11 AAC 93.157. Hazard classification 
(a) In order to determine design, operation, inspection, maintenance, emergency action, and 
reporting criteria under AS 46.17 and 11 AAC 93.151 - 11 AAC 93.201, the department will 
periodically review and classify each artificial barrier according to the barrier's potential danger to life or 
property, and will assign the barrier one of the following hazard potential classifications: 
(1) a Class I (high) hazard potential classification, if the department determines that the failure or 
improper operation of the barrier will result in probable loss of human life; 
(2) a Class II (significant) hazard potential classification, if the department determines that the failure or 
improper operation of the barrier will result in 
(A) a significant danger to public health; 
(B) the probable loss of or probable significant damage to homes, occupied structures, commercial 
property, high-value property, major highways, primary roads, railroads, or public utilities, other than 
losses described in (3)(B) of this subsection; 
(C) other probable significant property losses or damage, other than losses described in (3)(B) of this 
subsection; or 
(D) probable loss of or significant damage to waters identified under 5 AAC 95.011(a) as important for 
the spawning, rearing, or migration of anadromous fish; or 
(3) a Class III (low) hazard potential classification if the department determines that the failure or 
improper operation of the barrier will result in 
(A) limited impacts to rural or undeveloped land, rural or secondary roads, and structures; 
(B) property losses or damage limited to the owner of the barrier; or 
(C) insignificant danger to public health. 
(b) As necessary to obtain accurate information for a review and classification under (a) of this section, 
the department will require the owner of an artificial barrier to submit the following information, on a 
form provided by the department and sealed by an engineer qualified under 11 AAC 93.193(a) : 
(1) the type and height of the barrier and the impounding capacity of the reservoir at the maximum 
storage elevation; 
(2) the name of the water body, the location of the barrier and a description of the area downstream; 
(3) a proposed hazard potential classification, and any supporting information for that proposed 
classification; supporting information may include maps, an inundation map prepared in substantial 
accordance with 11 AAC 93.195, a dam break analysis, photographs, and engineering calculations. 
DOC BodyPage Page 1 of 6 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
(c) The department may reject a hazard potential classification proposed under (b)(3) of this section and 
require the owner to submit additional information if the department determines that the 
(1) engineer who sealed that information is not qualified under 11 AAC 93.193(a) ; or 
(2) information previously provided is insufficient for the department to assign that hazard potential 
classification. 
(d) The department may assign an artificial barrier a higher hazard potential classification than one 
proposed under (b)(3) of this section. The department will assign the barrier a hazard potential 
classification based on the level of information readily available regarding the barrier and its potential 
hazards. 
History: Eff. 8/16/89, Register 111; am 10/2/2004, Register 171 
Authority: AS 46.17.010 
AS 46.17.030 
AS 46.17.050 
AS 46.17.070 
Editor's note: As of Register 186 (July 2008), and acting under AS 44.62.125 (b)(6), the regulations 
attorney made technical changes to 11 AAC 93.157(a) (2)(D), to reflect Executive Order 114 (2008). 
Executive Order 114 transferred functions related to protection of fish habitat in rivers, lakes, and 
streams from the Department of Natural Resources to the Department of Fish and Game. 
11 AAC 93.159. Owner's periodic safety inspections 
(a) The owner of a Class I or Class II dam shall provide for a periodic safety inspection of the dam at 
least once every three years. The owner of a Class III dam shall provide for a periodic safety inspection 
of the dam at least once every five years. The department may order a dam owner to provide for a 
periodic safety inspection more often than required by this subsection if the department determines that 
the dam might be unsafe or that more frequent inspections are necessary to protect public safety. Each 
periodic safety inspection and other work required by this section is at the owner's sole expense. Each 
periodic safety inspection must be detailed and comprehensive, and must meet the department's 
guidelines for periodic safety inspections. Those guidelines, set out in Chapter 10, Section 10.4 of the 
department's Guidelines for Cooperation with the Alaska Dam Safety Program, dated September 26, 
2003 are adopted by reference. 
(b) The periodic safety inspections required by this section must be performed by an engineer who has 
been approved under 11 AAC 93.193(b) . Before an inspection, the owner shall submit to the 
department, in writing, the qualifications of the engineer and the scope of the periodic safety inspection. 
The department will approve the scope of the inspection if the department determines that the scope is 
adequate to determine the safety of the dam and for the engineer to make reliable recommendations 
regarding operation and maintenance of the dam, inspections of the dam, and other aspects related to the 
safety of the dam. 
(c) Within 30 days after the visual inspection of the dam is completed, the owner shall submit a periodic 
DOC BodyPage Page 2 of 6 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
safety inspection report to the department for approval, with as many copies as the department requires. 
The periodic safety inspection report must be sealed by the engineer approved under 11 AAC 93.193(b) 
to conduct the inspection. The engineer shall, in the report, make 
(1) specific conclusions regarding the safety of the dam, including conclusions with respect to the 
condition of the dam and the potential for and consequences of any dam failure; and 
(2) recommendations for any additional inspections, monitoring, studies, or construction that may be 
required to improve the safety of the dam. 
(d) In response to a periodic safety inspection report, the department may 
(1) approve the report, if the department determines that the report adequately reflects the safety of the 
dam and provides for the maintenance or improvement of the safety of the dam; 
(2) request additional detail or clarification in the report; 
(3) issue an order requiring the owner to perform additional inspections, studies, or analyses, or to 
submit additional information that the department determines is necessary to adequately assess the 
safety of the dam; 
(4) revoke, under 11 AAC 93.173(k) , a certificate of approval to operate a dam; or 
(5) issue a construction, operation, repair, maintenance, shutdown, or dam removal order that the 
department considers necessary to protect against dam failure or to protect life and property. 
(e) Repealed 10/2/2004. 
History: Eff. 8/16/89, Register 111; am 10/2/2004, Register 171 
Authority: AS 46.17.010 
AS 46.17.030 
AS 46.17.050 
AS 46.17.060 
AS 46.17.070 
Editor's note: Copies of Chapter 10, Section 10.4 of the department's Guidelines for Cooperation with 
the Alaska Dam Safety Program, adopted by reference in 11 AAC 93.159(a) , are available from the 
Department of Natural Resources, Division of Mining, Land and Water, Dam Safety and Construction 
Unit, 550 West 7th Avenue, Anchorage, Alaska 99501. 
11 AAC 93.160. General requirements 
Repealed 8/16/89. 
11 AAC 93.161. State inspections 
DOC BodyPage Page 3 of 6 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
 (a) The department may inspect a dam or artificial barrier, regardless of its size or hazard potential 
classification, after providing notice to the owner under AS 46.17.060 . 
(b) If the department determines that providing two weeks' notice under AS 46.17.060 is not practical 
because the dam or barrier presents a potential immediate danger to life or property, the department will 
give the owner of the dam or barrier as much notice before the inspection as is reasonable under the 
circumstances. 
(c) The owner of a dam shall reimburse the department for costs that the department incurs in making an 
inspection under this section, including the costs of conducting related dam safety studies and analyses 
and employing consulting engineers or contractors, if the department determines that a condition may 
exist that could adversely affect the safety of the dam and the 
(1) owner has failed or refused to perform a periodic safety inspection in accordance with 11 AAC 
93.159; or 
(2) periodic safety inspection report submitted under 11 AAC 93.159(c) is inadequate, and the owner 
has failed to respond to a department order or request for additional information. 
History: Eff. 8/16/89, Register 111; am 10/2/2004, Register 171 
Authority: AS 46.17.010 
AS 46.17.030 
AS 46.17.050 
AS 46.17.060 
11 AAC 93.163. Emergency remedial action 
(a) The department may take emergency remedial action to protect life or property from the risks 
created by the dam's operation or potential failure, if the department determines that one or more of the 
following conditions exist: 
(1) the condition of a dam is sufficiently dangerous to preclude adequate time for the issuance of an 
order to the owner under 11 AAC 93.159(d) regarding the maintenance or operation of the dam; 
(2) actual or potential flooding threatens the condition of the dam; 
(3) the owner will not voluntarily comply with an order or does not have the present means to comply 
with an order from the department. 
(b) In taking emergency remedial action under this section, the department may take supervisory control 
of the dam from the owner, over the owner's objection if necessary, until the emergency no longer 
exists. During the department's supervisory control of the dam, the owner, agents, and employees of the 
owner shall comply with all of the department's orders. 
(c) The owner shall reimburse the state for the costs of any reasonably necessary emergency remedial 
action taken under this section, including the costs of any consultant, contractor, emergency response 
DOC BodyPage Page 4 of 6 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
agency, or other entity retained or requested by the department to respond to the emergency. 
History: Eff. 8/16/89, Register 111; am 10/2/2004, Register 171 
Authority: AS 46.17.010 
AS 46.17.030 
AS 46.17.050 
AS 46.17.060 
AS 46.17.070 
11 AAC 93.164. Owner's emergency action plan 
(a) The owner of a Class I or Class II dam shall develop and maintain an emergency action plan in 
accordance with this section. 
(b) The department will approve an emergency action plan if 
(1) the plan adequately protects life and property, given the particular risks presented to life or property 
if the dam fails or in anticipation of imminent dam failure; 
(2) the plan provides adequately for the coordination of emergency responders in the community; 
(3) the plan contains information that the department considers necessary to minimize danger to life and 
property; that information must include, if required by the department, a 
(A) detailed inundation map, prepared in substantial accordance with 11 AAC 93.195; 
(B) dam break analysis; and 
(C) schedule for exercise and revision of the plan; and 
(4) for a Class I dam, the plan is developed and maintained in accordance with 
(A) the Federal Emergency Management Agency's Federal Guidelines for Dam Safety: Emergency 
Action Planning for Dam Owners (FEMA 64), as revised as of October 1998 and adopted by reference; 
or 
(B) other requirements that the department determines are necessary to protect life or property. 
(c) The owner of a Class I or II dam shall review the emergency action plan at least annually, and shall 
submit any revision of the plan to the department for approval. 
(d) The owner of a Class I or II dam shall exercise the emergency action plan to a level specified by the 
department as sufficient to maintain adequate preparation for an actual emergency, and shall revise the 
emergency action plan at least every three years, or at a frequency that the department determines 
sufficient to maintain adequate preparation for an actual emergency. The plan shall be revised after the 
DOC BodyPage Page 5 of 6 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
exercise in order to address any problems or areas for improvement identified during the exercise, and 
shall be submitted to the department for approval. Revised plans must be distributed to all persons with 
responsibilities identified in the plan. 
(e) The owner of a Class II dam may include the emergency action plan in the operations and 
maintenance manual required under 11 AAC 93.167, 11 AAC 93.171, or 11 AAC 93.173. 
DOC BodyPage Page 6 of 6 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
 11 AAC 93.195. Inundation maps and inflow design flood information 
(a) An inundation map prepared under 11 AAC 93.157(b) or 11 AAC 93.164 must 
(1) indicate the extent of flooding below a dam after failure under the normal operating level of the 
reservoir, under the inflow design flood, and under other scenarios as the department considers 
necessary to evaluate danger to life and property; 
(2) identify downstream structures or other development, flood wave depth and arrival times, roads, 
evacuation routes, staging areas, and other information required by the department to minimize danger 
to life and property; and 
(3) be based on a dam break analysis, if required. 
(b) For purposes of 11 AAC 93.164 and 11 AAC 93.171, the information for determining the inflow 
design flood shall be developed in substantial accordance with 
(1) the Federal Emergency Management Agency's Federal Guidelines for Dam Safety: Selecting and 
Accommodating Inflow Design Floods for Dams (FEMA 94), as revised as of October 1998 and adopted 
by reference; or 
(2) methods approved by the department that adequately assess and characterize the design hydrology, 
and that are based on the hazard potential classification assigned under 11 AAC 93.157. 
(c) In this section, "inflow design flood" means the flood flow above which the incremental increase in 
the downstream flood caused by a failure of the dam does not result in any additional danger 
downstream. 
History: Eff. 10/2/2004, Register 171 
Authority: AS 46.17.010 
AS 46.17.030 
AS 46.17.050 
AS 46.17.070 
Editor's note: The Federal Emergency Management Agency's Federal Guidelines for Dam Safety: 
Selecting and Accommodating In flow Design Floods for Dams, adopted by reference in 11 AAC 
93.195, may be viewed at the Department of Natural Resources, Division of Mining, Land and Water, 
Dam Safety and Construction Unit, 550 West 7th Avenue, Anchorage, Alaska. 
11 AAC 93.197. Operation and maintenance manuals 
(a) An owner that is required under 11 AAC 93.167, 11 AAC 93.171, or 11 AAC 93.173 to prepare 
or provide an operation and maintenance manual must describe in that manual, in detail, how a dam will 
DOC BodyPage Page 1 of 4 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
be operated, inspected and maintained, including 
(1) a physical description of the dam; 
(2) any operating limitations on the dam; 
(3) critical design criteria; 
(4) a schedule and procedures for routine safety inspections, monitoring, and maintenance of the dam; 
(5) detailed instructions and maintenance procedures for operating valves, gates, or other equipment; 
(6) maintenance procedures, calibration information, and instructions for instrumentation and for 
monitoring and alarm systems; 
(7) site-specific visual inspection checklists; and 
(8) other information requested by the department to provide sufficient detail regarding dam operation, 
inspection, and maintenance for the protection of life and property. 
History: Eff. 10/2/2004, Register 171 
Authority: AS 46.17.010 
AS 46.17.030 
AS 46.17.040 
AS 46.17.050 
AS 46.17.070 
11 AAC 93.200. Fee for dam construction permit 
Repealed 1/1/86. 
11 AAC 93.201. Definitions 
Unless the context requires otherwise, in AS 46.17 and 11 AAC 93.151 - 11 AAC 93.201, 
(1) "alteration" has the meaning given in AS 46.17.900 ; 
(2) "appurtenant works" has the meaning given in AS 46.17.900 ; 
(3) "Class I dam" means a dam assigned a Class I (high) hazard potential classification under 11 AAC 
93.157; 
(4) "Class II dam" means a dam assigned a Class II (significant) hazard potential classification under 11 
AAC 93.157; 
DOC BodyPage Page 2 of 4 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
 (5) "dam" has the meaning given in AS 46.17.900 ; 
(6) "department" means the Department of Natural Resources; 
(7) "enlargement" has the meaning given in AS 46.17.900 ; 
(8) "modification" means an enlargement or alteration; 
(9) "owner" has the meaning given in AS 46.17.900 ; 
(10) "record drawings" means plan, profile, and cross-section drawings that show the final configuration 
of a dam as constructed, including 
(A) lines, grades, elevations, and size; 
(B) types of material used for construction; 
(C) reservoir area; and 
(D) details of all appurtenant works, including spillways, outlet pipes, monitoring devices, and other 
equipment; 
(11) "repair" has the meaning given in AS 46.17.900 ; "repair" does not include routine maintenance; 
(12) "routine maintenance" means any work performed on a dam that 
(A) is generally of a housekeeping nature; and 
(B) does not affect or have the potential to affect the safety of the dam; 
(13) "sealed" means prepared by an engineer or a person under that engineer's direct supervision, and 
bearing the signature and seal of that engineer as required by AS 08.48.221 and 12 AAC 36.185. 
History: Eff. 8/16/89, Register 111; am 10/2/2004, Register 171 
Authority: AS 46.17.010 
AS 46.17.030 
AS 46.17.900 
—————————— 
Article 4 
Temporary Water Use 
Section 
DOC BodyPage Page 3 of 4 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
210. Temporary water use. 
220. Procedure for temporary water use. 
11 AAC 93.210. Temporary water use 
(a) Procedures to authorize the temporary use of water, as provided in 11 AAC 93.220, will apply if 
the use continues for less than five consecutive years and the water applied for is not otherwise 
appropriated. 
(b) A water right or priority is not established by a temporary water use authorization issued under 11 
AAC 93.220. Authorized temporary water use is subject to amendment, modification, or revocation by 
the department if the department determines that amendment, modification, or revocation is necessary to 
supply water to lawful appropriators of record or to protect the public interest. 
(c) Upon the commissioner's receipt of a written request from the permittee, an authorization for 
temporary use of water will, in the commissioner's discretion, be extended one time for good cause for a 
period of time not to exceed five years. The request for an extension of the authorization for temporary 
use of water must be accompanied by the fee prescribed by 11 AAC 05.010. 
History: Eff. 2/8/67, Register 23; am 12/29/79, Register 72; am 11/7/90, Register 116; am 
9/16/92, Register 123; am 8/20/2004, Register 171 
Authority: AS 46.15.020 
AS 46.15.040 
AS 46.15.133 
AS 46.15.155 
Editor's note: As of Register 160 (January 2002), the regulations attorney made technical revisions 
under AS 44.62.125 (b)(6), and as authorized in ch. 100, sec. 12, SLA 2001, to change "temporary water 
use permit" to "authorization for temporary use of water" in 11 AAC 93.210(b) and (c). 
11 AAC 93.220. Procedure for temporary water use 
DOC BodyPage Page 4 of 4 
http://www.legis.state.ak.us/basis/folioproxy.asp?url=http://wwwjnu01.legis.state.ak.us/cgi... 11/6/2010
ALASKA DAM SAFETY LAWS AND REGULATIONS 2007 
Citation 
Laws establishing the Alaska Dam Safety Program (ADSP) are found in the Alaska Statutes 
(AS) Title 46 Chapter 17, effective May 31, 1987. Regulations are in the Alaska 
Administrative Code (AAC) Title 11, Chapter 93, Article 3, which were last amended October 
2, 2004. 
History 
During the 1970s, several dams failed in both Alaska and the Lower 48. These incidents 
resulted in numerous deaths, including one in Alaska, and millions of dollars in property 
damage. As early as 1973, Alaska passed laws that attempted to regulate the construction 
of dams in the state. In 1975, Senate Bill 362 titled “An Act Relating to Supervision of Safety 
of Dams and Reservoirs” attempted to delegate responsibility to the Department of Public 
Works, but failed to pass the Ninth Legislative Session. On May 29, 1978, Governor Jay S. 
Hammond signed an agreement for the Alaska Department of Transportation and Public 
Facilities to jointly review specific dams with the USACE. Subsequent discussions within the 
state led to the conclusion that the ADNR had authority related to dam safety through the 
Water Use Act (AS 46.15) and 11 AAC 72.060, Dam Construction (1973). However, the 
ADNR expressed a great deal of concern because the statutes and regulations inadequately 
addressed important dam safety issues such as routine safety inspections, operation and 
maintenance, and liability. 
On December 29, 1979, revised dam safety regulations became effective under Article 3 of 
11 AAC 93, Dam Safety and Construction. By 1982, the Water Management Section of the 
Division of Land and Water Management began to organize the ADSP. The efforts of the 
entire staff of the central region Water Management Section were directed toward the dam 
safety program. Nevertheless, the section’s civil engineer expressed concern about the 
ability of the ADNR to address important technical issues associated with dam safety, and 
the current regulations were again sharply criticized as inadequate. During the early 1980s, 
the ADNR (with support from consultants) conducted Phase I inspections and site visits of 
practically every dam that could be identified in the state, including those identified in the 
National Inventory of Dams. The USACE listed 175 dams in Alaska in 1981. By 1984, the 
ADSP was staffed with three positions and a $350,000 general fund budget. 
In 1987, the state legislature passed the Alaska Dam Safety Act and AS 46.17, which 
elaborated on the basis for the state to “supervise” the safety of dams in Alaska. The state 
was required to employ a professional engineer for this purpose, but the staffing of the 
ADSP was reduced to that one individual and the budget was cut significantly. In 1989, the 
dam safety regulations were again promulgated under Article 3 of 11 AAC 93. These 
statutes and regulations were more comprehensive than previous versions, and were based 
on a model state dam safety program developed by the ASDSO and extensive review of 
dam safety regulations from other states. 
The content of Article 3 of 11 AAC 93 was reviewed in detail and updated between 2000 
and 2004. The regulations were revised to include important changes and clarifications 
about the hazard potential classification; dam owner’s periodic safety inspections and 
emergency action plans; applications for construction, modification, repair, removal, and 
abandonment of dams; certificates of approval issued by the department; incident reporting; 
qualifications for dam design and inspection engineers; and other important information. The 
original publication of the Guidelines for Cooperation with the Alaska Dam Safety Program 
(September 2003) was based on a draft version of the revised regulations. The current 
guidelines (June 2005) are revised to be consistent with the current, final version of the 
regulations adopted in October 2004. 
Definitions 
A dam is "an artificial barrier, and its appurtenant works, which may impound or divert water 
and which has or will have an impounding capacity at maximum water storage elevation of 
50 acre-feet and is at least 10 feet in height measured from the lowest point at either the 
upstream or downstream toe of the dam to the crest of the dam; is at least 20 feet in height; 
or poses a threat to lives and property as determined by the department after an inspection" 
(AS 46.17.900(3)). 
Dam height is the maximum vertical distance from the natural bed of the water course the 
upstream or downstream toe of the barrier, whichever yields the greater measurement, to 
the top of the barrier; or if the barrier is not across a watercourse, the maximum vertical 
distance from the lowest elevation of the outside limit of the barrier to the top of the barrier. 
(11 AAC 93.153). 
Dam Classification 
Dams are classified by hazard potential according to the following (11 AAC 93.157): 
Class I for a dam whose failure would, in the opinion of the commissioner, result in probable 
loss of human life; 
Class II for a dam whose failure would result in a significant danger to public health; the 
probable loss of or probable significant damage to homes, occupied structures, commercial 
property, high-value property, major highways, primary roads, railroads, or public utilities; 
other probable significant property losses or damage other than losses limited to the owner 
of the barrier; or, probable loss of or significant damage to waters identified under 11 AAC 
195.010(a) as important for spawning, rearing, or migration of anadromous fish. 
Class III for a dam whose failure would result in limited impacts to rural or undeveloped land, 
rural or secondary roads, and structures; property losses or damage limited to the owner of 
the barrier; or insignificant danger to public health. 
Design Criteria 
Hydrologic: From 11 AAC 93.195, the inflow design flood shall be developed in substantial 
accordance with: 
(1) the Federal Emergency Management Agency's Federal Guidelines for Dam Safety: 
Selecting and Accommodating Inflow Design Floods for Dams (FEMA 94), as revised as of 
October 1998 and adopted by reference; or 
(2) methods approved by the department that adequately assess and characterize the 
design hydrology, and that are based on the hazard potential classification assigned under 
11 AAC 93.157. 
In this section, "inflow design flood" means the flood flow above which the incremental 
increase in the downstream flood caused by a failure of the dam does not result in any 
additional danger downstream. For a Class I (high) hazard potential dam, the “probable 
maximum flood” is considered the maximum standard; for a Class III (low) hazard potential 
dam, a “100-year flood” is considered the minimum standard. 
Seismic: From 11 AAC 93.171, seismic parameters for the location of the dam, including 
the peak ground acceleration, the maximum credible earthquake, the maximum design 
earthquake, and the operating basis earthquake, must be determined in substantial 
accordance with the guidelines from the United States Army Corps of Engineers' 
Earthquake Design and Evaluation for Civil Works Projects, publication ER 1110-2-1806, 
dated July 31, 1995 adopted by reference, or must be determined in substantial accordance 
with another approach approved by the department. 
Other: From 11 AAC 93.171, an applicant must obtain approval of a proposal prepared by 
the qualified engineer that outlines the proposed scope of work, methodologies, levels of 
analysis, and approach to design and construct, repair, or modify a dam to adequately 
provide for the protection of life and property; the proposal must be based on the proposed 
size and type of the dam, and based on the hazard potential classification, and must include 
a description of the design quality assurance and quality control to be conducted during the 
design. 
Jurisdiction/Powers of Department 
The Department of Natural Resources supervises the safety of dams and reservoirs (AS 
46.17.020). The department has the power to adopt regulations and issue orders necessary 
to carry out its duties (AS 46.17.030). A person may not construct, enlarge, repair, alter, 
remove, maintain, operate, or abandon a dam or reservoir without the approval of the 
department (AS 46.17.040). The department has the power to make inspections (AS 
46.17.050). The department may enter a dam or reservoir premises without notice if there is 
reason to believe that a dam or reservoir may be unsafe or presents an imminent threat to 
life or property (AS 46.17.060). The department may order the owner to take action to 
protect life and property if it determines the dam or reservoir is unsafe (AS 46.17.070) and 
may invoke judicial action to enforce the laws and regulations (AS 46.17.080). The 
department may take supervisory control of the dam from the owner in emergency situations 
(11 AAC 93.163). 
Permit/Approval Process 
No person may abandon a dam, remove a dam, or begin the construction, enlargement, 
modification, or repair (except routine maintenance) of a dam without first applying for the 
commissioner's permission on a form provided by the commissioner, paying the applicable 
fees under 11 AAC 05.010, and receiving a certificate of approval from the commissioner for 
the proposed action. 11 AAC 93.171 defines a detailed application process that includes 
the following information and documents, unless the department determines that an item or 
document is not required for the protection of life or property: 1) an initial application 
package, 2) a preliminary design package, 3) a detailed design package, 4) a final 
construction package, 5) pre-construction plans, and 6) post-construction documentation. 
Additional details for each of these packages are described in the regulations. In addition, 
the applicant must propose a schedule for filing the information and documents required 
under this section that provides adequate opportunity for the department to review the safety 
of the dam and for issuing the required certificates of approval. Furthermore, the applicant 
must demonstrate financial ability or provide financial assurance, for certain actions, for new 
dams or for modifications that increase the size of the reservoir or raise the hazard potential 
classification of the dam. The application must be prepared and sealed by a “qualified 
engineer” defined in 11 AAC 93.193. 
Fees 
The completed application form must be accompanied by a non-refundable deposit on the 
application fee described under 11 AAC 05.010(a)(8)(J), calculated based on preliminary 
estimates of the applicable costs. Before a Certificate of Approval to Construct a Dam is 
issued by the Department, the applicant must submit an application fee supplement based 
on a certified cost estimate of the project. The total fee is based on a based on a declining 
scale of the estimated project cost; i.e., 2% of first $100,000 of the estimated cost, 1% of the 
next $400,000, 0.5% of the next $500,000, and 0.25% of all costs in excess of $1,000,000. 
The cost estimate must include labor and materials for construction, engineering, site 
investigations, surveying, construction quality assurance and quality control, and other direct 
expenses. 
Inspection Process 
The owner of a Class I or Class II dam shall perform a periodic safety inspection on the dam 
at least once every three years. The owner of a Class III dam shall perform a safety 
inspection on the dam at least once every five years. All inspections required by the 
regulations must be accomplished at the owner's sole expense (11 AAC 93.159). The 
safety inspections must be performed by a qualified engineer with sufficient experience in 
dam design, construction, and safety appropriate for the type of dam inspected (11 AAC 
93.193). If the commissioner determines that a condition may exist that may affect the 
safety of a dam, or determines that the owner inspection required by 11 AAC 93.159 has 
been inadequate, the commissioner may inspect the dam, at the owner's expense (11 AAC 
93.161). 
Frequency of Inspections 
Hazard Classification Inspection Cycle 
High 3 years 
Significant 3 years 
Low 5 years 
Owner's Non-Compliance/Violations/Penalties 
The department has the authority to issue orders for remedial measures to be performed at 
the owner's expense (11 AAC 93.163). A person is guilty of a Class A misdemeanor if the 
person knowingly violates a provision of the laws or regulations (AS 46.17.150). 
Emergencies 
In an emergency situation the commissioner will, at the commissioner's discretion, take 
remedial action that the commissioner determines is necessary to protect life and property 
from the risks posed by the dam's operation or potential failure (11 AAC 93.163). The 
commissioner may take supervisory control of the dam from the owner, over the owner's 
objection if necessary, until the emergency passes (11 AAC 93.163). Emergency action 
plans are required for all Class I and II dams. (11 AAC 93.164). 
Liability 
The laws and regulations "do not relieve the owner of a dam or reservoir of the duties or 
liabilities incident to the ownership or operation of the dam or reservoir." (AS 46.17.120). 
State liability is addressed in the laws or regulations. (AS 46.17.110) 
Oversight 
A person may not bring an action against the state, the department, or agents or employees 
of the state, for the recovery of damages caused by the partial or total failure of a dam or 
reservoir, or by the operation of a dam or reservoir, or by the operation of a dam or 
reservoir, or by an act or omission in connection with approval of construction, issuance of 
enforcement orders relating to maintenance or operation of the dam or reservoir, or control 
or regulation of the dam or reservoir. A person may bring an action against the state for the 
recovery of damages caused by an action undertaken by a dam owner that was negligently 
ordered by the state over the owner's objection (AS 46.17.110). 
State Citations 
Statute Regulations 
Original Water Use Act (AS 46.15) (1973) 11 AAC 72.060, Dam Construction 
(1973) 
Last 
Amended 
Alaska Dam Safety Act (AS 46.17) 
(1987) 
Article 3 of 11 AAC 93, Dam Safety 
(2004) 
Web Site: http://www.dnr.state.ak.us/mlw/water/dams/ 

ARIZONA 

 

Citation 

The Arizona dam safety law is contained in Arizona Revised Statutes Title 45, Waters, Chapter 6, Dams 
and Reservoirs, Article I, Supervision of Dams, Reservoirs and Projects, ARS 45:1201-1223. The rules 
pertaining to the dam safety program are contained in the Arizona Rules and Regulations Pertaining to the 
Supervision of Dams, Chapter 15, R12-15-151 and 152-15-1201 through 1226. These rules and 
regulations were originally adopted on Nov. 2, 1978 and substantially revised in 2000. 

 

Definitions/Dam Classification 

Arizona Statutes Section 45-1201 defines a dam as any artificial barrier, including appurtenant works for 
the impounding or diversion of water, twenty-five feet or more in height or the storage capacity of which 
will be more than fifty acre-feet, but does not include 

(a) any barrier that is or will be less than six feet in height, regardless of storage capacity 

(b) any barrier that has or will have a storage capacity of fifteen acre-feet or less, regardless of height 

(c) any barrier for the purpose of controlling liquid-borne material 

(d) any barrier that is a release-contained barrier 

(e) any barrier that is owned, controlled, operated, maintained or managed by the United States 
Government or its agencies or instrumentalities if a safety program that is as least as stringent as the state 
safety program applies and is enforced against the agent or instrumentality. 

 

Dam height is defined as the vertical distance from the lowest elevation of the outside limit of the barrier 
at its intersection with the natural ground surface to the spillway crest elevation. 

 

Release contained barrier is defined as a barrier that has the storage capacity that in the event of a failure 
would be contained within the property of its owner. 

 

Hazard Classification Criteria 

Hazard classification criteria are given in the Rules (R12-15-1206). 

 

Category 

Economic Loss 

Very Low - Low 

Minimal (underdeveloped to occasional structures or agriculture) 

Significant 

Appreciable (notable agriculture, industry, or other structure) 

High 

Excessive (extensive community, industry, agriculture), with probable 
loss of life 



 
The size of each dam is defined according to the U.S. Army Corps of Engineers National Inventory of 
Dams standard. 

 

Jurisdiction/Powers of Department 

The law states that it is unlawful to construct, reconstruct, repair, operate, maintain, enlarge, remove, or 
alter any dam except upon prior approval of the director. The director is responsible for the approval 
process including adopting and revising rules and issuing general orders to effectuate this law. The 
director is also directed by law to supervise the operation and maintenance of all jurisdictional dams to 
safeguard life and property. 

 

The law gives the director the right and responsibility to conduct investigations and assemble data to 
make a proper review of the design and construction process and may enter private property for such 
purposes. 


 

It also gives the director the ability to issue a notice of noncompliance to prescribed provisions of 
approval to the owner or construction contractor and can order immediate compliance or can order work 
stoppage until compliance has been effected and approved by the director. Failure to follow this directive 
may render the approval revocable. 

 

The director can order construction to cease and desist and can order the owner to appear at a hearing 
before the department to state his case for non-compliance. The decision is then up to the director as to 
continuation of the project. 

