settlement that can occur due to

inhomogeneity of the dam foundation and/or zones in

the dam body.

4) Excessive reduction in the foundation rock and/or the

dam body that can inflict cracks and trigger the

piping.

5) Liquefaction event on the foundation or the dam body.

b. An inaccurate design and or construction failing to meet

dam safety requirements or inadequate monitoring,

operation and maintenance systems.

c. Inadequate Survey and Investigation and/or errors in

survey and investigation due to human error resulting in

an inaccurate/ less accurate dam design.

d. Late repair or preventive actions.

e. While a dam collapse is often a complex process,

generally it begins with some symptoms or deviations of

dam behavior (abnormality), which are often undetected or

even ignored.

f. A dam collapse often starts from parts of the dam or weak

foundation, rather than the average conditions. On the

dam, weak parts include contact areas between fill and

concrete masonry, contact areas along the conduit pipe

walls or with abutment. Layers and weak zones found in

the foundation rock and other parts need careful

attention.
 Besides observing or being aware of the things mentioned

above, efforts to prevent dam collapse/ damage need to be

prepared or carried out as early as possible by dam owners/

managers. A dam design must be made as safe as possible by

considering unexpected things.

1.6 GENERAL PROVISIONS

a. Dam Documents

The complete records of design, construction, and

behavior of dams and reservoirs, together with any events that

affect or can affect the Safety of dams and or reservoirs,

must be stored and filed orderly during the service life of

the dam. These records include:

1) Design documents such as: design criteria, design

changes, field investigation reports, testing models,

calculations, drawings and specifications as well as

other data and inputs.

2) Records of construction implementation such as:

construction methods, building materials, quality control

records, laboratory and in-situ tests, inspection during

construction, observation and structural behavior, a

complete set of construction drawings and notes (as-built

drawing),

3) O&P documents, such as: O&P Guidelines/ Manuals,

structural and operational behavior records (such as

readings of instruments and their interpretations,

 inspection records and safety evaluations), all records

of changes, expansion works, and/or rehabilitation,

records of extraordinary events, or dam safety-related

events and records on incidents and accidents.

b. Document Storage

1) At least five sets of dam documents must remain

available, respectively one set in the office:

- Owner/ Central UMB

- Dam Manager

- At the dam site

- Commission Office/ Dam Safety Center

- Directorate of Natural Resources, Department of

Settlement and Regional Infrastructure

Dam managers are responsible for archiving all types

of data records and updating data, and the

availability of a set of documents in their offices.

The managers are also responsible for submitting the

aforesaid records and data to the Commission/ Center.

2. Dam documents must be available and remain available

in the place during the service life of the dam.

 CHAPTER II

DESIGN STUDY

2.1 GENERAL

The first step in conducting a design study is to

investigate the adequacy, validity and novelty of existing

data and documents, including reports, sources and

bibliography that are used as references in the design of the

dam concerned.

The next step is the study of technical and non-technical

aspects used as the basis for calculation and design

determination, including design criteria, methods and scope of

the Hydrological and Geological investigative survey,

hydraulic design and dam structure with its complementary

structures, availability or adequacy of building materials

around the reservoir, adequacy and feasibility of an

instrumentation system, an operation system of Maintenance and

Monitoring of dams, social and environmental aspects and so

on.

In making a design, the Planner must first prepare the

design criteria and methods that must be in accordance with

the level of technological mastery and the then applicable

regulations and standards. All complementary structures, which

when they are broken or collapse will endanger the dam body,

must be designed with the same criteria as the dam.

 For the expansion, change, rehabilitation, repair or

removal of the functions of old dams, the original design of

the dam should previously be reviewed carefully, including

reports on construction implementation and operation. Before

any design changes are made, the original design criteria and

concepts must be truly understood. It also applies to the

overall dam behavior by carrying out a comprehensive field

investigation and learning previous inspection reports.

If the original design of the dam and the required

documents are not available, it should be noted as follows:

 Before any design changes and/or dam expansion are carried

out, the actual conditions of the dam or components of the

dam to be modified must be subject to a prior survey.

Results of the survey shall be documented and put in the dam

records file.

 In the event that rehabilitation or expansion of an old dam

generates a fundamental change to the structure of the dam

or whenever the basic assumptions and environmental

conditions have changed from the actual conditions, a re-

analysis of the entire structure stability must be carried

out.

A Planner/ Designer Consultant Team or Supervision

Consultant Team should be led by a Dam Engineering Generalist

holding a professional certificate, in order to anticipate the

possibility of a gap among the experts.

2.2 SURVEY AND INVESTIGATION

In the dam construction, determining the type and survey

and investigation method is a very important stage in order to

obtain supporting data in deciding the type and design of a

dam to be built. Inadequate survey and investigation can cause

an inaccurate dam design and fatality, such as dam collapse. A

detailed description of survey and investigation can be seen

in the Dam Planning Guide Volume I – the Directorate General

of Irrigation, July 1999. The study on survey and

investigation includes some points as follows:

2.2.1 Survey and Investigation Method and Scope

Things that need to do for observing this aspect are:

a. Check whether the survey and investigation have fulfilled

the minimum requirements in accordance with types and

dimensions of the dam to be built, such as the coverage

area, location, type and number of laboratory or in-situ

tests, depth, etc.

b. Check whether the survey and investigation methods,

techniques and calculations have followed the applicable

rules, guidelines and standards.

c. Check whether Topographic Maps (and/or Aerial Photos) and

other maps used as the base maps are the latest photos or

maps with the scales in line with the applicable

standards.
d. Check that all measurements and or determination of

location have been conducted based on the same points of

reference.

e. Under the reservoir inundation map, check the relevance

and feasibility of location and or relocation of roads and

bridges, auxiliary dams and emergency spillway if any,

resettlement, etc.

f. Check if there is a survey and investigation program

concerning instability of slopes along the reservoir

basin, including leakage potential, seepage, relatively

thin slopes or cliffs, and so on.

g. Check the completeness of documentation and evaluation of

survey and investigation’s results, such as laboratory

tests, in-situ tests, core drilling, and so on.

2.2.2 Geology and Technical Geology

a. Stratigraphy and Rock Formation

1) Check the stratigraphic correlation of rock formations

at the dam site and reservoir basin with regional

geology.

2) Check that rock and soil names and their descriptions

are in accordance with applicable normative guidelines

and standards.

3) Check the results of core drilling observations and if

necessary do re-logging. Make sure that the core box

 is organized and neatly stored in the right order and

depth.

4) Make sure that the location, direction and depth of

drilling and in-situ tests are pursuant to the minimum

requirements based on the dam dimensions, local

geological conditions and layout of existing

structures.

5) During the field survey, randomly re-check the

boundaries of existing geological formations, rock

slaking levels, overburden thickness related to

excavation of foundation and the possibility of

elastic rebound, instability of foundation excavation

slopes, etc.

6) Check the feasibility of dam design in terms of

carrying capacity of foundation rocks based on rock

mass strength.

7) Check reports on the availability/ adequacy of

building materials at quarry sites and borrow areas,

including the location status, quality and quantity

based on technical specifications, feasibility of

excavation methods, hauling distance and

transportation, whether or not a stock pile and

blending are needed, etc. The blending method needs an

extra-strict supervision to ensure that the blending

results are completely homogeneous. Compare everything

 with the dam design, its complementary structures and

the feasibility of its construction.

b. Geological Structure

1) Check the Geological Maps concerning patterns and

properties of the joint and fault structures, at the

dam site and the reservoir basin, folding structure,

strike/dip of rock coating, etc.

2) Conduct a study of dam design in relation to the

above points, including concerning potential leakage

and/or seepage, instability of foundation rock and

abutment due to the excavation of foundation as well

as the possibility of differential settlement, etc.

3) Review the foundation treatment plan including the

feasibility of grouting, its relevance, the methods

and patterns used based on the items above and the

feasibility of the foundation treatment method, etc.

C. Hydrogeology

It refers to groundwater conditions with regard to the

local geological conditions such as fracture patterns,

fault patterns, stratigraphy and geological structures.

Thus, check the following matters:

1) Configuration, position and depth of groundwater

level based on the data in the drilling log and other

data and cross sections.

 2) Seepage and spring locations found at the dam site

and how they are related to the local geological

condition.

3) Whether or not there is a possibility of problems

concerning drainage and dewatering systems during

excavation. Make sure that the design includes

controls over these issues.

2.3 HYDROLOGY AND HYDRAULIC DESIGN

2.3.1 Criteria and Design Method

Check the following matters:

a. Hydrology:

1) The compatibility between design criteria and

applicable guidelines and standards.

2) The validity of hydrological data and analysis

procedures from data screening, calculation of

Probable Maximum Precipitation (PMP), optimization of

critical rainfall duration determination, rainfall

distribution pattern, effective rainfall calculation,

flood hydrograph, and testing of calculation results.

3) The feasibility of the hydrological analysis method

according to the type and existing rain/ discharge

data series length.

4) The fairness of the calculation results.

b. Hydraulic:
 1) The compatibility between design criteria and

applicable guidelines and standards.

2) The determination and accuracy of hydraulic design

parameters.

3) The suitability of design to applicable standards and

guidelines.

4) The suitability of design to hydraulic model test

results.

5) Safety inspection of possible hydraulic failures,

such as adequacy of spillway capacity, freeboard

after consolidation, protection from surface erosion,

width of the dam peak, and so on.

6) Safety inspection/ seepage failure, including

thickness and requirements for impervious/ core

layers (zones), filters and drainage, safety for the

excessive seepage and piping in the body of dams and

foundation, etc.

7) If deemed necessary, check whether the structure

design and layout has considered the possibility of

future dam expansion.

2.3.2 Hydrological Characteristics, Flood Pattern, and Runoff

Conditions

a. Check the calibration of flood calculation results of a

theoretical design based on the rainfall data with the

observation results/ flood discharge data series.

b. If the discharge data is obtained by correlating the

hydrological data and adjacent meteorological basin,

check the conversion factor.

c. If calibration and correlation cannot be done, the

theoretical calculation must be implemented at least

using three methods, check whether it has been done.

d. Any possible changes in the basin, check whether the

effect has been anticipated on the flow conditions and

flood patterns.

e. Check the fairness of the calculation results.

f. Check the determination of the spillway capacity in

accordance with SNI No. 03-3432-1994 concerning

Procedures for Determining Design Flood and Spillway

Capacity for Dams.

g. Check the flood of evasion design having met the

requirements for dam safety (at least 10 years when the

flood returns for every 1 year of construction,

depending on the acceptable risk and the reliability of

hydrological data).

2.3.3 Tail Water Conditions

a. Make sure that the design has included investigation and

analysis of flow patterns on the river segment in the

quite long downstream, and make sure when the discharge

is large, no flow hindrance triggering back water

exists.
b. Check the possibility of repairing river flow in the

downstream of the dam to prevent flow hindrance

triggering back water and cause a whirlpool, which may

lead to erosion endangering the dam stability.

c. Check that at the minimum downstream water conditions,

the efficiency of stilling basin is not decreasing.

d. If a hydraulic test with a physical model is conducted,

check whether it has already considered the most

unprofitable combination among water flow in the rivers,

spillway operations and outlet structures.