 

The director is authorized to take any legal action necessary to enforce these statutory provisions. 

 

Approval Process 

Arizona law cites characteristics of the process to approve construction, reconstruction, repair, operation, 
maintenance, enlargement, removal, or alteration of a dam including what shall be included in the 
application process plus what should be in the plans and specifications and what other materials are 
required by the director. Rules R12-15-1207 describe the application process in detail--what should be in 
the application and how the filing fee is calculated. Rules R12-15-1215 describe what should be in the 
plans and specifications for construction, alteration, etc. 

In these rules, it states that all plans and specifications accompanying an application for approval shall be 
prepared by or under the direction of a professional engineer, registered under Arizona law. 

 

The law pertaining to repair specifies that the approval process may be waived if repair is needed 
immediately in order to safeguard life and property. The director must be informed prior to this action 
taking place. 

 

Application Fees 

The law gives the director the authority to establish filing fees based on the estimated cost of the dam. 
The fee shall not exceed 2% of this established cost. The fee must be paid before consideration of the 
application. All fees will be deposited in the dam repair fund. The following fee structure has been 
established by the rules (R12-15-151): 

 

Application filing fee is based on: 
1) Review of plans, studies of dam costs (in dollars): 

-first $ 100,000 2.0% 
-next $ 400,000 1.5% 
-next $500,000 1.0% 

-over $600,000 0.5% 

2) Safety Inspections 

Per inspection $100 

Plus, per foot of height $ 2 
3) Other Charges 

Photocopies .25 each 
Computer reports: 
First page of report $15 

Additional pages .25 each 

Certified "True Copies" $2.75/ Page 

 


Approval of Application 

By law, the director must inspect the dam upon completion of construction. If the inspection passes, the 
approval is made and a license is issued for use (the rules detail this process, R12-15-1214). The approval 
plan may be revised if after inspecting the work he believes amendments, modifications or changes are 
necessary. 

 

According to law, the application must be approved in not less than 10 days from receipt nor retained 
more than 60 days unless more information is needed. Construction must commence within one year of 
approval and the director must be notified at least 10 days before construction begins. Time frame rules 
provide limits of 120 days for administrative review, and 60 days for substantive review. 

 

Inspection Process 

According to law, the director shall inspect after construction, repair , remodeling. or alteration, during 
operation and maintenance, and upon filing of a legitimate complaint concerning the safety of the dam. 
The rules specify criteria for the inspection process. Guidelines were developed to accompany the rules 
stating operation and maintenance frequency--they are as follows: 

 

Hazard Potential 

Storage Dam Inspection Frequency (at least once each) 

Low – Very low 

Five Years 

Significant 

Three Years 

High 

One Year 



 
The rules state that the owner is responsible for safety during construction and after completion of the 
dam and inspection during and after construction, enlargement, repair, alteration, or removal in 
accordance with the plans and specifications as approved by the director. 

 

Violations/Penalties 

Arizona law defines a violation as failure to follow the law concerning construction, repair, enlargement, 
alteration, or removal of a dam or failure to carry out an order of the director. The violator is guilty of a 
class 2 misdemeanor for each day the violation continues. 

 

If the director feels a violation has taken place, he must give the owner written notice to appear at a 
hearing before the department to show cause why the owner should not be penalized or be directed to 
cease and desist work. The director is then responsible for all decisions based on the hearing. If the 
violation continues, the director may retain a temporary restraining order or a permanent injunction from 
the state superior court. 

 

The law states that a person determined to violate the law may be assessed a penalty not to exceed $1,000 
per day of the violation. These monies go to the state general fund. A judge may stay the decision of the 
director upon appeal on a showing of good cause. 

 

Emergencies 

The law requires that the director determine if a dam is dangerous or if floods threaten its safety and can 
then employ immediate remedial measures to correct the problem. The law goes on to explain exactly 
what the director can do to the dam in this instance and says that he is in full charge of the dam until it is 
rendered safe or the emergency has terminated. 

 

The law also states that the director may spend monies from the dam repair fund (Sect. 45-1212.01). 

 


The owner is ultimately responsible for the costs of the remedial work. The law states that a lien shall be 
put against the owner's property to cover these costs. As he pays back the debt, the money collected goes 
back to the dam repair fund. 

 

Liability 

Section 45-1215 of the law states that no action shall be brought or maintained against the state, or any of 
its departments, agencies or officials thereof, or any of their employees or agents, for damages sustained 
through the partial or total failure of a dam or its maintenance by reason of control and regulation thereof 
by any of them pursuant to duties imposed upon them under the provisions of this chapter. 

 

Nothing in this article shall relieve the owner or operator of a dam from the legal duties, obligations and 
liabilities arising from such ownership or operation. 

 

Oversight 

Section 45-1210-1211 explains the process by which a petition can be filed against any decision made by 
the director. It also explains has a board of review is formed to hear the petition. 

 

Miscellaneous 

Financing 

The law states that the director may require a surety company bond in amount sufficient to secure the 
costs to the state in assuming the safety of a dam left partially constructed. This is required when the 
director questions the financial stability of the owner or contractor or otherwise deems the bond advisable. 

 

The law also establishes funds to help finance the repair of unsafe dams: 

 

The dam repair fund is made up of monies appropriated by the legislature and monies collected from a 
lien as described under "Emergencies" and is used for emergency remedial work. The dam repair fund 
also includes appropriate funds, inspection fees, filing fees, and principal and interest collected from dam 
repair loans. This money may be used for loans and grants (described below). Monies in these funds are 
exempt from Section 35-190 relating to lapsing of appropriations. 

 

Non-emergency dam repair loans let the director grant loans to dam owners to defray the costs of repair 
which are necessary for safety reasons but not emergencies. Loans are for terms of not more than 20 years. 
The law goes on to prescribe interest rates, contractual arrangements, fund maintenance procedures, and 
defaulting procedures. 

 

Dam repair grants may be granted for the same purposes as above and may be in addition to the loans. 

 


Arizona Secretary of State - Ken Bennett 
TITLE 12. NATURAL RESOURCES 
CHAPTER 15. DEPARTMENT OF WATER RESOURCES 
Supp. 07-3 
(Authority: A.R.S. § 45-101 et seq.) 
ARTICLE 1. FEES 
Section 
R12-15-101. Reserved 
through 
R12-15-150. Reserved 
R12-15-151. Fee Schedule 
R12-15-152. Expired 
ARTICLE 2. PROCEDURAL RULES 
Article 2, consisting of Sections R12-15-201 through R12-15-224, adopted effective June 13, 1984. 
Section 
R12-15-201. Expired 
R12-15-202. Expired 
R12-15-203. Expired 
R12-15-204. Expired 
R12-15-205. Expired 
R12-15-206. Expired 
R12-15-207. Correction of Clerical Mistakes 
R12-15-208. Expired 
R12-15-209. Expired 
R12-15-210. Expired 
R12-15-211. Expired 
R12-15-212. Expired 
R12-15-213. Expired 
R12-15-214. Expired 
R12-15-215. Expired 
R12-15-216. Expired 
R12-15-217. Expired 
R12-15-218. Expired 
R12-15-219. Expired 
R12-15-220. Expired 
R12-15-221. Expired 
R12-15-222. Expired 
R12-15-223. Expired 
R12-15-224. Ex Parte Communications 
ARTICLE 3. STOCKPOND AND OTHER SURFACE 
WATER RULES 
Section 
R12-15-301. Expired 
R12-15-302. Expired 
R12-15-303. Multiple applications for water rights 
R12-15-304. Reserved 
R12-15-305. Reserved 
R12-15-306. Reserved 
R12-15-307. Reserved 
R12-15-308. Reserved 
R12-15-309. Reserved 
R12-15-310. Renumbered 
ARTICLE 4. LICENSING TIME-FRAMES 
Article 4, consisting of Sections R12-15-401 and Table A, adopted effective December 31, 1998; filed in the Office of the Secretary of State July 28, 1998 (Supp. 98-3). 
Section 
R12-15-401. Licensing Time-frames 
Table A. Licensing Time-frames 
ARTICLE 5. RESERVED 
ARTICLE 6. RESERVED 
ARTICLE 7. ASSURED AND ADEQUATE WATER SUPPLY 
Article 7, consisting of Sections R12-15-701 through R12-15-725, adopted effective February 7, 1995. 
Section 
R12-15-701. Definitions - Assured and Adequate Water Supply Programs 
R12-15-702. Physical Availability Determination 
R12-15-703. Analysis of Assured Water Supply 
R12-15-703.01. Repealed 
R12-15-704. Certificate of Assured Water Supply 
R12-15-705. Assignment of Type A Certificate of Assured Water Supply 
R12-15-706. Assignment of Type B Certificate of Assured Water Supply 
R12-15-707. Application for Classification of a Type A Certificate 
R12-15-708. Material Plat Change; Application for Review 
R12-15-709. Certificate of Assured Water Supply; Revocation 
R12-15-710. Designation of Assured Water Supply 
R12-15-711. Designation of Assured Water Supply; Annual Report Requirements, Review, Modification, Revocation 
R12-15-712. Analysis of Adequate Water Supply 
R12-15-713. Water Report 
R12-15-714. Designation of Adequate Water Supply 
R12-15-715. Designation of Adequate Water Supply; Annual Report Requirements, Review, Modification, Revocation 
TITLE 12. NATURAL RESOURCES 
AAC Table of Contents Order this Chapter 
TITLE 12. NATURAL RESOURCES Page 1 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
R12-15-716. Physical Availability 
R12-15-717. Continuous Availability 
R12-15-718. Legal Availability 
R12-15-719. Water Quality 
R12-15-720. Financial Capability 
R12-15-721. Consistency with Management Plan 
R12-15-722. Consistency with Management Goal 
R12-15-723. Extinguishment Credits 
R12-15-724. Phoenix AMA Calculation of Groundwater Allowance and Extinguishment Credits 
R12-15-725. Pinal AMA - Groundwater Allowance and Extinguishment Credits Calculation 
R12-15-726. Prescott AMA Calculation of Groundwater Allowance and Extinguishment Credits 
R12-15-727. Tucson AMA Calculation of Groundwater Allowance and Extinguishment Credits 
R12-15-728. Reserved 
R12-15-729. Remedial Groundwater; Consistency with Management Goal 
R12-15-730. Assured and Adequate Water Supply Fees 
ARTICLE 8. WELL CONSTRUCTION AND LICENSING OF WELL DRILLERS 
Article 8, consisting of Sections R12-15-801 through R12-15-821, adopted effective March 5, 1984. 
Section 
R12-15-801. Definitions 
R12-15-802. Scope of Article 
R12-15-803. Well Drilling and Abandonment Requirements; Licensing and Supervision Requirements 
R12-15-804. Application for Well Drilling License 
R12-15-805. Examination for Well Drilling License 
R12-15-806. License Fee; Issuance and Term of Licenses; Renewal; Display of License 
R12-15-807. Single Well License 
R12-15-808. Revocation of License 
R12-15-809. Notice of Intention to Drill 
R12-15-810. Authorization to Drill 
R12-15-811. Minimum Well Construction Requirements 
R12-15-812. Special Aquifer Conditions 
R12-15-813. Unattended Wells 
R12-15-814. Disinfection of Wells 
R12-15-815. Removal of Drill Rig from Well Site 
R12-15-816. Abandonment 
R12-15-817. Exploration Wells 
R12-15-818. Well Location 
R12-15-819. Use of Well as Disposal Site 
R12-15-820. Request for Variance 
R12-15-821. Special Requirements 
R12-15-822. Capping of Open Wells 
R12-15-823. Reserved 
R12-15-824. Reserved 
R12-15-825. Reserved 
R12-15-826. Reserved 
R12-15-827. Reserved 
R12-15-828. Reserved 
R12-15-829. Reserved 
R12-15-830. Reserved 
R12-15-831. Reserved 
R12-15-832. Reserved 
R12-15-833. Reserved 
R12-15-834. Reserved 
R12-15-835. Reserved 
R12-15-836. Reserved 
R12-15-837. Reserved 
R12-15-838. Reserved 
R12-15-839. Reserved 
R12-15-840. Reserved 
R12-15-841. Reserved 
R12-15-842. Reserved 
R12-15-843. Reserved 
R12-15-844. Reserved 
R12-15-845. Reserved 
R12-15-846. Reserved 
R12-15-847. Reserved 
R12-15-848. Reserved 
R12-15-849. Reserved 
R12-15-850. Evaluation of Notices of Intention to Drill; Notification of Registered Site Locations; Vertical Cross-Contamination Evaluation 
R12-15-851. Notification of Well Drilling Commencement 
R12-15-852. Notice of Well Inspection; Opportunity to Comment 
ARTICLE 9. WATER MEASUREMENT 
Article 9, consisting of Sections R12-15-901 through R12-15-905, adopted effective December 27, 1982. 
Section 
R12-15-901. Definitions 
R12-15-902. Installation of Approved Measuring Devices 
R12-15-903. Approved Water Measuring Devices and Methods 
R12-15-904. Water Measuring Method Reporting Requirements 
R12-15-905. Accuracy of Approved Measuring Devices 
R12-15-906. Repair and Replacement of Approved Measuring Devices 
R12-15-907. Calculation of Irrigation Water Deliveries 
R12-15-908. Measurement of Water by One Person on Behalf of Another 
R12-15-909. Alternative Water Measurement Devices, Methods, and Reporting 
ARTICLE 10. REPORTING REQUIREMENTS FOR ANNUAL REPORTS, ANNUAL ACCOUNTS, OPERATING FLEXIBILITY ACCOUNTS, AND CONVEYANCES OF 
GROUNDWATER RIGHTS 
Section 
R12-15-1001. Definitions 
R12-15-1002. Form of Annual Account or Annual Report 
R12-15-1003. Accuracy of Annual Reports 
R12-15-1004. Annual Reports Filed on Behalf of a Responsible Party 
R12-15-1005. Management Plan Monitoring and Reporting Requirements 
R12-15-1006. Reporting Requirements for Holders of Recovery Well Permits 
R12-15-1007. Reporting Requirements for Annual Account 
R12-15-1008. Information Required to Maintain an Operating Flexibility Account 
R12-15-1009. Credits to Operating Flexibility Account 
R12-15-1010. Operating Flexibility Account; Tailwater 
R12-15-1011. Statement of Operating Flexibility Account 
R12-15-1012. Rule of Construction 
TITLE 12. NATURAL RESOURCES Page 2 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
R12-15-1013. Retention of Records for Annual Accounts and Annual Reports 
R12-15-1014. Late Filing or Payment of Fees; Extension Penalties 
R12-15-1015. Reporting Requirements for Conveyances of Grandfathered Rights and Groundwater Withdrawal Permits 
R12-15-1016. Spillwater Reporting by Water Deliverers 
R12-15-1017. Maintenance and Filing of Annual Reports Required by A.R.S. § 45-343 
ARTICLE 11. INSPECTIONS AND AUDITS 
Article 11, consisting of Sections R12-15-1101 and R12-15-1102, adopted effective August 31, 1992 (Supp. 92-3). 
Section 
R12-15-1101. Inspections 
R12-15-1102. Audits 
ARTICLE 12. DAM SAFETY PROCEDURES 
Article 12, consisting of Sections R12-15-1201 through R12-15-1206, repealed; new Article 12, consisting of Sections R12-15-1201 through R12-15-1226 et seq., adopted by final 
rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
Section 
R12-15-1201. Applicability 
R12-15-1202. Definitions 
R12-15-1203. Exempt Structures 
Table 1. Exempt Structures 
R12-15-1204. Provision for Guidelines 
R12-15-1205. General Responsibilities 
R12-15-1206. Classification of Dams 
Exhibit A. Repealed 
Table 2. Size Classification 
Table 3. Downstream Hazard Potential Classification 
R12-15-1207. Application Process 
R12-15-1208. Application to Construct, Reconstruct, Repair, Enlarge, or Alter a High or Significant Hazard Potential Dam 
R12-15-1209. Application to Breach or Remove a High or Significant Hazard Potential Dam 
R12-15-1210. Application to Construct, Reconstruct, Repair, Enlarge, Alter, Breach, or Remove a Low Hazard Potential Dam 
R12-15-1211. Application to Construct, Reconstruct, Repair, Enlarge, Alter, Breach, or Remove a Very Low Hazard Potential Dam 
R12-15-1212. Construction of a High, Significant, or Low Hazard Potential Dam 
R12-15-1213. Completion Documents for a Significant or High Hazard Potential Dam 
R12-15-1214. Licensing 
R12-15-1215. Construction Drawings, Construction Specifications, and Engineering Design Report for a High, Significant, or Low Hazard Potential Dam 
R12-15-1216. Design of a High, Significant, or Low Hazard Potential Dam 
Table 4. Inflow Design Flood 
Table 5. Minimum Factors of Safety for Stability 
R12-15-1217. Maintenance and Repair; Emergency Actions 
R12-15-1218. Safe Storage Level 
R12-15-1219. Safety Inspections 
R12-15-1220. Existing Dams 
R12-15-1221. Emergency Action Plans 
R12-15-1222. Right of Review 
R12-15-1223. Enforcement Authority 
R12-15-1224. Emergency Procedures 
R12-15-1225. Emergency Repairs 
R12-15-1226. Non-Emergency Repairs; Loans and Grants 
ARTICLE 13. WELL SPACING REQUIREMENTS; REPLACEMENT WELLS IN APPROXIMATELY THE SAME LOCATION 
Article 13, consisting of Sections R12-15-1301 through R12-15-1308, made by final rulemaking at 12 A.A.R. 2193, effective August 7, 2006 (Supp. 06-2). 
R12-15-1301. Definitions 
R12-15-1302. Well Spacing Requirements - Applications to Construct New Wells or Replacement Wells in New Locations Under A.R.S. § 45-599 
R12-15-1303. Well Spacing Requirements - Applications for Recovery Well Permits Under A.R.S. § 45-834.01 
R12-15-1304. Well Spacing Requirements - Wells Withdrawing Groundwater From the Little Colorado River Plateau Groundwater Basin for Transportation to Another Groundwater Basin 
Under A.R.S. § 45-544(B)(1) 
R12-15-1305. Well Spacing Requirements - Applications to Use a Well to Withdraw Groundwater for Transportation to an Active Management Area Under A.R.S. § 45-559 
R12-15-1306. Well Spacing Requirements - Applications for Water Exchange Permits Under A.R.S. § 45-1041 
R12-15-1307. Well Spacing Requirements - Notices of Water Exchange Under A.R.S. § 45-1051 
R12-15-1308. Replacement Wells in Approximately the Same Location 
ARTICLE 1. FEES 
R12-15-101. Reserved 
through 
R12-15-150. Reserved 
R12-15-151. Fee Schedule 
A. The Department shall only accept or take action on an application or filing upon payment of the appropriate fee as listed below. Payment may be made by cash, check, or by entry in an 
existing Department fee-credit account established pursuant to R12-15-152. 
B. The following fees shall be paid: 
1. SURFACE WATER FEE ($) 
a. Application for permit to appropriate 
i. Less than 50 acre feet 50.00 
ii. 50 acre feet or more 75.00 
b. Permit to appropriate 
i. Less than 50 acre feet 25.00 
ii. 50 acre feet or more 50.00 
c. Claim of water right for a stockpond and 
application for certification 10.00 
d. Certificate of water right for stockpond 30.00 
e. Issue certificate of water right (except 
stockpond) 50.00 
f. Application for severance and transfer of 
water right . 500.00 
g. Application to transport water out 
of state 500.00 
h. Assignment 
i. Assignment of application for permit to 
appropriate, statement of claim, or claim 
of water right for a stockpond 10.00 
ii. Assignment and reissuance of permit to 
appropriate 20.00 
iii. Assignment and reissuance of certificate 
of water right (except stockpond) 35.00 
iv. Assignment and reissuance of certificate 
of water right for a stockpond 20.00 
2. GROUNDWATER 
a. Application for groundwater withdrawal 
permit, modifications and renewals (except 
TITLE 12. NATURAL RESOURCES Page 3 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
applications for hydrologic testing and 
temporary dewatering permits) 150.00 
b. Application for permit for hydrologic 
testing and temporary dewatering, 
modifications, and renewals 50.00 
c. Groundwater withdrawal permit 50.00 
d. Convey groundwater withdrawal permit 
(except for permits for temporary electrical 
energy generation, temporary dewatering, 
hydrologic testing, and groundwater 
replenishment district withdrawals) 35.00 
e. Application for notice of authority to irrigate 
in an irrigation nonexpansion area 50.00 
f. Convey or reissue notice of authority to 
irrigate in an irrigation nonexpansion area 35.00 
3. WATER EXCHANGES 
a. Statement of water exchange contract 100.00 
b. Application for water exchange permit 150.00 
c. Water exchange permit 100.00 
d. Renew or modify water exchange permit 100.00 
e. Notice of water exchange 150.00 
4. WELLS 
a. Reissue drilling card 10.00 
b. Permit to drill new or replacement well 30.00 
c. Registration of exempt well No charge 
d. Registration of nonexempt well 10.00 
e. Late registration of any well (post 7/16/82) 10.00 
f. Well assignments (single or group of wells 
by same owner) 10.00 
g. Well driller's licenses (except single well 
license) 50.00 
h. Reissue or renew unexpired well driller's 
license 10.00 
i. Reactivate expired well driller's license 20.00 
j. Single well license No charge 
k. Well capping 300.00 
minimum 
plus actual 
expenses 
over 300.00 
5. GRANDFATHERED RIGHTS 
a. Application for certificate of 
grandfathered right 75.00 
b. Late application for certificate of 
grandfathered right 100.00 
c. Convey or reissue certificate of 
grandfathered right 35.00 
d. Application for type 1 nonirrigation 
grandfathered right associated with retired 
irrigation l and 50.00 
e. Application to retire an irrigation 
grandfathered right from irrigation to 
nonirrigation 100.00 
f. Application for restoration of retired 
irrigation grandfathered right 50.00 
g. Purchase of flexibility account credit 
balance 100.00 
6. SUBSTITUTION OF ACRES 
a. Application to substitute irregularly shaped 
acres in an irrigation nonexpansion area or 
an active management area 50.00 
b. Application to substitute flood-damaged 
acres in an irrigation nonexpansion area or 
an active management area 100.00 
c. Application to substitute CAP acres in an 
irrigation nonexpansion area 50.00 
d. Application to substitute, or to reverse 
substitution of, CAP acres in an active 
management area 100.00 
7. ADEQUATE AND ASSURED WATER SUPPLY 
Applications, certificates, licenses, reports, and 
permits relating to assured and adequate water supply 
. . . . . . . . . . . . . . . . . . . . . . The applicable fee 
prescribed in Article 7 
of this Chapter. 
8. UNDERWATER WATER STORAGE SAVINGS AND REPLENISHMENT PROGRAM 
a. Application for underground storage 
facility permit 750.00 
b. Underground storage facility permit 500.00 
c. Convey underground storage facility permit 300.00 
d. Application for groundwater savings 
facility permit 500.00 
e. Groundwater savings facility permit 350.00 
f. Convey groundwater savings facility 
permit 300.00 
g. Application for water storage permit 250.00 
h. Water storage permit 100.00 
i. Convey water storage permit 300.00 
j. Application for recovery well permit 
i. First 10 wells 50/well 
ii. Over 10 wells 10/well 
k. Recovery well permit 
i. First 10 wells 50/well 
ii. Over 10 wells 10/well 
9. CERTIFICATES OF GROUNDWATER OVERSUPPLY 
a. Application for certificate of 
groundwater oversupply 150.00 
b. Certificate of groundwater oversupply 50.00 
10. LAKES 
a. Application for permit to fill or refill a body of water 
TITLE 12. NATURAL RESOURCES Page 4 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
i. Poor quality groundwater 150.00 
ii. Interim 50.00 
b. Permit to fill or refill a body of water 
i. Poor quality groundwater 75.00 
ii. Interim 30.00 
c. Application for determination of substantial 
capital investment to fill or refill a body of 
water 50.00 
d. Application and permit for temporary emergency use of water to fill a body of water 50.00 
11. SAFETY OF DAMS 
a. Application for review No charge 
b. Application filing fee - review of plans and 
studies based upon dam cost 
i. First $100,000 2.0% 
ii. Next $400,000 1.5% 
iii. Next $500,000 1.0% 
iv. Remainder over $1,000,000 .5% 
c. Safety Inspections 
i. Per inspection 100.00 
ii. Plus, per foot of height 2.00 
12. WEATHER MODIFICATION 
a. Application for weather modification 
license 100.00 
b. License to manufacture or sell weather 
modification equipment 10.00 
13. COPIES 
a. Photocopies .25/page 
b. Microfiche copies .30/page 
c. Computer reports: 
i. First page of report 15.00 
ii. Additional page .25 each 
d. Certified copies 2.75/page 
C. In addition to the fees listed above, the applicant shall pay the Department the actual cost of mailing and/or publishing any legal notice required by statute. 
Historical Note 
Adopted effective October 8, 1982 (Supp. 82-5). Amended effective June 29, 1994 (Supp. 94-2). Amended effective March 3, 1995 (Supp. 95-1). Amended by final rulemaking at 11 A.A.R. 
5395, effective February 4, 2006 (Supp. 05-4). Amended by final rulemaking at 13 A.A.R. 3022, effective October 6, 2007 (Supp. 07-3). 
R12-15-152. Expired 
Historical Note 
Adopted effective October 8, 1982 (Supp. 82-5). Section expired under A.R.S. § 41-1056(E) at 13 A.A.R. 1647, effective May 31, 2006 (Supp. 07-2). 
ARTICLE 2. PROCEDURAL RULES 
R12-15-201. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). The reference to R12-14-223 in subsection (C) corrected to read R12-15-223 (Supp. 93-1). Section expired under A.R.S. § 41-1056(E) at 7 
A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-202. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-203. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-204. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-205. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-206. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-207. Correction of Clerical Mistakes 
Upon a motion or on the initiative of the Director, the Director may correct clerical mistakes in decisions, orders, rulings, any process issued by the Department, or other parts of the record, and 
errors in the record arising from oversight or omission. The Director shall give all parties and the Chief Counsel notice of any corrections made pursuant to this Section. 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Amended by final rulemaking at 13 A.A.R. 3022, effective October 6, 2007 (Supp. 07-3). 
R12-15-208. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-209. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-210. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-211. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-212. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-213. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-214. Expired 
Historical Note 
TITLE 12. NATURAL RESOURCES Page 5 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-215. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section number corrected (Supp. 93-1). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01- 
2). 
R12-15-216. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-217. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-218. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-219. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-220. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-221. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-222. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-223. Expired 
Historical Note 
Adopted effective June 13, 1984 (Supp. 84-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2159, effective February 28, 2001 (Supp. 01-2). 
R12-15-224. Ex Parte Communications 
A. During the course of a contested case or appealable agency action, a party shall not make an ex parte communication or knowingly cause an ex parte communication to be made to the Director 
or other Department employee or consultant who is or may reasonably be expected to be involved in the decision-making process of the contested case or appealable agency action. 
B. During the course of a contested case or appealable agency action, the Department personnel listed in subsection (A) shall not make an ex parte communication or knowingly cause an ex parte 
communication to be made to a party or a person who will be materially and directly affected by the outcome of the contested case or appealable agency action. 
C. Any of the Department personnel listed in subsection (A) of this Section who receives a written communication prohibited by this Section shall file a copy of the communication in the public 
docket and serve a copy on the Director, the Chief Counsel, and all parties to the contested case or appealable agency action. Any of the Department personnel listed in subsection (A) of this 
Section who receives an oral communication prohibited by this Section shall file a summary, stating the substance of the communication, in the public docket and serve a copy on the 
Director, the Chief Counsel, and all parties to the contested case or appealable agency action. 
D. Upon receipt of an ex parte communication or a copy or summary of an ex parte communication made or knowingly caused to be made by a party in violation of this Section, the Director, to 
the extent consistent with the interests of justice and the policy of the underlying statutes and rules, may require the party to show cause why the party's claim or interest in the contested case 
or appealable agency action should not be dismissed, denied or disregarded because of the violation. 
E. For purposes of this Section, "ex parte communication" means any written or oral communication relating to the merits of a contested case or appealable agency action, except: 
1. Communications made in the course of official proceedings in the contested case or appealable agency action; 
2. Communications made in writing, if a copy of the communication is promptly served on the Director, the Chief Counsel, and all parties to the contested case or appealable agency action; 
3. Oral communications made after adequate notice, stating the substance of each communication, to all parties and the Chief Counsel; 
4. Communications relating solely to procedural matters; and 
5. As otherwise authorized by law. 
Historical Note 
Adopted effective June, 1984 (Supp. 84-3). Amended by final rulemaking at 13 A.A.R. 3022, effective October 6, 2007 (Supp. 07-3). 
ARTICLE 3. STOCKPOND AND OTHER SURFACE WATER RULES 
R12-15-301. Expired 
Historical Note 
Adopted effective October 8, 1982 (Supp. 82-5). Amended effective April 3, 1987 (Supp. 87-2). Amended effective May 7, 1990 (Supp. 90-2). Section expired under A.R.S. § 41-1056(E) at 
7 A.A.R. 2012, effective February 28, 2001 (Supp. 01-2). 
R12-15-302. Expired 
Historical Note 
Adopted effective October 8, 1982 (Supp. 82-5). Amended effective May 7, 1990 (Supp. 90-2). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 2012, effective February 28, 2001 
(Supp. 01-2). 
R12-15-303. Multiple Applications for Water Rights 
A. If two or more applications are filed with the Director pursuant to A.R.S. §§ 45-152 or 45-273 or both by or for the same applicant and for a right to use the same water, the Director shall 
consolidate the applications. If the applicant is otherwise entitled to both a permit to appropriate and a certificate of stockpond water right, the Director shall issue to the applicant either the 
permit to appropriate or the certificate of stockpond water right, whichever would give the applicant the higher priority. 
B. If one or more applications are filed with the Director pursuant to A.R.S. §§ 45-152 or 45-273 or both by or for the same applicant and for a right to use the same water for which the applicant 
holds a permit to appropriate, a certificate of water right or a certificate of stockpond water right, the Director shall deny the application or applications unless the applicant relinquishes 
every permit to appropriate, certificate of water right and certificate of stockpond water right which the applicant holds for that same water. The applicant may relinquish every permit to 
appropriate, certificate of water right and certificate of stockpond water right on the condition that the Director issues a permit to appropriate or certificate of stockpond water right to the 
applicant for the same water. In that case, the relinquishment shall be effective when the Director issues the permit to appropriate or certificate of stockpond water right. 
C. For purposes of this rule, "same water" means the same quantity of water from the same source for use at the same place for the same purpose. Water for which a right is applied or held 
pursuant to an application or permit to appropriate, certificate of water right or certificate of stockpond water right may be the same water in whole or in part as water for which a right is 
applied or held pursuant to a separate application or permit to appropriate, certificate of water right or certificate of stockpond water right. 
Historical Note 
Adopted effective April 3, 1987 (Supp. 87-2). Section R12-15-310 renumbered to R12-15-303 and amended effective May 7, 1990 (Supp. 90-2). 
R12-15-304. Reserved 
R12-15-305. Reserved 
R12-15-306. Reserved 
R12-15-307. Reserved 
R12-15-308. Reserved 
R12-15-309. Reserved 
R12-15-310. Renumbered 
Historical Note 
Adopted effective April 3, 1987 (Supp. 87-2). Section R12-15-310 renumbered to R12-15-303 effective May 7, 1990 (Supp. 90-2) 
TITLE 12. NATURAL RESOURCES Page 6 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
ARTICLE 4. LICENSING TIME-FRAMES 
R12-15-401. Licensing Time-frames 
The following time-frames apply to licenses issued by the Department. In this Article, "license" has the meaning prescribed in A.R.S. § 41-1001. The licensing time-frames consist of an 
administrative completeness review time-frame, a substantive review time-frame, and an overall time-frame. 
1. Within the administrative completeness review time- frames set forth in subsection (7), the Department shall notify the applicant in writing whether the application is complete or 
incomplete. If the application is incomplete, the notice shall specify what information or component is required to make the application complete. 
2. An applicant with an incomplete application shall supply the missing information within 60 days from the date of the notice, or within such further time as the Director may specify, 
unless another time limit is specified by statute or applicable rule. If the applicant fails to complete the application within the specified time period, the Director may deny the 
application. Denial of an application under this provision does not preclude the applicant from filing a new application. 
3. Within the overall time-frames set forth in subsection (7), unless extended by mutual agreement under A.R.S. § 41-1075, the Department shall notify the applicant in writing that the 
application is granted or denied. If the application is denied, the Department shall provide written justification for the denial and a written explanation of the applicant's right to a 
hearing or the applicant's right to appeal. 
4. In computing any period of time prescribed by this rule, the day of the filing, notice or event from which the designated period of time begins to run shall not be included. The last day of 
the computed period shall be included, unless it is a Saturday, Sunday, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday, Sunday, 
or legal holiday. When the prescribed administrative completeness review time-frame or substantive review time-frame is less than 11 days, intermediate Saturdays, Sundays and legal 
holidays shall be excluded from the computation. The overall time-frame is the sum of the administrative completeness review time-frame and the substantive review time-frame 
calculated as prescribed by this Section. 
5. Except as otherwise noted, the licensing time-frames do not include time for hearings. Time-frames in cases where a hearing is held are increased by 120 days. 
6. The licensing time-frame rules are effective after December 31, 1998, as prescribed by A.R.S. § 41-1073(A), and apply to all applications filed after that date. 
7. The licensing time-frames are set forth in Table A. 
Historical Note 
Adopted effective December 31, 1998; filed with the Office of the Secretary of State July 28, 1998 (Supp. 98-3). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 
2006 (Supp. 05-4). 
Table A. Licensing Time-frames 
No. License Legal Authority 
Completeness Review 
(Days)* 
Substantive Review (Days)* 
Overall Time-frame 
(Days)* 
1 Filling a body of water with poor quality water A.R.S. § 45-132(C) 30 60 90 
2 Interim water use in body of water A.R.S. § 45-133 30 60 90 
3 
Temporary emergency permit for use of surface water or 
groundwater in body of water 
A.R.S. § 45-134 10 20 30 
4 
Permit to appropriate water 
(non-instream flow) 
A.R.S. §§ 45-151 and 45- 
153 
30 420 450 
5 Permit to appropriate water (instream flow) 
A.R.S. §§ 45-151 and 45- 
153 
50 530 580 
6 Change in use of water A.R.S. § 45-156(B) 30 375 405 
7 Exception to limitation on time of completion of construction A.R.S. § 45-160 5 15 20 
8 Primary reservoir permit A.R.S. § 45-161 30 420 450 
9 Secondary reservoir permit A.R.S. § 45-161 30 420 450 
10 
Certificate of water right 
(non-instream flow) 
A.R.S. § 45-162 20 100 120 
11 Certificate of water right (instream flow) A.R.S. § 45-162 20 190 210 
12 
Reissuance of permit or certificate held by the United States or 
State of Arizona 
A.R.S. § 45-164(C) 10 80 90 
13 Severance and transfer 
A.R.S. § 45-172 
(excluding 172.6) 
30 390 420 
14 Stockpond certificate A.R.S. § 45-273 30 190 220 
15 Transporting water from this state ** A.R.S. § 45-292 120 300 420 
16 Waiver of water conserving plumbing fixture requirement A.R.S. § 45-315 10 3 13 
17 Irrigated acreage in an irrigation non-expansion area A.R.S. § 45-437 30 90 120 
18 
Substitution of acres in an irrigation non-expansion area/flood 
damage 
A.R.S. § 45-437.02 30 90 120 
19 
Substitution of acres in an irrigation non-expansion 
area/impediments to efficient irrigation 
A.R.S. § 45-437.03 30 90 120 
20 
Reversal of substitution of acres irrigated with Central Arizona 
Project water 
A.R.S. § 45-452(G) 30 90 120 
21 
Type 1 non-irrigation grandfathered right associated with 
irrigation land retired 1965-1980 
A.R.S. §§ 45-463, 45- 
476.01, and 45-476 
30 90 120 
22 Type 2 non-irrigation grandfathered right 
A.R.S. §§ 45-464, 45- 
476.01, and 45-476 
30 90 120 
23 Irrigation grandfathered right 
A.R.S. §§ 45-465, 45- 
476.01, and 45-476 
30 90 120 
24 
Substitution of acres in an active management area/flood 
damaged acres 
A.R.S. § 45-465.01 30 90 120 
25 
Substitution of acres in an active management area/impediments 
to efficient irrigation 
A.R.S. § 45-465.02 30 90 120 
26 Type 1 non-irrigation right retired after 6/12/80 A.R.S. § 45-469 30 90 120 
27 Restoration of retired irrigation grandfathered right A.R.S. § 45-469(O) 30 90 120 
28 
Revised certificate for new or additional points of withdrawal 
for a Type 2 right 
A.R.S. § 45-471(C) 45 135 180 
29 
Conveyance of irrigation grandfathered right for electrical 
energy generation 
A.R.S. § 45-472(B)(2) 30 90 120 
30 
Conveyance of irrigation grandfathered right for non-irrigation 
use within service area 
A.R.S. § 45-472(C) 30 90 120 
31 Contract to supply groundwater A.R.S. § 45-492(C) 15 90 105 
32 
Extension of service area to provide disproportionally large 
amount of water to large user 
A.R.S. § 45-493(A)(2) 15 90 105 
33 Addition/exclusion of acres by irrigation district A.R.S. § 45-494.01(A) 30 90 120 
34 
Delivery of groundwater from an irrigation district to a general 
industrial use permit holder 
A.R.S. § 45-497(B) 15 60 75 
A.R.S. §§ 45-513 and 45- 
TITLE 12. NATURAL RESOURCES Page 7 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
35 Issuance/renewal/modification of dewatering permit 527 30 70 100 
36 
Issuance/renewal/modification of mineral extraction and 
metallurgical processing permit 
A.R.S. §§ 45-514 and 45- 
527 
30 70 100 
37 Issuance/renewal/modification of general industrial use permit 
A.R.S. §§ 45-515, 45-521, 
45-522, 45-523, 45-524, and 
45-527 
30 70 100 
38 
Issuance/renewal/modification of poor quality groundwater 
withdrawal permit 
A.R.S. §§ 45-516 and 45- 
527 
30 70 100 
39 
Issuance/renewal/modification of temporary permit for electrical 
energy generation 
A.R.S. §§ 45-517 and 45- 
527 
30 70 100 
40 Issuance/extension/modification of temporary dewatering permit 
A.R.S. §§ 45-518 and 45- 
527 
30 70 100 
41 Emergency temporary dewatering permit A.R.S. § 45-518(D) 3 7 10 
42 
Issuance/renewal/modification of drainage water withdrawal 
permit 
A.R.S. §§ 45-519 and 45- 
527 
30 70 100 
43 Issuance/renewal/modification of hydrologic testing permit 
A.R.S. §§ 45-519.01, 45- 
521, 45-522, 45-524, and 
45-527 
30 30 60 
44 Change of location of use 
A.R.S. §§ 45-520(A), 
45-521, and 45-527 
30 30 60 
45 Conveyance of a groundwater withdrawal permit A.R.S. § 45-520(B) 30 30 60 
46 
Transportation of groundwater withdrawn in McMullen Valley 
Basin to an active management area 
A.R.S. § 45-552(B) 45 105 150 
47 
Transportation of groundwater withdrawn in Harquahala 
irrigation non-expansion area to an initial active management 
area 
A.R.S. § 45-554(B) 45 105 150 
48 
Transportation of groundwater withdrawn in Big Chino 
subbasin to an initial active management area 
A.R.S. § 45-555(B) 45 105 150 
49 
Well spacing requirements for withdrawing groundwater for 
transportation to an active management area 
A.R.S. § 45-559 45 105 150 
50 
Groundwater replenishment district's preliminary or long-term 
replenishment plan ** 
A.R.S. § 45-576.03 
As prescribed by A.R.S. § 
45-576.03(A) 
As prescribed by A.R.S. § 45- 
576.03 (B), (C), (D), and (E) 
As prescribed by 
A.R.S. § 45-576.03 
51 
Conservation district or water district long-term replenishment 
plan ** 
A.R.S. §§ 45-576.03, 
45-576.02(C), and 
45-576.02(E) 
As prescribed by 
A.R.S. § 45-576.03(I) 
As prescribed by 
A.R.S. § 45-576.03(J), (K), (L), 
and (M) 
As prescribed by 
A.R.S. § 45-576.03 
52 Notice of intent to abandon a well 
A.R.S. § 45-594 and 
A.A.C. R12-15-816 
15 15 30 
53 Well construction request for variance 
A.R.S. §§ 45-594, 
45-596(D), and A.A.C. R12- 
15-820 
15 35 50 
54 Well driller license A.R.S. § 45-595(C) 25 105 130 
55 Single well license A.R.S. § 45-595(D) 25 105 130 
56 Renewal or reactivation of well drilling license 
A.R.S. § 45-595(C) A.A.C. 
R12-15-806 
25 15 40 
57 Notice of intent to drill 
A.R.S. § 45-596, and 
A.A.C. R12-15-810 
15 0 15 
58 Well construction permit A.R.S. § 45-599 30 60 90 
59 Alternative water measuring devices 
A.R.S. § 45-604 and A.A.C. 
R12-15-909 
15 60 75 
60 Underground storage facility permit 
A.R.S. §§ 45-811.01 and 45- 
871.01 
As prescribed by 
A.R.S. § 45-871.01(B) 
As prescribed by 
A.R.S. § 45-871.01(D), (G), and 
(H) 
As prescribed by 
A.R.S. § 45-871.01 
61 Groundwater savings facility permit 
A.R.S. §§ 45-812.01 and 45- 
871.01 
As prescribed by A.R.S. § 
45-871.01(B) 
As prescribed by A.R.S. § 45- 
871.01(D), (G), and (H) 
As prescribed by 
A.R.S. § 45-871.01 
62 Storage facility permit renewal/conveyance/modification 
A.R.S. §§ 45-814.01 and 45- 
871.01 
As prescribed by A.R.S. § 
45-871.01(B) 
As prescribed by A.R.S. § 45- 
871.01(D), (G), and (H) 
As prescribed by A.R.S. § 
45-871.01 
63 Water storage permit modification/conveyance 
A.R.S. §§ 45-831.01 and 45- 
871.01 
As prescribed by 
A.R.S. §§ 45-831.01(G) 
and 45-871.01(B) and (E) 
As prescribed by A.R.S. §§ 45- 
831.01(G) and 45-871.01(D), (E), 
(G), and (H) 
As prescribed by A.R.S. 
§§ 45-831.01(G) and 45- 
871.01 
64 Recovery well permit 
A.R.S. §§ 45-834.01 and 45- 
871.01 
As prescribed by 
A.R.S. § 45-871.01(B) 
As prescribed by A.R.S. § 45- 
871.01(F), (G), and (H) 
As prescribed by 
A.R.S. § 45-871.01 
65 Emergency temporary recovery well permit A.R.S. § 45-834.01(D) 5 10 15 
66 Issuance/renewal/modification of water exchange permit 
A.R.S. §§ 45-1041, 
45-1042, and 45-1045 
As prescribed by 
A.R.S. § 45-1042(A) 
As prescribed by A.R.S. § 45-1042 
(B), (C), and (D) 
As prescribed by 
A.R.S. § 45-1042 
67 
Modification of previously enrolled or permitted water 
exchange/non-Colorado River 
A.R.S. § 45-1041(B) 60 90 150 
68 
Construction, enlargement, repair, alteration, or removal of a 
dam 
A.R.S. §§ 45-1203, 
45-1206, and 45-1207 
120 60 180 
69 Weather modification license A.R.S. § 45-1601 15 60 75 
70 Certificate of Assured Water Supply 
A.A.C. R12-15-702, 
A.R.S. §§ 45-576 and 45- 
578 
150 60 210 
71 
Designation or Modification of Designation of Assured Water 
Supply 
A.A.C. R12-15-702 
and R12-15-714; A.R.S. § 
45-576 
150 60 210 
72 Analysis of Assured Water Supply/unplatted development plan 
A.A.C. R12-15-712, 
A.R.S. § 45-576(H) 
150 30 180 
73 Assured Water Supply for State lands 
A.A.C. R12-15-713, 
A.R.S. § 37-334(F) 
30 60 90 
74 Water adequacy report 
A.A.C. R12-15-716, 
A.R.S. § 45-108 
60 60 120 
A.A.C. R12-15-716, 
TITLE 12. NATURAL RESOURCES Page 8 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
* The computation of days is prescribed by subsection (4). 
** Hearing is required. 
Historical Note 
Adopted effective December 31, 1998; filed with the Office of the Secretary of State July 28, 1998 (Supp. 98-3). 
ARTICLE 5. RESERVED 
ARTICLE 6. RESERVED 
ARTICLE 7. ASSURED AND ADEQUATE WATER SUPPLY 
R12-15-701. Definitions - Assured and Adequate Water Supply Programs 
In addition to any other definitions in A.R.S. Title 45 and the management plans in effect at the time of application, the following words and phrases in this Article shall have the following 
meanings, unless the context otherwise requires: 
1. "Abandoned plat" means a plat for which a certificate or water report has been issued and that will not be developed because of one of the following: 
a. The land has been developed for another use; or 
b. Legal restrictions will preclude approval of the plat. 
2. "ADEQ" means the Arizona Department of Environmental Quality. 
3. "Adequate delivery, storage, and treatment works" means: 
a. A water delivery system with sufficient capacity to deliver enough water to meet the needs of the proposed use; 
b. Any necessary storage facilities with sufficient capacity to store enough water to meet the needs of the proposed use; and 
c. Any necessary treatment facilities with sufficient capacity to treat enough water to meet the needs of the proposed use. 
4. "Adequate storage facilities" means facilities that can store enough water to meet the needs of the proposed use. 
5. "Affiliate" means a person who, directly or indirectly through one or more intermediaries, controls, is controlled by or is under common control with the person specified. 
6. "AMA" means an active management area as defined in A.R.S. § 45-402. 
7. "Analysis" means an analysis of assured water supply or an analysis of adequate water supply. 
8. "Analysis holder" means a person to whom an analysis of assured water supply or an analysis of adequate water supply is issued and any current owner of land included in the analysis. 
9. "Analysis of adequate water supply" means a determination issued by the Director stating that one or more criteria required for a water report pursuant to R12-15-713 have been 
demonstrated for a development. 
10. "Analysis of assured water supply" means a determination issued by the Director stating that one or more criteria required for a certificate of assured water supply pursuant to R12-15- 
704 have been demonstrated for a development. 
11. "Annual authorized volume" means, for an approved remedial action project, the annual authorized volume specified in a consent decree or other document approved by ADEQ or the 
EPA, except that: 
a. If no annual authorized amount is specified in a consent decree or other document approved by ADEQ or the EPA, the annual authorized volume is the largest volume of 
groundwater withdrawn pursuant to the approved remedial action project in any year prior to January 1, 1999. 
b. If the Director increases the annual authorized volume pursuant to R12-15-729(C), the annual authorized volume is the amount approved by the Director. 
12. "Annual estimated water demand" means the estimated water demand divided by 100. 
13. Approved remedial action project" means a remedial action project approved by ADEQ under A.R.S. Title 49, or by the EPA under CERCLA. 
14. "Authorized remedial groundwater use" means, for any year, the amount of remedial groundwater withdrawn pursuant to an approved remedial action project and used by a municipal 
provider during the year, not to exceed the annual authorized volume of the project. 
15. "Build-out" means a condition in which all water delivery mains are in place and active water service connections exist for all lots. 
16. "CAP water" means: 
a. All water from the Colorado River or from the Central Arizona Project works authorized in P.L. 90-537, excluding enlarged Roosevelt reservoir, which is made available pursuant to 
a subcontract with a multi-county water conservation district. 
b. Any additional water not included in subsection 16(a) of this Section that is delivered by the United States Secretary of the Interior pursuant to an Indian water rights settlement 
through the Central Arizona Project. 
17. "Central Arizona Groundwater Replenishment District" or "CAGRD" means a multi-county water conservation district acting in its capacity as the entity established pursuant to A.R.S. § 
48-3771, et seq., and responsible for replenishing excess groundwater. 
18. "Central distribution system" means a water system that qualifies as a public water system pursuant to A.R.S. § 49-352. 
19. "CERCLA" or "Comprehensive Environmental Response, Compensation, and Liability Act of 1980" has the same meaning as prescribed in A.R.S. § 49-201. 
20. "Certificate" means a certificate of assured water supply issued by the Director for a subdivision pursuant to A.R.S. § 45-576 et seq. and this Article. 
21. "Certificate holder" means any person included on a certificate, except the following: 
a. Any person who no longer owns any portion of the property included in the certificate, and 
b. Any potential purchaser for whom the purchase contract has been terminated or has expired. 
22. "Certificate of convenience and necessity" means a certificate required by the Arizona Corporation Commission, pursuant to A.R.S. § 40-281, which allows a private water company to 
serve water to customers within its certificated area. 
23. "Colorado River water" means water from the main stream of the Colorado River. For purposes of this Article, Colorado River water does not include CAP water. 
24. "Committed demand" means the 100-year water demand at build-out of all recorded lots that are not yet served water within the service area of a designation applicant or a designated 
provider. 
25. "County water augmentation authority" means an authority formed pursuant to A.R.S. Title 45, Chapter 11. 
26. "Current demand" means the 100-year water demand for existing uses within the service area of a designation applicant or designated provider, based on the annual report for the 
previous calendar year. 
27. "Depth-to-static water level" means the level at which water stands in a well when no water is withdrawn by pumping or by free flow. 
28. "Designated provider" means: 
a. A municipal provider that has obtained a designation of assured or adequate water supply; or 
b. A city or town that has obtained a designation of adequate water supply pursuant to A.R.S. § 45-108(D). 
29. "Designation means a decision and order issued by the director designating a municipal provider as having an assured water supply or an adequate water supply. 
30. "Determination of adequate water supply" means a water report, a designation of adequate water supply, or an analysis of adequate water supply. 
31. "Determination of assured water supply" means a certificate, a designation of assured water supply, or an analysis of assured water supply. 
32. "Development" means either a subdivision or an unplatted development plan. 
33. "Diversion works" means a structure or well that allows or enhances diversion of surface water from its natural course for other uses. 
34. "Drought response plan" means a plan describing a variety of conservation and augmentation measures, especially the use of backup water supplies, that a municipal provider will utilize 
in operating its water supply system in times of a water supply shortage. The plan may include the following: 
a. An identification of priority water uses consistent with applicable public policies. 
b. A description of sources of emergency water supplies. 
c. An analysis of the potential use of water pressure reduction. 
d. Plans for public education and voluntary water use reduction. 
e. Plans for water use bans, restrictions, and rationing. 
f. Plans for water pricing and penalties for excess water use. 
g. Plans for coordination with other cities, towns, and private water companies. 