2.3.4 Floods in Downstream Area

a. Check the results of investigation along the river

segments in the downstream to the influence and effect

of flood flow from the dam.

b. Make sure that the highest discharge, which is a

combination of spillway discharge at the full capacity

with the other maximum number of output such as from

bottom outlet structure, electrical power plant and

natural flooding, will not endanger life and damage

property.

c. Make sure that the operations of spillway and all

service structures of releasing water discharge do not

cause greater inundation/ flooding in the downstream

area compared to post-construction of the dam.

d. Make sure the availability of a spillway gate operation

chart; whether it is suitable with the downstream safety

action specified.

2.3.5 River Management

Make sure that the dam design criteria are in accordance

with the river management in the relevant river basin.

2.4 STRUCTURE DESIGN AND DAM BEHAVIOR

2.4.1 Design Method and Criteria

a. Make sure that the design method and criteria are in

accordance with the technological developments and local

conditions, including the level of construction

technology mastery, existing equipment, and applicable

guidelines and standards.

b. If the applicable standards have not existed, make sure

that the design criteria used have been approved by the

Commission.

c. Make sure that the design work is done by a qualified

group/ team in the design and supervision of dam

construction, and led directly by a dam engineering

generalist with experience and professional certificate.

d. Make sure that the Designer has experienced staff in the

design and implementation of construction according to

the type of project being handled, in order to be able

 to deal with difficulties that might be encountered at

the operations and avoid unreasonable specifications.

e. Check the adequacy and accuracy of the design

parameters, and the test results, whether or not they

are suitable with the method and design analysis

employed.

f. With regard to all complementary structures that hold

water or other structures the damage or collapse of

whose components will endanger the dam stability, make

sure that the design has been in congruence with the

same Safety criteria as main dams.

g. Check the reasonableness of the design calculation

results. In the event that the design is calculated by a

computer program, make sure that the designer has

mastered the program.

h. Check the results of theoretical and experimental

investigations on the use of new design conceptions and

the use of new/ unconventional construction materials.

i. Check the relevance of the design with its location

conditions, such as geomorphology, local and regional

topography and geology.

j. Check that the conceptions and details of the dam design

structure are not too complex, unless it is followed by

clear technical reasons.

k. Check the availability of sufficient access to the

important structural parts and components, to facilitate

 safety supervision and the possibility of future

rehabilitation works.

I. Make sure that the design includes the provision of

adequate drainage and air ventilation systems, such as:

galleries, tunnels, shafts or other closed spaces for

inspection and repair purposes or to avoid possible

accommodation of combustible gas.

m. Check that the design includes the provision of easy-to-

operate facilities for exploitation and maintenance.

n. Check that the Designer has thought about the possible

dam expansion, the need for replacing structure

components, substituting equipment in the future, and

incorporating all of these needs into the design.

o. Likewise concerning the use of materials and

construction methods, whether or not the quality has

been be investigated and anticipated, and the quality

control procedures to follow have been established.

p. Check that the types and specifications of mechanical

and electrical equipment to be used have been

determined, and check the design documents prepared by

the manufacturers.

q. Check if the complete detailed design has covered the

entire civil engineering structures, without any

detailed design being assigned to any contractors

including the calculation of stability of spillway

 excavation slopes and reservoir cliffs with potential

landslides.

2.4.2 Loads and Safety Factors

a. Check that the dam design and its parts have been

reviewed for various combinations and the most dangerous

and most unprofitable conditions from static and dynamic

loads, including those occurring during construction.

b. Check the degree of Safety factors for various

conditions and the loading combinations meet the minimum

requirements.

c. Check that on the structural stability analysis, such as

the stability to uplift pressure, the analysis does not

consider the effect of relief wells, weep holes, etc.

because the efficiency is less reliable due to lack of

maintenance and age. In a particular case, this effect

can be considered in the analysis, yet with adjusted

Safety factors and maintenance warranty.

d. Check that the determination of loads and their

combinations has considered any possible changes due to

the dam aging.

2.4.3 Foundation Stability

a. Check that the amount, scope and depth of foundation

investigation have been appropriate to the size,

significance of the structure, complexity of the

 foundation geological conditions and seismicity. See

Chapter II Sub-chapter 2.2.1 concerning Survey and

Investigation Method and Scope.

b. Make sure that in the stability analysis, the structures

and foundations are deemed as an integral unit.

c. For large dams, check and confirm that besides

laboratory tests, in-situ tests have also been carried

out, including in-situ grouting trials and foundation

carrying capacity tests.

d. Make sure that the determination of design parameters

from the soil/ rock sample test results in laboratory

and in-situ tests has considered the correlation between

the samples and their overall geological structures.

e. Make sure that the stability level of the dam has been

reviewed based on geotechnical conditions of the dam

site, potential leak and methods to overcome it,

including regularity, relevance, type and foundation

treatment method.

f. Check the possible need for adjusting the foundation

treatment plan based on the observation results during

the foundation excavation.

2.4.4 Dam Deformation

a. Check the determination of the amount of deformation

from theoretical calculations and/or structural model

 tests due to the increasing dead loads during

construction and several final loading conditions.

b. Make sure that the investigation concerning the probable

impact of abutment deformation and foundation to the

structure deformation has been undertaken.

2.4.5 Material Quality Degradation

a. Check that the types and material quality test methods

are pursuant to the sizes and types of structures and

include the determination of contents of element

properties that can cause destruction or degradation of

materials in the future.

b. If the above contents of elements are indicated, make

sure that the design documents have included

instructions concerning protection or prevention from

degradation to the quality of the dam’s materials and

structural components.

c. In the steel structure components, make sure that the

design provides sufficient allowance for possible

corrosion.

d. If the dam safety generally depends on components or

certain structure parts or components such as water

stops or drainage channels, check that the design

includes the provision of other safety systems as

backups.
2.4.6 Seepage and Uplift Pressure

a. Check the theoretical estimation of foundation

permeability and the dam body including the amount of

seepage rate.

b. Make sure that the design includes the provision of a

drainage system complete with the filter and other

techniques to minimize and drain off seepage safely

through the foundation and the dam body such as:

grouting, diaphragm wall, blanket, etc.

c. Make sure that a flow meter for seepage is available

such as a collecting basin complete with its meter, for

both the dam body and concrete structures.

2.4.7 Reactions (Responses) to Earthquake Activities

a. Make sure that the analysis of reactions/ responses to

earthquake activities/ shocks on dams is based on the

applicable standards and in accordance with the latest

methods.

b. Check that the seismic analysis has been carried out

based on two types of earthquake loads: Operation Basic

Earthquake (OBE) and Maximum Design Earthquake (MDE).

c. When the earthquake coefficient method is used in the

seismic analysis, check the calculation for the

earthquake coefficient determination.

d. Make sure that all Safety factors as a result of the dam

stability analysis in various conditions and

 combinations, either without or with earthquake loads,

have met the applicable standards.

e. Make sure that while the dam is located in a relatively

stable area (with no record of an earthquake), if the

height exceeds 100 meters or the reservoir is more than

500 million cubic meters, the dam design has considered

the possible effect of reservoir-induced earthquake

(RIE).

f. Check and make sure that the calculation and analysis of

the earthquake load caused by the induced earthquake are

carried out by a seismologist whose credibility is

recognized by the Government or a competent authority

(professional association).

g. Check the existence of an investigation concerning the

probable liquefaction on the dam body and or the

foundation rock, inter alia, when the following

conditions are found:

1) In the foundation rock at a depth of 15-20 m from the

surface, a layer of sand containing <10% clay is

found, with the grain size of D50 = 0.075 - 2.00 mm,

and having a uniformity coefficient of Uc <10.

2) The dam body consists of loose sand or if the shear

strength is predicted to decrease due to an

increasing excessive pore water pressure.

h. Make sure that the seismic analysis is not only done on

the dam body and complementary structures, but it is

 also carried out on the main equipment operated for

safety, cliff slopes of reservoir, river and deep

excavation, which in case of a landslide can trigger a

huge amount of casualties and property damage.

i. If it is stated that the dam design is free from seismic

factors, check that the statement has been documented.

2.4.8 Electrical and Mechanical Equipment

a. Check the design and working system of electrical and

mechanical equipment, which are very important for the

dam safety, such as flood control gate, drainage pump

and valve, fire extinguisher system, alarm, etc. Make

sure the reliability to be operated under emergency and

extraordinary conditions (rainstorms, floods, forest

fires, earthquakes, power outages, etc.) Check for the

probable need of backup equipment.

b. Make sure the design also includes an inspection and

maintenance program, lubrication, routine replacement of

worn parts before damage.

c. Make sure the availability of a ready-to-use backup

power sources for operations under emergency conditions.

d. Check for easy access to equipment in emergency and

extraordinary conditions.

e. Check the availability of a routine readiness operation

test program (at least once in a year) to find out the

readiness of operations of all doors and other important

 equipment. This test must be carried out by trial

operation of equipment/ opening and closing of doors to

a certain height followed by some work load. Besides, a

full scale test is needed, at least once in five years

(the detailed explanation can be seen in the Guidelines

for Preparation of Mechanical and Electrical Equipment

Operation Standards).

f. Check the availability of equipment instructions

prepared based on manufacturer manuals. Check the

completeness, clarity and practicality of the

instructions.

2.5 INSTRUMENTATION

In the dam construction, the purposes of installation of

instrumentation are as follows:

a. Monitoring the dam behavior during construction and

exploitation activities in order to know early in the

event of any deviations from the design provisions.

b. Obtaining a series of data for design purposes and/or to

determine/ realize the basic dam behavior patterns as

datum.

c. For research and development purposes.

The study of instrumentation includes investigating the

following matters:

2.5.1 Hydrological Observation System

a. Check the reliability and accuracy of the hydrological

data series used. If it is not reliable, make sure that

the Designer has checked the sources from which all data

were obtained including: the suspected water level

recorder at the river, rain gauge in remote places and

inaccessible areas; check the condition of equipment, the

reading procedures, methods of processing and sending

data. Sometimes basic errors that often occur such as

errors related to datum, reading procedures, or imperfect

equipment repairs, can be identified from the data series

of the reading results.

b. In case of new equipment, check the compatibility withold

equipment, including procedures for processing data.

c. Check that the flood discharge meter has been installed

at the dam site to investigate the design flood

assessment periodically.

d. Check the availability of a calibration program and its

implementation periodically to the hydrological

observation instrumentation system.

2.5.2 Structural Monitoring

a. Check the suitability of layout, type, number and

location of dam instrumentation according to type, dam

dimension, danger classification, geological conditions

of the dam site, etc. In this case, it must be clearly

 shown in the floor plan, cross section and longitudinal

cross section of the dam.

b. Check that the types of instrumentation to be installed

at least include seepage, pore water pressure, dam

decline and deformation meters.

c. Check the need for installation of backup instruments,

particularly if monitoring is carried out with a remote

control system, the backup also includes equipment and

transmission cables. For a certain matter, backup

instruments are often needed in the event of damage and/

or at the same time to obtain comparative data.

d. Check the instrumentation layout not concentrated on the

certain cross section that can weaken the cross section.

e. Check that the instrument system installed is in

accordance with the level of education, skills and habits

of O&P officers. An automatic monitoring system can be

installed whenever the operation and maintenance is

reliable.

f. Make sure that the Designer has prepared detailed

instructions about installation, maintenance, instrument

reading and data processing.

g. With regard to instruments for research purposes, make

sure that the reading, processing, and presentation of

data are separated from instruments for dam safety

monitoring.
h. Make sure the availability of training programs for O&P

officers.

i. Make sure the availability of complete documents about

type, design, installation, testing, repair and

performance of each instrument installed.