35. "Drought volume" means 80% of the volume of a surface water supply, determined by the director under R12-15-716 to be physically available on an annual basis to a certificate holder 
or a designated provider. 
36. "Dry lot development" means a development or subdivision without a central water distribution system. 
37. "EPA" means the United States Environmental Protection Agency. 
38. "Estimated water demand" means: 
a. For a certificate or water report, the Director's determination of the 100-year water demand for all uses included in the subdivision; 
b. For a designation, the sum of the following: 
i. The Director's determination of the current demand; 
ii. The Director's determination of the committed demand; and 
iii. The Director's determination of the projected demand during the term of the designation; or 
c. For an analysis, the Director's determination of the water demand for all uses included in the development. 
39. "Existing municipal provider" means a municipal provider that was in operation and serving water for non-irrigation use on or before January 1, 1990. 
40. "Extinguish" means to cause a grandfathered right to cease to exist through a process established by the director pursuant to R12-15-723. 
41. "Extinguishment credit" means a credit that is issued by the Director in exchange for the extinguishment of a grandfathered right and that may be used to make groundwater use 
75 
Designation or Modification of Designation of Adequate Water 
Supply 
A.A.C. R12-15-725 A.R.S. 
§ 45-108 
150 60 210 
76 Analysis of water adequacy/unplatted 
A.R.S. § 45-108 A.A.C. 
R12-15-723 
60 60 120 
77 Adequate Water Supply for State lands 
A.R.S. § 45-108 
A.A.C. R12-15-724 
30 60 90 
TITLE 12. NATURAL RESOURCES Page 9 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
consistent with the management goal of an AMA. 
42. "Firm yield" means the minimum annual diversion for the period of record which may include runoff releases from storage reservoirs, and surface water withdrawn from a well. 
43. "Management plan" means a water management plan adopted by the director pursuant to A.R.S. § 45-561 et seq. 
44. "Master-planned community" has the same meaning as provided in A.R.S. § 32-2101. 
45. "Median flow" means the flow which is represented by the middle value of a set of flow data that are ranked in order of magnitude. 
46. "Member land" has the same meaning as provided in A.R.S. § 48-3701. 
47. "Member service area" has the same meaning as provided in A.R.S. § 48-3701. 
48. "Multi-county water conservation district" means a district established pursuant to A.R.S. Title 48, Chapter 22. 
49. "Municipal provider" has the same meaning as provided in A.R.S. § 45-561. 
50. "New municipal provider" means a municipal provider that began serving water for non-irrigation use after January 1, 1990. 
51. "Owner" means: 
a. For an analysis, certificate, or water report applicant, a person who holds fee title to the land described in the application; or 
b. For a designation applicant, the person who will be providing water service pursuant to the designation. 
52. "Perennial" means a stream that flows continuously. 
53. "Persons per household" means a measure obtained by dividing the number of persons residing in housing units by the number of housing units. 
54. "Physical availability determination" means a letter issued by the Director stating that an applicant has demonstrated all of the criteria in R12-15-702(C). 
55. "Plat" means a preliminary or final map of a subdivision in a format typically acceptable to a platting entity. 
56. "Potential purchaser" means a person who has entered into a purchase agreement for land that is the subject of an application for a certificate or an assignment of a certificate. 
57. "Projected demand" means the 100-year water demand at build-out, not including committed or current demand, of customers reasonably projected to be added and plats reasonably 
projected to be approved within the designated provider's service area and reasonably anticipated expansions of the designated provider's service area. 
58. "Proposed municipal provider" means a municipal provider that has agreed to serve a proposed subdivision. 
59. "Purchase agreement" means a contract to purchase or acquire an interest in real property, such as a contract for purchase and sale, an option agreement, a deed of trust, or a subdivision 
trust agreement. 
60. "Remedial groundwater" means groundwater withdrawn pursuant to an approved remedial action project, but does not include groundwater withdrawn to provide an alternative water 
supply pursuant to A.R.S. § 49-282.03. 
61. "Service area" means: 
a. For an application for an analysis of adequate water supply, a water report, or a designation of adequate water supply, the area of land actually being served water for a non-irrigation 
use by the municipal provider and additions to the area that contain the municipal provider's operating distribution system for the delivery of water for a non-irrigation use; 
b. For an application for a designation of adequate water supply pursuant to A.R.S. § 45-108(D), the area of land actually being served water for a non-irrigation use by each municipal 
provider that serves water within the city or town, and additions to the area that contain each municipal provider's operating distribution system for the delivery of water for a nonirrigation 
use; or 
c. For an application for a certificate or designation of assured water supply, "service area" has the same meaning as prescribed in A.R.S. § 45-402. 
62. "Subdivision" has the same meaning as prescribed in A.R.S. § 32-2101. 
63. "Superfund site" means the site of a remedial action undertaken pursuant to CERCLA. 
64. "Surface water" means any surface water as defined in A.R.S. § 45-101, including CAP water and Colorado River water. 
65. "Water Quality Assurance Revolving Fund site" or "WQARF site" means a site of a remedial action undertaken pursuant to A.R.S. Title 49, Chapter 2, Article 5. 
66. "Water report" means a letter issued to the Arizona Department of Real Estate by the Director for a subdivision stating whether an adequate water supply exists pursuant to A.R.S. § 45- 
108 and this Article. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Amended by emergency rulemaking at 11 A.A.R. 2706, effective June 29, 2005 for 180 days (Supp. 05-2). Emergency renewed for 180 
days at 12 A.A.R. 144, effective December 23, 2005 (Supp. 05-4). Emergency expired. Amended by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-702. Physical Availability Determination 
A. A person may apply for a physical availability determination by submitting an application on a form prescribed by the Director with the fee required by R12-15-730, and providing the 
following information with the application: 
1. The proposed source of water for which the applicant is seeking a determination of physical availability, 
2. Evidence that the applicant has complied with subsection (C) of this Section, and 
3. Any other information that the Director reasonably deems necessary to determine whether water is physically available in the area that is the subject of the application. 
B. Each applicant shall sign an application for a physical availability determination. If an applicant is not a natural person, the applicant's authorized officer, managing member, partner, trust 
officer, trustee or other person who performs similar decision-making functions for the applicant shall sign the application. If the applicant submits a letter, signed by the applicant and dated 
within 90 days of the date the application is submitted, authorizing a representative to submit applications for permits regarding the land to be included in the determination, the authorized 
representative may sign the application on the applicant's behalf. 
C. An applicant for a physical availability determination shall demonstrate the following: 
1. The volume of water that is physically available for 100 years in the area that is the subject of the application, according to the criteria in R12-15-716. 
2. That the proposed sources of water will be of adequate quality, according to the criteria in R12-15-719. 
D. After a complete application is submitted, the Director shall review the application and associated evidence to determine whether the applicant has demonstrated all of the criteria in subsection 
(C) of this Section. If the Director determines that the applicant has demonstrated all of the criteria in subsection (C) of this Section, the Director shall issue a physical availability 
determination. 
E. Any person applying for a determination of assured water supply or a determination of adequate water supply may use an existing physical availability determination for purposes of R12-15- 
716. The Director shall consider any changes in hydrologic conditions for purposes of R12-15-716. 
F. The issuance of a physical availability determination does not reserve any water for purposes of this Article. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-703. Analysis of Assured Water Supply 
A. A person proposing to develop land that will not be served by a designated provider may apply for an analysis of assured water supply before applying for a certificate. An applicant for an 
analysis must be the owner of the land that is the subject of the application or have the written consent of the owner. The commissioner of the Arizona State Land Department may apply for 
an analysis for land owned by the state of Arizona or may consent to the inclusion of such land in an application. 
B. An applicant for an analysis shall submit an application on a form prescribed by the Director with the fee required by R12-15-730, and attach the following: 
1. A title report, condition of title report, limited search title report, or recorded deed, dated within 90 days of the date the application is submitted, demonstrating the ownership of the land 
that is the subject of the application; 
2. A description of the development, including: 
a. A map of the land uses included in the development, 
b. A list of water supplies proposed to be used by the development, 
c. A summary of land use types included in the development, and 
d. An estimate of the water demand for the land uses included in the development; and 
3. Evidence that the applicant has complied with subsection (E) of this Section. 
C. An applicant shall sign the application for an analysis. If an applicant is not a natural person, the applicant's authorized officer, managing member, partner, trust officer, trustee, or other person 
who performs similar decision-making functions for the applicant shall sign the application. If the applicant submits a letter, signed by the applicant and dated within 90 days of the date the 
application is submitted, authorizing a representative to submit applications for permits regarding the land to be included in the analysis, the authorized representative may sign the 
application on the applicant's behalf. 
D. After a complete application is submitted, the Director shall determine the estimated water demand of the development. 
E. The Director shall issue an analysis if an applicant demonstrates one or more of the following: 
1. Sufficient supplies of water are physically available to meet all or part of the estimated water demand of the development for 100 years, according to the criteria in R12-15-716. 
2. Sufficient supplies of water are continuously available to meet the estimated water demand of the development for 100 years, according to the criteria in R12-15-717. 
3. Sufficient supplies of water are legally available to meet the estimated water demand of the development for 100 years, according to the criteria in R12-15-718. 
4. The proposed sources of water are of adequate quality, according to the criteria in R12-15-719. 
5. Any proposed groundwater use is consistent with the management plan in effect at the time of the application, according to the criteria in R12-15-721. 
6. Any proposed groundwater use is consistent with the management goal, according to the criteria in R12-15-722. 
F. For 10 years after the Director issues an analysis, or a longer period allowed under subsections (H) or (I) of this Section: 
1. If groundwater is a source of supply in the analysis and the applicant demonstrates that groundwater is physically available under subsection (E)(1) of this Section, the Director shall 
consider that supply of groundwater reserved for the use of the proposed development in subsequent determinations of physical availability pursuant to R12-15-716(B). 
2. If an analysis holder applies for a certificate for a subdivision located on land included in the analysis, the Director shall presume that a criterion demonstrated in the analysis remains 
satisfied with respect to the subdivision, unless the Director has received new evidence demonstrating that the criterion is not satisfied. If the Director issues the certificate, the Director 
shall reduce the volume of groundwater reserved pursuant to subsection (F)(1) of this Section by the amount of the estimated water demand for the certificate that will be met with 
groundwater. 
G. The Director shall reduce the amount of groundwater considered reserved for use of the development upon request by the analysis holder. If the analysis holder requesting a reduction is not 
the person to whom the analysis was issued, the Director shall reduce the amount of reserved groundwater only if the person to whom the analysis was issued or that person's designee 
consents to the request for reduction. The person to whom the analysis was issued shall notify the Director in writing of the name of the person's designee for purposes of this subsection. 
H. The analysis holder may apply to the Director for a five-year extension of the time period in subsection (F) of this Section by submitting an application on a form prescribed by the Director no 
TITLE 12. NATURAL RESOURCES Page 10 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
earlier than 36 months before the end of the time period and no later than 30 days before the end of the time period. If an extension is granted, the analysis holder may apply to the Director for an 
additional five-year extension by submitting an application on a form prescribed by the Director no earlier than 36 months before the end of the extended time period and no later than 30 
days before the end of the extended time period. The Director shall extend the time period for no more than two successive five-year periods under this subsection if the analysis holder 
demonstrates one of the following: 
1. The analysis holder has made a substantial capital investment in developing the land included in the analysis. 
2. The analysis holder has made material progress in developing the land included in the analysis. 
3. Progress in developing the land included in the analysis has been delayed for reasons outside the control of the analysis holder. 
I. After the Director grants two five-year extensions pursuant to subsection (H) of this Section, the Director may extend the time period for additional five-year periods if the analysis holder files 
a timely application pursuant to subsection (H) of this Section and demonstrates one of the criteria in subsections (H)(1), (H)(2), or (H)(3) of this Section. 
J. The Director shall review an application for an analysis or an application for an extension pursuant to subsections (H) or (I) of this Section pursuant to the licensing time-frame provisions in 
R12-15-401. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Amended by emergency rulemaking at 11 A.A.R. 2706, effective June 29, 2005 for 180 days (Supp. 05-2). Emergency renewed for 180 
days at 12 A.A.R. 144, effective December 23, 2005 (Supp. 05-4). Emergency expired. Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 
12, 2006 (Supp. 06-3). 
R12-15-703.01. Repealed 
Historical Note 
New Section made by final rulemaking at 7 A.A.R. 3038, effective June 18, 2001 (Supp. 01-2). Section repealed by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 
(Supp. 06-3). 
R12-15-704. Certificate of Assured Water Supply 
A. An application for a certificate shall be filed by the current owner of the land that is the subject of the application. Potential purchasers and affiliates may also be included as applicants. 
B. An applicant for a certificate shall submit an application on a form prescribed by the Director with the fee required by R12-15-730 and provide the following: 
1. One of the following forms of proof of ownership for each applicant to be listed on the certificate: 
a. For an applicant that is the current owner, one of the following: 
i. A title report, condition of title report, limited search title report, or recorded deed, dated within 90 days of the date the application is filed, demonstrating that the applicant is the 
owner of the land that is the subject of the application; or 
ii. Evidence that the CAGRD has reviewed and approved evidence that the applicant is the owner of the land that is the subject of the application; 
b. For an applicant that is a potential purchaser, evidence of a purchase agreement; or 
c. For an applicant that is an affiliate of another applicant, a certification by the other applicant of the affiliate status; 
2. A plat of the subdivision; 
3. An estimate of the 100-year water demand for the subdivision; 
4. A list of all proposed sources of water that will be used by the subdivision; 
5. Evidence that the criteria in subsections (F) or (G) of this Section are met; and 
6. Any other information that the Director reasonably determines is necessary to decide whether an assured water supply exists for the subdivision. 
C. Each applicant shall sign the application for a certificate. If an applicant is not a natural person, the applicant's authorized officer, managing member, partner, trust officer, trustee, or other 
person who performs similar decision-making functions for the applicant shall sign the application. If an applicant submits a letter, signed by the applicant and dated within 90 days of the 
date the application is submitted, authorizing a representative to submit applications for permits regarding the land to be included in the certificate, the authorized representative may sign the 
application on the applicant's behalf. 
D. The Director shall give public notice of an application for a certificate as provided in A.R.S. § 45-578. 
E. After a complete application is submitted, the Director shall review the application and associated evidence to determine: 
1. The estimated water demand of the subdivision; 
2. The amount of the groundwater allowance for the subdivision, as provided in R12-15-724 through R12-15-727; and 
3. Whether the applicant has demonstrated all of the requirements in subsection (F) or subsection (G) of this Section. 
F. Except as provided in subsection (G) of this Section, the Director shall issue a certificate if the applicant demonstrates all of the following: 
1. Sufficient supplies of water are physically available to meet the estimated water demand of the subdivision, according to the criteria in R12-15-716; 
2. Sufficient supplies of water are continuously available to meet the estimated water demand of the subdivision, according to the criteria in R12-15-717; 
3. Sufficient supplies of water are legally available to meet the estimated water demand of the subdivision, according to the criteria in R12-15-718; 
4. The sources of water are of adequate quality, according to the criteria in R12-15-719; 
5. The applicant has the financial capability to construct adequate delivery, storage, and treatment works for the subdivision, according to the criteria in R12-15-720; 
6. The proposed use of groundwater withdrawn within an AMA is consistent with the management plan in effect at the time of the application, according to the criteria in R12-15-721; and 
7. The proposed use of groundwater withdrawn within an AMA is consistent with the achievement of the management goal, according to the criteria in R12-15-722. 
G. If the Director previously issued a certificate for the subdivision, the Director shall issue a new certificate to the applicant if the applicant demonstrates that all of the requirements in 
subsection (F) are met or that all of the following apply: 
1. Any changes to the plat for which the previous certificate was issued are not material, according to the criteria in R12-15-708; 
2. If groundwater is a proposed source of supply for the subdivision, the proposed groundwater withdrawals satisfied the physical availability requirements in effect at the time the complete 
and correct application for the previous certificate was submitted; 
3. Any proposed sources of water, other than groundwater, are physically available to satisfy the estimated water demand that will not be satisfied with groundwater, according to the criteria 
in R12-15-716; 
4. Any proposed sources of water other than groundwater are continuously available to satisfy the estimated water demand that will not be satisfied with groundwater, according to the 
criteria in R12-15-717; 
5. The proposed uses of groundwater withdrawn within an AMA were consistent with the achievement of the management goal according to the criteria in effect at the time the complete 
and correct application for the previous certificate was submitted; and 
6. The applicant demonstrates that the requirements in subsections (F)(3) through (F)(6) of this Section are met. 
H. Before issuing a certificate, the Director shall classify the certificate for the purposes of R12-15-705 and R12-15-706 as follows: 
1. Type A certificate. The Director shall classify the certificate as a Type A certificate if the applicant meets the criteria in R12-15-720(A)(1) and all of the subdivision's estimated water 
demand will be met with one or more of the following: 
a. Groundwater served by a proposed municipal provider pursuant to an existing service area right; 
b. Groundwater served by a proposed municipal provider pursuant to a pending service area right, if the proposed municipal provider currently holds or will hold the well permit; 
c. CAP water served by a municipal provider pursuant to the proposed municipal provider's non-declining, long-term municipal and industrial subcontract; 
d. Surface water served by a proposed municipal provider pursuant to the proposed municipal provider's surface water right or claim; 
e. Effluent owned and served by a proposed municipal provider; or 
f. A Type 1 grandfathered right appurtenant to the land on which the groundwater will be used and held by a proposed municipal provider. 
2. Type B certificate. The Director shall classify all certificates that do not meet the requirements of subsection (H)(1) of this Section as Type B certificates. 
I. The Director shall review an application for a certificate pursuant to the licensing time-frame provisions in R12-15-401. 
J. An owner of six or more lots is not required to obtain a certificate if all of the following apply: 
1. The lots comprise a subset of a subdivision for which: 
a. A plat was recorded before 1980; or 
b. A certificate was issued before February 7, 1995; 
2. No changes were made to the plat since February 7, 1995; and 
3. Water service is currently available to each lot. 
K. A new owner of all or a portion of a subdivision for which a plat has been recorded is not required to obtain a certificate if all of the following apply: 
1. The Director previously issued a Type A certificate for the subdivision pursuant to subsection (H)(1) of this Section or R12-15-707; 
2. Water service is currently available to each lot; and 
3. There are no material changes to the plat for which the certificate was issued, according to the criteria in R12-15-708. 
L. An owner of six or more lots in the Pinal AMA is not required to obtain a certificate if all of the following apply: 
1. A plat for the subdivision was recorded before October 1, 2007; 
2. There have been no material changes to the plat according to the criteria in R12-15-708, since October 1, 2007; 
3. The proposed municipal provider was designated as having an assured water supply when the plat was recorded, but is no longer designated as having an assured water supply; and 
4. Water service is currently available to each lot. 
M. A person may request a letter stating that the owner is not required to obtain a certificate pursuant to subsection (J), (K), or (L) of this Section by submitting an application on a form 
prescribed by the Director and attaching evidence that the criteria of subsection (J), (K), or (L) are met. Upon receiving an application pursuant to this subsection, the Director shall: 
1. Review the application pursuant to the licensing time-frame provisions in R12-15-401. 
2. Determine whether the criteria of subsection (J), (K), or (L) of this Section are met. 
3. If the Director determines that the criteria of subsection (J) of this Section are met, issue a letter to the applicant and the Arizona Department of Real Estate stating that the current owner 
is not required to obtain a certificate. 
4. If the Director determines that the criteria of subsection (K) or (L) of this Section are met, issue a letter to the applicant and the Arizona Department of Real Estate stating that the current 
owner and any future owners are not required to obtain a certificate. 
Historical Note 
TITLE 12. NATURAL RESOURCES Page 11 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). Amended by final 
rulemaking at 13 A.A.R. 1394, effective October 1, 2007 (Supp. 07-2). 
R12-15-705. Assignment of Type A Certificate of Assured Water Supply 
A. The certificate holder of a Type A certificate and the assignee may apply for approval of an assignment of the Type A certificate within the time allowed by A.R.S. § 45-579(A). The assignee 
may file the application if there is no certificate holder. The application shall be submitted on a form prescribed by the Director with the fee required by R12-15-730, and the applicant shall 
provide the following: 
1. One of the following forms of proof of ownership for each assignee: 
a. A title report, condition of title report, limited search title report, or recorded deed, dated within 90 days of the date the application is submitted to the Director and demonstrating that 
the assignee is the owner of the land that is the subject of the proposed assignment; or 
b. If the assignee is a potential purchaser, evidence of a purchase agreement; 
2. A current plat of the subdivision; 
3. An estimate of the 100-year water demand for the subdivision, based on the current plat; 
4. Certification by each applicant that: 
a. The proposed municipal provider has not changed and has agreed to continue to serve the subdivision after the assignment; and 
b. All water supplies listed on the current certificate are physically, continuously, and legally available to meet the estimated water demand of the subdivision after the assignment. 
B. Each applicant shall sign the application for an assignment of a Type A certificate. If an applicant is not a natural person, the entity's authorized officer, managing member, partner, trust 
officer, trustee, or other person who performs similar decision-making functions for the applicant shall sign the application. If an applicant submits a letter, signed by the applicant and dated 
within 90 days of the date the application is submitted, authorizing a representative to submit applications for permits regarding the land included in the certificate, the authorized 
representative may sign the application on behalf of the applicant. 
C. Upon receiving an application for an assignment of a Type A certificate, the Director shall post the notice required by A.R.S. § 45-579(E). 
D. If the Director determines that the application meets the criteria of A.R.S. § 45-579(A), the Director shall issue a Type A certificate to each applicant. A Type A certificate issued under this 
subsection shall retain the issue date, the number of lots, and the estimated water demand shown on the original certificate, except as provided in subsection (E) of this Section. The Director 
shall determine that the application meets the criteria of A.R.S. § 45-579(A) if all of the following apply: 
1. The application is submitted within the time allowed by A.R.S. § 45-579(A); 
2. The assignee is the owner or a potential purchaser of the portion of the subdivision that is the subject of the assignment; 
3. There have been no material changes to the plat for which the original certificate was issued, according to the criteria in R12-15-708; 
4. Neither the applicant nor a predecessor in interest has impaired the manner in which consistency with management goal requirements were satisfied when the original certificate was 
issued; and 
5. The applicant makes the certifications required in subsection (A)(4) of this Section. 
E. In the case of a partial assignment, the Director shall determine whether changes to the plat are material according to R12-15-708. The Director shall issue a Type A certificate to the assignee 
for the portion of the subdivision that is the subject of the assignment and for the number of lots and the estimated water demand of the current plat of the portion of the subdivision that is 
the subject of the assignment. The Director shall issue a Type A certificate to the certificate holder for the portion of the subdivision retained by the certificate holder and for the remainder 
of the number of lots and the remainder of the estimated water demand. The sum of the number of lots and the sum of the amount of the estimated water demand shown on each certificate 
shall equal the total number of lots and the total estimated water demand shown on the certificate being assigned. 
F. The Director shall review an application for an assignment of a Type A certificate of assured water supply pursuant to the licensing time-frame provisions in R12-15-401. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Amended by final rulemaking at 8 A.A.R. 4390, effective November 22, 2002 (Supp. 02-3). Section repealed; new Section made by final 
rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-706. Assignment of Type B Certificate of Assured Water Supply 
A. The certificate holder of a Type B certificate or a certificate issued before the effective date of this Section that has not been classified pursuant to R12-15-707 and the assignee may apply for 
approval of an assignment of the certificate to another person within the time allowed by A.R.S. § 45-579(A). The assignee may file the application if there is no certificate holder. The 
application shall be submitted on a form prescribed by the Director with the fee required by R12-15-730, and the applicant shall provide the following: 
1. One of the following forms of proof of ownership for each assignee: 
a. A title report, condition of title report, limited search title report, or recorded deed, dated within 90 days of the date the application is submitted to the Director and demonstrating that 
the assignee is the owner of the land that is the subject of the proposed assignment; or 
b. If the assignee is a potential purchaser, evidence of a purchase agreement; 
2. A current plat of the subdivision; 
3. An estimate of the 100-year water demand for the subdivision, based on the current plat; 
4. Evidence that all necessary water rights, permits, licenses, contracts, and easements have been or will be assigned to the assignee of the certificate; 
5. Evidence that the assignee has the financial capability to construct adequate delivery, storage, and treatment works for the subdivision according to the criteria in R12-15-720; 
6. Evidence that all water supplies listed on the current certificate are physically, continuously, and legally available to meet the estimated water demand of the subdivision after the 
assignment; 
7. Evidence that the proposed municipal provider has not changed and has agreed to serve the subdivision after the assignment; 
8. If the applicant requests that the Director classify the certificate pursuant to subsection (E) of this Section, evidence that the requirements of R12-15-704(H)(1) are satisfied; 
9. Any other information that the Director reasonably deems necessary to determine whether the application meets the criteria of A.R.S. § 45-579. 
B. Each applicant shall sign the application for an assignment of a certificate. If an applicant is not a natural person, the entity's authorized officer, managing member, partner, trust officer, 
trustee, or other person who performs similar decision-making functions for the applicant shall sign the application. If an applicant submits a letter, signed by the applicant and dated within 
90 days of the date the application is submitted, authorizing a representative to submit applications for permits regarding the land to be included in the certificate, the authorized 
representative may sign the application on the applicant's behalf. 
C. Upon receiving an application for an assignment, the Director shall post the notice required by A.R.S. § 45-579(E). 
D. Except as provided in subsection (E) of this Section, if the Director determines that the application meets the criteria of A.R.S. § 45-579(A), the Director shall issue a Type B certificate to 
each applicant. A Type B certificate issued under this subsection shall retain the issue date, the number of lots, and the estimated water demand shown on the original certificate, except as 
provided in subsection (F) of this Section. The Director shall determine that the application meets the criteria of A.R.S. § 45-579(A) if all of the following apply: 
1. The application is submitted within the time allowed by A.R.S. § 45-579(A); 
2. The assignee is the owner or potential purchaser of the portion of the subdivision that is the subject of the assignment; 
3. There have been no material changes to the plat for which the original certificate was issued, according to the criteria in R12-15-708; 
4. The applicant demonstrates the financial capability to construct adequate delivery, storage, and treatment works for the subdivision according to the criteria in R12-15-720; 
5. All necessary water rights, permits, licenses, contracts, and easements have been or will be assigned to the assignee of the certificate; 
6. All water supplies listed on the current certificate are physically, continuously, and legally available to meet the estimated water demand of the subdivision after the assignment; 
7. Neither the applicant nor a predecessor in interest has impaired the manner in which consistency with management goal requirements were satisfied when the original certificate was 
issued; and 
8. The proposed municipal provider has agreed to serve the subdivision after the assignment. 
E. The applicant may include in the application a request to classify the certificate as a Type A certificate. If the Director determines that the request meets the requirements of R12-15-704(H)(1), 
the Director shall classify the certificate as a Type A certificate. 
F. In the case of a partial assignment, the Director shall determine whether changes to the plat are material according to R12-15-708. The Director shall issue a Type B certificate to the assignee 
for the portion of the subdivision that is the subject of the assignment and for the number of lots and the estimated water demand of the current plat of the portion of the subdivision that is 
the subject of the assignment. The Director shall issue a Type B certificate to the certificate holder for the portion of the subdivision retained by the certificate holder and for the remainder 
of the number of lots and the remainder of the estimated water demand. The sum of the number of lots and the sum of the amount of the estimated water demand shown on each certificate 
shall equal the total number of lots and the total estimated water demand shown on the certificate that is being assigned. 
G. The Director shall review an application for an assignment of a Type B certificate pursuant to the licensing time-frame provisions in R12-15-401. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-707. Application for Classification of a Type A Certificate 
A. A holder of a Type B certificate or a certificate issued before the effective date of this Section may apply to the Director to classify the certificate as a Type A certificate by submitting an 
application on a form prescribed by the Director with the fee prescribed in R12-15-730 and attaching evidence that the certificate meets the requirements of R12-15-704(H)(1). 
B. At least one certificate holder shall sign the application for classification of a certificate as a Type A certificate. If the applicant is not a natural person, the applicant's authorized officer, 
managing member, partner, trust officer, trustee, or other person who performs similar decision-making functions for the applicant shall sign the application. If the applicant submits a letter, 
signed by the applicant and dated within 90 days of the date the application is submitted, authorizing a representative to submit applications for permits regarding the land to be included in 
the certificate, the authorized representative may sign the application on behalf of the applicant. 
C. If the applicant demonstrates that the requirements of R12-15-704(H)(1) are met, the Director shall classify the certificate as a Type A certificate and issue a Type A certificate to each 
certificate holder. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R-12-15-708. Material Plat Change; Application for Review 
A. A certificate or a water report is applicable to the original plat for which the certificate or water report was issued and to a revised plat, unless the plat changes are material according to 
subsections (C) and (D) of this Section. 
B. If a plat is revised after the Director issues a certificate or a water report and the changes to the plat are material according to subsection (C) or (D) of this Section, the holder may: 
TITLE 12. NATURAL RESOURCES Page 12 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
1. Apply for a new certificate or water report for the revised plat, 
2. Use the original plat for which the certificate or water report was issued, or 
3. Revise the plat so that any changes are not material according to subsections (C) and (D) of this Section. 
C. Changes to the plat for which a certificate or a water report has been issued are material if any of the following apply: 
1. The number of lots on the plat has increased by more than: 
a. For subdivisions of 6 to 10 lots: one lot; 
b. For subdivisions of 11 to 499 lots: 10%, rounding up to the nearest whole number; or 
c. For subdivisions of 500 lots or more: 50 lots. 
2. The 100-year water demand for the revised plat exceeds the estimated water demand for the certificate, unless all of the following apply: 
a. The 100-year water demand for the revised plat does not exceed the estimated water demand for the certificate by more than 10%, rounding to the nearest whole acre-foot, or by more 
than 25 acre-feet per year, whichever is less; 
b. The 100-year water demand is not greater than the supply demonstrated to be physically, continuously, and legally available at the time of issuance of the certificate or water report, 
and that water supply remains physically, continuously, and legally available; and 
c. For a certificate, one of the following applies: 
i. The subdivision is enrolled as a member land in the CAGRD; 
ii. Groundwater is not included as a source of supply; or 
iii. The subdivision is located in the Pinal AMA and the 100-year water demand for the revised plat will not exceed the sum of the amount of the groundwater allowance and the 
amount of any extinguishment credits pledged to the certificate, including extinguishment credits pledged after the certificate was issued. 
3. For a certificate, additional land is included in the plat, unless all of the following apply: 
a. The land included in the original plat for which the certificate was issued is located in a master-planned community; 
b. The outer boundaries of the master-planned community have not expanded; 
c. If the land included in the original plat for which the certificate was issued is enrolled as a member land in the CAGRD, the additional land has also been enrolled in the CAGRD; 
and 
d. A certificate has been issued for the additional land. 
D. Changes to a portion of a plat are not material if one of the following applies: 
1. The changes to the portion of the plat being reviewed are not material according to subsection (C) of this Section when compared to the equivalent portion of the plat for which the 
certificate was issued; 
2. The changes to the entire revised plat are not material according to subsection (C) of this Section when compared to the entire plat for which the certificate was issued; or 
3. For a partial assignment pursuant to R12-15-705 or R12-15-706, the plat for the portion of the subdivision retained by the certificate holder could be configured so that changes to the total 
number of lots and the estimated water demand for the entire subdivision, including the portion under consideration, are not material according to subsection (C) of this Section. For 
purposes of this subsection, the Director may require the applicant to submit evidence demonstrating whether changes to the plat are material. However, the Director shall not require 
the applicant to submit a plat for the retained portion of a subdivision, unless the materiality of changes to the plat cannot be determined with any other evidence. 
E. A person may apply for a review of a revised plat to determine whether any changes to the plat are material as follows: 
1. The applicant shall submit an application on a form prescribed by the Director with the fee required by R12-15-730 and shall attach the revised plat. 
2. The Director shall review the revised plat and the plat for which the certificate or water report was originally issued to determine whether any changes are material according to the criteria 
in subsections (C) and (D) of this Section. 
3. The Director shall issue a letter to the applicant stating whether any changes to the plat are material and identifying which changes, if any, are material. If the Director determines that the 
changes to the plat are not material, the Director's letter shall state that the certificate or water report is applicable to the revised plat. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-709. Certificate of Assured Water Supply; Revocation 
A. The Director may revoke a certificate if an assured water supply does not exist. 
B. The Director shall not revoke a certificate if any of the residential lots within the plat have been sold. 
C. If the Director determines that a certificate should be revoked, the Director shall provide for an administrative hearing, in accordance with A.R.S. Title 41, Chapter 6, Article 10. To determine 
whether a certificate should be revoked, the Director shall use the standards in place at the time the original application was submitted for the certificate. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-710. Designation of Assured Water Supply 
A. A municipal provider applying for a designation of assured water supply shall submit an application on a form prescribed by the Director with the fee required by R12-15-730 and provide the 
following: 
1. The applicant's current demand; 
2. The applicant's committed demand; 
3. The applicant's projected demand for the proposed term of the designation; 
4. The proposed term of the designation, which shall not be less than two years; 
5. Evidence that the criteria in subsection (E) of this Section are met; and 
6. Any other information that the Director determines is necessary to decide whether an assured water supply exists for the municipal provider. 
B. An application for a designation shall be signed by: 
1. If the applicant is a city or town, the city or town manager or a person employed in an equivalent position. The application shall also include a resolution of the governing body of the city 
or town, authorizing that person to sign the application; or 
2. If the applicant is a private water company, the applicant's authorized officer, managing member, partner, trust officer, trustee, or other person who performs similar decision-making 
functions for the applicant. 
C. The Director shall give public notice of an application for designation in the same manner as provided for certificates in A.R.S. § 45-578. 
D. After a complete application is submitted, the Director shall review the application and associated evidence to determine: 
1. The annual volume of water physically, continuously, and legally available for at least 100 years; 
2. The term of the designation, which shall not be less than two years; 
3. The applicant's estimated water demand; 
4. The applicant's groundwater allowance; and 
5. Whether the applicant has demonstrated compliance with all requirements in subsection (E) of this Section. 
E. The Director shall designate the applicant as having an assured water supply if the applicant demonstrates all of the following: 
1. Sufficient supplies of water are physically available to meet the applicant's estimated water demand, according to the criteria in R12-15-716; 
2. Sufficient supplies of water are continuously available to meet the applicant's estimated water demand, according to the criteria in R12-15-717; 