2.5.3 Earthquake Monitoring

a. In areas with a high probability of seismicity history,

or those indicating the possibility of a Reservoir Induce

Earthquake (RIE), make sure that the seismic monitoring

system has been/ will be installed as early as possible

(before construction) for as much data as possible.

b. Because seismicity interpretation requires a particular

experience, make sure that the monitoring system is

designed with the help of an expert.

2.5.4 Abutment Behavior Monitoring

a. Check and make sure that on both abutments, a benchmark

(BM) system has been/ will be installed to monitor

deformation and movements that occur both on the abutment

and the dam body.

c. Check the need for an abutment permeability monitoring

system.

2.5.5 Sedimentation Monitoring

a. Check the adequacy and reliability of investigative

equipment for sedimentation rate measurement in

reservoir.

b. Check the accuracy and reliability of transport data

series of bed load and suspended load sediments from

recording results on the river. If deemed necessary, the

data may be compared with those of neighboring river

basins which are of similar nature characteristics and

located within the same geological formations.

c. Check the estimated amount of sedimentation in the

reservoir pool. Make sure that the sediment flushing

structure has been designed based on the amount of

sedimentation rate. Besides, the dam plan load shall

consider the frictional force of sediment layers that

will occur in the reservoir.

d. If sedimentation in the reservoir pool is considered to

be excessive especially in semi-arid regions,

sedimentation will quickly change the characteristics of

the reservoir, which results in the rise of back water

and flooding in the upstream area. Make sure that the

design includes preparation of feasible facilities to

prevent damage as a result of flooding in the upstream

area.

e. In areas with potential earthquakes, check whether the

Designer has considered any possible blockage of outlet

structure by deposit liquefaction, such as by making or

 providing a safety wall in front of the outlet/ intake

mouth.

f. Check the design of bottom outlet structure/ drain, make

sure that its ability to control mud sedimentation

patterns and base load sediment flow around the structure

is in accordance with a predetermined operating schedule.

g. Check whether the design has considered the problem of

concrete and steel abrasion due to erosion by deposit

passing through it, including protection measures and

repairs needed.

2.5.6 Spillway Stilling Basin Monitoring

Check that the design includes a periodic investigation

program to erosion and scouring in the stilling basin which

can disrupt the stability of surrounding structures, as well

as the provision of necessary monitoring equipment.

2.6 RESERVOIR OPERATION

2.6.1. Spillway Operation and Flood Handling

a. Make sure that the design is equipped with a guidelines

for spillway gate operations (in case of gated spillway)

and other outlet structures such as: the procedures for

opening and closing gates, as well as full scale in-situ

test sequence.

b. Discharge through a power plant, intake gate or other

production infrastructure must not be considered in

 determining the spillway capacity, except in a particular

case and upon the Commission’s approval.

c. Check that the plans of spillway operations and other

outlet structures will not disturb the stability of other

structures. For example, there is no erosion on the

cliff, grinding on the plunge pool and downstream cliff.

d. Therefore, check the reliability and accuracy of

discharge curve for spillway and downstream water.

2.6.2 Stability of Reservoir Cliff

a. Check and make sure that the critical edge of reservoir

has been investigated for possible instability while or

after the reservoir is filled or at the time of rapid

drawdown, and the possible landslide or collapse that can

affect the dam safety or other facilities around the

reservoir.

b. In the event of any possible landslide, make sure that

the Designer has already completed with the preventive

design and the appropriate monitoring system, and the

prevention of cliff erosion if necessary. This preventive

effort must be finished before filling the reservoir. See

Chapter II, point 2.2.1 f.

2.6.3 Environmental Safety

a. Check the report on Environmental Impact Analysis (EIA),

whether there is a possibility of spread of water-borne

 infectious diseases, water quality deterioration, threats

to extinction of certain species, etc. be it in the

reservoir, surrounding regions, and downstream river

basin of the reservoir.

b. Check the further efforts to anticipate it.

2.7 FIELD INSPECTION AND INQUIRY

Inspection of field study/ observation by the BKB Study

Team is intended to conduct a direct inspection to the dam

site and the reservoir in order to clarify the problems

identified during observation of reports and documents

previously submitted. Field inspection must be carried out

together with the Dam Owners/ Initiators accompanied by the

Deputy Planner/ Designer. Things that need to be prepared

before inspection include:

2.7.1 BKB Inspection Team

The number and expertise of members of the Inspection

Team should be formed based on the scope of existing problems,

but at least 2 (two) members consisting of a Dam Engineer and

a Engineering Geologist.

2.7.2 Study Schedule and Principles

For effective and efficient implementation of an

observation, the main points of the study should be arranged

systematically in accordance with the subject matter and an

observation schedule is made to cover the main program and the

order of observational location.

2.7.3 Routine Inspection by Owner

a. Make sure the design comes with inspection Manuals during

the implementation of construction, including the quality

control prepared based on technical specifications and

other design documents.

b. Make sure that the design is also equipped with detailed

instructions for routine and regular inspection/

surveillance program at the dam’s first filling and

during its operation period. The inspection instructions

are parts of the Operation and Maintenance Manuals of

dams that must contain complete instructions about dam

safety, including:

1) Observation and monitoring for overall dam safety.

2) Detailed instructions for inspection of dam bodies,

reservoirs and complementary structures at the initial

filling and during the operation period.

3) All the main objects to be inspected, with the goals,

objectives and purposes to achieve.

4) Inspection schedule.

5) Methods to be used by the Inspection Team from the Dam

Owner/ Manager.

6) The action plan for handling if the observation shows

an indication of abnormal or critical conditions.

 7) Handling, processing and reporting data of the

inspection results.

c. Check the instructions for possible emptying/ drying for

inspection purposes on: upstream slopes, stilling basins

or plunge pools, tunnels, etc.

2.8. DOCUMENTATION AND ARCHIVING

2.8.1 Document Coverage

Check and make sure that the documents have been archived

completely, safely and systematically, covering technical,

environmental and social aspects, as well as legal aspects,

including:

a. Technical aspects, inter alia: design drawings, design

calculations, technical specifications and documents

concerning investigation and exploration, laboratory test

results and in-situ tests, core-drilling and core box,

test-model results, etc.

b. Legal aspects, inter alia: permit to build dam and

location, permit to use water resources from the

competent authority, design approval certificate (upon

obtaining an approval from the Minister).

c. Environmental and social aspects, inter alia: results of

questionnaire and/or social acceptability concerning the

dam to be built, other issues, such as land acquisition,

resettlement, study and approval of Environmental Impact

 Analysis (EIA), and compensation for land/ plants and

others.

2.8.2 Accessibility

Check and make sure the warranty of availability and ease

of obtaining the abovementioned documents for safety

observation, monitoring and evaluation purposes.

2.9 EMERGENCY PROCEDURES AND PLANS

a. Check and make sure that the design has anticipated any

possible emergency conditions, which threaten the dam

safety by providing facilities for emergency reservoir

emptying, such as bottom outlet structures.

b. If it is stated that reservoir emptying is not necessary

in a particular emergency condition, check and make sure

that the statement is supported by technical reasons and

officially written/ documented.

c. Check the availability of other emergency requirements,

such as provision of backup power sources, emergency

roads to the dam, internal and remote emergency

communication equipment, employee exit and so on.

d. Make sure that the O&P Guidelines is also equipped with

an Emergency Operation Plan including: indications of

emergencies, preventive measures and other required

actions and clear procedures to be followed by the

operator in the event of an emergency.

e. Make sure that the design also come with an Emergency

Action Plan (RTD) with the following contents: Emergency

Operation Plan and other matters as reflected in the

Emergency Action Plan (RTD) Guidelines. RTD must be

agreed upon by relevant agencies that are members of

Executor Unit (SATLAK)/ Executor Coordinator Unit

(SATKORLAK) of Natural Disaster Prevention and approved

by the Regent/ Regional Government.

2.9.2 Emergency/ Danger Warning Sign

a. Make sure that the determination of a dangerous warning

system has been discussed by the dam Manager with the

local Government.

b. Particular provisions for emergency sign have been

included in the design.

c. It is suggested that the determination of flood

inundation areas is done by analyzing dam collapse.

2.10. SAFETY ASPECTS RELATED TO BORDER RIVER

2.10.1 Dam Safety and Reservoir Exploitation

a. Check whether the dam built on a border river between two

regions has been in conformity in the design conception,

design criteria and design method of the two bordering

regions, especially related to the dam safety aspects.

b. Check that the design conception and criteria used have

considered the particular requirements, standards,

 prohibitions and regulations agreed upon and stipulated

jointly in an agreement with regard to development of the

river concerned.

c. If such an agreement does not or not yet exist, check and

make sure that the design concepts, guidelines, criteria

used have been approved by the Commission and agreed upon

by all relevant parties.

2.10.2 Flood Control and Reservoir Water Discharge

In connection with point 2.10.1 above and in determining

the concept of flood control and reservoir water discharge,

check that an agreement regarding border river development

(design of dam to be built) shall at least cover the following

points:

a. Hydrographic observation system, procedures and equipment

as well as transmission, processing, and availability of

hydrological data.

b. Design flood determination and spillway capacity.

c. Development, utilization and management of flood plains.

d. Basic design philosophy and safety criteria.

e. Water use and activities along the river such as for

shipping, water supply, irrigation, electricity,

including river development plan in the future.

f. Basic operating criteria and water discharging from the

reservoir.

g. Environmental protection.
h. Safety measures in emergency conditions.

2.10.3 Basin Cooperation and Management

a. Check the effectiveness of cooperation and coordination

in the management of river basin.

b. Check the impact of dam construction on the operation and

management of river areas.

2.10.4 Emergency Sign/ Warning System Coordination

Check that an emergency warning system along the river

valley downstream of the dam has been or will be installed and

coordinated through direct collaboration between official

representatives of each region involved.

2.11 CRITERIA OF DAM DANGER CLASS DETERMINATION

Check the criteria for determining the dam danger class

and acceptable risk level whether or not they have been

accordance with the applicable guidelines.

2.12 DISASTER PREVENTION

In order to prevent similar disasters, check and make

sure that the past experiences of dam failure incidents have

been calculated and considered in making the dam design,

particularly if the types and problems are the same or almost

the same.
2.13 DESIGN OF EXPANSION, MODIFICATION, REHABILITATION,

REPAIR AND REMOVAL OF DAM FUNCTIONS

2.13.1 Design procedures

a. Before making a design, make sure that the designer has

reviewed carefully and really understand the original

design documents and all reports or records of

construction and operation.

b. Make sure that the Planner has understood the criteria

and bases/ principles of original design, before making

design modification.

c. Make sure that overall behavior, operation performance

and robustness of structures have been carefully reviewed

through detailed field investigations and consider

previous inspection reports.

d. If the expansion or modification will affect or involve

modification to the structure of important structures, or

if the basic assumption and environmental condition

underlying the design modification, make sure that re-

analysis of stability has been carried out throughout

building structures.