3. Sufficient supplies of water are legally available to meet the applicant's estimated water demand, according to the criteria in R12-15-718; 
4. The proposed sources of water are of adequate quality, according to the criteria in R12-15-719; 
5. The applicant has the financial capability to construct adequate delivery, storage, and treatment works in a timely manner according to the criteria in R12-15-720; 
6. Any proposed groundwater use is consistent with the management plan in effect at the time of the application, according to the criteria in R12-15-721; and 
7. Any proposed use of groundwater withdrawn within an AMA is consistent with the management goal, according to the criteria in R12-15-722. 
F. The Director shall review an application for a designation of assured water supply pursuant to the licensing time-frame provisions in R12-15-401. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-711. Designation of Assured Water Supply; Annual Report Requirements, Review, Modification, Revocation 
A. A designated provider shall include in the annual report required by A.R.S. § 45-632 the following information for the preceding calendar year: 
1. The designated provider's committed demand; 
2. The demand at build-out for customers with which the designated provider has entered into an agreement to serve water, other than committed demand; 
3. A report regarding the designated provider's compliance with water quality requirements; 
4. The depth-to-static water level of all wells from which the designated provider withdrew water; and 
5. Any other information the Director may reasonably require to determine whether the designated provider continues to meet the criteria for a designation of assured water supply. 
B. If there is a change of ownership, the subsequent owner of a designated provider shall notify the Director in writing of the change in ownership within 90 days. 
C. The Director shall review a designation at least every 15 years following issuance of the designation to determine whether the designation should be modified or revoked. To determine 
whether the designation should be modified or revoked, the Director shall use the standards in place at the time of review. 
D. The Director may modify a designation for good cause, including a merger, division of the designated provider, or a change in ownership of the designated provider. 
E. A designated provider may request a modification of the designation at any time pursuant to R12-15-710. 
F. The Director may revoke a designation if: 
1. After notifying the designated provider and initiating a review of the designated provider's status, the Director determines that the designated provider has less water, according to the 
criteria in R12-15-710(E), than the amount required for a 100-year supply for the provider's: 
a. Current demand, 
b. Committed demand, and 
c. Projected demand during the next two calendar years; 
TITLE 12. NATURAL RESOURCES Page 13 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
2. The designated provider fails to construct adequate delivery, storage, and treatment works in a timely manner; 
3. ADEQ or another governmental entity with equivalent jurisdiction has determined, after notice and an opportunity for a hearing, that the designated provider is in significant 
noncompliance with A.A.C. Title 18, Chapter 4 and is not taking action to resolve the noncompliance; or 
4. The designated provider has violated its management plan requirements for two or more consecutive calendar years, and one of the following applies: 
a. The provider fails to amend its water use plan in a manner that the Director determines will achieve compliance, or 
b. The provider fails to sign a stipulated agreement to remedy the violation. 
G. If the Director determines that a designation of assured water supply should be revoked, the Director shall provide for an administrative hearing, in accordance with A.R.S. Title 41, Chapter 6, 
Article 10. 
H. If a designated provider's designated status terminates, the provider may apply for re-designation at anytime after termination. 
I. Notwithstanding any other provision in this Article, a decision and order of the Director designating a city, town, or private water company as having an assured water supply is not affected by 
this Article solely because the rule numbers cited in the decision and order may have changed after the effective date of the decision and order. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-712. Analysis of Adequate Water Supply 
A. A person proposing to develop land outside an AMA that will not be served by a designated provider may apply for an analysis of adequate water supply before applying for a water report. 
An applicant for an analysis must be the owner of the land that is the subject of the application or have the written consent of the owner. The commissioner of the Arizona State Land 
Department may apply for an analysis for land owned by the state of Arizona outside an AMA or may consent to the inclusion of such land in an application. 
B. An applicant for an analysis shall submit an application on a form prescribed by the Director with the fee required by R12-15-730, and attach the following: 
1. A title report, condition of title report, limited search title report, or recorded deed, dated within 90 days of the date the application is submitted to the Director, demonstrating the 
ownership of the land that is the subject of the application; 
2. A description of the development, including: 
a. A map of the land uses included in the development, 
b. A list of water supplies proposed to be used by the development, 
c. A summary of land use types included in the development, and 
d. An estimate of the water demand for the land uses included in the development; and 
3. Evidence that the applicant has complied with subsection (E) of this Section. 
C. An applicant shall sign the application for an analysis. If an applicant is not a natural person, the applicant's authorized officer, managing member, partner, trust officer, trustee, or other person 
who performs similar decision-making functions for the applicant shall sign the application. If the applicant submits a letter, signed by the applicant and dated within 90 days of the date the 
application is submitted, authorizing a representative to submit applications for permits regarding the land that is the subject of the water report, the authorized representative may sign the 
application on the applicant's behalf. 
D. After a complete application is submitted, the Director shall determine the estimated water demand of the development. 
E. The Director shall issue an analysis if an applicant demonstrates one or more of the following: 
1. Sufficient supplies of water are physically available to meet all or part of the estimated water demand of the development for 100 years, according to the criteria in R12-15-716; 
2. Sufficient supplies of water are continuously available to meet the estimated water demand of the development for 100 years, according to the criteria in R12-15-717; 
3. Sufficient supplies of water are legally available to meet the estimated water demand of the development for 100 years, according to the criteria in R12-15-718; 
4. The proposed sources of water are of adequate quality, according to the criteria in R12-15-719. 
F. For 10 years after the Director issues an analysis, or a longer period allowed under subsections (H) or (I) of this Section: 
1. If groundwater is a source of supply in the analysis and the applicant demonstrates that groundwater is physically available under subsection (E)(1), the Director shall consider that supply 
of groundwater reserved for the use of the proposed development in subsequent determinations of physical availability pursuant to R12-15-716(B). 
2. If an analysis holder applies for a water report for a subdivision located on land included in the analysis, the Director shall presume that a criterion demonstrated in the analysis remains 
satisfied with respect to the subdivision, unless the Director has received new evidence demonstrating that the criterion is not satisfied. If the Director issues the water report, the 
Director shall reduce the volume of groundwater reserved pursuant to subsection (F)(1) of this Section by the amount of the estimated water demand for the water report that will be 
met with groundwater. 
G. The Director shall reduce the amount of water considered reserved for use of the development upon request by the analysis holder. If the analysis holder requesting a reduction is not the 
person to whom the analysis was issued, the Director shall reduce the amount of reserved groundwater only if the person to whom the analysis was issued or that person's designee consents 
to the request for reduction. The person to whom the analysis was issued shall notify the Director in writing of the person's designee for purposes of this subsection. 
H. The analysis holder may apply to the Director for a five-year extension of the time period in subsection (F) of this Section by submitting an application on a form prescribed by the Director no 
earlier than 36 months before the end of the time period and no later than 30 days before the end of the time period. If an extension is granted, the analysis holder may apply to the Director 
for an additional five-year extension by submitting an application on a form prescribed by the Director no earlier than 36 months before the end of the extended time period and no later than 
30 days before the end of the extended time period. The Director shall extend the time period for no more than two successive five-year periods under this subsection if the analysis holder 
demonstrates one of the following: 
1. The analysis holder has made a substantial capital investment in developing the land included in the analysis. 
2. The analysis holder has made material progress in developing the land included in the analysis. 
3. Progress in developing the land included in the analysis has been delayed for reasons outside the control of the analysis holder. 
I. After the Director grants two five-year extensions pursuant to subsection (H) of this Section, the Director may extend the time period for additional five-year periods if the analysis holder files 
a timely application pursuant to subsection (H) of this Section and demonstrates one of the criteria in subsections (H)(1), (H)(2), or (H)(3) of this Section. 
J. The Director shall review an application for an analysis or an application for an extension pursuant to subsections (H) or (I) of this Section pursuant to the licensing time-frame provisions in 
R12-15-401. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-713. Water Report 
A. An application for a water report shall be filed by the current owner of the land that is the subject of the application. 
B. An applicant for a water report shall submit an application on a form prescribed by the Director with the fee required by R12-15-730 and provide the following: 
1. A title report, condition of title report, limited search title report, or recorded deed, dated within 90 days of the date the application is filed and demonstrating that the applicant is the 
owner of the land that is the subject of the application; 
2. A plat of the subdivision; 
3. An estimate of the 100-year water demand for the subdivision; 
4. A list of all proposed sources of water that will be used by the subdivision; 
5. If the applicant is seeking a finding that the subdivision has an adequate water supply, evidence that the criteria in subsection (E) of this Section are met; and 
6. Any other information that the Director reasonably determines is necessary to decide whether an adequate water supply exists for the subdivision. 
C. Each applicant shall sign the application for a water report. If an applicant is not a natural person, the applicant's authorized officer, managing member, partner, trust officer, trustee, or other 
person who performs similar decision-making functions for the applicant shall sign the application. If an applicant submits a letter, signed by the applicant and dated within 90 days of the 
date the application is submitted, authorizing a representative to submit applications for permits regarding the land to be included in the water report, the authorized representative may sign 
the application on the applicant's behalf. 
D. After a complete application is submitted, the Director shall review the application and associated evidence to determine: 
1. The estimated water demand of the subdivision; 
2. Whether the applicant has demonstrated all of the requirements in subsection (E) of this Section. 
E. The Director shall determine that the subdivision has an adequate water supply if the applicant demonstrates all of the following: 
1. Sufficient supplies of water are physically available to meet the estimated water demand of the subdivision, according to the criteria in R12-15-716; 
2. Sufficient supplies of water are continuously available to meet the estimated water demand of the subdivision, according to the criteria in R12-15-717; 
3. Sufficient supplies of water are legally available to meet the estimated water demand of the subdivision, according to the criteria in R12-15-718; 
4. The proposed sources of water will be of adequate quality, according to the criteria in R12-15-719; 
5. The applicant has the financial capability to construct adequate delivery, storage, and treatment works for the subdivision according to the criteria in R12-15-720. 
F. The Director shall issue a water report to the applicant that states whether the applicant has complied with the requirements in subsection (E) of this Section. 
G. The Director shall review an application for a water report pursuant to the licensing time-frame provisions in R12-15-401. 
H. The Director may review or modify a water report if the Director receives new evidence regarding the criteria in subsection (E) of this Section. The Director shall not modify a water report 
pursuant to this subsection if any of the residential lots included in the plat have been sold. To determine whether a water report should be modified pursuant to this subsection, the Director 
shall use the standards in place at the time the original application was submitted for the water report. If the Director modifies a water report, the Director shall: 
1. Provide for an administrative hearing pursuant to A.R.S. Title 41, Chapter 6, Article 10; and 
2. Notify the Arizona Department of Real Estate. 
I. An owner of land that is the subject of a water report may request a modification of the water report at any time by submitting an application in accordance with subsection (B) of this Section. 
To determine whether a water report should be modified pursuant to this Section, the Director shall use the standards in place at the time of review. 
J. A water report is subject to the provisions of R12-15-708. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-714. Designation of Adequate Water Supply 
A. A municipal provider applying for a designation of adequate water supply shall submit an application on a form prescribed by the Director with the fee required by R12-15-730 and the 
TITLE 12. NATURAL RESOURCES Page 14 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
following: 
1. The applicant's current demand; 
2. The applicant's committed demand; 
3. The applicant's projected demand for the proposed term of the designation; 
4. The proposed term of the designation, which shall not be less than two years; 
5. Evidence that the criteria in subsection (E) of this Section are met; and 
6. Any other information that the Director determines is necessary to decide whether an adequate water supply exists for the municipal provider. 
B. A city or town, other than a municipal provider, that is applying for a designation shall submit an application on a form prescribed by the Director with the fee required in R12-15-730, and 
provide the following: 
1. The current demand of the applicant's service area; 
2. The committed demand of the applicant's service area; 
3. The projected demand of the applicant's service area for the proposed term of the designation; 
4. The proposed term of the designation, which shall not be less than two years; and 
5. Evidence that the requirements in A.R.S. § 45-108(D) are met. 
C. An application for a designation shall be signed by: 
1. If the applicant is a city or town, the city or town manager or a person employed in an equivalent position. The application shall also include a resolution of the governing body of the city 
or town, authorizing that person to sign the application; or 
2. If the applicant is a private water company, the applicant's authorized officer, managing member, partner, trust officer, trustee, or other person who performs similar decision-making 
functions for the applicant. 
D. After a complete application is submitted, the Director shall review the application and associated evidence to determine: 
1. The annual volume of water that is physically, continuously, and legally available for at least 100 years; 
2. The term of the designation, which shall not be less than two years; 
3. The estimated water demand for the applicant's service area for 100 years; and 
4. Whether the applicant has demonstrated compliance with all requirements in subsection (E) or (F) of this Section. 
E. The Director shall designate the applicant has having an adequate water supply pursuant to subsection (A) of this Section if the applicant demonstrates all of the following: 
1. Sufficient supplies of water are physically available to meet the applicant's estimated water demand, according to the criteria in R12-15-716; 
2. Sufficient supplies of water are continuously available to meet the applicant's estimated water demand, according to the criteria in R12-15-717; 
3. Sufficient supplies of water are legally available to meet the applicant's estimated water demand, according to the criteria in R12-15-718; 
4. The proposed sources of water are of adequate quality, according to the criteria in R12-15-719; and 
5. The applicant has the financial capability to construct adequate delivery, storage, and treatment works in a timely manner according to the criteria in R12-15-720. 
F. The Director shall issue a designation pursuant to subsection (B) of this Section if the applicant demonstrates that the requirements of A.R.S. § 45-108(D) are met. 
G. The Director shall review an application for a designation of adequate water supply pursuant to the licensing time-frame provisions in R12-15-401. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-715. Designation of Adequate Water Supply; Annual Report Requirements, Review, Modification, Revocation 
A. By March 31 of each calendar year, a designated provider shall submit the following information for the preceding calendar year on a form provided by the Director: 
1. The designated provider's committed demand; 
2. The demand at build-out for customers with which the designated provider has entered into an agreement to serve water, other than committed demand; 
3. A report regarding the designated provider's compliance with water quality requirements; 
4. The depth-to static water level of all wells from which the designated provider withdrew water; 
5. A report regarding volume of water withdrawn, diverted, or received from each source for delivery to customers; 
6. Any other information the Director may reasonably require to determine whether the designated provider continues to meet the criteria for a designation of adequate water supply. 
B. If there is a change of ownership, the subsequent owner of a designated provider shall notify the Director in writing of the change in ownership within 90 days. 
C. The Director shall review a designation at least every 15 years following issuance of the designation to determine whether the designation should be modified or revoked. 
D. The Director may modify a designation for good cause, including a merger, division of the designated provider, or a change in ownership of the designated provider. A designated provider 
may request a modification of the designation at any time pursuant to R12-15-714. To determine whether the designation should be modified, the Director shall use the standards in place at 
the time of review. 
E. The Director may revoke a designation if: 
1. After notifying the designated provider and initiating a review of the designated provider's status, the Director deter mines that the designated provider has less water, according to the 
criteria in R12-15-714(E), than the amount required for a 100-year supply for the provider's: 
a. Current demand, 
b. Committed demand, and 
c. Projected demand for the next two calendar years; 
2. The designated provider fails to construct adequate delivery, storage, and treatment works in a timely manner; or 
3. ADEQ or another governmental entity with equivalent jurisdiction has determined, after notice and an opportunity for a hearing, that the designated provider is in significant 
noncompliance with A.A.C. Title 18, Chapter 4 and is not taking action to resolve the noncompliance. 
F. To determine whether the designation should be revoked, the Director shall use the standards in place at the time of review. If the Director determines that a designation of adequate water 
supply should be revoked, the Director shall provide for an administrative hearing, in accordance with A.R.S. Title 41, Chapter 6, Article 10. 
G. If a designated provider's designated status terminates, the provider may apply for re-designation at anytime after termination. 
H. Notwithstanding any other provision in this Article, a decision and order of the Director designating a city, town, or private water company as having an assured water supply is not affected 
by this Article solely because the rule numbers cited in the decision and order may have changed after the effective date of the decision and order. 
Historical Head 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-716. Physical Availability 
A. The volume of a proposed source of water that is physically available to an applicant for a determination of assured water supply or a determination of adequate water supply is the amount 
determined by the Director to be physically available pursuant to subsections (B) through (L) of this Section. 
B. If the proposed source is groundwater, the applicant shall submit a hydrologic study, using a method of analysis approved by the Director, that accurately describes the hydrology of the 
affected area. Except as provided in subsection (D) of this Section, the Director shall determine that the proposed volume of groundwater will be physically available for the proposed use if 
both of the following apply: 
1. The groundwater will be withdrawn as follows: 
a. Except as provided in subsection (B)(1)(b) of this Section, from wells owned by the applicant or the proposed municipal provider that are located within the service area of the 
applicant or the proposed municipal provider or from proposed wells that the Director determines are likely to be constructed for future uses of the applicant or the proposed 
municipal provider. 
b. If the application is for a dry lot development, from wells that the Director determines are likely to be constructed on individual lots. 
2. Except as provided in subsection (C) of this Section, the groundwater will be withdrawn from depths that do not exceed the applicable maximum 100-year depth-to-static water level 
according to the following: 
3. The Director shall calculate the projected 100-year depth-to-static water level by adding the following for the area where groundwater withdrawals are proposed to occur: 
a. The depth-to-static water level on the date of application. 
b. The projected declines caused by existing uses, using the projected decline in the 100-year depth-to-static water level during the 100-year period after the date of application, 
calculated using records of declines for the maximum period of time for which records are available up to 25 calendar years before the date of application. If evidence is provided 
to the Director of likely changes in pumpage patterns and aquifer conditions, as opposed to those patterns and conditions occurring historically, the Director may determine 
projected declines using a model rather than evidence of past declines. 
c. The projected decline in the depth-to-static water level during the 100-year period after the date of application, calculated by adding the projected decline from each of the following 
that are not accounted for in subsection (B)(3)(b) of this Section: 
i. The estimated water demand of issued certificates and water reports that will be met with groundwater or stored water recovered outside the area of impact of the stored water, 
not including the demand of subdivided lots included in abandoned plats; 
Type and location of development Maximum 100-year depth-to-static water level 
a. Developments in Phoenix, Tucson, or Prescott AMAs, except dry lot developments 
1000 feet below land 
surface 
b. Developments in Pinal AMA, except dry lot developments 
1100 feet below land 
surface 
c. Developments outside AMAs, except dry lot developments 
1200 feet below land 
surface 
d. Dry lot developments 
400 feet below land 
surface 
TITLE 12. NATURAL RESOURCES Page 15 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
ii. The estimated water demand of designations that will be met with groundwater or stored water recovered outside the area of impact of the stored water; and 
iii. The groundwater reserved for developments for which the Director has issued an analysis pursuant to R12-15-703 or R12-15-712. 
d. The projected decline in depth-to-static water level that the Director projects will result from the applicant's proposed use over a 100-year period. 
C. The Director shall lower the maximum 100-year depth-to-static water level requirement specified in subsection (B)(2) of this Section for an applicant seeking a determination of adequate 
water supply if the applicant demonstrates both of the following: 
1. Groundwater is available at the lower depth; and 
2. The applicant has the financial capability to obtain the groundwater at the lower depth, according to the criteria in R12-15-720. 
D. If the proposed source is groundwater that will be withdrawn from a groundwater basin outside an AMA and transported into an AMA, the Director shall determine that the proposed volume 
of groundwater will be physically available if both of the following apply: 
1. The groundwater will be withdrawn from wells owned by the applicant or the proposed municipal provider or from proposed wells that the Director determines are likely to be constructed 
for the future uses of the applicant or the proposed municipal provider. 
2. Withdrawal of the groundwater will comply with any depth-to-static water level criteria, decline rate criteria, and volume limitation criteria prescribed by statute. If there are no applicable 
depth-to-static water level criteria prescribed by statute, withdrawal of the groundwater shall comply with the depth-to-static water level criteria in subsection (B)(2) of this Section. 
E. Subject to subsection (L) of this Section, if the proposed source of water is surface water, other than CAP water, or Colorado River water, the Director shall determine the annual volume of 
water that is physically available for the proposed use, taking into consideration the priority date of the right or claim, by calculating 120% of the firm yield of the proposed source at the 
point of diversion as limited by the capacity of the diversion works; except that if the applicant demonstrates that an alternative source of water will be physically available during times of 
shortage in the proposed surface water supply, the Director shall determine the annual volume of water available by calculating 100% of the median flow of the proposed source at the point 
of diversion as limited by the capacity of the diversion works. The Director shall determine the firm yield or median flow as follows: 
1. By calculating the firm yield or median flow at the point of diversion based on at least 20 calendar years of flow records from the point of diversion, unless 20 calendar years of records 
are unavailable and the Director determines that a shorter period of record provides information necessary to determine the firm yield or median flow; or 
2. By calculating the firm yield or median flow at the point of diversion using a hydrologic model that projects the firm yield or median flow, taking into account at least 20 calendar years of 
historic river flows, changes in reservoir storage facilities, and projected changes in water demand. The yield available to any applicant may be composed of rights to stored water, 
direct diversion, or normal flow rights. If the permit for the water right was issued less than five years before the date of application, the Director shall require the applicant to submit 
evidence, as applicable, in accordance with this subsection. 
F. Subject to subsection (L) of this Section, if the proposed source of water is CAP water, the Director shall determine the annual volume of water that is physically available for the proposed use 
as follows: 
1. If the applicant or the proposed municipal provider has a non-declining, long-term municipal and industrial subcontract for CAP water, calculate 100% of the annual amount of water 
established in the subcontract. 
2. If the applicant has a lease for Indian priority CAP water, calculate 100% of the annual amount of water established in the lease. 
3. If the applicant has a subcontract for CAP water other than a non-declining, long-term municipal and industrial subcontract or a lease for Indian priority CAP water: 
a. If the applicant submits evidence of sufficient backup water supplies, calculate 100% of the annual amount of water established in the subcontract. The applicant may establish 
backup water supplies by one or more of the following: 
i. A drought response plan; 
ii. Long-term storage credits; 
iii. A contract for water with a multi-county water conservation district; or 
iv. Evidence of other backup supplies that are physically, continuously, and legally available. 
b. If the applicant does not submit evidence of sufficient backup water supplies pursuant to subsection (F)(3)(a) of this Section, calculate the percentage of the annual amount of water 
established in the subcontract that reasonably reflects the reliability of the applicant's CAP water supply. 
G. Subject to subsection (L) of this Section, if the proposed source of water is Colorado River water, the Director shall determine the annual volume of water that is physically available for the 
proposed use as follows: 
1. If the priority of the contract for Colorado River water provides reliability equal to or better than CAP municipal and industrial water, calculate 100% of the annual amount of water 
established in the contract. 
2. If the contract for Colorado River water provides reliability that is less than CAP municipal and industrial water: 
a. If the applicant submits evidence of sufficient backup water supplies, calculate 100% of the annual amount of water in the contract. The applicant may establish backup water 
supplies by one or more of the following: 
i. A drought response plan; 
ii. Long-term storage credits; 
iii. A contract for water with a multi-county water conservation district; or 
iv. Evidence of other backup supplies that are physically, continuously, and legally available. 
b. If the applicant does not submit evidence of sufficient backup water supplies pursuant to subsection (G)(2)(a) of this Section, calculate the percentage of the annual amount of water 
established in the contract that reasonably reflects the reliability of the applicant's Colorado River water supply. 
H. Subject to subsection (I) of this Section, if the proposed source of water is effluent, the Director shall determine the annual volume of water that will be physically available by evaluating the 
current, metered production or the projected production of effluent. The volume of effluent that is physically available shall not include the following: 
1. If the effluent will be delivered directly from a wastewater treatment plant, the volume of effluent that exceeds the applicant's estimated water demand that will be met with effluent; and 
2. The volume of effluent that does not comply with any applicable water quality requirements for the proposed use of the effluent. 
I. If the proposed source of water is stored water to be recovered from recovery wells, the Director shall determine the volume of water that is physically available for the proposed use as 
follows: 
1. If the stored water is represented by long-term storage credits in existence on the date of application, the amount that is physically available is the amount that may be recovered pursuant 
to the credits in a manner consistent with A.R.S. Title 45, Chapter 3.1, subject to subsection (I)(3) of this Section. 
2. If the applicant proposes to use long-term storage credits that do not exist on the date of application or recover stored water on an annual basis pursuant to A.R.S. § 45-851.01, the 
Director shall evaluate the following in determining whether to include the proposed credits or the water proposed to be stored and recovered annually in the amount of water that is 
physically available for the applicant's proposed use: 
a. The terms of a contract to obtain water to store in a storage facility; 
b. The physical, continuous, and legal availability of the water proposed to be stored; 
c. The presence of an existing storage facility that will be available for use for the proposed storage; 
d. The existence of all required permits of an adequate duration; and 
e. Whether recovery of the stored water will comply with subsection (I)(3) of this Section. 
3. If the applicant proposes to recover the stored water from recovery wells located outside the area of impact of storage, the stored water will be considered physically available only if 
sufficient water exists for the withdrawals consistent with both of the following: 
a. The maximum 100-year depth-to-static water level requirements established in subsection (B)(2) of this Section; and 
b. Any criteria for the withdrawals prescribed in the management plan in effect at the time of the application. 
J. If the applicant will obtain the source of water through a water exchange agreement, the Director shall determine that the water is physically available for the proposed use if the applicant 
submits evidence that the source of water the applicant or the applicant's customers will use will be physically available in accordance with the terms of this Section. 
K. In the case of two or more pending, conflicting, complete and correct applications for determinations of assured water supply or determinations of adequate water supply, the Director shall 
give priority to the application with the earliest priority date. The priority date of an application for a determination of assured water supply or determination of adequate water supply shall 
be the date that a complete and correct application is filed with the Director. The Director shall consider an application complete and correct if it contains all the information required and the 
Director verifies that the information is accurate. 
L. For a certificate applicant that proposes to use surface water, the Director shall determine that the proposed source is physically available only if the applicant demonstrates one of the 
following: 
1. The land that is the subject of the application is a member land of the CAGRD. 
2. The applicant has independently obtained the surface water supply. 
3. The proposed municipal provider would satisfy the criteria in R12-15-722 if the municipal provider were subject to those requirements. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-717. Continuous Availability 
A. The Director shall determine that an applicant will have sufficient supplies of water that will be continuously available for 100 years if the applicant submits sufficient evidence that adequate 
delivery, storage, and treatment works will be in place in a timely manner to make the water available to the applicant or the applicant's customers for 100 years and the applicant meets any 
applicable requirements in subsections (B) through (G) of this Section. 
B. If the proposed source of water is groundwater, the applicant shall demonstrate that wells of a sufficient capacity will be constructed in a timely manner to serve the proposed uses on a 
continuous basis for 100 years. 
C. If the proposed source of water is surface water other than CAP water or Colorado River water, the applicant shall demonstrate that a continuous supply will exist because of one or more of 
the following: 
1. The projected volume to be diverted from the source is perennial at the point of diversion; 
2. Adequate storage facilities will be available to the applicant in a timely manner to store water for use when a volume of surface water is not available at the point of diversion to satisfy the 
applicant's water demands; 
3. The applicant has presented evidence of supplies of other sources of water that the Director has determined will be physically, continuously, and legally available to supplement the 
applicant's proposed surface water supplies; 
4. The applicant or the proposed municipal provider will withdraw surface water from wells of sufficient capacity to meet the applicant's estimated water demand on a continuous basis for 
100 years; or 
TITLE 12. NATURAL RESOURCES Page 16 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
5. The applicant has submitted a drought response plan that the Director has determined will conserve or augment a volume of water equal to the volume of water that is subject to drought. 
D. If the proposed source of water is CAP water or Colorado River water, the applicant shall demonstrate that a continuous supply is available because of one or more of the following: 
1. Adequate storage facilities will be available to the applicant in a timely manner to store water when a volume of CAP water or Colorado River water is not available to meet the 
applicant's water demands; 
2. The applicant has presented evidence of supplies of other sources of water that the Director has determined will be physically, continuously, and legally available to the applicant to 
supplement the proposed CAP water or Colorado River water supplies; or 
3. The applicant has submitted a drought response plan that the Director has determined will conserve or augment a volume of water equal to the volume subject to drought. 
E. If the proposed source of water is effluent, the applicant shall demonstrate that the capability to use the effluent to meet the demands of the proposed use will not be affected by any 
fluctuations in the supply of the effluent. 
F. If the proposed source of water is stored water to be recovered from recovery wells, the applicant shall demonstrate that recovery wells of a sufficient capacity will be constructed in a timely 
manner to serve the proposed use on a continuous basis for 100 years. 
G. If an applicant will obtain the source of water through a water exchange agreement, the applicant shall demonstrate that the source of water the applicant or the applicant's customers will use 
will be continuously available in accordance with the terms of this Section. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Amended by emergency rulemaking at 11 A.A.R. 2706, effective June 29, 2005 for 180 days (Supp. 05-2). Emergency renewed for 180 
days at 12 A.A.R. 144, effective December 23, 2005 (Supp. 05-4). Emergency expired. Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 
12, 2006 (Supp. 06-3). 
R12-15-718. Legal Availability 
A. The Director shall determine that an applicant will have sufficient supplies of water that will be legally available for at least 100 years if the applicant submits all of the applicable information 
required by this Section. 
B. If the applicant is an applicant for a certificate or a water report, the applicant shall submit the following, as applicable: 
1. A Notice of Intent to Serve agreement between the owner of the land to be included in the subdivision and the proposed municipal provider, stating the proposed municipal provider's 
intent to serve the subdivision; 
2. If the proposed municipal provider is a city or town, evidence indicating that the proposed subdivision is located within the incorporated limits of the city or town or evidence of the legal 
right of the city or town to serve water to the subdivision outside the city or town's incorporated limits; or 
3. If the proposed municipal provider is a private water company, one of the following: 
a. Evidence that the proposed municipal provider has a certificate of convenience and necessity approved by the Arizona Corporation Commission and the subdivision is located within 
the geographic area described in the certificate of convenience and necessity or any other area in which the Arizona Corporation Commission authorizes the private water company 
to serve water; 
b. Evidence that the proposed municipal provider has an order preliminary issued by the Arizona Corporation Commission authorizing the municipal provider to provide water service 
and the proposed subdivision is located within the area described in the order preliminary; or 
c. Evidence that the proposed municipal provider is not a public service corporation regulated by the Arizona Corporation Commission. 
C. If the applicant is a private water company applying for a designation, the applicant shall submit evidence that the applicant has a certificate of convenience and necessity approved by the 
Arizona Corporation Commission, or has been issued an order preliminary by the Arizona Corporation Commission for a certificate of convenience and necessity, authorizing the applicant 
to serve the proposed use. 
D. If a proposed source of water is groundwater to be withdrawn within an AMA, the applicant shall submit evidence that the applicant or the proposed municipal provider has one or more of the 
following: 
1. A service area right; 
2. An applicable non-irrigation grandfathered right to withdraw groundwater, in an amount sufficient to serve the proposed use; or 
3. A pending notice of intent to establish a new service area and all of the following apply: 
a. The notice of intent to establish a new service area identifies the proposed subdivision, 
b. The applicant or the proposed municipal provider has obtained a permit for any wells used to establish the service area right, 
c. The proposed municipal provider has obtained a water right or recovery well permit to establish the service area right, and 
d. The water right is of sufficient volume and duration to meet the estimated water demand of the proposed subdivision until the anticipated date of issuance of a service area right. 
E. If a proposed source of water is surface water other than CAP water or Colorado River water: 
1. The applicant shall submit evidence that the applicant or the proposed municipal provider has a certificated surface water right, decreed water right, or a pre-1919 claim for the proposed 
source. If the applicant or the proposed municipal provider does not hold a surface water right or claim, but will receive water pursuant to a water right or claim that is appurtenant to 
the land that is the subject of the application, the applicant shall submit evidence of the water right or claim and evidence that the water right or claim may neither be legally withheld 
nor severed and transferred by the right holder or claimant. 
2. If the certificated surface water right or decreed water right pre-dates the date of application by at least five years, or the applicant submits a pre-1919 claim, the applicant shall submit one 
of the following: 
a. Evidence that the surface water supply has been used pursuant to the applicable water right or claim within the five years before the date of application; 
b. Evidence that a court has determined that the right has not been abandoned; or 
c. Evidence that the non-use would not have resulted in an abandonment of the right pursuant to A.R.S. § 45-189. 
3. The Director shall determine that the volume of water that is legally available pursuant to a certificated surface water right, a decreed water right, or a pre-1919 claim is equal to the face 
value of the right or claim. If the right or claim is subsequently adjudicated, the Director shall determine the volume of water that is legally available based on the adjudicated amount of 
water. 
F. Subject to subsections (M) and (N) of this Section, if a proposed source of water is CAP water, the applicant shall submit evidence that the applicant or the proposed municipal provider has 
entered into a subcontract with a multi-county water conservation district for the proposed volume of CAP water. The Director shall presume that a 50-year long-term, non-declining 
municipal and industrial subcontract is sufficient evidence of the legal availability of the volume of CAP water specified in the subcontract for 100 calendar years. 
G. Subject to subsections (M) and (N) of this Section, if a proposed source of water is Colorado River water, the applicant shall submit evidence of one of the following: 