2.13.2 Principles and Design Criteria

a. Principles and design criteria as outlined in sub-

chapters 2.3 and 2.4 must be guidelines in designing:

expansion, modification, rehabilitation, repair and

removal of dams and reservoirs to the extent applicable.

b. Make sure that before starting to make a detailed design,

the actual conditions of parts or components of a

structure to be expanded, modified, or repaired has been

carefully surveyed and recorded. The recording results

are included in the dam document archives.

 CHAPTER III

CONSTRUCTION IMPLEMENTATION STUDY

3.1 GENERAL

The Construction Study is carried out on the

implementation of construction of a new dam, expansion,

modification or repair of an old dam, in order to obtain

approval for filling the reservoir. The study includes

monitoring activities on the implementation of periodic dam

construction by the Center.

While the study in this stage is primarily emphasized for

evaluating data and reports on the results of construction, it

is also necessary to review the chronology of construction. It

covers the new design data/ parameters with modifications/

revisions if any, results of geotechnical investigations

during foundation excavation, further actions on suggestions

arising when the design study and periodic monitoring are

done, legal and legislation aspects including licensing and

especially design approval, socio-cultural issues,

environmental issues, and so on.

The main points of the study in this stage are as

follows.

3.2 FOLLOW-UPS ON SUGGESTIONS

Check follow-ups on suggestions either proposed by the

Center when the periodic monitoring is carried out, or those

arising at the Commission meeting. These suggestions can be

proposals for additional studies of the original design and/or

its revision, additional investigations on certain cases, the

need for hydraulic model tests and other suggestions

concerning the construction. Make sure that the geological

investigation is continued at the excavation stage to confirm

design assumptions or to obtain data and information needed

for design modification, etc.

3.3 TECHNICAL GEOLOGY

a. Make sure that the Technical Geology investigation at the

foundation excavation stage is continued to confirm the

design assumptions and obtain the data and information

needed for design changes.

b. Check the detailed technical geological map of the dam

site after excavation. Compare its conformity with data

and maps used as the basis for making the design,

particularly its relation with the dam design and

foundation.

c. If geotechnical conditions indicate the existence of

several specific zones, check whether the grouting method

and pattern have been adjusted following the

characteristics of these zones, including through a

series of tests - grouting test. Besides, the concrete

cap design shall be approved by the Designer Engineering

Geologist through a so-called technical memorandum.

3.4. Hydrological Design

3.4.1 Hydrological Characteristics, Flood Patterns and

Surface Runoff Conditions

a. During the regular monitoring, check whether the capacity

of river diversion has been reviewed based on the data

and the latest flood pattern and the possibility of

runoff changes at the river basin.

b. Check and compare the river evasion diversion pattern in

several stages with the actual flood discharge capacity,

and check the possible risks that might happen.

c. Check the compatibility between the progress of

construction and river evasion schedule. In the event of

a deviation, such as construction delay, check the

analysis results of possible risks that might happen.

3.4.2 River and River Basin Management

During the periodic monitoring, check and make sure the

environmental health (hygienic) conditions at the (dam)

construction site has been accordance with the environmental

health requirements specified in the river basin.

3.5. Dam Design and Behavior

3.5.1 Criteria, Designs and Methods

During the regular monitoring, check and confirm the

following:
a. Original Design

1) Make sure that the construction has been carried out in

accordance with the design documents, construction

specifications, and/or standards set by the Designer.

2) Check the compatibility between the materials used and

the requirements and specifications.

3) Make sure that the construction methods and equipment

used are pursuant to the requirements to achieve the

quality of work as required.

4) Check the performance of quality control program,

reports on the quality test results and the accuracy of

construction completion.

5) Specifically for the embankment works, check the

specifications of embankment materials, the

compatibility between the methods used and the results

of in-situ compaction tests, including equipment used,

especially for locations requiring special compaction.

b. Construction Modification to Design:

1) Any deviation from the original design must be

immediately recorded on the recording image/ post-

construction. This information is indispensable in the

case of repair works, or to detect possible leakage

track, and other Safety considerations. Things to

record include: type, quality and brand of factory-made

 materials, disruption/ discontinuation of concrete

lining or stockpiling of dam material beyond the plan

(useful for detecting cracks, etc.) The aforementioned

information must be completed with documentation photos

and included in the construction implementation report.

2) In the event of any design modifications, make sure

that fundamental design modifications or major changes

to the original design are made by an expert Designer,

well- documented, and approved by the Dam Safety

Commission. Check the validity of the design

modifications, including procedures for ratification

and make sure a certain person in charge is available.

3) Check that the design modifications have been supported

by strong reasons in terms of dam safety, accompanied

by calculations/ analysis based on relevant, reliable

and accurate data.

4) Make sure that design modifications do not deviate from

the original design criteria, conceptions/ principles.

5) In the event of any changes in the construction

implementation method, check and make sure that the

changes in the method still fulfill all required dam

safety elements.

3.5.2 Load Conditions and Safety Factors

Check critical loads that occur during construction and

compare with design parameters.

3.5.3 Foundation Stability and Abutment

a. Check for problems that occur during the foundation

excavation (or the documents), and how to deal with them.

b. Check the deformation of foundation and abutment due to

the increasing load during construction. If any, check

the stress and strain monitoring results, compare with

the design calculations results. For the soft soil

foundation, check the large reduction in the foundation

surface and horizontal plastic movement on the heel of

dam due to the increasing load.

c. Check the conformity of grouting results in the field

with the design. Make sure that the execution of grouting

is well documented to be used for future reference.

Things that need to be documented include: borehole

profile, Lugeon Test, duration of execution, local

temperature; mixture of materials, grouting pressure,

grout take volume and grouting stages; changes in shape

or cracks, if any, on structure or foundation and

compression strength afterwards.

d. Check whether there is a stability disruption on

abutment, including the appearance or symptoms of

landslide, rock fall, seepage, etc.

3.5.4 Deformation on Dam Bodies and Other Structures

a. Dam Body
 1) During the periodic monitoring, check the observation

results of deformation in the dam body and other

structures that occur during construction and compare

the level of deformation in the permitted design.

2) If the crest has been done properly, check the

alignment of the dam peak, both vertically and

horizontally.

3) Check the measurement results in the field (if any),

the relationship between stress and strain that

occur.

b. Intake and Outlet Structure

1) Check and make sure that the conditions around the

retrieval and outlet building and penstock if any,

are relatively safe to the possibility of blockages

such as the accumulation of mud or other materials

that can reduce the discharge capacity. Make sure

that the trash rack and/or trash boom are properly

installed.

2) If the retrieval building is equipped with a

regulator door and its engine, do a study and

inspection as in sub-chapters 3.5.4 point a.3 above.

3.5.5 Seepage and Lift Force due to Water Pressure

a. During construction, make sure that all existing

seepage/springs have been observed. Its volume/discharge

 are measured and recorded periodically. This measurement

record will be needed for the basis of dam safety

evaluation.

b. If there is seepage, check to find out the origin,

seepage water quality, if possible, it should be analyzed

chemically to determine the solute content, as well as

the amount seepage pressure.

c. Check and make sure that all drainage systems, including

weep holes on excavated slopes, function well. Besides,

check whether the collector drain system on the heel of

dam has met the normative standard and equipped with

adequate instruments.

3.5.6 Reactions/Responses to the Earthquake Activities

If the earthquake monitoring system has been installed,

check the results of monitoring and make sure that during the

construction period continuous observations have been

undertaken (especially since the initial reservoir charging).

In large dams, the occurrence of induced earthquakes is often

indicated by the increasing earthquake activities over a long

period of time.

3.5.7 Hydro-mechanical Equipment

a. Check whether there is a certificate of dry test or wet

test.
b. Check the function of each and entire parts of equipment

as a system. Do experiment if necessary.

3.6 INSTRUMENTATION

3.6.1 Hydrological Observation

Make sure that the hydrological observation system, and

if any, including remote monitoring equipment (telemetering)

and telecommunication equipment, function properly, so as to

be able to provide flood warning as early as possible.

3.6.2 Dam Observation

a. Check and make sure that the fixed reference point system

(CP/BM) for monitoring the deformation of dam and the

abutment has been installed in accordance with the design

requirements.

b. Make sure that an instrument installed since the

beginning of construction has been observed. Check the

respective function of each installed instrument based on

the data series of reading instrument result from the

beginning installation.

c. Check the pattern/trend of the reading/monitoring results

during construction and review it as follows:

1) If the pattern shows a normal curve and there is not

any significant change. It means that the dam

condition is normal.
 2) Even though it is normal, if there is a striking

change, check the cause. Compare it with the trend of

reading instruments nearby.

3) If the reading trend is not normal, compare it to the

reading instrument around it. Check several

possibilities as follows:

c.3.1 If the trend is the same or almost the same,

the problems are probably on the dam and/or the

foundation.

c.3.2 If the trend deviates from the reading around

it, the problems are probably on the instrument

(possibly damaged), or there is an influence

from outside (for example, the influence of

water pressure from the hill on the reading of

piezometer). The damage can also be detected

from the absence of a reaction (response) from

the instrument operated.

e. Check the results of deformation monitoring that occur on

the foundation and movements that occur in the body of

dam. Compare the feasibility with the design criteria or

parameters.

3.6.3 Seismic Monitoring

If the monitor is operated using a remote control system,

check the working system and the reliability of its functions

including the communication equipment. See point 3.5.6 above.

3.6.4 The Behavior of Abutment Observation

a. Check the results of observation and monitoring of

deformation that occur on both hills/cliffs during

construction. See point 3.5.3 a - d.

b. Check the results of permeability measurement test and the

different movement between the body of dam and the

abutment.

c. Check the results of stress and strain measurements (if

any).

3.7 RESERVOIR OPERATION

3.7.1 Social and Environmental Aspects

a. Check and make sure there is a social problem handling

program and environment, which includes:

1) cleaning for the prospective reservoir ponds plan,

2) relocation and resettlement of residents plan,

3) protection and preservation of particular/rare species

of animals and plan,

4) prevention of the spread of endemic diseases that are

transmitted through water media,

5) likewise concerning prevention and monitoring of the

toxic waste disposal and other harmful wastes into

reservoir ponds.

b. Make sure that the construction activities do not deviate

the environmental protection regulations.

c. Make sure the Environmental Management Plan (RKL) and the

Environmental Monitoring Plan (RPL) are carried out in

accordance with the results of study of Environmental

Impact Analysis and coordinated with relevant agencies

(such as Regional Environmental Impact Control Agency

(Bapedalda).

d. Before charging the reservoir/closing the diversion gate

begin, make sure the following things:

1) The construction works and other problems in the

inundation area have been completely finished.

Likewise, the construction works in the downstream

area such as spillways, and so on.

2) A program has been established to ensure that during

the reservoir charging, the needs of water for

residents and preservation of aquatic biota in the

downstream area of dam are still sufficient.

3) Make sure that the charging plan has been coordinated

with the Local Government and socialized to the

people in the upstream and downstream of dam.

3.7.2. Flood Sign/ Warning

a. Check the adequacy of facilities and equipment for flood

warning system.

b. Check the operational readiness, network effectiveness

and warning sign.

c. Check the readiness of flood handling during

implementation the construction.