1. The applicant or the proposed municipal provider has a contract with the United States Secretary of the Interior for the proposed supply; or 
2. The applicant has obtained an allocation of Colorado River water from an entity to which all of the following apply: 
a. The entity holds a contract for Colorado River water with the United States Secretary of the Interior; 
b. The entity provides Colorado River water to the proposed municipal provider; 
c. The entity has allocated a sufficient volume of the Colorado River water to the subdivision; and 
d. The area that the entity may serve, described in the contract with the United States Secretary of the Interior, includes the subdivision. 
H. If a proposed source of water is effluent, the applicant shall submit evidence that the applicant or the proposed municipal provider has the legal right to use the effluent. 
I. If the applicant will obtain a proposed source of water through a written contract other than a water exchange agreement, a contract between a certificate applicant and the municipal provider 
proposed to serve the applicant, a contract with the United States Secretary of the Interior for Colorado River water, or a subcontract with a multi-county water conservation district, the 
applicant shall submit evidence that the person providing the water under the contract has a legal right to the water in accordance with the terms of this Section and that the terms of the 
contract will ensure that the proposed source of water will be delivered to the applicant or to the proposed subdivision. The Director shall determine the term of years for which the proposed 
source of water is legally available based on the term of years remaining in the contract. The Director shall determine the quantity of water legally available based on the volume established 
in the contract. 
J. If the applicant will obtain a proposed source of water through a water exchange agreement, the applicant shall submit evidence that the water exchange agreement satisfies the requirements of 
A.R.S. Title 45, Chapter 4. 
K. If the Director can determine the proposed source of water to be physically and continuously available only because of the use of storage facilities by the applicant or by the proposed 
municipal provider, the applicant shall submit evidence of the applicant's or the proposed municipal provider's legal right to store water in the storage facilities. 
L. If the applicant proposes to use long-term storage credits, the applicant shall submit evidence that the applicant or the proposed municipal provider has the legal right to use the credits under 
A.R.S. Title 45, Chapter 3.1. 
M. If a proposed supply of water is Colorado River water or CAP water leased from an Indian community, the applicant shall submit evidence that the water leased has a priority equal to or 
higher than CAP municipal and industrial water, evidence that the Indian community is expressly authorized by an Act of Congress to lease the water for use off Indian community lands, 
evidence of the lease, and evidence of one of the following: 
1. The proposed water supply is available under the lease for at least 100 years from any time during the year in which the applicant submits the application. 
2. The term of the lease has less than 100 years remaining in the year in which the applicant submits the application and a supplemental water supply, together with the leased water, 
provides a 100-year water supply. The applicant shall demonstrate that the supplemental water supply is physically, continuously, and legally available and, if such supplemental supply 
is groundwater, that use of the groundwater is consistent with the management goal of the AMA. If the supplemental supply is water recovered through the use of long-term storage 
credits, the applicant shall also submit the following, as applicable: 
a. If the applicant is to use the long-term storage credits before the beginning of the lease term, evidence that the applicant or the proposed municipal provider has obtained a recovery 
well permit that allows the applicant or the proposed municipal provider to recover water pursuant to the long-term storage credits; or 
b. If the long-term storage credits will be accrued in the future, evidence that the applicant or the proposed municipal provider will accrue the long-term storage credits within 20 years 
after the effective date of the designation, certificate, or water report by storing the water under an issued water storage permit at a permitted storage facility and that no more than 
20 years of the applicant's supplemental water supply will be provided by the long-term storage credits. 
N. If the Director previously determined that Colorado River water or CAP water leased from an Indian community was legally available to a designated provider for 100 years, the Director shall 
determine that the designated provider continues to have a legally available supply of water for 100 years for the annual amount of water available under the lease if: 
1. The lease has at least 50 years remaining in its term or the lease has at least 40 years remaining in its term and the designated provider submits evidence to the Director of active and 
ongoing negotiations with the Indian community to renew or re-negotiate the lease; and 
2. One of the following applies: 
a. No more than 15% of the total water supplies that the designated provider establishes as physically, continuously, and legally available during any year are obtained through leases 
TITLE 12. NATURAL RESOURCES Page 17 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
with Indian communities; 
b. Groundwater will be physically, continuously, and legally available to the designated provider at the end of the lease term to substitute for the leased water for the remainder of the 
100-year period, and the projected use of groundwater is consistent with the management goal of the AMA. For purposes of this subsection, the designated provider may 
demonstrate that the proposed use is consistent with the management goal by entering into a written agreement with the Director under which the designated provider agrees to 
replace through replenishment or underground storage any groundwater used at the end of the lease term if groundwater use is not consistent with the management goal. The 
written agreement shall provide that specific performance is the only remedy in the event of default; 
c. A non-groundwater source of water will be physically, continuously, and legally available at the end of the lease term to substitute for the leased water for the remainder of the 100- 
year period; or 
d. The designated provider's governing board or council submits a resolution requesting that the designated provider be allowed to increase its projected use of Indian lease water from 
15%, as allowed by subsection (N)(2)(a) of this Section, to 20%, and the Director finds that all of the following apply: 
i. No more than 20% of the total water supplies that the designated provider establishes as physically, continuously, and legally available during any year are obtained through 
leases with Indian communities; 
ii. No more than 15% of the total water supplies that the designated provider establishes as physically, continuously, and legally available during any year are obtained through any 
single lease with an Indian community; and 
iii. The designated provider does not meet the requirements of subsections (N)(2)(a), (b), or (c) of this Section. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-719. Water Quality 
A. Except as provided in subsection (B) of this Section, when reviewing an application for a determination of assured water supply or a determination of adequate water supply, the Director shall 
determine that the water supply is of adequate quality if one of the following applies: 
1. The applicant certifies on the application that the applicant or the proposed municipal provider will be regulated by ADEQ, or another governmental entity with equivalent jurisdiction, as 
a public water system pursuant to A.R.S. § 49-351, et seq., unless ADEQ, or another governmental entity with equivalent jurisdiction, has determined, after notice and an opportunity 
for a hearing, that the public water system is in significant noncompliance with A.A.C. Title 18, Chapter 4 and is not taking action to resolve the noncompliance; or 
2. The applicant has submitted results of a lab analysis demonstrating that the water meets water quality requirements in accordance with A.A.C. Title 18, Chapter 4, or that the water will 
meet these requirements after treatment that is required by law. The lab analysis shall be based on water withdrawn from a well representative of the well or wells from which water 
will be withdrawn for the proposed use, conducted in compliance with sample collection and analysis requirements in A.A.C. Title 18, Chapter 4, and completed within 60 days of the 
date the application is submitted to the Director. If ADEQ waives any of the water quality or sample collection and analysis requirements in A.A.C. Title 18, Chapter 4, the Director 
shall not require the applicant to meet the waived requirements. 
B. If a well or a proposed well from which water will be withdrawn for the proposed use is located within one mile of a WQARF site or Superfund site, the Director shall determine that the water 
supply is of adequate quality only if the applicant submits a contaminant migration and mitigation analysis, demonstrating that the water supply will continue to meet the requirements in 
A.A.C. Title 18, Chapter 4 for 100 years. The contaminant migration and mitigation analysis may include the impact of any mitigation or treatment, including mitigation or treatment 
required pursuant to a consent decree. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-720. Financial Capability 
A. The Director shall determine that an applicant for a certificate or a water report has the financial capability to construct adequate delivery, storage, and treatment works if the applicant 
demonstrates one or more of the following: 
1. The applicant will submit its final plat to a qualified platting authority; 
2. The applicant has constructed adequate delivery, storage, and treatment works, and water service is available to each lot; or 
3. The applicant has posted a performance bond with the platting authority for the entire cost of adequate delivery, storage, and treatment works. 
B. Upon receiving evidence that a platting authority has established standards for proof of financial capability to construct adequate delivery, storage, and treatment works, pursuant to A.R.S. § 
9-463.01(C)(8) or A.R.S. § 11-806.01(G), the Director shall classify the platting authority as a qualified platting authority. The Director shall maintain a list of qualified platting authorities. 
C. The Director shall determine that an applicant for a designation has the financial capability to construct adequate delivery, storage, and treatment works if the applicant demonstrates one or 
more of the following for each of those facilities: 
1. The applicant has constructed adequate delivery, storage, and treatment works; 
2. The applicant has entered into written agreements requiring a potential developer to construct adequate delivery, storage, and treatment works; 
3. If the applicant is a city or town, the applicant has: 
a. Adopted a five year capital improvement plan that provides for the construction, or the commencement of construction, of adequate delivery, storage, and treatment works in a timely 
manner, and has submitted a certification by the applicant's chief financial officer that finances are available to implement that portion of the five-year plan; or 
b. Submitted evidence demonstrating that financing mechanisms are in place to construct adequate delivery, storage, and treatment works in a timely manner; or 
4. If the applicant is a private water company, the applicant has received approval from the Arizona Corporation Commission for financing the construction of adequate delivery, storage, 
and treatment works. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-721. Consistency with Management Plan 
A. The Director shall determine whether a designation applicant's projected use of groundwater withdrawn within an active management area is consistent with the management plan as follows: 
1. If the applicant is providing water to customers as of the date of application, the applicant's projected water use is consistent with the management plan if either of the following apply: 
a. The applicant is in compliance with its applicable management plan requirements in the most recent calendar year for which data is available before the date of application; or 
b. The applicant has signed a stipulation and consent order that is in effect on the date of the application, or that becomes effective during the time of review of the application, to 
remedy non-compliance with the management plan requirements and the applicant is in compliance with the terms of the stipulation and consent order. 
2. If the applicant has not commenced serving water to customers as of the date of application, the applicant shall submit a water use plan that demonstrates to the Director that compliance 
with management plan requirements will be achieved through the use of conservation or augmentation measures. 
3. If the applicant has a pending request for an administrative review or variance from its management plan requirements, the Director shall not make a finding regarding compliance with 
this Section until the Director has issued a final decision and order on the request or the request has been withdrawn. 
B. The Director shall determine that a certificate applicant's projected use of groundwater withdrawn within an AMA is consistent with the management plan if the applicant submits a water use 
plan for the subdivision that includes both of the following: 
1. Information demonstrating that compliance with management plan requirements will be achieved through conservation or augmentation measures; and 
2. All information required to calculate the water requirements for each proposed water use. 
C. A certificate applicant for a subdivision of 50 or fewer lots is exempt from the requirements of this rule. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-722. Consistency with Management Goal 
A. For the Phoenix, Prescott, or Tucson AMAs, the Director shall calculate the volume of groundwater that may be used consistent with the management goal of the AMA in which the proposed 
use is located for at least 100 years by adding the following: 
1. The amount of the groundwater allowance, according to R12-15-724(A), R12-15-726(A), or R12-15-727(A). 
2. The amount of any extinguishment credits pledged to the certificate or designation, according to R12-15-724(B), R12-15-726(B), or R12-15-727(B). 
3. Any groundwater that is consistent with the achievement of the management goal pursuant to A.R.S. Title 45, Chapter 2. 
B. The Director shall determine that a proposed groundwater use in the Phoenix, Prescott, or Tucson AMA is consistent with the management goal of the AMA if the volume calculated in 
subsection (A) of this Section is equal to or greater than the portion of the applicant's estimated water demand to be met with groundwater. 
C. For a certificate in the Pinal AMA, the Director shall calculate the volume of groundwater that may be used consistent with the management goal of the AMA for at least 100 years by adding 
the following: 
1. The amount of the groundwater allowance, according to R12-15-725(A)(1). 
2. The amount of any extinguishment credits pledged to the certificate for a grandfathered right that was extinguished on or after October 1, 2007, according to R12-15-725(B). 
3. The amount of any extinguishment credits pledged to the certificate for a grandfathered right that was extinguished before October 1, 2007. The Director shall calculate the amount of the 
extinguishment credits by multiplying the annual amount of the credits by 100. 
4. Any groundwater that is consistent with the achievement of the management goal pursuant to A.R.S. Title 45, Chapter 2. 
D. For a certificate in the Pinal AMA, the Director shall determine that the proposed groundwater use is consistent with the management goal of the AMA if the volume calculated in subsection 
(C) of this Section is equal to or greater than the portion of the applicant's estimated water demand to be met with groundwater. 
E. For a designation in the Pinal AMA, the Director shall calculate the volume of groundwater that may be used consistent with the management goal of the Pinal AMA on an annual basis by 
adding the following: 
1. The amount of the groundwater allowance, according to R12-15-725(A)(2). If any of the groundwater allowance is not used during a year, the unused groundwater allowance shall not be 
added to the volume calculated under this subsection for the following year. 
2. The amount of any extinguishment credits pledged to the designation for a grandfathered right that was extinguished on or after October 1, 2007, according to R12-15-725(B), divided by 
100. Extinguishment credits for a grandfathered right that was extinguished on or after October 1, 2007 may be used in any year. 
3. The annual amount of any extinguishment credits pledged to the designation for a grandfathered right that was extinguished before October 1, 2007. The following shall apply if any of 
the extinguishment credits are not used during a calendar year: 
TITLE 12. NATURAL RESOURCES Page 18 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
a. If the extinguishment credits were pledged to the designation before October 1, 2007, any extinguishment credits not used during a calendar year shall be added to the volume 
calculated under this subsection for the following calendar year. 
b. If the extinguishment credits are pledged to the designation on or after October 1, 2007, any of the extinguishment credits not used during a calendar year shall not be added to the 
volume calculated under this subsection for the following calendar year, except that if the extinguishment credits were originally pledged to a certificate before October 1, 2007 
and are used to support the municipal provider's designation pursuant to R12-15-723(G)(2), any of the extinguishment credits not used during a calendar year shall be added to the 
volume calculated under this subsection for the following calendar year. 
4. Any groundwater that is consistent with the achievement of the management goal pursuant to A.R.S. Title 45, Chapter 2. 
F. For a designation in the Pinal AMA, the Director shall determine that the proposed groundwater use is consistent with the management goal of the Pinal AMA if the annual volume calculated 
in subsection (E) of this Section is equal to or greater than the portion of the applicant's annual estimated water demand to be met with groundwater. 
G. Upon application, the following volumes of groundwater used by an applicant are considered consistent with the management goal: 
1. If the Director determines that a surface water supply is physically available under R12-15-716 and the volume of the supply actually available during a calendar year is equal to or less 
than the drought volume for the supply, the volume of groundwater, other than the groundwater that is accounted for under subsection (A), (C), or (E) of this Section, withdrawn within 
the AMA that, when combined with the available surface water supply, is equal to or less than the drought volume. 
2. Any volume of groundwater withdrawn within a portion of an AMA that is exempt from conservation requirements under A.R.S. Title 45 due to waterlogging. The Director shall review 
the application of this exclusion on a periodic basis, not to exceed 15 years. 
3. Remedial groundwater that is consistent with the management goal according to the requirements of R12-15-729. 
H. An applicant for a certificate of assured water supply for a dry lot subdivision of 20 lots or fewer is exempt from the requirements of this Section. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). Amended by final 
rulemaking at 13 A.A.R. 1394, effective October 1, 2007 (Supp. 07-2). 
R12-15-723. Extinguishment Credits 
A. Except as provided in subsection (D) of this Section, the owner of a grandfathered right may extinguish the right in exchange for extinguishment credits by submitting the following: 
1. A notarized statement of extinguishment of a grandfathered right on a form provided by the Director; 
2. The grandfathered right number; 
3. If the right being extinguished is a type 1 non-irrigation grandfathered right or an irrigation grandfathered right, evidence of ownership of the land to which the grandfathered right is 
appurtenant; 
4. If the grandfathered right is located in the Prescott AMA, evidence that all of the following conditions are met: 
a. The land to which the right is appurtenant has not been and will not be subdivided pursuant to a preliminary plat or a final plat that was approved by a city, town, or county before 
August 21, 1998; and 
b. The land to which the right is appurtenant is not and will not be the location of a subdivision for which a complete and correct application for a certificate of assured water supply 
was submitted to the Director before August 21, 1998; 
5. If the right being extinguished is an irrigation grandfathered right, evidence that the development of the land to which the right is appurtenant is not completed; and 
6. Any additional information the Director may reasonably require to process the extinguishment. 
B. The Director shall calculate the amount of extinguishment credits pursuant to R12-15-724(B), R12-15-725(B), R12-15-726(B) or R12-15-727(B). The Director shall notify the owner of the 
amount of extinguishment credits in writing. If the owner is extinguishing only a portion of the right, the Director shall issue a new certificate of grandfathered right for the remainder of the 
right. 
C. A type 1 non-irrigation grandfathered right or an irrigation grandfathered right may be extinguished in whole or in part. A type 2 non-irrigation grandfathered right may be extinguished only 
in whole. 
D. The following rights may not be extinguished in exchange for extinguishment credits: 
1. An irrigation grandfathered right that is appurtenant to land that has been physically developed for a non-irrigation use. The Director shall not consider the land to be physically developed 
until the development is completed. 
2. A type 1 non-irrigation grandfathered right, if the Director determines that the holder is likely to continue to receive groundwater from an undesignated municipal provider for the same 
use pursuant to the provider's service area right or pursuant to a groundwater withdrawal permit. 
3. A type 2 non-irrigation grandfathered right that was issued based on the withdrawal of groundwater for mineral extraction or processing or for the generation of electrical energy. 
4. On or after January 1, 2025, any grandfathered right that is in the Phoenix, Prescott, or Tucson AMAs. 
5. Any grandfathered right in the Pinal AMA beginning in the first calendar year in which the allocation factor for the extinguishment of a grandfathered right is zero, pursuant to R12-15- 
725(B)(3) or (4). 
6. A type 1 non-irrigation grandfathered right that was requested to be included by a city or town in the Tucson AMA in the determination made under A.R.S. § 45-463(F). 
E. The owner of extinguishment credits may pledge the credits to a certificate or to a designation before the certificate or designation is issued by submitting with the application for the 
certificate or designation a notice of intent to pledge extinguishment credits on a form provided by the Director. The extinguishment credits shall be pledged to the certificate or designation 
upon issuance of the certificate or designation. 
F. The owner of extinguishment credits may pledge the credits to a certificate or to a designation after the certificate or designation is issued by submitting a notice of intent to pledge 
extinguishment credits on a form provided by the Director. The Director shall notify the owner of the extinguishment credits and the certificate holder or designated provider that the credits 
have been pledged to the certificate or designation. 
G. Extinguishment credits that have not been pledged to a certificate or designation may be conveyed within the same AMA. Extinguishment credits pledged to a certificate or designation shall 
not be conveyed to another person, except that: 
1. If extinguishment credits are pledged to a certificate that is later assigned or reissued, any unused credits are transferred, by operation of this subsection, to the assigned or reissued 
certificate. If the certificate is partially assigned or reissued, a pro rata share of the unused extinguishment credits is transferred to each assigned or reissued certificate according to the 
estimated water demand. 
2. If extinguishment credits are pledged to a certificate for a subdivision that is later served by a designated provider or a municipal provider that is applying for a designation, any unused 
extinguishment credits may be used to support the municipal provider's designation as long as the municipal provider serves the subdivision and remains designated. If the municipal 
provider is no longer serving the subdivision or if the municipal provider loses its designated status, any unused extinguishment credits shall revert, by operation of this subsection, to 
the certificate to which they were originally pledged. 
H. The Director shall review a statement of extinguishment of a grandfathered right and a notice of intent to pledge extinguishment credits pursuant to the licensing time-frame provisions in R12- 
15-401. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). Amended by final 
rulemaking at 13 A.A.R. 1394, effective October 1, 2007 (Supp. 07-2). 
R12-15-724. Phoenix AMA Calculation of Groundwater Allowance and Extinguishment Credits 
A. The Director shall calculate the groundwater allowance for a certificate or designation in the Phoenix AMA as follows: 
1. If the application is for a certificate, multiply the applicable allocation factor in the table below by the annual estimated water demand for the proposed subdivision. 
2. If the application is for a designation and the applicant provided water to its customers prior to February 7, 1995, multiply 7.5 by the total volume of water provided by the applicant to its 
customers from any source during calendar year 1994, consistent with the municipal conservation requirements established for the applicant pursuant to Section 5-103(A)(1) of the 
Second Management Plan for the Phoenix AMA. 
3. If the application is for a designation and the applicant commenced providing water to its customers on or after February 7, 1995, the applicant's groundwater allowance is zero acre-feet. 
4. For each calendar year of a designation, the Director shall calculate the volume of incidental recharge for a designated provider within the Phoenix AMA and add that volume to the 
designated provider's groundwater allowance. The Director shall calculate the volume of incidental recharge by multiplying the provider's total water use from any source in the 
previous calendar year by the standard incidental recharge factor of 4%. A designated provider may apply for a variance from the standard incidental recharge factor as provided in 
A.R.S. § 45-566.01(E)(1). The Director may establish a different incidental recharge factor for the designated provider if the provider demonstrates to the satisfaction of the Director 
that the ratio of the average annual amount of incidental recharge expected to be attributable to the provider during the management period, to the average amount of water expected to 
be withdrawn, diverted, or received for delivery by the provider for use within its service area during the management period, is different than 4%. 
B. The Director shall calculate the extinguishment credits for the extinguishment of a grandfathered right in the Phoenix AMA as follows: 
1. For the extinguishment of a type 2 non-irrigation grandfathered right, multiply the number of acre-feet indicated on the certificate by the difference between 2025 and the calendar year of 
extinguishment. 
2. For the extinguishment of all or part of an irrigation grandfathered right, or all or part of a type 1 non-irrigation grandfathered right, multiply 1.5 acre-feet per acre by the number of 
irrigation acres associated with the extinguished irrigation grandfathered right or the number of acres to which the extinguished type 1 non-irrigation grandfathered right is appurtenant, 
and then multiply the product by the difference between 2025 and the calendar year of extinguishment, except that: 
a. If only a portion of an irrigation grandfathered right or a type 1 non-irrigation grandfathered right is extinguished, the Director shall include in the calculation only those acres 
associated with the portion of the right that is extinguished; and 
b. If an extinguished irrigation grandfathered right has a debit balance in the corresponding flexibility account established under A.R.S. § 45-467, the Director shall subtract the amount 
of the debit from the amount of the extinguishment. 
MANAGEMENT PERIOD ALLOCATION FACTOR 
Third 4 
Fourth 2 
Fifth 1 
After Fifth 0 
TITLE 12. NATURAL RESOURCES Page 19 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-725. Pinal AMA - Groundwater Allowance and Extinguishment Credits Calculation 
A. The Director shall calculate the groundwater allowance for a certificate or designation in the Pinal AMA as follows: 
1. If the application is for a certificate, multiply the applicable allocation factor in the table below for the management period in effect on the date of application by the annual estimated 
water demand for the proposed subdivision. 
. 
2. If the application is for a designation: 
a. If the applicant was designated as having an assured water supply as of October 1, 2007: 
i. Multiply the applicant's service area population as of October 1, 2007 by 125 gallons per capita per day and multiply the product by 365 days. The service area population shall 
be determined using the methodology set forth in Section 5-103(D) of the Third Management Plan for the Pinal AMA. 
ii. Convert the number of gallons determined in subsection (A)(2)(a)(i) into acre-feet by dividing the number by 325,851 gallons. 
iii. Determine the number of residential lots within plats that were recorded as of October 1, 2007 but not served water as of that date, and to which the applicant commenced water 
service by January 1, 2010. 
iv. Multiply the number of lots determined in subsection (A)(2)(a)(iii) of this Section by 0.35 acre-foot per lot. 
v. Add the volume from subsection (A)(2)(a)(ii) of this Section and the volume from subsection (A)(2)(a)(iv) of this Section. 
b. If the applicant provided water to its customers before October 1, 2007 but was not designated as having an assured water supply as of that date, and a complete and correct 
application for designation is filed before January 1, 2012, multiply the applicant's service area population as of October 1, 2007 by 125 gallons per capita per day and multiply the 
product by 365 days. The service area population shall be determined using the methodology in Section 5-103(D) of the Third Management Plan for the Pinal AMA. 
c. If the applicant provided water to its customers before October 1, 2007 but was not designated as having an assured water supply as of that date, and a complete and correct 
application for designation is filed on or after January 1, 2012, the applicant's groundwater allowance is zero acre-feet. 
d. If the applicant commenced providing water to its customers on or after October 1, 2007, the applicant's groundwater allowance is zero acre-feet. 
3. For each calendar year of a designation, the Director shall calculate the volume of incidental recharge for a designated provider within the Pinal AMA and add that volume to the 
designated provider's groundwater allowance. The Director shall calculate the volume of incidental recharge by multiplying the provider's total water use from any source in the 
previous calendar year by the standard incidental recharge factor of 4%. A designated provider may apply for a variance from the standard incidental recharge factor by submitting a 
hydrologic study demonstrating, to the satisfaction of the Director, that the ratio of the average annual amount of incidental recharge expected to be attributable to the designated 
provider during the management period to the average annual amount of water expected to be withdrawn, diverted or received for delivery by the designated provider for use within its 
service area during the management period is different than 4%. The hydrologic study shall include the amount of water withdrawn, diverted or received for delivery by the designated 
provider for use within its service area during each of the preceding five years and the amount of incidental recharge that was attributable to the designated provider during each of 
those years. The Director may establish a different incidental recharge factor for the designated provider upon such demonstration. 
B. The Director shall calculate the extinguishment credits for the extinguishment of a grandfathered right in the Pinal AMA as follows: 
1. For the extinguishment of a type 2 non-irrigation grandfathered right, multiply the number of acre-feet indicated on the certificate by the applicable allocation factor as determined under 
subsection (B)(3) or (B)(4) of this Section. 
2. For the extinguishment of all or part of an irrigation grandfathered right, or all or part of a type 1 non-irrigation grandfathered right, an amount calculated by multiplying 1.5 acre-feet by 
the number of irrigation acres associated with the extinguished irrigation grandfathered right or the number of acres to which the extinguished type 1 non-irrigation grandfathered right 
is appurtenant, and then multiply that product by the applicable allocation factor as determined under subsection (B)(3) or (B)(4) of this Section, except that: 
a. If only a portion of an irrigation grandfathered right or a type 1 non-irrigation grandfathered right is extinguished, the Director shall include in the calculation only those acres 
associated with the portion of the right that is extinguished; and 
b. If an extinguished irrigation grandfathered right has a debit balance in the corresponding flexibility account established under A.R.S. § 45-467, the Director shall subtract the amount 
of the debit from the amount of the extinguishment credits. 
3. Except as provided in subsection (B)(4) of this Section, in calculating the extinguishment credits for the extinguishment of a grandfathered right under subsection (B)(1) or (B)(2) of this 
Section, the Director shall use the allocation factor associated with the year in which the grandfathered right is extinguished, as shown in the table below. 
MANAGEMENT PERIOD/DATE OF APPLICATION ALLOCATION FACTOR 
Third 10 
Fourth 10 
Fifth 5 
After Fifth 0 
Allocation 
Year Factor 
2007 100 
2008 100 
2009 100 
2010 90 
2011 88 
2012 86 
2013 84 
2014 82 
2015 80 
2016 78 
2017 76 
2018 74 
2019 72 
2020 70 
2021 68 
2022 66 
2023 64 
2024 62 
2025 60 
2026 58 
2027 56 
2028 54 
2029 52 
2030 50 
2031 48 
2032 46 
2033 44 
2034 42 
2035 40 
2036 38 
2037 36 
TITLE 12. NATURAL RESOURCES Page 20 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
4. If, before January 1, 2055, there is a moratorium on adding new member lands and member service areas in the Pinal AMA pursuant to A.R.S. § 45-576.06(A), in calculating the 
extinguishment credits for the extinguishment of a grandfathered right under subsection (B)(1) or (B)(2) of this Section, the Director shall use an allocation factor determined as 
follows: 
a. If the grandfathered right is extinguished while the moratorium is in effect, the Director shall use the allocation factor associated with the year in which the moratorium first became 
effective, as shown in the table in subsection (B)(3) of this Section. 
b. If the grandfathered right is extinguished when the moratorium is no longer in effect, the Director shall use the allocation factor associated with the year determined pursuant to this 
subsection, as shown in the table in subsection (B)(3) of this Section. The Director shall determine the year as follows: 
i. Subtract the year in which the moratorium first became effective from the year in which the moratorium ended. 
ii. Subtract the difference in subsection (B)(4)(b)(i) of this Section from the year in which the grandfathered right was extinguished. 
Historical Note 
Adopted effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). Section repealed; 
new Section made by final rulemaking at 13 A.A.R. 1394, effective October 1, 2007 
(Supp. 07-2). 
R12-15-726. Prescott AMA Calculation of Groundwater Allowance and Extinguishment Credits 
A. The Director shall calculate the groundwater allowance for a certificate or designation in the Prescott AMA as follows: 
1. If the application is for a certificate of assured water supply, the Director shall: 
a. Subtract the year of application from 2025, 
b. Multiply the number determined in subsection (A)(1)(a) by the applicant's annual estimated water demand, and 
c. Divide that product by two. The minimum volume that may be calculated in this subsection is zero acre-feet. 
2. If the application is for a designation of assured water supply: 
a. Except as provided in subsections (A)(3) and (A)(5), if the applicant was in existence as of January 12, 1999, and the application is filed before calendar year 2026, the Director shall: 
i. Multiply by 100 the largest volume of groundwater determined by the Director to have been withdrawn by the applicant from within the Prescott AMA for use within the 
applicant's service area in any calendar year from 1995 through 1998, consistent with the municipal conservation requirements applicable under the second management plan 
for the Prescott active management area; 
ii. Determine the volume of the applicant's total water demand, from any source, for 1999, consistent with the municipal conservation requirements established for the applicant in 
the management plan in effect on the date of application; 
iii. Determine the volume of the applicant's total water demand, from any source, for 2014, consistent with the municipal conservation requirements established for the applicant in 
the management plan in effect on the date of application; 
iv. Subtract the volume calculated in subsection (A)(2)(a)(ii) from the volume calculated in subsection (A)(2)(a)(iii) and then multiply the difference by 26; 
v. Divide the product obtained in subsection (A)(2)(a)(iv) by two; 
vi. If any residential groundwater uses, including residential groundwater uses served by an exempt well, in existence on August 21, 1998, have been replaced by permanent water 
service from the applicant after August 21, 1998, multiply one-half acre-foot of groundwater by the number of housing units receiving the service and then multiply that 
product by 100; 
vii. Determine the volume of groundwater withdrawn by the applicant from within the Prescott active management area during the period beginning January 1, 1999, and ending 
December 31 of the calendar year before the date of the application; 
viii. Multiply the volume of groundwater withdrawn by the applicant from within the Prescott active management area in 1999 by the number of calendar years in the period 
beginning with 1999 and ending with the calendar year before the date of application; 
ix. Subtract from the volume calculated in subsection (A)(2)(a)(vii) the volume calculated in subsection (A)(2)(a)(viii). The volume calculated in this subsection shall not be less 
than zero; and 
x. Add the volumes calculated in subsections (A)(2)(a)(i), (A)(2)(a)(v), and (A)(2)(a)(vi), and then subtract from the sum the volume calculated in subsection (A)(2)(a)(ix). 
b. If the applicant did not exist as of January 12, 1999, or the date of application occurs after calendar year 2025, the groundwater allowance is zero acre-feet, except that if any 
residential groundwater uses, including residential groundwater uses served by an exempt well, in existence on August 21, 1998, have been replaced by permanent water service 
from the applicant after August 21, 1998, the groundwater allowance is a volume of groundwater computed by multiplying one-half acre-foot of groundwater by the number of 
housing units receiving the service and multiplying that product by 100. 
3. For the purpose of determining the groundwater allowance under subsection (A)(2)(a), at the request of the applicant, the Director shall replace the volume of groundwater calculated in 
subsection (A)(2)(a)(ii) through (v) with the amount of groundwater necessary for the applicant to serve the residential lots described in subsection (A)(4): 
a. To compute this amount of groundwater, the Director shall: 
i. Determine the average dwelling occupancy within the applicant's service area and multiply that average occupancy by an amount of groundwater, calculated by multiplying 150 
gallons per capita per day by 365 days; and 
ii. Multiply the product in subsection (A)(3)(a)(i) by the number of residential lots described in subsection (A)(4), and then multiply that product by 100. 
b. The Director shall not include the amount computed in subsection (A)(3)(a) within the amount of groundwater that the applicant may use under subsection (A)(2)(a) until a final plat 
for the lots has been recorded. 
4. The Director shall include residential lots that will be served by the applicant in the calculation made under subsection (A)(3) if the lots meet all of the following criteria: 
a. A preliminary plat for the lots was submitted to the city, town, or county on or before August 21, 1998, and the final plat is subsequently recorded; 
b. The lots were not being served water on or before August 21, 1998; and 
c. Any one of the following applies: 
i. The lots were included within an application for certificate of assured water supply that was filed before August 21, 1998, the Director determined that the application was 
complete and correct as of August 21, 1998, and the Director subsequently issued a certificate of assured water supply for the lots. 
ii. A preliminary plat for the lots was approved by a city, town, or county on or before August 21, 1998. At the time the preliminary plat was approved, the subdivider of the lots 
obtained a written commitment of water service from a municipal provider that was designated as having an assured water supply and the provider demonstrated to the 
satisfaction of the Director that sufficient water is physically available to serve the lots under the criteria in R12-15-716. 
5. For the purpose of determining the groundwater allowance under subsection (A)(2)(a), if the applicant makes the request described in subsection (A)(3), the Director shall replace the 
volume of groundwater calculated in subsection (A)(2)(a)(viii) with an amount of groundwater calculated as follows. The Director shall: 
a. Determine the number of calendar years in the period beginning with 1999 and ending with the calendar year before the date of application and multiply that number of years by the 
largest volume of groundwater determined by the Director to have been withdrawn by the applicant from within the Prescott active management area for use within the applicant's 
service area in any calendar year from 1995 through 1998, consistent with the municipal conservation requirements applicable under the second management plan for the Prescott 
active management area; 
b. Determine the average dwelling occupancy within the applicant's service area and multiply that average dwelling occupancy by an amount of groundwater calculated by multiplying 
150 gallons per capita per day by 365 days; 
c. For each year in the period beginning with 1999 and ending with the calendar year before the date of application, determine the number of the residential lots that meet the criteria in 
subsection (A)(4) and were served water by the applicant as of July 1 of the relevant year and add the number of these residential lots determined for each year; 
d. Multiply the volume of groundwater calculated in subsection (A)(5)(b) by the number of residential lots in subsection (A)(5)(c); and 
e. Add the volumes of groundwater from subsections (A)(5)(a) and (A)(5)(d). 
2038 34 
2039 32 
2040 30 
2041 28 
2042 26 
2043 24 
2044 22 
2045 20 
2046 18 
2047 16 
2048 14 
2049 12 
2050 10 
2051 8 
2052 6 
2053 4 
2054 2 
After 2054 0 
TITLE 12. NATURAL RESOURCES Page 21 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
B. The Director shall calculate the extinguishment credits for extinguishing a grandfathered right in the Prescott AMA as follows: 
1. For the extinguishment of a type 2 non-irrigation grandfathered right, multiply the number of acre-feet indicated on the certificate by the difference between 2025 and the calendar year of 
extinguishment. 
2. For the extinguishment of an irrigation grandfathered right or a type 1 non-irrigation grandfathered right: 
a. Through December 31, 2010: 
i. If the irrigation acres associated with the extinguished right were irrigated for at least four of the six calendar years preceding January 1, 2000, multiply 1.5 acre-feet per acre by 
the number of irrigation acres associated with the extinguished right or the number of acres to which the extinguished right is appurtenant and multiply that product by 25. 
ii. If the irrigation acres associated with the extinguished right were not irrigated for at least four of the six calendar years preceding January 1, 2000, multiply 1.5 acre-feet per acre 
by the number of irrigation acres associated with the extinguished right or the number of acres to which the extinguished right is appurtenant and multiply the product by the 
difference between 2025 and the year in which the statement of intent to extinguish is filed. 
b. After December 31, 2010, multiply 1.5 acre-feet per acre by the number of irrigation acres associated with the extinguished right or the number of acres to which the extinguished 
right is appurtenant and multiply the product by the difference between 2025 and the year in which the statement of intent to extinguish is filed. 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-727. Tucson AMA Calculation of Groundwater Allowance and Extinguishment Credits 
A. The Director shall calculate the groundwater allowance for a certificate or designation in the Tucson AMA as follows: 
1. If the application is for a certificate, multiply the applicable allocation factor in the table below by the annual estimated water demand for the proposed subdivision. 
2. If the application is for a designation and the applicant provided water to its customers before February 7, 1995, multiply 15 by the total volume of water provided by the applicant to its 
customers from any source during calendar year 1994, consistent with the municipal conservation requirements established for the applicant pursuant to Section 5-103(A)(1) of the 
Second Management Plan for the Tucson AMA. 
3. If the application is for a designation and the applicant commenced providing water to its customers on or after February 7, 1995, the applicant's groundwater allowance is zero acre-feet. 
4. For each calendar year of the designation, the Director shall calculate the volume of incidental recharge for a designated provider within the Tucson AMA and add that volume to the 
designated provider's groundwater allowance. The Director shall calculate the volume of incidental recharge by multiplying the provider's total water use from any source in the 
previous calendar year by the standard incidental recharge factor of 4%. A designated provider may apply for a variance from the standard incidental recharge factor as provided in 
A.R.S. § 45-566.01(E)(1). The Director may establish a different incidental recharge factor for the designated provider if the provider demonstrates to the satisfaction of the Director 
that the ratio of the average annual amount of incidental recharge expected to be attributable to the provider during the management period, to the average amount of water expected to 
be withdrawn, diverted, or received for delivery by the provider for use within its service area during the management period, is different than 4%. 
B. The Director shall calculate the extinguishment credits for the extinguishment of a grandfathered right in the Tucson AMA as follows: 
1. For the extinguishment of a type 2 non-irrigation grandfathered right, multiply the number of acre-feet indicated on the certificate by the difference between 2025 and the calendar year of 
extinguishment. 
2. For the extinguishment of all or part of an irrigation grandfathered right, or all or part of a type 1 non-irrigation grandfathered right, multiply 1.5 acre-feet per acre by the number of 
irrigation acres associated with the extinguished irrigation grandfathered right or the number of acres to which the extinguished type 1 non-irrigation grandfathered right is appurtenant, 
and then multiply the product by the difference between 2025 and the calendar year of extinguishment, except that: 
a. If only a portion of an irrigation grandfathered right or a type 1 non-irrigation grandfathered right is extinguished, the Director shall include in the calculation only those acres 
associated with the portion of the right that is extinguished; and 
b. If an extinguished irrigation grandfathered right has a debit balance in the corresponding flexibility account established under A.R.S. § 45-467, the Director shall subtract the amount 
of the debit from the amount of the extinguishment. 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-728. Reserved 
R12-15-729. Remedial Groundwater; Consistency with Management Goal 
A. Use of remedial groundwater by a municipal provider before January 1, 2025, is deemed consistent with the management goal of the AMA in which the remedial groundwater is withdrawn 
and is excluded when determining compliance with management goal requirements in this Article if all of the following apply: 
1. The Director determines that the remedial groundwater use is consistent with the management goal under subsection (F) or (H) of this Section or the remedial groundwater use is 
consistent with the management goal under subsection (J) of this Section; and 
2. The municipal provider complies with the metering and reporting requirements in subsection (K) of this Section. 
B. A municipal provider that is using remedial groundwater or that has agreed in a consent decree or other document approved by ADEQ or the EPA to use remedial groundwater may apply to 
the Director for a determination that the municipal provider's use of the remedial groundwater is consistent with the management goal of the active management area by submitting an 
application on a form provided by the Director with the information required in subsection (D) of this Section before January 1, 2010. 
C. A municipal provider filing an application under subsection (B) of this Section for remedial groundwater use associated with a treatment plant in operation before June 15, 1999, may request 
an increase in the project's annual authorized volume at the time the application is filed. The Director shall grant the request and increase the annual authorized volume up to the maximum 
treatment capacity of the treatment plant if the municipal provider submits evidence that an increase in the annual authorized volume is necessary to further the purpose of the remedial 
action project and that the increase is not in violation of the consent decree or other document approved by ADEQ or the EPA for the remedial action project. 
D. An applicant shall provide the following with an application submitted under subsection (B) of this Section: 
1. A document evidencing ADEQ's or EPA's approval of the municipal provider's withdrawal and use of remedial groundwater, such as a remedial action plan, record of decision, or consent 
decree; 
2. The volume of remedial groundwater that will be withdrawn and used annually by the municipal provider and the purpose for which the remedial groundwater will be used; 
3. The time period during which the remedial groundwater will be withdrawn and used by the municipal provider; 
4. A reference to the annual authorized volume provided in the document submitted pursuant to subsection (D)(1) of this Section or, if the document submitted pursuant to subsection (D)(1) 
does not specify the annual authorized volume for the project, the annual authorized volume claimed by the municipal provider and a written justification for that volume; 
5. If the approved remedial action project is currently operating, the volume of remedial groundwater withdrawn pursuant to the project for each year before the year in which the application 
is filed; 
6. The designated provider or certificate to which the remedial groundwater will be pledged; 
7. If the municipal provider is requesting an increase in the annual authorized volume of the project pursuant to subsection (C) of this Section, evidence that the increase is necessary to 
further the purpose of the remedial action project and that the increase is not in violation of the consent decree or other document approved by ADEQ or the EPA for the project; 
8. The name and telephone number of a person the Department may contact regarding the application; and 
9. Any other information reasonably required to assist the Director in making the determination under subsection (F) of this Section. 
E. After receiving an application under subsection (B) of this Section, the Director shall determine that the application is complete and correct if it contains all the information required in 
subsection (D) of this Section and the Director verifies that the information is accurate. If the Director determines that the application is complete and correct, the Director shall assign a 
priority date to the application according to the following: 
1. If the Director determines that the application was complete and correct when filed, the priority date of the application is the date the application was filed. 
2. If the Director determines that the application was not complete or correct when filed because of minor deficiencies, the Director shall notify the applicant of the deficiencies in writing 
and give the applicant 30 days to correct the deficiencies. If the applicant submits the necessary information to correct the deficiencies within 30 days after the date of the notice, the 
priority date of the application is the date the application was filed. 
3. If the Director determines that the application was not complete or correct when filed and that the deficiencies are not minor, the Director shall notify the applicant of the deficiencies and 
give the applicant at least 60 days to submit the necessary information to correct the deficiencies. If the applicant submits the necessary information to correct the deficiencies within 
the time allowed by the Director, the priority date of the application is the date the applicant submits the necessary information to correct the deficiencies. 
F. The Director shall approve a complete and correct application filed under subsection (B) of this Section if the Director determines that the applicant will use remedial groundwater before 
January 1, 2025. If the Director approves a municipal provider's application, the Director shall calculate the annual amount of remedial groundwater use that is deemed consistent with the 
management goal of the AMA as follows: 
1. The Director shall determine the total annual amount of remedial groundwater use in all AMAs that is deemed to be consistent with the management goal under this subsection and 
subsections (H) and (I) of this Section for applications with a priority date earlier than the priority date of the municipal provider's application. 
2. If the amount determined in subsection (F)(1) of this Section is less than 65,000 acre-feet and the difference between those amounts is equal to or greater than the municipal provider's 
authorized remedial groundwater use during the year, the amount of remedial groundwater use by the municipal provider that is deemed to be consistent with the management goal 
during the year is the amount of the municipal provider's authorized remedial groundwater use during the year. 
3. If the amount determined in subsection (F)(1) of this Section is less than 65,000 acre-feet and the difference between those amounts is less than the municipal provider's authorized 
remedial groundwater use during the year, the amount of remedial groundwater use by the municipal provider that is deemed consistent with the management goal during the year is the 
amount of the municipal provider's authorized remedial groundwater use during the year up to the difference between the amount determined in subsection (F)(1) and 65,000 acre-feet, 
plus a percentage of the municipal provider's authorized remedial groundwater use during the year that exceeds the difference. The percentage is 50 percent for calendar years 2000 
through 2009, 25 percent for calendar years 2010 through 2019, and 10 percent for calendar years 2020 through 2024. 
MANAGEMENT PERIOD ALLOCATION FACTOR 
Third 8 
Fourth 4 
Fifth 2 
After Fifth 0 
TITLE 12. NATURAL RESOURCES Page 22 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
4. If the amount determined in subsection (F)(1) of this Section is equal to or greater than 65,000 acre-feet, the amount of remedial groundwater use by the municipal provider that is deemed 
consistent with the management goal during the year is a percentage of the municipal provider's authorized remedial groundwater use during the year. The percentage is 50 percent for 
calendar years 2000 through 2009, 25 percent for calendar years 2010 through 2019, and 10 percent for calendar years 2020 through 2024. 
G. If the Director determines that remedial groundwater use by a municipal provider is consistent with the management goal of the active management area under subsection (F) of this Section, 
the determination shall apply to remedial groundwater used by the municipal provider between the priority date of the application and January 1, 2025. 
H. If, before the effective date of this Section, a municipal provider filed an application with the Director requesting that the Director determine that the provider's use of remedial groundwater 
pursuant to an approved remedial action project is consistent with the management goal of the active management area under Laws 1997, Ch. 287, § 52, as amended by Laws 1999, Ch. 295, 
§ 50, the following shall apply: 
1. If the Director approved the application before the effective date of this Section and determined the annual amount of remedial groundwater use by the applicant that will be considered 
consistent with the management goal, the Director's determination shall apply after the effective date of this Section and the Director shall include the annual amount of remedial 
groundwater use determined by the Director to be consistent with the management goal in the total amount of remedial groundwater determined in subsection (F)(1) of this Section. 
2. If the Director did not approve the application before the effective date of this Section, the Director shall process the application under subsections (E) and (F) of this Section. If the 
Director approves the application, the Director's determination shall apply to remedial groundwater withdrawn and used by the municipal provider pursuant to the approved remedial 
action project from the priority date of the application until January 1, 2025. 
I. A municipal provider that is using remedial groundwater that has been determined by the Director to be consistent with the management goal under subsection (F) or (H) of this Section may 
apply to the Director for an increase in the annual authorized volume of the approved remedial action project as follows: 
1. The applicant shall submit an application on a form provided by the Director. 
2. The Director shall determine that the application is complete and correct if it contains all of the required information and the Director verifies that the information is accurate. 
3. If the Director determines that an application filed under this subsection is complete and correct, the Director shall assign a priority date to the application using the criteria in subsection 
(E) of this Section. 
4. The Director shall approve the application if the municipal provider submits information that demonstrates one of the following: 
a. The annual authorized volume of the approved remedial action project has been increased in a consent decree or other document approved by ADEQ or the EPA; or 
b. An increase is necessary to further the purpose of the approved remedial action project, and the increase is not in violation of the consent decree or other document approved by 
ADEQ or the EPA for the project. 
5. If the Director approves the application, the Director shall determine the additional annual amount of remedial groundwater use by the municipal provider that is deemed consistent with 
the management goal of the active management area, using the criteria in subsections (F) and (G) of this Section. The Director shall include the annual amount of remedial groundwater 
use determined by the Director to be consistent with the management goal under this subsection in the total amount of remedial groundwater determined in subsection (F)(1) of this 
Section. 
J. Until January 1, 2025, use of remedial groundwater by a municipal provider during a year is deemed consistent with the management goal of the AMA in which the remedial groundwater was 
withdrawn without approval of the Director under subsection (F) or (H) of this Section if: 
1. The total annual amount of remedial groundwater withdrawn from all wells pursuant to the approved remedial action project does not exceed 250 acre-feet; and 
2. If remedial groundwater withdrawals pursuant to the approved remedial action project commenced before June 15, 1999, the municipal provider notified the Director in writing of the 
volume and duration of the anticipated withdrawals on or before August 15, 1999. If remedial groundwater withdrawals pursuant to the approved remedial action project commenced 
on or after June 15, 1999, the municipal provider gave written notice of the volume and duration of the anticipated withdrawals on or before August 15, 1999, or before the date the 
withdrawals commenced, whichever is later. If the municipal provider gives notice after the effective date of this Section, the municipal provider shall include or attach all of the 
following: 
a. A copy of a document evidencing ADEQ's or EPA's approval of the municipal provider's withdrawal and use of remedial groundwater, such as a remedial action plan, record of 
decision, or consent decree; 
b. The volume of remedial groundwater that will be withdrawn and used annually by the municipal provider and the purpose for which the remedial groundwater will be used; 
c. The time period during which the remedial groundwater will be withdrawn and used by the municipal provider; 
d. If the approved remedial action project is currently operating, the volume of remedial groundwater withdrawn pursuant to the project for each year before the year in which the 
application is filed; 
e. The designated provider or certificate of assured water supply to which the remedial groundwater will be pledged; and 
f. The name and telephone number of a person the Department may contact regarding the exemption. 
K. A municipal provider withdrawing remedial groundwater that has been determined to be consistent with the management goal under subsection (F) or (H) of this Section or that is consistent 
with the management goal under subsection (J) of this Section shall meter the remedial groundwater withdrawals separately from groundwater withdrawn pursuant to another groundwater 
withdrawal authority. The municipal provider shall include in its annual reports, filed under A.R.S. § 45-632, the amount of remedial groundwater withdrawn during the reporting year that 
is consistent with the management goal under this Section and the purposes for which the remedial groundwater was used. 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
R12-15-730. Assured and Adequate Water Supply Fees 
A. With respect to an application listed in subsection (B) of this Section, the Director shall accept or take action on the application only upon payment of the applicable fee as listed. 
B. An applicant shall pay the following fees, as applicable: 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 3475, effective September 12, 2006 (Supp. 06-3). 
ARTICLE 8. WELL CONSTRUCTION AND LICENSING OF WELL DRILLERS 
R12-15-801. Definitions 
In addition to the definitions set forth in A.R.S. §§ 45-101, 45-402, and 45-591 and in R12-15-202, the following words and phrases in this Article shall have the following meanings, unless the 
context otherwise requires: 
1. "Annular space" means the space between the outer well casing and the borehole wall. An annular space also means the space between an inner well casing and outer well casing. 
2. "Aquifer" means an underground formation capable of yielding or transmitting usable quantities of water. 
3. "Artesian aquifer" means an aquifer which is overlain by a confining formation and which contains groundwater under sufficient pressure for the water to rise above the top of the aquifer. 
4. "Artesian well" means a well that penetrates an artesian aquifer. 
5. "Bentonite" means a colloidal clay composed mainly of sodium montmorillonite, a hydrated aluminum silicate. 
6. "Cap" means a tamper-resistant, watertight steel plate of at least one-quarter inch thickness on the top of all inside and outside casings of a well. 
7. "Casing" means the tubing or pipe installed in the borehole during or after drilling to support the sides of the well and prevent caving. 
8. "Confining formation" means the relatively impermeable geologic unit immediately overlying an artesian aquifer. 
9. "Consolidated formation" means a naturally occurring geologic unit through or into which a well is drilled, having a composition, density, and thickness which will provide a natural 
hydrologic barrier. 
10. "Department" means the Arizona Department of Water Resources. 
11. "Director" means the Director of the Arizona Department of Water Resources. 
12. "Drilling card" means a card which is issued by the Director to the well drilling contractor or single well licensee designated in the notice of intent or permit, authorizing the well drilling 
APPLICATION FEE ($) 
1. Certificate 
3000.00 for the first 20 lots; 3.00 for each additional lot; maximum 
5000.00 
2. Assignment of certificate issued after effective date of this Section None 
3. Reissuance of certificate issued after effective date of this Section, pursuant to R12-15-704(G) None 
4. Assignment of certificate issued before effective date of this Section, with or without request for classification as 
Type A certificate 
250.00 for the first 20 lots; 0.50 for each additional lot; maximum 
1000.00 
5. Reissuance of certificate issued before effective date of this Section, pursuant to R12-15-704(G) 
250.00 for the first 20 lots; 0.50 for each additional lot; maximum 
1000.00 
6. Classification as Type A, for certificate issued before the effective date of this Section (not included in assignment 
application) 
250.00 for the first 20 lots; 0.50 for each additional lot; maximum 
1000.00 
7. Material plat change review 250.00 
8. Designation or modification of designation that includes evaluation of physical, legal, and continuous availability or 
consistency with management goal 
1000.00 for the first 1000 acre-feet; 0.50 for each additional acre-foot; 
maximum 10,000.00 
9. Modification of designation that does not include evaluation of physical, legal, and continuous availability or 
consistency with management goal 
500.00 
10. Water report 
900.00 for the first 20 lots; 2.00 for each additional lot; maximum 
2000.00 
11. Analysis 7500.00 
12. Physical availability determination 5000.00 
TITLE 12. NATURAL RESOURCES Page 23 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
contractor or licensee to drill the specific well or wells in the specific location as noticed or permitted. 
13. "Exploration well" means a well drilled in search of geophysical, mineralogical or geotechnical data. 
14. "Flowing artesian well" means an artesian well in which the pressure is sufficient to cause the water to rise above the land surface. 
15. "Grout" or "cement grout" means cement mixed with no more than 50% sand by volume, and containing no more than six gallons of water per 94 pound sack of cement. 
16. "Mineralized water" means any groundwater containing over 3000 milligrams per liter (mg/l) of total dissolved solids or containing any of the following chemical constituents above the 
indicated concentrations: 
Constituent Concentration (mg/l) 
Arsenic 0.05 
Barium 1.0 
Cadmium 0.01 
Chromium (total) 0.05 
Fluoride 4.0 
Lead 0.05 
Mercury 0.002 
Nitrate (as N) 10.0 
Selenium 0.01 
Silver 0.05 
17. "Monitor well" means a well designed and drilled for the purpose of monitoring water quality within a specific depth interval. 
18. "Open well" means a well which is not equipped with either a cap or a pump. 
19. "Perforations" means a series of openings in a casing, made either before or after installation of the casing, to permit the entrance of water into the well. 
20. "Piezometer well" means a well that is designed and drilled for the purpose of monitoring water levels within a specific depth interval. 
21 "Pitless adaptor" means a commercially manufactured watertight unit or device designed for attachment to a steel well casing which permits discharge from the well below the land 
surface and allows access into the well casing while preventing contaminants from entering the well. 
22. "Polluted water" means water whose chemical, physical, biological, or radiological integrity has been degraded through the artificial or natural infusion of chemicals, radionuclides, heat, 
biological organisms, or mineralogical or other extraneous matter. 
23. "Pressure grouting" means a process by which a grout is confined within the borehole or casing of a well by the use of retaining plugs, packers, or a displacing fluid by which sufficient 
pressure is applied to drive the grout into and within the annular space or interval to be grouted. 
24. "Qualifying party" means a partner, officer, or employee of a well drilling contractor, who has significant supervisory responsibilities and who has been designated to take the licensing 
examination for that well drilling contractor. 
25. "Single well license" means a license issued to a person which allows the drilling or modification of a single exempt well on land owned by that person. 
26 "Vadose zone well" means a well constructed in the interval between the land surface and the top of the static water level. 
27. "Vault" means a tamper-resistant watertight structure used to complete a well below the land surface. 
28. "Well abandonment" means the modification of the structure of a well by filling or sealing the borehole so that water may not be withdrawn or obtained from the well. 
29. "Well drilling" means the construction or repair of a well, or the modification, except for abandonment, of a well, regardless of whether compensation is involved, including any 
deepening or additional perforating, any addition of casing or change to existing casing construction, and any other change in well construction not normally associated with well 
maintenance, pump replacement, or pump repair. 
30. "Well drilling contractor" means an individual, public or private corporation, partnership, firm, association, or any other public or private organization or enterprise that holds a well 
driller's license pursuant to A.R.S. § 45-595(B). 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-802. Scope of Article 
This Article shall apply to man-made openings in the earth through which water may be withdrawn or obtained from beneath the surface of the earth, including all water wells, monitor wells and 
piezometer wells. It shall also apply to geothermal wells to the extent provided by A.R.S. § 45-591.01, and all exploration wells and grounding or cathodic protection holes greater than 100 feet 
in depth. However, this Article shall not apply to the following: 
1. Man-made openings in the earth not commonly considered to be wells, such as construction and mining blast holes, underground mines and mine shafts, open pit mines, tunnels, septic 
tank systems, caissons, basements, and natural gas storage cavities. 
2. Injection wells and vadose zone wells which are subject to regulation by the Arizona Department of Environmental Quality. 
3. Oil, gas, and helium wells drilled pursuant to the provisions of A.R.S. Title 27. 
4. Drilled boreholes in the earth less than 100 feet in depth which are made for purposes other than withdrawing or encountering groundwater, such as exploration wells and grounding or 
cathodic protection holes; except that in the event that groundwater is encountered in the drilling of a borehole, this Article shall apply. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-803. Well Drilling and Abandonment Requirements; Licensing and Supervision Requirements 
A. A person shall not drill or abandon a well, or cause a well to be drilled or abandoned, in a manner which is not in compliance with A.R.S. Title 45, Chapter 2, Article 10, and the rules adopted 
thereunder. 
B. A person, other than a single well licensee or a bona fide employee of a well drilling contractor, shall not engage in well drilling or abandonment without first securing a well drilling license in 
accordance with R12-15-804, R12-15-805 and R12-15-806. 
C. A qualifying party of a well drilling contractor shall provide direct and personal supervision of the contractor's employees to ensure that all wells are constructed and abandoned in accordance 
with this Article. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Section 12-15-803 amended and the text of former Section R12-15-804 renumbered to subsections (B) and (C) and amended effective June 
18, 1990 (Supp. 90-2). 
R12-15-804. Application for well drilling license 
A. An applicant for a well drilling license shall submit a verified application of a form prescribed and furnished by the Director which contains the following information: 
1. A designation of the classification of license sought by the applicant. 
2. If the applicant is an individual, the individual's name, address and telephone number. 
3. If the applicant is a partnership, the names, addresses, and telephone numbers of all partners, with a designation of any limited partners. 
4. If the applicant is a corporation, association or other organization, the names, addresses and telephone numbers of the directors and of the president, vice president, secretary and treasurer, 
or the names, addresses and telephone numbers of the functional equivalent of such officers. 
5. The address or location of the applicant's place of business, the mailing address if it is different from the applicant's place of business, and if applicant is a corporation, the state in which it 
is incorporated. 
6. The name, address and telephone number of each qualifying party, the qualifying party's relationship to the applicant, and a detailed history of each qualifying party's supervisory 
responsibilities and well drilling experience, including previous employers, job descriptions, duties and types of equipment utilized. 
7. The names, addresses and telephone numbers of three persons not members of each qualifying party's immediate family, who can attest to each qualifying party's good character and 
reputation, experience in well drilling, and qualifications for licensing. 
8. Such additional information relevant to the applicant's or qualifying party's experience and qualifications in well drilling as the Director may require. 
B. An applicant shall notify the Director in writing of any change in the information contained in the application within 30 days after such change. 
C. The Director shall not issue a license under this Article if the applicant or a qualifying party lacks good character and reputation. 
D. Prior to the issuance of a license, a qualifying party shall demonstrate three years of experience, dealing specifically with the type of drilling for which the applicant is applying for a license. 
This experience requirement may be reduced if the Director finds that the qualifying party has clearly and convincingly demonstrated a high degree of understanding and knowledge of well 
drilling techniques for the type of drilling for which the applicant is applying for a license. In no case, however, shall the practical experience requirement be less than two years. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Former Section R12-15-804 renumbered to R12-15-803(B) and (C), new Section R12-15-804 adopted effective June 18, 1990 (Supp. 90-2). 
R12-15-805. Examination for Well Drilling License 
A. The Director shall offer an examination for a well drilling license no less than six times yearly. The examination shall be administered to those eligible applicants whose applications were 
submitted at least 20 days prior to the date of the examination. The examination shall consist of a section on legal requirements, a section on general knowledge and one or more of six 
specialized sections. The section on legal requirements shall test the qualifying party's knowledge of A.R.S. Title 45, Chapter 2, Article 10, and the rules adopted thereunder. The section on 
general knowledge shall test the qualifying party's knowledge of general hydrologic concepts, principles, and practices in the well construction industry, and shall test knowledge of 
groundwater protection, pollution, water quality and public health effects. The specialized sections shall test the qualifying party's knowledge in the following classifications: 
1. Cable tool drilling in rock and unconsolidated material. 
2. Air rotary drilling in rock and unconsolidated material. 
3. Mud rotary drilling in rock and unconsolidated material. 
4. Reverse rotary drilling in rock and unconsolidated material. 
5. Jetting and driving wells in unconsolidated material. 
6. Boring and augering in unconsolidated material. 
B. Only the qualifying party, department personnel, and persons having the express permission of the Director shall be permitted in the examination room while the examination is in progress. 
TITLE 12. NATURAL RESOURCES Page 24 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
The qualifying party shall not bring books or notes into the examination room, or communicate by any means whatsoever while the examination is in progress without the express permission of 
the presiding examiner. The qualifying party shall not leave the examination room while the examination is in progress without first obtaining the permission of the presiding examiner. The 
Director may disqualify an applicant for violation of this subsection. 
C. To obtain a well drilling license, a qualifying party of the applicant shall pass the section on legal requirements, the section on general knowledge, and one or more specialized sections. Each 
section of the examination shall be graded separately. The passing grade on each section shall be 70 percent. 
D. No person may take the examination more than twice during any 12 months. 
E. The Director may exempt a qualifying party from taking the section on general knowledge, and one or more of the specialized sections, if the qualifying party provides proof of passing an 
equivalent examination given by the National Ground Water Association. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Section repealed, new Section adopted effective June 18, 1990 (Supp. 90-2). Amended by final rulemaking at 13 A.A.R. 3022, effective 
October 6, 2007 (Supp. 07-3). 
R12-15-806. License Fee; Issuance and Term of Licenses; Renewal; Display of License 
A. The fee for a well driller's license shall be fifty dollars. No additional fee shall be charged for amendments to licenses pursuant to subsection (B). 
B. Upon submittal of the license fee and satisfactory completion of an examination, the Director shall issue the applicant a well drilling license. The license shall be numbered and shall state the 
specialized classifications of drilling activities for which the applicant is qualified and licensed. The applicant shall be licensed in only those classifications for which the qualifying party has 
passed the specialized sections of the examination. If the qualifying party subsequently passes other specialized sections, the applicant's license shall be amended. 
C. A well drilling contractor shall notify the Director in writing within 30 days of the date on which the well drilling contractor no longer has a qualifying party for one or more of its specialized 
drilling classifications. Upon such notification, the Director may revoke or suspend part or all of the well drilling license of the well drilling contractor and require a new qualifying party to 
take and pass the examination. 
D. A well drilling license shall expire each year on June 30th, unless renewed pursuant to subsection (E). 
E. A person may renew a well drilling license by submitting an application for renewal on forms prescribed and furnished by the Director. The renewal fee shall be ten dollars. If the application 
and renewal fee are postmarked on or before June 30, the well drilling contractor may operate as a licensee until actual issuance of the renewal license. A license which has expired may be 
reactivated and renewed within one year of its expiration by filing the required application and 20 dollars. If a license has been expired for one or more years for failure to renew, the well 
drilling contractor shall apply for a new license and repeat the examination. 
F. A well drilling contractor shall prominently display the well drilling license number on all well drilling rigs owned or operated by the contractor in this state. Good quality paint or commercial 
decal numbers shall be used in placing each identification number on the drilling rig. The license number shall not be inscribed in crayon, chalk, pencil, or other temporary markings. 
Historical Note 
Adopted effective March 5. 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-807. Single Well License 
A. An applicant for a single well license pursuant to A.R.S. § 45-595(D) shall submit a verified application on forms prescribed and furnished by the Director, which shall include: 
1. The name and address of the applicant. 
2. The location of the well and whether the applicant owns the land. 
3. The type of drill rig to be used and the owner of the rig. 
4. The proposed design of the well or method of abandonment. 
5. The names of any people who will be assisting the applicant in the drilling or abandonment of the well, and whether the applicant will compensate them for their efforts. 
6. The applicant's experience, if any, in well drilling or abandonment. 
7. Such other information as the Director may require relevant to the applicant's experience and qualifications in well drilling or abandonment. 
B. The Director shall offer the single well examination no less than six times yearly and shall administer the examination to those eligible applicants whose applications were submitted at least 
20 days prior to the date of the examination. 
C. The single well examination shall be of a form prescribed and furnished by the Director and shall test the applicant's knowledge of abandonment techniques, or those minimum well 
construction requirements and drilling techniques applicable to the proposed design of the well. The passing grade on the sections of the examination dealing with construction requirements 
and drilling techniques, respectively, shall be 70 percent. 
D. Rule R12-15-805 relating to testing procedures shall be fully applicable. 
E. Applicants who twice fail the examination shall wait a minimum of 90 days before re-testing. 
F. Upon passing the examination, the applicant shall be issued a single well license, authorizing the applicant to drill or abandon one exempt well at the location specified in the application. The 
license shall be valid for a period of one year from issuance. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-808. Revocation of License 
The Director may revoke, suspend, or place on probationary status a well drilling license issued pursuant to R12-15-806, or a single well license, for good cause, including: 
1. Intentionally making a misstatement of fact on any filing with the Department. 
2. Violating any provision of A.R.S. Title 45, Chapter 2, Article 10, and the rules promulgated thereunder, or aiding and abetting in such a violation. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). Section number corrected (Supp. 93-1). 
R12-15-809. Notice of Intention to Drill 
A notice of intention to drill required to be filed pursuant to A.R.S. § 45-596 shall be signed by the owner or lessee of the property upon which the well is to be drilled. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). 
R12-15-810. Authorization to Drill 
A. A well drilling contractor or single well licensee may commence drilling a well only if the well drilling contractor or licensee has possession of a drilling card at the well site issued by the 
Director in the name of the well drilling contractor or licensee, authorizing the drilling of the specific well in the specific location. 
B. In extraordinary situations not requiring a permit but only a notice of intention to drill, the Director may grant a request by telephone for emergency authorization of commencement of drilling 
prior to the actual receipt by the well driller of the drilling card. Within seventy-two hours after such a request is granted, the well driller shall file a written statement indicating the nature 
and reasons for the request, and the date, time and Department employee granting the request, and the well owner shall file a notice of intent to drill if such a notice has not previously been 
filed. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). Amended to correct typographical error under A.A.C. R1-1-109 (Supp. 01-2). Amended by 
final rulemaking at 13 A.A.R. 3022, effective October 6, 2007 (Supp. 07-3). 
R12-15-811. Minimum Well Construction Requirements 
A. Well casing 
1. Casing shall be of a sufficient strength and wall thickness to hold the borehole open and survive any necessary grouting. A person shall use only steel or thermoplastic casing in the 
construction of a well, unless the person has received a variance from the Director pursuant to R12-15-820. The well casing or an extension of the casing shall extend a minimum of one 
foot above ground level. When installing a pitless adaptor, the casing may be terminated below ground level for aesthetic reasons or freeze protection purposes. Casing made of, or 
which has been exposed to, hazardous or potentially harmful materials, such as asbestos, shall not be used. 
2. All well casing joints or overlaps shall be made watertight to prevent the degradation of the water supply by the migration of inferior quality water. Except as provided in subsection (H) 
of this rule, any openings in the casing that will be above the water level in the well, such as bar holes, cracks or perforations, shall be completely plugged or sealed. 
3. Thermoplastic casing shall be installed only in an over sized drillhole without driving. Thermoplastic casing shall conform with American Society for Testing and Materials Standard 
Specification F480-89 (1989), which is incorporated herein by reference and is on file with the Office of the Secretary of State. Rivets or screws used in the casing joints shall not 
penetrate the inside of the casing. 
4. Steel casing shall be new or in like-new condition, free from pits or breaks, and shall conform with American Society for Testing and Materials Standard Specification A53-89a (1989), 
A139-89b (1989) or A312/A312M-89a (1989), whichever is applicable, all of which are incorporated herein by reference and are on file with the Office of the Secretary of State. 
5. Copies of The American Society for Testing and Materials standard specifications referred to in subsections (3) and (4) above may be obtained with these rules at the Office of the 
Secretary of State of the State of Arizona, State Capitol, West Wing, Phoenix, Arizona 85007; from the Department of Water Resources, 3550 N. Central Avenue, Phoenix, AZ 85012; 
and from the American Society for Testing and Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428-2959. This rule does not include any later amendments or editions of 
those standard specifications. 
B. Surface seal 
1. Except as provided in subsections (2) and (4) of this subsection, and R12-15-817(B)(1), all wells shall be constructed with a surface seal as herein provided. The seal shall consist of steel 
casing, one foot of which shall extend above ground level, and cement grout placed in one continuous application from the bottom of the zone to be grouted to the land surface. If a 
pitless adaptor is utilized, the cement grout may terminate at the bottom of the pitless adaptor. The minimum length of the steel casing shall be 20 feet. The minimum annular space 
between the casing and the borehole for placement of grout shall be one and one-half inches. Curing additives, such as calcium chloride, shall not exceed ten percent of the total volume 
of grout. Bentonite as an additive shall not exceed five percent of the total volume. The minimum length of the surface seal shall be 20 feet. Any annular space between the outer casing 
and an inner casing shall be completely sealed to prevent contamination of the well. 
2. All hand-dug wells shall be constructed with a watertight curbing extending, at a minimum, from one foot above the natural ground level to the static water level, or into the confining 
formation if the aquifer is artesian. The curbing shall consist of poured cement grout or casing surrounded by cement grout. Concrete block with cement grout and rock with cement 
TITLE 12. NATURAL RESOURCES Page 25 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
grout may also be used. The poured cement grout shall not be less than six inches thick. If casing is to be used, the minimum annular space between the casing and the borehole shall be 
three inches. Hand-dug wells shall be sealed at the surface with a watertight, tamper-resistant cover to prevent contaminants from entering the well. 