3.8 INSPECTION AND SUPERVISION

Supervision and inspection during construction must be

managed by professional certified Experts who have general

expertise in the field of dam construction with adequate

experience in the construction and design of dam so that they

can understand the relationship between construction,

principles and design goals.

a. In accordance with SNI No.1731-1989-F (SKBI-1.7.10.1987)

concerning Dam Safety Guidelines, Periodic inspections

are carried out in line with the important construction

segment schedules. Inspections are carried out by the

Commission/Center team and or Free Panel, and stipulated

with dam owners.

b. After an extraordinary event, the inspection team from

the Dam Owner shall carry out particular

inspection/investigation and report the results to the

Commission/Center.

c. Before the dam was handed over to the Dam Manager, the

owner shall conduct a hydraulic appearance test and

prototype operational behavior.

3.8.1 Center Inspection and Construction Supervision Team

a. The Inspection Center Team should consist of a dam

engineer generalist who is experienced in the field of

dam design and construction and acts as a Chairman of

Team, assisted by an engineering geologist, an Electrical

and Mechanical Equipment Engineer and a Hydrologist.

b. Construction supervision staff: make sure that the

personnel and construction supervision have met the

following things:

1) Having adequate qualification and training experience.

2) The type and frequency of inspection and testing are

quite sufficient.

3) Organization of quality control is quite adequate.

3.8.2 Schedule and Object of Inspection/ Investigation

Make sure that the inspection and monitoring schedule has

been made by the Center Inspection Team according to the

progress of construction as follows:

a. When the works achieve the elevation of basic foundation.

1) Check and make sure that the geotechnical foundation

of dam site have been mapped in detailed. See point

3.3.

2) Check that the foundation treatment method, type and

design are appropriate and relevant to the

geotechnical condition of foundation site and have

been approved by the designer.

 3) Check records of problems that arise during the

excavation of foundation, methods and ways to solve

these problems and their results.

4) Check and make sure that the repair of foundation

surface has been carried out in accordance with the

usual repair standards, such as repairing steep slopes

in order to prevent differential settlements and

facilitating the compaction process, closing gaps,

fractures and holes using slush grout and basins with

dental concrete, locations that require a particular

compaction, repairing weak zones, and others.

5) Check and confirm the readiness of inspection gallery

works, if any. It is especially related to the

promptness for grouting works.

b. During construction, generally when the dam elevation has

reached ± 30% to 60% of the maximum dam elevation, some

certain things that need to consider in this stage are as

follows:

1) Quality and condition of contact areas between fill

and concrete structures;

2) Regarding the construction for the body of dam, its

complementary structures and other facilities,

including its compatibility with the design and/or

changes (if any) and applicable technical

specifications.
c. When the construction is completed or at least the dam

elevation has exceeded the maximum elevation of reservoir

water. Some matters that need to consider in this stage,

see point 3.5.3 b.

In general, the objects/targets that need to

investigate during periodic inspection/monitoring, at

least as described in the previous chapters, starting

from point 3.2 regarding design revisions to section 3.7

on the reservoir operation, with a special attention to

the following matters:

1) The Quality control implementation has referred to or

has followed specifications and design drawings.

2) Contractors and Supervision of Organizations/

Consultants have made and implemented a Construction

Quality Control Plan that has been synchronized to

each other, mainly on objects and schedules for

inspection/ investigation as well as monitoring

programs and other things related to SAFETY.

3) Preparations and requirements needed in the process of

obtaining a reservoir charging approval certificate.

3.8.3 Methods and Routine Supervision

a. Check the schedule of routine quality control supervision

and the instructions.

b. Make sure that that the supervision is carried out

carefully and includes the compatibility among the

 construction quality with specifications and documents

design, as well as the conformity between the field

condition and design presumption.

c. Make sure that Supervisors are able to know in the event

that the design is not in accordance with the condition

encountered; and supervise obedience to the safety

regulations during construction to avoid accidents.

d. Make sure that the determination of method and routine

supervision has been recorded and documented for the

purpose of dam safety in the future.

3.8.4 Process and Evaluation of Inspection Results

a. Make sure the results of inspection/investigation/test

have been approved by all related parties; the

Contractor, Consultant and Project/Owner.

b. Check the feasibility of processing and evaluating

inspection/investigation/test results and the quality

control supervision of implementation works. Compare them

with parameters, specifications and image design.

3.8.5 Data Analysis and Report

Make sure the inspection/investigation/test results and

the quality control are analyzed as soon as possible,

including further action or repair needed. Make sure all of

them have been recorded in the supervision report and

documented.
3.8.6 Decision Making Process and Procedure

a. Whenever there are some deviations or difficulties in

meeting construction specifications, designs or technical

requirements, make sure that the cause of problems has

been investigated.

b. Regarding the problems, check the procedure of decision

making, validity, and dissemination.

3.9 DOCUMENTATION AND ARCHIVES

3.9.1 Records and Archives

Check and make sure that all construction reports/records

have been stored, archived and documented properly and safely,

including the following things:

a. Geological mapping during excavation of foundation.

b. Implementation drawings (as built drawings).

c. Repair report and inspection of foundation.

d. Information about building materials.

e. The construction method including procedure and

inspection/investigation.

f. Material investigation and testing results, implementation

of construction results as well as electrical and

mechanical works.

g. Implementation photos and legitimate technical drawings.

h. Findings and suggestions for improvements found during

monitoring/studying, data regarding material testing,

quality control and so on.

3.9.2 Availability and Accessibility of Data

Check and make sure that the documents above are

guaranteed and easy to get for future dam safety observation.

3.10 EMERGENCY CONDITIONS

3.10.1 Emergency Action Plan (RTD)

a. Check and make sure that the Owner or Manager of dam has

prepared RTD for the period of construction and RTD dam

operation.

b. Make sure that the RTD is arranged in detailed,

understandable and has submitted to all work units and

disseminated so that it is easily obtained.

c. Make sure that the RTD for the dam operation period has

been agreed upon related agencies/SATLAK PB/SATKORLAK PB,

approved by the Regent and socialized.

3.10.2 Emergency Warning System (SPD)

Check the readiness about the SPD, especially regarding

the risks on and during the diversion of river flow and the

initial reservoir charging. It is conducted to know whether

there is flood in the upstream which can give sign of a big

flood.
3.10.3 Emergency Communication Scheme/ Chart

Check the communication equipment for emergencies,

schemes/ charts with the functions and procedures.

3.10.4 Decision Making, Process and Procedure

a. Check that decision making in an emergency has clearly

determined, both the process and the procedure.

b. Check and make sure that all parties and related units

have understood the matter.

3.10.5 Emergency Operation Training

a. Check the adequacy and skills of trained personnel for

the emergency operation.

b. Review the need for additional training program to

improve their abilities.

3.11 BORDER RIVER

Some important aspects that need to check in dams in the

border river for the construction phase, especially regarding

emergency warning, include:

a. Its feasibility is viewed from the integration of flood

emergency warning system as a unity.

b. Make sure that the scheme/chart of the warning system can

be operated efficiently in all locations that are assumed

 being affected by emergency situations that probably occur

at the dam site.

3.12 INCIDENTS AND ACCIDENTS

a. In the event that incidents and accidents occur during

construction, check that they have been investigated and

evaluated concerning the causes and consequences.

b. Check and make sure that in the incidents, some repair

actions and solutions have been carried out.

3.13 PREVENTION OF ACCIDENTS

During periodic monitoring, check that the dam

manager/owner has made some efforts of preparation and

prevention for accidents, including the application of

methods, proper and correct construction procedures and

designs, and performance considering Safety factors in

accordance with the applicable standards and Safety

regulations.

3.14 PUBLIC HEALTH AND ENVIRONMENTAL RISKS

a. Make sure that medical supervision facilities are

available in the area to the endemic diseases spread

through water media.

b. In connection with the above items, make sure that the

workers and their family who live in the construction area

 have gotten considerations and targets for medical

supervision.

c. In the event that a plague of endemic disease has emerged

in the construction area, check whether efforts/equipment

have been available to eradicate it.

d. Check the availability of community health service

continuity insurance during the resettlement of residents

and will be a part of resettlement project.

 CHAPTER IV

OPERATION AND MAINTENANCE STUDY

4.1 GENERAL

The purpose of this Operation and Maintenance Study is to

evaluate the performance of dam in the context of the approval

for the operation of reservoir and its exploitation. This

performance assessment or evaluation is carried out

immediately after the overflow of reservoir water through a

spillway after the water has run off in an intake or reservoir

that has been 3 (three) years since the early charging. The

study should be carried out before the rainy season comes.

Things that need to asses in order to get the approval of dam

operation are as follows:

4.2 TECHNICAL GEOLOGY

Review the technical geological problems encountered

during excavation of foundation and during the construction.

Below are some ways to solve them both in the dam site and

reservoir basin, as well as the report of results in the field

(See sub-chapter of points 3.5.3 a to d).

4.3 HYDROLOGICAL DESIGN

4.3.1 Hydrological Characteristics and Flood Patterns

 The main points of study on the hydrological

characteristics and flood patterns at least include the

following inspections:

a. Whether or not there is a deviation between the flood

patterns resulting from theoretical calculations to the

original design standard, especially if there is a change

of run off in the basin.

b. Whether or not there is conformity between the inflow of

design calculation results and flood hydrographs that

occur.

c. Besides, check the adequacy of spill and other outlet

structures based on the flood data up to the last.

d. In terms of the influence of periodic investigation

results concerning the sediment transportation and

deposits in the reservoir, check the effect to the

stability and operation of dam.

4.3.2 Control of Reservoir Operations

a. Check the effect of operating a reservoir or production

facilities such as electricity, raw water, irrigation,

etc. on the distribution capability of flood discharge.

b. If the operation causes obstacles on the distribution of

flood discharge, compare the maximum capacity of available

distribution facility (in the disrupted conditions) with

the actual flooding design to determine some efforts to

remove those obstacles.

c. In connection with this problem, do an inspection whether

or not illegal structures or equipment can inhibit or

reduce spillage capacity and other outlet structures.

4.3.3 Tail Water Conditions

Check the results of periodic observation conducted by

Dam Owners/Managers to the possibility of accumulation of

breakdown or ruin materials or other barriers and/or changes

in channel conditions that can distract the ability of flood

water.

4.3.4 Flood Control

a. Check the results of periodic observation conducted by

dam owners/managers regarding changes occur in the

downstream area of dam such as changes in land use,

barriers of flood flow and possible damage to the

environment, casualty or property if the flood occurs,

particularly possible changes occur and are not in

accordance with the design flood distribution capacity.

b. In connection with the points above, review the changes

to the nature of inflow and sedimentation in the

reservoir pool allowing for the adjustment of water

storage/flood capacity in the reservoir pool. If

necessary, changes on the reservoir exploitation

regulation are needed that shall be reported to the

Commission.
4.3.5 River and River Basin Management

Check the results of periodic observations that (must) be

carried out by Dam Owners/Managers regarding whether or not

there is compatibility between river and basin management and

the reservoir operation schedule.

4.4 DAM DESIGN AND BEHAVIOR

4.4.1 Method and Design Standard

Conduct a study on the Safety strategies using analytic

methods and standards on the original design. Compare them

with the development of the latest knowledge and technology,

especially new developments in its methodology. Check whether

or not the re-evaluation concerning Safety criteria is carried

out.

4.4.2 Load Conditions and Safety Factors

a. Check and review the results of observation that (must/

have) been done by the Dam owners/Managers regarding the

performance of dam and measurement of deformation that

occurs when the reservoir is full of water and the dams

get full load. Besides, make sure that for the embankment

dam, this inspection must be carried out on the rapid

drawdown.

b. Compare the actual (real) load conditions with loads and

Safety factors that are calculated or assumed in the

original design. If there are significant changes, for

example, as a result of a big change in the external

 condition, so the standard of the original design and

Safety strategy must be reviewed based on the latest

technology. The findings regarding this issue must be

officially reported to the Commission.

c. Check the results of periodic observation that must be/

have been conducted by Dam Owners/Managers to the

deformation that occurs at foundation, abutment and dam

body. Check that the accuracy of data above obtained by

reading the instrument of installed deformation measurer,

has been checked every year since the dams are exploited,

both during the dry and rainy seasons.

4.4.3 Foundation Stability

a. Check the results of periodic observation of permeability

and structural integrity among foundation, abutment and

dam body. Compare the results with the initial data and

design parameters.

b. Check directly the behavior and deformation that occurs

on the foundation (and abutment) through the available

gallery or shaft. If it is not possible, so the

inspection must be done by conducting an indirect

observation. If there is an excessive decrease,

ineffectiveness shape or shift of concrete connections,

it shows the stability disruption on the foundation.

c. Conduct a direct inspection or seepage observation around

the heel of dam or in the collecting drainage. If there

 is seepage or excessive seepage occurs, especially if it

carries subtle or turbid grains, it indicates the

presence of opening to cracks or fractures on the

foundation rock.

4.4.4 Dam Deformation and Other Structures

Check the results of periodic inspection regarding

deformation occurred in the foundation rock, abutment and dam

body. The accuracy of data concerning this issue must be

checked every year since the dam was exploited. Check and

compare the results with the extent of deformation specified

in the design.

a. Dam Body

1) Check the results of measurement in the field (if

any), the relationship between stress and strain

occurred.

2) Check the upstream and downstream slopes of dam, the

heel of dam and the surrounding area, appearance or

signs such as decreasing, bubbling or other

irregularities, shifting, sink holes, seepage, etc.

b. General concrete construction

1) Check the condition of concrete surfaces to the

signs or processes of damage such as abrasion, small

cracks or fractures due to overloading or shrinkage,

etc.
 2) Check the condition of concrete structure to the

alignment, appearances such as decrease, deflection,

slope and other movements in the horizontal

direction.

3) Check and make sure that the connections between the

concrete blocks (expansion) are free from the

process of destruction, shrinkage and expansion and

do not leak.

4) Check whether there is a differential movement

between each concrete block.

c. Spillway

Parts of spillway that need some attention and inspection

include:

1) Door-regulator and engines (if any) regarding:

c.1.1 The working relationship between each part of

the existing unit systems, series and

condition of chains, wires and cables, hoists

and the driving machines, the hydraulic

systems and the compressors, etc.

c.1.2 Driving source/power with its adequacy both

in normal and emergency conditions. Test the

procedure and how it works. Make sure that

everything is in the good condition and ready

to use,

c.1.3 If the door operations and stop logs or

bulkheads use a crane, check and make sure

 that the machine is already in the location

and can be used. Review the capabilities,

capacities and conditions, including the

functions of control and prevention systems

such as limit switches and drainage pumps.

c.1.4 Check and make sure that the doors and valves

have been installed properly and perfectly in

the place, the recesses are not filled with

silt, clay or gravel and other breakdown

materials that can disrupt their density and

operation.

2) Overflow chutes and outlet channels

Overflow chutes and outlet channels including air

ducts and other holes must be clean of material

piles or obstacles.

3) Plunge pools and energy absorbers

Plunge pools including damper structures and

baffles, flip buckets and other forms of energy

absorbers must be checked for the possibility of

erosion at the base and walls of pools and

surrounding riverbanks.

4.4.5 Material Quality Degradation

Check the results of periodic observation regarding the

performance of identified structures containing components

whose quality can decrease along with the aging process of

dam. See sub-chapter 2.4.5 on the same subject.

4.4.6 Seepage and Lifting

Check the results of periodic observation regarding the

quantity and quality of seepage water. Compare the suitability

with the design calculation, reservoir water elevation and the

amount of pore water pressure in the dam body. If it is not

appropriate or there are significant changes, it needs a more

in-depth study concerning the causes.

4.4.7 Reaction/ Response to seismicity

If the conditions trigger the induced earthquake to occur

(see sub-chapter 2.4.7 points e and f), check and make sure

that the seismic observation has been carried out since the

early reservoir charging. It should be noted that for old

dams, this observation is at least carried out over a period

of 20 years, while there are no symptoms/seismic activities.

4.4.8 Electro-Mechanical Equipment

a. Make sure all electro-mechanical equipment is maintained

adequately, regularly lubricated, functioning well and

always ready operated. Check the accuracy of operation

performance, functions and performance of each part or

functions entirely as a unity. Parts that suffer from

 corrosion or damage must be repaired/replaced

immediately.

b. For this purpose, check and make sure the Dam Owners or

Managers have provided sufficient stocks/spare parts

inventory for a long term.

c. Check at least on the completeness and conditions of

equipment below:

1) Trash rack and its cleaning tools.

2) Doors, including water insulation, seats, recesses.

3) Bulkheads, stoplogs, lifting equipment and seats.

4) Hoists and lifting machines.

5) Steel ropes and chains.

6) Valves.

7) The hydraulic systems and compressors, including

pumping equipment.

8) Ventilation and air circulation systems.

9) The adequacy of electrical resources including backup

generators and their transmissions which must be ready

operated in natural disaster conditions such as:

floods, storms, fires, forests, etc.

10) Transformers and switching stations, if they already

exist.

11) Equipment and control systems, both local and remote

control.

12) Lighting systems under normal and emergency

conditions.
 13) Firefighting equipment.

14) Telecommunication systems and equipment.

15) Mobile equipment including vehicles, cranes, rubber

boats, boat motors, and so on needed for maintenance

and emergency works.

d. Check that each piece of equipment is secured or protected

from the unintentional operations and all disruption/

damage, as well as the available access road to the

location or important installation of equipment for

maintenance and repair activities.

e. Make sure that in the operating location, Operation

Guidelines are available on normal and emergency

conditions.

4.5 INSTRUMENTATION

4.5.1 Hydrological Observation System

Check and make sure that all measuring devices, remote

monitoring system and communication equipment are working

properly. Inspections or studies should be carried out before

the coming of rainy season so that the damaged equipment can

be identified/repaired early. See sub-chapter 3.5.1.

4.5.2 Dam Monitoring

Check the condition and function of dam performance

monitoring equipment by direct reading and/or conducting a

study to the data series of measurement/reading/monitoring

that (have/must) be carried out by the dam owners/managers.

Conduct an evaluation as described in sub-chapter 3.6.2.

4.5.3 Seismic Monitoring

If the seismic monitoring system is operated remotely

(remote control), review the results of periodic inspection on

the accuracy and reliability of its functions, including its

telecommunication system. See also sub-chapter 2.4.7 and sub-

chapter 3.5.6.

4.5.4 The Behavior of Abutment Monitoring

Check the results of periodic monitoring of the position

of fixed reference point installed on the abutments concerning

the possibility of movements or deformation. If this

monitoring system is operated remotely (remote controle),

check the feasibility of its function and the

telecommunication system. See sub-chapter 3.6.4.

4.5.5 Sedimentation Monitoring

Check the results of periodic monitoring of the rate or

development of sedimentation in the reservoir ponds following

silt and mud deposition in the reservoir ponds near the

upstream of dam. Compare with the estimated rate in the

design.

4.5.6 Plunge Pool Monitoring

 Check the results of periodic monitoring of erosion and

corrosion that occur in the spillway of plunge pool and the

possible effects on the stability of surrounding structures.

4.6 RESERVOIR OPERATION

4.6.1 Flood Discharge and Spillway Operation

Conduct a study of periodic inspection concerning the

reservoir operation (especially procedures for controlling

floods and quick receding), the relevance to hydrological

condition changes and possible flood patterns. Besides, it is

related to the feasibility of spillway’s functions and other

outlet structures to the new conditions. In addition, there

should be provision and electrical power preparation system

and supporting equipment for normal and emergency conditions.

4.6.2 Reservoir Slope Stability

Check the results of periodic monitoring on identified

locations whose stability can be disrupted due to the

reservoir operations or natural processes and/or human

activities.

4.6.3 Environmental Safety Aspects

Check the results of periodic observation regarding the

reservoir water quality to the possibility of pollution, the

proliferation of certain plants or the spread of endemic

diseases that can transmit/endanger human, animal and creature

health in the downstream of dam.

4.6.4 Flood Warning

Check flood warning systems and procedures including the

reliability of the functions of equipment used.

4.7 STUDY AND INSPECTION

4.7.1 Study Team

The Reviewer Team in the event of the dam operation

approval should consist of at least some geological,

hydrological, instrumentation, mechanical and electrical

experts. The Reviewer/Inspection Team as far can possibly

engage the Designers plus some personnel from the operational

unit of the dam concerned.

a. Check the availability of the Inspection Team or dam

monitoring organization which (must) be formed by the dam

Owners/ Managers and the training program in order to

improve the ability of personnel professionally.

b. Check that the personnel handling item a) above are

sufficient in terms of quality and quantity in accordance

with the qualifications needed, including the officer

responsible for data analysis and interpretation.

c. In accordance with the conditions of dam monitored,

conduct a study regarding the need for the existence of

 experts who deal with investigation for the existing

problems.

4.7.2 Study Schedule and Scope

a. For new dams, the schedule for Center or the inspection

schedule for Dam Owners/Managers should be conducted

before the coming of rainy season/flood. Meanwhile for

old dams (rehabilitation/repair/expansion), the study

schedule should be conducted coinciding with the

implementation schedule of a large maintenance to

facilitate the study of equipment, for example in

connection with drying conduits, pump wells, and so on.

b. Check the program and the inspection schedule in detailed

including the subject matter monitored with the results,

as well as the inspection of performances and functions

of electrical and mechanical equipment. Check and make

sure that the scope of this monitoring is periodically

has been reviewed and adjusted for changes or the

existing conditions, particularly as a result of the dam

aging process. It can be investigated on the list of

detailed inspection that has been carried out previously.

c. Check the availability of a guidebook regarding

Operations and Maintenance of Dam in complete, feasible

and sufficient.

4.7.3 Method and Routine Inspection

 Check the methods and routine inspection that probably

need to review in order to adjust the development of

procedures and latest technology. Check and make sure that the

inspection can be carried out on all parts of the dam without

any obstacles, including to closed and isolated locations

which in this case must be checked regarding the adequacy of

ventilation holes.

4.7.4 Process and Data Evaluation

Check and make sure there is a mechanism that guarantees

that the data from the results of observation and/or reading

are immediately processed and/or interpreted without delay so

that any probable deviations can be identified early. Check

and/or review the data from the results of observation above

as well as evaluation methods and conclusions based on the

development of latest procedures and technology.

4.7.5 Data Flow and Report

a. Check and make sure that the results of each monitoring

and inspection on a regular basis have been poured into

official reports and documented.

b. Make sure that the reports above are immediately

distributed to responsible parties and related to dam

safety for further actions of repairs and safeguards. It

can be checked on the data flow mechanisms, reports and

reporting.
4.7.6 Decision Making Process and Procedure

Conduct an inspection regarding the process and procedure

of decision making related to dam safety, its validity and

further actions, particularly concerning the relevance and

compatibility with the current situations and conditions, for

example probable changes that may occur in the institutional,

operational, administrative fields and so on.

4.8 DOCUMENTATION AND ARCHIVES

4.8.1 Records and Archiving

Check and make sure that all legitimate records and

documents regarding the design and data from the results of

periodic inspection /monitoring, including records of events

related or affect to the dam safety have been documented and

archived in completely and chronologically. Check the same

subject in sub-chapter 3.9.

4.8.2 Availability and Accessibility of Data

Check and make sure that the existence of documents above

is guaranteed, complete and easy to get, for example for

inspection and monitoring in the future.

4.9 PROCEDURE AND PLAN OF EMERGENCY ACTION

4.9.1 Classification of Emergency Conditions (KKD)

 Due to the fact that the risks and disasters caused by

the collapse of a dam are getting higher along with the rate

of development in the downstream area, the classification of

emergency conditions must be updated regularly. Therefore:

a. Check that the existing KKD is in accordance with the

changes and development of the current physical and

social environmental conditions.

b. Check and make sure that on some area which are

relatively quick to develop, adjust and update this KKD

periodically at least once in every 5 years and the

longest at least once in every 10 years.

4.9.2 Emergency Action Plan (RTD)

a. Check and make sure that the RTD has been prepared and

determined by the Dam Owners/ Managers in detailed and

make sure that the RTD has been made based on analysis,

such as from the worst possible damages. Thus, at least

the RTD has been analyzed/ arranged based on or includes

the following matters:

1) Hydrograph observation and emergency warning charts/

schemes.

2) Reservoir water level reduction and flood control

operations.

3) Emergency discharge of reservoir water.

4) Inundation map in normal flood conditions, design

flood discharge up to the condition of a large

 disaster due to the collapse of dam, including the

analysis of risk emerged.

5) Evacuation of residents whose areas are threatened by

flooding.

6) Environmental damage such as oil spills and

contamination of other hazardous materials.

7) Rescue operations and emergency measures including the

operation responsibilities.

8) Preparation of equipment, such as catalogs, the

availability of materials and other support for

emergency rescue.

9) Coordinating emergency actions with other parties such

as Civil Defense, Local Government, Police, Hospital,

etc.

10) The completeness of public facilities for emergency

conditions, such as roads, transportation facilities,

communications and emergency warning systems.

11) Availability of electricity for emergency operations

including charts/schemes of water supply or irrigation

networks, water gates and so on.

12) Emergency entrances to isolated places.

13) Procedures and processes of decision-making.

b. If the dam studied is one of several dams located in one

basin, or in one operating system (dam management,

electric power systems, etc.), check that the RTD is also

applicable or set for the whole system.

c. If there is more than one operating system in one basin,

check and make sure that the RTD system has been

coordinated by the committee whose members are

representatives from all dam managers.

d. Make sure that all RTD have been approved by the Local

Regional Government.

4.9.3 Emergency Warning System (SPD)

a. Check SPD, especially regarding its function and

compatibility with the current conditions.

b. Check that the SPD has been socialized and understood by

downstream communities and coordinated with other parties

related such as the Regional Government, Civil Defense,

Police, Hospital, etc.

4.9.4 Emergency Communication Scheme (SSKD)

Check whether or not SKD can function including its

compatibility with the current conditions.

4.9.5 Emergency Decision Procedure and Process (PKD)

Check the feasibility of the PKD mechanism, the

compatibility with the current conditions, procedures and

processes of decision-making with emergency operation

guidelines, including the validity and distribution to the

relevant parties such as the operational or works unit and the

existing exploitation stations.

4.9.6 Emergency Operational Training (POD)

Check that the Dam Owners/Managers have prepared a POD

program or trained personnel for the implementation of

emergency operations. This program should always be adjusted

to the development of conditions and technological advances in

the field of dam safety.

4.10 BORDER RIVER

4.10.1 Dam Safety

Check the rules and regulations regarding inspection

and supervision on the safety and security of the reservoir

pool edge in the upstream area, especially its suitability

with the dam safety standards used.

4.10.2 Flood Control and Outlet Discharge

Check the results of periodic observation to the

reservoir pool cliffs, regarding the incompatibility of

several things as follows:

a. The receding reservoir water with reservoir operations

and control flood.

b. Hydrograph observation with the design flood.

c. The restriction of maximum discharge with the minimum

one, water necessity and types of activities along the

border river.
4.10.3 Border River Basin Management and Joint Operation

a. For the border river, check the results of periodic

observation conducted periodically and jointly among

representative countries or provinces regarding the

impact of reservoir cooperation and management.

b. From point a) above, do a study of the need or not to

adjust or increase regulations and safeguards at along

the edge of reservoir pools, especially with regard to

the emergence of changes in run-off conditions, emergency

operations and PKD.

4.10.4 Emergency Warning

Review the results of joint periodic inspection on the

functions and reliability of emergency warning plans/patterns

in various places that might be affected by an emergency

situation.

4.11 CLASSIFICATION OF DAM DANGER LEVEL

4.11.1 Classification Standard

Check and make sure that the determination of danger

level class in one basin made based on the same classification

guidelines, particularly if the basin covers some regions,

provinces or autonomous regions, or there are additional new

dams in a basin.

4.11.2 Flexibility and Change

 Due to the fact that the physical and socio-economic

conditions of people in the downstream of dam can change

(develop) any time, check that the existing dam danger level

class is flexible, meaning that it can be easily changed in a

relatively quick time. Review whether the class currently used

is still in accordance with the current conditions or needs to

change.

4.12 DISASTERS, ACCIDENTS AND EXTRAORDINARY EVENTS

4.12.1 Investigation and Evaluation

a. In the event of a disaster, accidents and extraordinary

events triggering the disruption of dam safety, check and

make sure that the events have been investigated and

evaluated by Dam Owners/Managers, including the causes and

consequences, if necessary the evaluation is carried out

by a Panel Free.

b. Check and make sure that the results of investigation

above have been reported officially to all parties

involved in the supervision of dam safety.

4.12.2 Repair

Check and make sure that any damage caused by incidents

and accidents, has been repaired immediately until it can

function or operate again safely.

4.12.3 Accident Prevention

 Check and make sure that all analysis reports regarding

the events of disaster and accidents including the items

above, have been documented properly and safely, in order to

prevent the repeated same events in the dam or the

construction of other dams.

4.13 FINANCING

4.13.1 Estimated Costs

Check the feasibility of the estimated costs used for dam

safety monitoring, including proposed rational programs.

4.13.2 Funding

Check the availability of funds including the feasibility

of where the source of funds is obtained in the context of

implementing a dam safety monitoring program.

 CHAPTER v

REMOVAL OF DAM FUNCTIONS

5.1 GENERAL

The removal of dam functions include the termination of

activities and detailed plans regarding the termination of

exploitation and demolition (if necessary), and it must

formally obtain an approval from the authorized Minister. In

this case, all technical and financial responsibilities such

as demolition, restoration of environmental conditions,

safety, and so on, remain in the hands of Dam Owners/Managers.

The things that need to study in order to remove a dam are as

follows.

5.2 HYDROLOGICAL DESIGN

5.2.1 Method and Hydrological Design Standard

Check and make sure that all requirements for dam

removal have been considered.

5.2.2. Hydrological Characteristics, Flood Pattern and Surface

Flow Conditions

a. Check the compatibility between hydraulic properties at

the dam site which will be removed with the remaining

structures or left and the prediction of hydrological

conditions after the dam removal.

b. Therefore, check that the removal plan has included

analysis and suggestions based on detailed investigation

results at field of hydrology due to dam removal,

including making a new river channel in an empty

reservoir, control of floods and droughts in the

downstream area, including the possibility of new risks

that can occur due to the increase of sediment transport

from the reservoirs left.

c. Check and make sure that the dam removal program has

included a plan to demolish parts of dams and

complementary structures which can block natural river

flow as much as the

design flood discharge.

5.3 DESIGN AND DAM BEHAVIOR

5.3.1 Method and Design Standard

Check and make sure that all requirements for dam

removal have been considered.

5.3.2. Load Conditions and Safety Factors

Check the results of detailed investigation regarding the

possibility of loading on the remaining structures or left

that are not considered in the original design. If necessary,

check the stability of structures.

5.3.3 Foundation Stability

Before it is decided to maintain or dismantle partial or

entire dam’s body, check the results of investigation or do a

study on the possibility of deterioration in the quality of

foundation which can disrupt the stability and integrity of

foundation and abutment due to scouring or erosion processes.

5.3.4 Dam Deformation

Check the deformation that occurs in the remaining dam’s

body or other structure due to the loading after dam removal.

Compare this deformation value with the allowable value on the

original design.

5.3.5 Material Quality Degradation

Check the results of investigation or do a study

concerning the possible dangers emerged to the people and

property as a result of the loss or decline in the integrity

of the body of dam or other structures in the future due to

the deterioration in the quality of the material contained. If

any, check the plan for prevention and safety measures.

5.4 INSTRUMENTATION

Check and make sure that the program of observation and

reading of the instrumentation is still ongoing until the

execution of demolition is stated to be completely finished.

5.5. RESERVOIR OPERATION

5.5.1 Environmental Safety Aspects

a. Check the results of study concerning the effects and

consequences caused by the removal of functions of dams

and reservoirs such as the increasing sediment load, the

proliferation of certain disease, the stability of cliffs

or slopes of reservoirs, and so on.

b. Check and make sure the availability of programs and plans

for restoring the location of dams and reservoirs left to

the original condition, including areas determined by the

safety requirements and surrounding area.

c. Check and make sure no metals or other hazardous materials

left and can affect the condition or quality of water in

the downstream of dam.

5.5.2 Flood Warning

Check the results of study on the consequences of removing

dams and reservoirs to the overall flood warning system and

the operation/exploitation of dams located in the downstream

area, especially regarding their compatibility and efficiency.

5.6 Field Investigation and Inspection

The field investigation is intended to know directly the

processes and other activities related to the removal of dam

functions and the preparation and readiness of Dam Owners/

Managers.
5.6.1 Supervisor and Inspection Team

a. Check and make sure that during the removal (demolition) of

dam process, Dam Owners/Managers still provide an

Inspection Team whose main task is supervising dam safety.

b. Check and make sure that the Inspection Team keeps

responsible for supervision, maintenance and safety of

remaining structures or left.

c. If in the inspection activities a structure or its part is

found that are prone to the safety, make sure that the

structure concerned is immediately dismantled and may not

be repaired, better is neglecting.

5.6.2 Inspection Methods and Routines

In connection with the above matters, conduct a study

concerning the need for inspections to be continued on the

remaining structures or left after the removal of dam

function.

5.7 RECORDS AND DOCUMENTATION

In the event that after the removal of dam still remains

structures that need to be inspected, check the records and

official reports of the inspection results and documentation.

Inspection should include the availability of documentation

regarding design, construction, operation and maintenance of

the dam concerned.

5.8 EMERGENCY ACTION PLAN (RTD)

5.8.1 Emergency Warning System

Conduct a study concerning the consequences of removing

dams on the overall emergency warning system, the impact to

the previous stipulated/applied system and the scheme/chart

for implementing the emergency operations in the downstream

area of dam, particularly regarding its compatibility and

effectiveness.

5.9 BORDER RIVER

5.9.1 Flood Control

After the removal of dam, the river flow will partially

return to its original natural regime, in addition to the

increasing volume and the duration of flood. Therefore, check

the possible consequences of flood control procedures on dams

located in the downstream area of dams removed.

5.9.2 River Basin Joint Operation and Management

Conduct a study or inspection to the consequences that

may occur due to the removal of dams from joint operations and

management in the DPS, especially with regard to matters

related to emergency conditions.

5.10. FUNDING
 Before there is an approval of dam removal, check and

make sure that the Dam Owners/Managers have provided

sufficient funds regarding their responsibility for the safety

of structures left.
 Appendix 1 (4 pages)

CHECKLIST OF DAM SAFETY STUDY

The following Checklist concerning the dam safety study

consists of the main points with regard to the philosophy of

dam safety in general, methods and procedures for dam safety

supervision and related routine activities.

This Checklist is not a guide in the making of Planning,

Design, Construction, Operation and Maintenance and/or

Rehabilitation of Dams and their complementary structures, but

as a complement to remind parties involved and responsible for

the safety control of dam construction.

This Checklist is based on the practical needs necessary for

supervision and observation of construction safety of typical

or standard dams or general dams.

In the Checklist, dam is defined as the body of a dam and its

foundation, abutment, reservoir pool/ cliff, including all

supporting facilities and complementary structures and all

electrical and mechanical equipment.

 APPENDIX 1

CHECKLIST

D - Dam Design

K - Dam Construction including the preparation of initial

reservoir filling

O - Operation and Maintenance of dam

H - Dam Removal

X - Review required

Key Points of Study D K O H

1. Technical Geology

1.1 Survey and Investigation Method x

and Scope

1.2 Technical Geology; x x

Stratigraphy, Geological

Structure Maps

1.3 Hydrogeology x x x x

1.4 Foundation Excavation and x x

Foundation Treatment

2. Hydrological Design

2.1 Method and design criteria x x

2.2 Hydrological characteristics, x x x x

flood pattern, runoff condition,

and or flyover sediment

transport
2.3 Operational barriers x

2.4 Tail race conditions x x

2.5 Flood flow barriers in the x x

downstream of dam

2.6 River and basin management x x x

3. Structure Design and Structure

Properties

3.1 Method and design criteria x x x x

3.2 Load conditions and safety x x x x

factors

3.3 Foundation stability x x x x

3.4 Structure deformation x x x x

3.5 Quality decline x x x

3.6 Seepage and lifting x x x

3.7 Response to the seismic x x x

activities

3.8 Hydro-mechanical Equipment x x

4. Instrumentation

4.1 Hydrological observation System x x x

4.2 Dam monitoring x x x x

4.3 Seismic monitoring x x x

4.4 Abutment monitoring x x x

4.5 Sediment Monitoring x x

4.6 Stilling basin monitoring x x

5. Reservoir Operation

5.1 Flood discharge and spillway x x

operation

5.2 Cliff of reservoir stability x x

5.3 Environmental Aspects x x x x

5.4 Sign/Flood Warning x x x

6. Inspection and Supervision

6.1 Inspection Team and x x x x

Construction Supervision

6.2 Schedule and Object of x x x

Inspection

6.3 Inspection method and Routine x x x x

Supervision

6.4 Process and Evaluation of x x

Inspection Results

6.5 Data analysis and Report x x

6.6 Procedure and process of x x

Decision Making

7. Documentation and Archives

7.1 Records and Archiving x x x

7.2 Availability and Accessibility x x x x

of Data

8. Emergency Conditions

8.1 Classification of Dam Danger x

(KBB)
8.2 Emergency Action Plan (RTD) x x x

8.3 Emergency Warning System (SPD) x x x

8.4 Emergency Telecommunication x x

Schemes/Charts

8.5 Process, Procedure and x x

Emergency Decision (PKD)

8.6 Emergency operational training x x

(POD)

9. A Special Aspect related to the

River Border

9.1 Dam safety and Reservoir x x

Exploitation

9.2 Flood control and Reservoir x x x

Discharging

9.3 Operational cooperation and x x x

Basin management

9.4 Sign System x x x

Coordination/Emergency Warning

10. Classification of Dam Danger

Level

10.1 Classification Criteria x x

10.2 Flexibility and Classification x

changes

11. Incident, Accident and

Extraordinary Event
11.1 Investigation and Evaluation x x

11.2 Repairs x

11.3 Prevention of repeated x x x

accident

12 Financing

12.1 Estimation Costs x

12.2 Funding x x
 Appendix 2

(5 pages)

DOCUMENTS TO BE PREPARED IN ORDER FOR APPROVAL OF DESIGN,

FILLING, OPERATION AND REMOVAL OF DAM FUNCTIONS

2a) Design Study (Design Approval)

2b) Construction Implementation Study (Initial Filling

Approval)

2c) Filling Study (Operation Approval)

2d) Removal Study (Removal Approval)

 Appendix 2a

Design Study (Obtaining Design Approval)

Documents required (3 copies), including:

1. Licensing

a. Copy of dam construction license and its location and

license to use water resources from the competent

authority.

b. Copy of Environmental Impact Analysis (EIA) approval.

2. Feasibility study report (if any)

3. Detailed design report

a. Main report, including the type of dam and technical

data

b. Design criteria and methods

c. Design calculation

d. Construction methods

e. Technical specifications

f. Construction implementation plan

4. Survey and investigation report

a. Measurement survey report

b. Hydrological analysis

c. Technical Geology Report, including maps and cross

sections, report on quality and quantity of structure

materials.

5. Design drawings

a. A1 size (complete)
 b. A3 size (complete)

6. Design review report (design review, if any)

7. Executive summary of Environmental Impact Analysis (EIA),

Environmental Management Plan (RKL), Environmental

Monitoring Plan (RPL)

8. A brief description concerning design-related matters,

including the items listed in the Checklist.

9. Dam technical data according to the standard form.

 Appendix B

Construction Implementation Study (Obtaining Reservoir Filling

Approval)

Documents required (2 copies), consisting of at least:

1. Detailed Technical Geological Report, including Dam Site

Geotechnical Maps (from the foundation excavation

investigations) and additional investigations (if any) and

complete reports on foundation treatment.

2. Grouting Works Report, methods and patterns used and

Lugeon Maps in the pre- and post-grouting.

3. Design modification report (if any) followed by supporting

reasons and calculations.

4. Report on quality control of works, construction

implementation, obstacles and methods to solve them.

5. Inspection results of hydro-mechanical equipment in the

factory and in the field and results of dry and wet tests

(if any).

6. Project Completion Report, (if any). If points 2.1 to 2.5

are included in this report, a separate report is no

longer needed.

7. Report on instrumentation readings during construction and

analysis.

8. Emergency Action Plan (RTD) including a flood warning

system and report on its dissemination.

9. Reservoir filling activity plan, including officers

involved and their respective responsibilities.

10. Guidelines for Operations and Maintenance (O&P) of Dam

entirely and specific Guidelines for Operations and

Maintenance of hydro-mechanical equipment.

11. O&P implementing organization complete with:

- Organizational chart

- Job description

- Names of officers and their responsibilities, etc.

12. O&P officer training report for normal operating and

emergency conditions.

13. A brief description of construction-related matters,

including a table/ matrix on comparison of conditions/

design parameters with the results of field implementation

and including descriptions and points as listed in the

Checklist (Appendix 1).

14. Design drawings, A1 and A3 sizes.

15. Construction Drawings, A1 and A3 sizes.

16. As-built Drawings, A1 and A3 sizes.

17. Dam technical data as per the updated form.

 Appendix 2c

Filling Study Stage (Operation Approval)

Documents required (2 copies), consisting of:

1. The reading results of dam behavior monitoring instrument

(instrumentation) from the time of construction (initial

reading) to the final reading.

2. Analysis of reading results point 1 above, especially the

analysis of dam behavior/ stability.

3. Guidelines for reservoir operations and maintenance as

adjusted to the actual conditions.

4. The organization of O&P implementation, including the Dam

Monitoring Unit with training programs and their

implementation.

5. Report on operation of hydro-mechanical equipment.

6. Other special reports, such as landslides, seepages,

frictions, seismicity and other deformations.

7. Report on reservoir filling including a description of

points listed in the Checklist (Appendix 1).

8. For design approval, construction and operation for

rehabilitated/ expanded dams, documents must also be

completed with data and reports on the following matters:

o Dam conditions in the pre-rehabilitation, including

original design drawings and as-built drawings.

o New design (post-rehabilitation).

o Technical and other reasons.

 o survey and investigation results and construction

implementation.

9. Dam technical data in accordance with the updated form.

 Appendix 2d

Dam Removal Study

Documents required (2 copies) include:

1. Detailed plan regarding discontinuation, exploitation or

dismantling of dams (if needed), including restoration

programs for environmental conditions, safety and

environmental safety.

2. The analysis results on stability of remaining or

abandoned structures, including dam stability based on the

reading results of instrumentation.

3. Results of detailed investigations regarding the

consequences or effects of removal dam functions on local

hydrological and hydraulic conditions, especially

regarding:

 selection and determination of new river channels

crossing an empty reservoir.

 flood control.

 effects of floods and/or droughts occurring along river

valleys downstream of the dam, including the increasing

sediment load.

4. Environmental impacts including the possible proliferation

of certain diseases, the stability of cliffs or slopes of

reservoirs, and so on.

5. Drawings required in A1 and A3 sizes.

 APPENDIX 3

FLOWCHART OF DESIGN APPROVAL PROCESS, INITIAL CHARGING,

OPERATION AND REMOVAL OF DAMS

The application for Approval of Dam Design/ Initial

Filling/ Operation/ Removal by the Dam Owner to the *The application is proposed to the KKB Chairman
Commission* without any appendix; a copy to BKB with an
appendix document needed for the study

The initial study of report and Data (by Center)

Field Inspection and Discussion (by the Center and

Dam Owner) Response, Objection, Follow-up (by
the Owner)

No

agree Response, Objection and Target

Yes
Response, Objection and Further
Report of BKB Study Action (by the Owner)

Commission Technical Session

No

agree Response and Suggestion

Yes
Commission General Session

agree No Response and Suggestion

 Commission General Trial

No

agree

Yes
Recommendation of Approval to the Minister
(by the Commission)

Approval (from the Minister)

 REFERENCES

1. DAM SAFETY GUIDELINES, Bulletin 59, ICOLD, Paris, 1987.

2. DAM SAFETY GUIDELINES, Canadian Dam Association, January

1999

3. DAM SAFETY GUIDELINES, SNI No. 1731 - 1989 F, Department

of Public Works, 1987.

4. REGULATION OF THE MINISTER OF PUBLIC WORKS No.

72/PRT/1997, in conjunction with Decree of the Minister

of Settlement and Regional Infrastructure No.

296/KPTS/M/2001

5. SAFETY INSPECTION and REHABILITATION of DAMS, D.

Gallacher, Colenco Power Consulting.

I, Eko Tjahyadi Sworn & Certified Translator, hereby declare that this document is an English Jakarta, December 13, 2018
translation of a document prepared in Indonesian language. In translating this document an attempt has
been made to translate as literally as possible without jeopardizing the overall continuity of the text.
However differences may occur in translation and if they do the original text has precedence in law.