3. All wells constructed by jetting or driving shall have cement grout placed in the annular space to a minimum depth of six feet. The minimum annular space between the casing and the 
borehole for placement of the grout shall be one and one-half inches. 
4. All horizontal wells, to prevent leakage, shall be constructed with a surface seal consisting of steel casing and cement grout extending a minimum of ten feet into the land surface. 
C. Access port. Every well with casing four inches in diameter or larger shall be equipped with a functional watertight access port with a minimum diameter of one-half inch so that the water 
level or pressure head in the well can be monitored at all times. 
D. Gravel packed wells 
1. If a gravel pack has been installed, the annular space between the outer casing and the inner casing shall be sealed, either by welding a cap at the top or by filling with cement grout from 
the bottom of the outer casing to the surface. 
2. If a gravel tube is installed, it shall be sealed with a cap. 
E. Vents. All vents installed in the well casing shall open downward and be screened to prevent the entrance of foreign material. 
F. Removal of drilling materials 
1. In constructing a water well, the well driller shall take all reasonable precautions to protect the producing aquifer from contamination by drilling materials. Upon completion of the well, 
the well driller shall remove all foreign substances and materials introduced into the aquifer or aquifers during well construction. For purposes of this subsection, "substances and 
materials" means all drilling fluids, filter cake, lost circulation materials, and any other organic or inorganic substances. 
2. Materials known to present a health hazard, such as chrome-based mud thinners, asbestos products, and petroleum-based fluids, shall not be used as construction, seal or fill materials or 
drilling fluids. 
3. Drilling fluids and cuttings shall be contained in a manner which prevents discharge into any surface water. 
G. Repair of existing wells 
1. If, in the repair of a well, the old casing is withdrawn, the well shall be recased in conformance with these rules. 
2. If an inner casing is installed to prevent leakage of undesirable water into a well, the annular space between the casings shall be completely sealed by packers, casing swedging, pressure 
grouting or other methods which will prevent the movement of water between the casings. 
H. Monitor wells 
1. A monitor well may be screened up to ten feet above the highest seasonal static water level of record for the purpose of monitoring contaminants. 
2. A monitor well shall be identified as such on the vault cover or at the top of the steel casing. Identification information shall include the well registration number. 
I. Completion at the surface. In areas of traffic or public rights-of-way, wells may be constructed below the land surface in a vault. All other requirements in this Article shall apply. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). The reference to R12-14-817(B)(1) in subsection (B)(1) corrected to read R12-15-817(B)(1) 
(Supp. 93-1). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-812. Special Aquifer Conditions 
A. Artesian wells 
1. The well casing shall extend into the confining formation immediately overlying the artesian aquifer and shall be grouted from a minimum of ten feet into the confining formation to the 
land surface to prevent surface leakage into and subsurface leakage from the artesian aquifer. 
2. If leaks occur adjacent to the well or around the well casing, within 30 days the well shall be completed with the seals, packers, or casing and grouting necessary to eliminate such leakage 
or the well shall be abandoned according to R12-15-816. 
3. If the well flows at land surface, the well shall be equipped with a control valve, or suitable alternative means of completely controlling the flow, which must be available for inspection at 
the well site at all times. 
B. Mineralized or polluted water. In all water-bearing geologic units containing mineralized or polluted water as indicated by available data, the borehole shall be cased and grouted so that 
contamination of the overlying or underlying groundwater zones will not occur. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-813. Unattended Wells 
All wells, when unattended during well drilling, shall be securely covered for safety purposes and to prevent the introduction of foreign substances into the well. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Section number corrected (Supp. 93-1). 
R12-15-814. Disinfection of Wells 
A well drilling contractor shall disinfect any well from which the water to be withdrawn is intended to be utilized for human consumption or culinary purposes without prior treatment before 
removing the drill rig from the well site in accordance with the requirements contained in Engineering Bulletin No. 8, "Disinfection of Water Systems", issued by the Arizona Department of 
Health Services in August 1978, and Engineering Bulletin No. 10, "Guidelines for the Construction of Water Systems", issued by the Arizona Department of Health Services in May 1978, both 
of which are incorporated by reference and are on file with the Office of the Secretary of State. Copies of the Engineering Bulletins referred to above may be obtained with these rules at the 
Office of the Secretary of State of the State of Arizona, State Capitol, West Wing, Phoenix, Arizona 85007, and from the Department of Water Resources, 3550 N. Central Avenue, Phoenix, AZ 
85012. This rule does not include any later amendments or editions of those Bulletins. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-815. Removal of Drill Rig from Well Site 
The drilling rig shall not be removed from the well site unless the well is in one of the following conditions: 
1. Constructed in full conformance with R12-15-811 and R12-15-812 and either sealed with a cap or equipped with a pump. 
2. Abandoned in accordance with R12-15-816. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-816. Abandonment 
A. Well abandonment shall be performed only by a licensed well drilling contractor or single well licensee. 
B. Except as provided in subsection (F) of this Section, the owner of a well shall file a notice of intent to abandon the well prior to abandonment, on a form prescribed and furnished by the 
Director, which shall include: 
1. The name and mailing address of the person filing the notice. 
2. The legal description of the land upon which the well proposed to be abandoned is located and the name and mailing address of the owner of the land. 
3. The legal description of the location of the well on the land. 
4. The depth, diameter and type of casing of the well. 
5. The well registration number. 
6. The materials and methods to be used to abandon the well. 
7. When abandonment is to begin. 
8. The name and well drilling license number of the well drilling contractor or single well licensee who is to abandon the well. 
9. The reason for the abandonment. 
10. Such other information as the Director may require. 
C. The Director shall, upon receipt of a proper notice of intent to abandon, mail a well abandonment authorization card to the designated well drilling contractor or single well licensee. 
D. Except as described in subsection (F) of this Section, a well drilling contractor or single well licensee may commence abandoning a well only if the driller has possession of an abandonment 
card at the well site, issued by the Director in the name of the driller, authorizing the abandonment of that specific well or wells in that specific location. 
E. Within 30 days after a well is abandoned pursuant to this Section, the well drilling contractor or single well licensee shall file with the Director a Well Abandonment Completion Report on a 
form prescribed and furnished by the Director which shall include the date the abandonment of the well was completed and such other information as the Director may require. 
F. In the course of drilling a new well, the well may be abandoned without first filing a notice of intent to abandon and without an abandonment card. If the well is abandoned pursuant to this 
subsection without first filing a notice of intent to abandon and without an abandonment card, the well drilling contractor or single well licensee shall provide the following information in 
the Well Abandonment Completion Report: 
1. The legal description of the land upon which the well was abandoned and the name and mailing address of the owner of the land. 
2. The legal description of the location of the well on the land. 
3. The depth, diameter and type of casing of the well prior to abandonment. 
4. The well registration number. 
5. The materials and methods used to abandon the well. 
6. The name and well drilling license number of the well drilling contractor or single well licensee who abandoned the well. 
7. The date of completion of the abandonment of the well. 
8. The reason for the abandonment. 
9. Such other information as the Director may require. 
G. The abandonment of a well shall be accomplished through filling or sealing the well so as to prevent the well, including the annular space outside the casing, from being a channel allowing the 
vertical movement of water. 
H. A well drilling contractor or single well licensee shall construct a surface seal for a well that does not penetrate an aquifer, as follows: 
TITLE 12. NATURAL RESOURCES Page 26 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
1. If the casing is removed from the top 20 feet of the well, a cement grout plug shall be set extending from two feet below the land surface to a minimum of 20 feet below the land surface, 
and the well shall be backfilled above the top of the cement grout plug to the original land surface. 
2. If the casing is not removed from the top 20 feet of the well, a cement grout plug shall be set extending from the top of the casing to a minimum of 20 feet below the land surface and the 
annular space outside the casing shall be filled with cement from the land surface to a minimum of 20 feet below the land surface. 
I. In addition to the surface seal required in subsection (H): 
1. A well penetrating a single aquifer system with no vertical flow components shall be filled with cement grout, concrete, bentonite drilling muds, clean sand with bentonite, or cuttings 
from the well. 
2. A well penetrating a single or multiple aquifer system with vertical flow components shall be sealed with cement grout or a column of bentonite drilling mud of sufficient volume, density, 
and viscosity to prevent fluid communication between aquifers. 
J. Materials containing organic or toxic matter shall not be used in the abandonment of a well. 
K. The owner or operator of the well shall notify the Director in writing no later than 30 days after abandonment has been completed. The notification shall include the well owner's name, the 
location of the well, and the method of abandonment. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). Amended by final rulemaking at 13 A.A.R. 3022, effective October 6, 2007 (Supp. 07-3). 
R12-15-817. Exploration Wells 
A. Notification. Prior to drilling one or more exploration wells, the well owner, lessee, or exploration firm shall file a notice of intention to drill on forms provided by the Director. If the notice of 
intention to drill is filed for the project as a whole, the drilling card shall be issued for the project as a whole. 
B. Construction and abandonment. 
1. If an exploration well which is to be left open for re-entry at a later date encounters groundwater, it shall be cased and capped in accordance with R12-15-811, R12-15-812, and R12-15- 
822. The minimal length of surface seal shall be either 20 feet, or five feet into the first encountered consolidated formation, whichever is less. If no groundwater is encountered, the 
well shall be cased, grouted and capped in such a manner so as to prevent contamination of the well bore from the surface. 
2. Exploration wells not left open for re-entry shall be abandoned in accordance with R12-15-816. 
C. Completion report. Within 30 days of project completion, the well owner, lessee, or exploration firm shall submit a project completion report on forms provided by the Director. The report 
shall include: 
1. The exact number of wells drilled. 
2. The depth to water encountered or detected, with reference to specific wells. 
3. The abandonment method utilized, or construction details if completed for re-entry. 
4. Any other information which the Director may require. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-818. Well Location 
Except for monitor wells and piezometer wells, no well shall be drilled within 100 feet of any septic tank system, sewage disposal area, landfill, hazardous waste facility, storage area of 
hazardous materials or petroleum storage areas and tanks, unless authorized in writing by the Director. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-819. Use of Well as Disposal Site 
No well may be used as a storage or disposal site for sewage, toxic industrial waste, or other materials that may pollute the groundwater, except as authorized by the Arizona Department of 
Environmental Quality. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-820. Request for Variance 
A. If extraordinary or unusual conditions exist, a well drilling contractor or owner may request a variance from the provisions of this Article. 
B. The request for variance shall be in writing and shall set forth the location of the well site, the reasons for the request, and the recommended requirements to be applied. The Director may 
approve the request only if the well drilling contractor or owner has clearly demonstrated that the variance will not adversely affect other water users or the local aquifers. 
C. A variance shall not be effective until the well drilling contractor or owner receives from the Director a written approval of the variance and a new drilling card stamped "variance issued." 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-821. Special Requirements 
If the Director determines that the literal application of the minimum well construction requirements contained in this Article would not adequately protect the aquifer or other water users, the 
Director may require that further additional measures be taken, such as increasing the length of the surface seal or increasing the well's minimum distance from a potential source of 
contamination. 
Historical Note 
Adopted effective March 5, 1984 (Supp. 84-2). Amended effective June 18, 1990 (Supp. 90-2). 
R12-15-822. Capping of Open Wells 
A. The owner of an open well shall either install a cap on the well or abandon the well in accordance with R12-15-816. Within five days after capping the well, the owner of the well shall file 
with the Department a notice of well capping on a form approved by the Director which shall include the following information: 
1. The name and address of the well owner. 
2. The name and address of the person installing the cap. 
3. The well registration number. 
4. The legal description of the location of the well. 
5. The date the well was capped. 
6. The method of capping. 
7. The type and diameter of casing. 
B. If no casing exists in an open well, or if the integrity of the existing casing is insufficient to allow installation of a cap, the well owner shall install a surface seal in accordance with R12-15- 
811(B) prior to capping. 
C. The owner of a well on which a cap is installed shall make the cap tamper resistant by welding the cap to the top of the casing by the electric arc method of welding, except that the owner of a 
well may make the cap tamper resistant by securing the cap to the top of the casing with a lock during temporary periods of well maintenance, modification or repair, not to exceed 30 days, 
or at any time if the well is a monitor well or piezometer well. 
Historical Note 
Adopted as an emergency effective March 2, 1989, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 89-1). Emergency expired. Readopted without change as an emergency 
effective June 2, 1989, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 89-2). Emergency expired. Readopted without change as an emergency effective September 5, 1989, 
pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 89-3). Emergency expired. Readopted without change as an emergency effective December 1, 1989, pursuant to A.R.S. § 
41-1026, valid for only 90 days (Supp. 89-4). Emergency expired. Readopted without change as an emergency effective March 23, 1990, pursuant to A.R.S. § 41-1026, valid for only 
90 days (Supp. 90-1). Permanent rule adopted with changes effective June 18, 1990 
(Supp. 90-2). Amended by final rulemaking at 13 A.A.R. 3022, effective October 6, 2007 (Supp. 07-3). 
R12-15-823. Reserved 
through 
R12-15-849. Reserved 
R12-15-850. Evaluation of Notices of Intention to Drill; Notification of Registered Site Locations; Vertical Cross-Contamination Evaluation 
A. The Director shall, upon receipt of a complete and correct notice of intention to drill form required under A.R.S. § 45-596, or upon receipt of an application for a permit under A.R.S. § 45-597 
through 45-599, identify whether the proposed well will be drilled within a groundwater basin or subbasin in which there exists a site listed on the registry established under A.R.S. § 49- 
287.01(D). If the proposed well is situated within such a groundwater basin or subbasin, the Director shall notify the applicant and the authorized well drilling contractor in writing of the 
existence of the site and shall enclose a map indicating the boundaries of all listed sites within the groundwater basin or subbasin. The notification letter shall include the name, address, and 
telephone number of a Department contact person, along with a reference to the provision in R12-15-851 that requires the applicant to notify the Department in advance of the date drilling 
of the well will commence. The Department shall also specify in the notification letter whether the applicant is subject to the requirements of R12-15-851. 
B. The Director shall, upon receipt of a complete and correct notice of intention to drill form required under A.R.S. § 45-596, or upon receipt of an application for a permit under A.R.S. § 45-597 
through 45-599, identify whether the proposed well will be drilled within an area where existing or anticipated future groundwater contamination presents a risk of vertical crosscontamination, 
as defined in A.R.S. § 49-281(15). If the Director determines that the proposed well will be drilled in such an area, and if the Director finds that the requirements of R12-15- 
811 are insufficient to prevent the risk of vertical cross-contamination, the Director shall establish site-specific requirements pursuant to R12-15-812 and R12-15-821. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 469, effective January 3, 2000 (Supp. 00-1). 
TITLE 12. NATURAL RESOURCES Page 27 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
R12-15-851. Notification of Well Drilling Commencement 
A well owner who has been issued a drilling card for a notice of intent to drill authorizing the drilling of a well located within a site listed on the registry established under A.R.S. § 49-287.01, 
shall provide written notice to the Director indicating the date drilling will commence. The well owner shall coordinate with the contracted well driller to ensure that the Department receives 
proper notification under this Section. This notification shall consist of a letter or facsimile transmission received by the Department at least 2 business days before drilling commences at the well 
site. The Department shall use notification letters required by R12-15-850(A) to inform well owners whether they are subject to the requirements of this Section. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 469, effective January 3, 2000 (Supp. 00-1). 
R12-15-852. Notice of Well Inspection; Opportunity to Comment 
A. At least 30 days before the beginning of a well inspection under A.R.S. § 45-605(A), the Director shall notify in writing all potentially affected well owners of record within a community 
involvement area established under A.R.S. § 49-289.02 or within other areas that the Director has selected for inspection of wells that may be contributing to vertical cross-contamination. 
The notices shall include a map of the community involvement area, remedial site, or a subsection of either, that the Department intends to inspect, indicating the location of affected wells 
of record. The notice shall indicate the approximate date the inspection will start, the approximate duration of the inspection, an access agreement defining what specific activities will occur 
during a well inspection, and the name, address, and telephone number of a Department contact person. 
B. Once the Director has given notice of a well inspection under A.R.S. § 45-605(A), potentially affected well owners have 30 days from the date the letter is postmarked to comment on the 
proposed inspection. The Director, upon receiving a written request, may extend the comment period for a maximum of 30 additional days. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 469, effective January 3, 2000 (Supp. 00-1). 
ARTICLE 9. WATER MEASUREMENT 
R12-15-901. Definitions 
In addition to the definitions set forth in A.R.S. §§ 45-101 and 45-402, the following words and phrases shall have the following meanings, unless the context otherwise requires: 
1. "Approved measuring device" means an instrument, approved by the Director pursuant to R12-15-903 or R12-15-909(A) which measures the volume or flow rate of water withdrawn, 
delivered, received, transported, recharged, stored, recovered, or used, and which measurements, when used with an approved measuring method, allow for accurate computation of a 
volume of water. 
2. "Approved measuring method" means a procedure, approved by the Director in R12-15-903 or R12-15-909(A), which, when used with an approved measuring device, will accurately 
calculate a volume of water. 
3. "Flow rate" or "discharge" means the volume of water, including any sediment or other solids that may be dissolved or mixed with it, which passes through a particular reference section 
in a unit of time. 
4. "Measured system" means a system through which water passes for the purpose of withdrawal, delivery, receipt, transportation, recharge, storage, replenishment, recovery or use. 
5. "Responsible party" means an irrigation district or a person required by A.R.S. Title 45 or by a permit, rule, or order issued pursuant to A.R.S. Title 45, to use a measuring device or 
method approved by the Director. 
Historical Note 
Adopted effective December 27, 1982 (Supp. 82-6). Amended effective June 15, 1995 (Supp. 95-2). Amended to correct typographical error under A.A.C. R1-1-109 (Supp. 01-2). 
R12-15-902. Installation of Approved Measuring Devices 
A. A responsible party shall install an approved measuring device to monitor the volume of water withdrawn, delivered, transported, recharged, stored, replenished, recovered, and used. 
B. A responsible party shall install and use a sufficient number of approved measuring devices to allow for the separate monitoring and reporting of the volume of water passing through the 
measured system pursuant to the following categories of rights: 
1. Irrigation grandfathered rights, 
2. Non-irrigation grandfathered rights, 
3. Service area rights, 
4. Groundwater withdrawal permits, and 
5. Recovery well permits or water storage permits. 
This subsection does not require separate measuring devices for rights within each category unless otherwise required by A.R.S. Title 45, a permit, rule, or order pursuant to that Title. 
C. An approved measuring device which measures groundwater withdrawals shall be installed as close to the wellhead as is practical, consistent with the manufacturer's instructions. An approved 
measuring device which measures another point in the measured system shall be installed as close as is practical to the point of delivery, receipt, transportation, recharge, storage, 
replenishment, recovery, or use which the device is intended to measure, consistent with the manufacturer's instructions. 
Historical Note 
Adopted effective December 27, 1982 (Supp. 82-6). Amended effective June 15, 1995 (Supp. 95-2). Amended to correct typographical error under A.A.C. R1-1-109 (Supp. 01-2). 
R12-15-903. Approved Water Measuring Devices and Methods 
A. Any measuring device is approved by the Director if it is installed, maintained, and used in accordance with the manufacturer's recommendations, and if it meets the accuracy requirements set 
forth in R12-15-905(A). 
B. An approved measuring device shall be used with an approved measuring method set forth in R12-15-903(C) or an alternative measuring method approved by the Director as provided in R12- 
15-909(A). 
C. The following water measuring methods are approved by the Director: 
1. Totalizing measuring method: This method requires an approved measuring device which continuously records the volume of water passing through the measured system; 
2. Electrical consumption measuring method: This method requires measurements of either pipeflow rates or open-channel flow rates used in combination with electrical energy records; 
3. Natural gas consumption measuring method: This method requires measurements of either pipe flow rates or open channel flow rates used in combination with natural gas energy records; 
4. Hour meter measuring method: This method requires measurements of either pipe flow rates or open-channel flow rates used in combination with hour meter readings; 
5. Elapsed time of flow method: This method requires measurements of flow rates used in combination with elapsed time of the flow. This method may be used only by a responsible party 
who receives water from an open channel or by a person or entity who delivers water in an open channel to one or more grandfathered rightholders or permit holders, if it is not possible 
to use the electrical or gas consumption measurement methods or hour meter measuring method. 
Historical Note 
Adopted effective December 27, 1982 (Supp. 82-6). Amended effective June 15, 1995 (Supp. 95-2). 
R12-15-904. Water Measuring Method Reporting Requirements 
A. A responsible party using one of the water measuring methods described in R12-15-903 shall file, with the annual report required by A.R.S. Title 45 and on a form prescribed by the Director, 
the following information, unless that information has not changed from that submitted in the annual report filed in the previous calendar year. 
1. The approved measuring method used; 
2. The type of approved measuring device used; 
3. The make, model, and size of the approved measuring device used. 
B. Except as provided in R12-15-904(B)(5) and R12-15-909(B) and (D), a responsible party shall file with the annual report the information required in subsection (A) of this Section and the 
following information on a form prescribed by the Director: 
1. Totalizing measuring method: 
a. The initial totalizing meter reading for the reporting year taken prior to the first use of the measured system during the reporting year; 
b. The end totalizing meter reading for the year taken subsequently to the last use of the measured system during the reporting year; 
c. The units in which the water is measured; 
d. Whether the power meter serves uses other than the pump motor or engine; 
e. An estimate of the amount of any water passing through the measured system during measuring device malfunctions; 
f. If the well is in operation for more than a 30-day period, the results of a minimum of two flow-rate measurements per reporting year taken under normal system operating conditions. 
The responsible party shall not submit the results of the flow-rate measurements with the annual report unless a meter malfunction continues longer than 72 hours during the 
reporting year; 
g. The installation or overhaul date of the totalizing meter; and 
h. The name of the energy company supplying energy to the responsible party's measured system, its power account number, meter number, total energy consumption for the year, and 
the type of energy unit. 
2. Electrical consumption measuring method: 
a. The results of a minimum of two flow-rate measurements per reporting year taken at least 30 days apart and under normal system operating conditions or, if the measured system is 
used during a single period of 30 days or less during the year, the result of one flow-rate measurement taken during that single period in that year under normal system operating 
conditions; 
b. The dates of the measurements; 
c. The discharges in gallons per minute; 
d. The time, in seconds, of ten cycles of the electric meter disk, power indicator pulse, or an alternative measurement, provided that the alternative means of measurement is approved in 
advance by the Director; 
e. The inside diameter of the discharge pipe; 
f. The multiplier (Kr) and disk constant (Kh) of the electric meter; and 
g. The name of the energy company supplying energy to the responsible party's measured system, its power account number, meter number, total energy consumption for the year, and 
the type of energy unit. 
3. Natural gas consumption measuring method: 
TITLE 12. NATURAL RESOURCES Page 28 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
a. The results of a minimum of two flow-rate measurements per reporting year taken at least 30 days apart and under normal system operating conditions or, if the measured system is 
used during a single period of 30 days or less during the year, the result of one flow-rate measurement taken during that single period in that year under normal system operating 
conditions; 
b. The dates of the measurements; 
c. The discharges in gallons per minute; 
d. The amounts of gas per second in cubic feet indicated by the gas meter; 
e. The billing factors (F); 
f. The inside diameter of the discharge pipe; and 
g. The name of the energy company supplying energy to the responsible party's measured system, its power account number, meter number, total energy consumption for the year, and 
the type of energy unit. 
4. Hour meter measuring method: 
a. The results of a minimum of two flow-rate measurements per reporting year taken at least 30 days apart and under normal system operating conditions or, if the measured system is 
used during a single period of 30 days or less during the year, the result of one flow-rate measurement taken during that single period in that year under normal system operating 
conditions; 
b. The dates of the measurements; 
c. The discharges in gallons per minute; 
d. The initial hour meter reading for the reporting year taken prior to the first use of the measured system during the reporting year; 
e. The end hour meter reading taken subsequently to the last use of the measured system during the reporting year; 
f. Whether the energy meter serves uses other than the pump motor or engine; 
g. The installation or overhaul date of the hour meter; and 
h. The name of the energy company supplying energy to the responsible party's measured system, its power account number, meter number, total energy consumption for the year, and 
the type of energy unit. 
5. Elapsed time of flow measuring method: A responsible party using this measuring method shall not be required to submit the following information with the annual report but instead 
shall record and retain it for three years after the reporting year. 
a. The responsible party or agent shall measure and record an initial flow rate taken at the start of flow for each delivery of water; 
b. If the flow rate continues for more than eight hours, a subsequent measured flow-rate measurement shall be taken. If any subsequently measured flow-rate differs by more than 10% 
from the initial flow rate, and the delivery is not adjusted to conform with the initial flow rate, the responsible party or agent shall record the subsequent flow rate; 
c. The time the flow begins and the time the flow ends for each delivery of water; and 
d. The dates of the measurements. 
C. A responsible party or person or entity who uses an approved measuring method or an approved alternative water measurement method shall save the records required by subsections (A) and 
(B) of this Section for three years after the reporting year. 
Historical Note 
Adopted effective December 27, 1982 (Supp. 82-6). Former Section R12-15-904 renumbered to R12-15-905, new Section adopted effective June 15, 1995 (Supp. 95-2). Amended by final 
rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-905. Accuracy of Approved Measuring Devices 
A. A responsible party shall install, maintain, and use an approved measuring device and method in a manner which will ensure that its measurement error does not exceed 10% of the actual flow 
rate. 
B. All measured systems shall be installed or constructed and thereafter maintained so as to allow the Director, using another measuring device, to check readily the accuracy of the measuring 
device utilized by the responsible party. 
Historical Note 
Adopted effective December 27, 1982 (Supp. 82-6). Former Section R12-15-905 renumbered to R15-15-906, new Section R12-15-905 renumbered from R12-15-904 and amended effective 
June 15, 1995 (Supp. 95-2). 
R12-15-906. Repair and Replacement of Approved Measuring Devices 
If an approved measuring device fails to perform its designated function for more than 72 hours, the responsible party shall notify the Director of the failure, in writing, within seven calendar 
days after the discovery of the failure of the device. The reason for such failure shall be stated, as well as the estimated date of return to service of the device. If the malfunction is discovered by 
the Director and the malfunction does not appear to be the result of an attempt to render the device inaccurate, the Director shall notify the responsible party of the malfunction. The responsible 
party shall return the measuring device to full service within 30 days of either original notice by the responsible party to the Director or by the Director to the responsible party, unless repair or 
replacement service or parts are not available. In such case, the responsible party shall notify the Director of the delay within seven days and the reasons for it. The responsible party shall take 
corrective action in such cases as soon as practical. In all cases, the responsible party shall notify the Director within seven days when the measuring device is returned to full service and shall 
submit on a form prescribed by the Director estimates of the volume of water, if any, passing through the measured system during the period the measuring device was out of service and a 
description of the method used to calculate the estimates. 
Historical Note 
Section R12-15-906 renumbered from R12-15-905 and amended effective June 15, 1995 (Supp. 95-2). 
R12-15-907. Calculation of Irrigation Water Deliveries 
If one or more irrigation grandfathered rights receive water by a common distribution system where water is measured with an approved device or method at the point of delivery to the common 
distribution system, but not at a point of delivery to each irrigation grandfathered right, each irrigation grandfathered rightholder or agent shall report the water used by either of the following 
methods: 
1. Estimate the amount of water used based on a pro rata share of the acres irrigated, or 
2. Estimate the amount of water used based on a combination of the pro rata share of the acres irrigated and the consumptive use of each crop grown. 
Historical Note 
Adopted effective June 15, 1995 (Supp. 95-2). 
R12-15-908. Measurement of Water by One Person on Behalf of Another 
A responsible party shall be liable for any fines, penalties, or other sanctions resulting from the installation, monitoring, use, or accuracy of any measuring device, method, or recordkeeping, 
notwithstanding that the installation, monitoring, use, or recordkeeping may have been done by an agent of the responsible party. 
Historical Note 
Adopted effective June 15, 1995 (Supp. 95-2). 
R12-15-909. Alternative Water Measuring Devices, Methods, and Reporting 
A. A responsible party may use an alternative water measuring device or method that differs from those described in R12-15-903 provided the device or method is approved in advance by the 
Director. The Director shall approve an alternative water measuring device or method if the device meets the requirements of R12-15-905. The Director may require from the responsible 
party such information as may be necessary to demonstrate that the alternative device or method meets the requirements of R12-15-905. 
B. Responsible parties may substitute equivalent information for the information required on the annual report form or use reporting formats that differ from that required in R12-15-904, 
provided the substituted information or format is approved in advance by the Director. 
C. Responsible parties may use estimation methods that differ from those described in R12-15-907 provided they are approved in advance by the Director. 
D. A municipal provider is exempted from the reporting requirements under R12-15-904 and the provisions under R12-15-906 pertaining to notification to the Director of measuring device 
malfunctions regarding metered service connections, unless required to report by A.R.S. Title 45 or by a permit, rule, or order issued pursuant to A.R.S. Title 45. 
E. Municipal providers and irrigation districts may notify the Director of measuring device malfunctions at the time of filing the annual report and in a manner that differs from the requirements 
of R12-15-906, provided the municipal provider or irrigation district implements a schedule of regular maintenance of measuring devices, repairs or replaces malfunctioning measuring 
devices within seven days of discovery of the malfunction, and the alternative notification is approved in advance by the Director. 
Historical Note 
Adopted effective June 15, 1995 (Supp. 95-2). 
ARTICLE 10. REPORTING REQUIREMENTS FOR ANNUAL REPORTS, ANNUAL ACCOUNTS, OPERATING FLEXIBILITY ACCOUNTS, AND CONVEYANCES OF 
GROUNDWATER RIGHTS 
R12-15-1001. Definitions 
In addition to the definitions in A.R.S. §§ 45-101 and 45-402, the following words and phrases in this Article have the following meanings, unless the context otherwise requires: 
1. "Annual account" means an accounting of water required to be filed pursuant to A.R.S. § 45-468. 
2. "Annual report" means an annual report of water withdrawn, delivered, received, transported, recharged, stored, recovered, replenished or used as required by A.R.S. §§ 45-437, 45-467, 
45-632, 45-875.01, 45-876.01, 45-877.01, 45-878.01 or 45-1004. 
3. "Central Arizona project water" means Colorado River water delivered through the facilities of the central Arizona project, and surface water from any other source conserved and 
developed by dams and reservoirs in the central Arizona project and lawfully delivered by the United States or a multi-county conservation district. 
4. "Decreed or appropriative surface water" means surface water which is delivered or used pursuant to a decreed or appropriative water right, except any such water which is included in 
central Arizona project water. 
5. "Farm" means an area of irrigated land under the same ownership as defined in A.R.S. § 45-402, including the area of land described in a certificate of irrigation grandfathered right, as 
well as contiguous land that the owner is legally entitled to irrigate only with decreed or appropriative surface water. 
6. "Maximum annual groundwater allotment" means the quantity of water in acre-feet obtained by multiplying the number of water duty acres for a farm by the current irrigation water duty 
TITLE 12. NATURAL RESOURCES Page 29 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
for the farm unit. 
7. "Normal flow" means water delivered or used pursuant to a right to appropriate an unstored, natural flow of surface water. 
8. "Operating flexibility account" means an accounting of water use pursuant to an irrigation grandfathered right as provided in A.R.S. § 45-467. 
9. "Responsible party" means a person required by law to file an annual account or annual report. 
10. "Spillwater" means surface water, other than Colorado River water, released for beneficial use from storage, diversion, or distribution facilities to avoid spilling that would otherwise 
occur due to uncontrolled surface water inflows that exceed facility capacity and to which one of the following applies: 
a. The water is released from the facility under written criteria for releasing water to avoid spilling that have been approved in writing by the Director. 
b. The water is released from the facility because an unreasonable risk exists that the storage capacity of the facility will be exceeded within the next 30 days because the facility is near 
capacity and either the inflow to the facility or the forecast runoff into the facility is equal to or greater than the quantity of water ordered from the facility. 
c. The water is released from the facility because an unreasonable risk exists that the storage capacity of the facility will be exceeded more than 30 days in the future because the 
forecast runoff into the facility exceeds current unused storage capacity and projected water demand during the forecast period, provided that the Director has made a written 
finding before the release that the forecast is reasonable. 
11. "Surface water right acre" means land to which the owner is legally entitled to apply decreed or appropriative surface water. 
12. "Tailwater" means water which, after having been applied to a farm for irrigation purposes, 
a. Is subsequently used for the irrigation of a different farm, without having entered the distribution system of a city, town, private water company or irrigation district, or 
b. Is delivered to an irrigation district in accordance with R12-15-1010. Such water, once having entered the distribution system of the irrigation district, loses its characterization as 
tailwater. 
13. "Water deliverer" means a city, town, private water company or irrigation district delivering a combination of groundwater and any other type of water for irrigation purposes. 
Historical Note 
Adopted effective December 27, 1982 (Supp. 82-6). Section R12-15-1001 renumbered to R12-15-1003, new Section R12-15-1001 adopted effective December 12, 1990 (Supp. 90-4). 
Amended to correct typographical error under A.A.C. R1-1-109 (Supp. 01-2). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-1002. Form of Annual Account or Annual Report 
A. A person filing an annual account or an annual report shall do so on a form prescribed by the Director, unless the person has requested and received the Director's prior written approval to use 
an alternative form. 
B. A person may file both an annual account and an annual report in one document. A person required to file an annual account shall designate in the annual account whether the annual account 
is being filed also as an annual report. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). 
R12-15-1003. Accuracy of Annual Reports 
The quantity of water a responsible party reports in an annual report as having been withdrawn, delivered, received, transported, recharged, replenished, stored, recovered, or used during a year 
shall not deviate from the quantity of water actually withdrawn, delivered, received, transported, recharged, replenished, stored, recovered, or used by the responsible party during the year unless 
both of the following apply: 
1. The deviation is 10 percent or less. 
2. The deviation is not the result of an intentional act of misrepresentation by the responsible party. 
Historical Note 
Section R12-15-1003 renumbered from R12-15-1001 effective December 12, 1990 (Supp. 90-4). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-1004. Annual Reports Filed on Behalf of a Responsible Party 
A. A responsible party is liable for any fines, penalties, or other sanctions resulting from or attributable to the filing or content of an annual report filed on behalf of the responsible party by an 
irrigation district pursuant to A.R.S. § 45-632, or by another person in a form acceptable to the Director. 
B. If a responsible party has not filed an annual report for a calendar year, and the Department receives an annual report for that calendar year purportedly filed on behalf of the responsible party 
by an irrigation district pursuant to A.R.S. § 45-632, or by another person in a form acceptable to the Director, there is a rebuttable presumption that the annual report was filed with the 
responsible party's knowledge, consent, and authorization. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). Amended to correct typographical error under A.A.C. R1-1-109 (Supp. 01-2). Amended by final rulemaking at 11 A.A.R. 5395, 
effective February 4, 2006 (Supp. 05-4). 
R12-15-1005. Management Plan Monitoring and Reporting Requirements 
A responsible party who is required by a provision of a management plan to comply with monitoring and reporting requirements shall comply with such requirements and shall include all such 
information in an annual account or annual report. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). 
R12-15-1006. Reporting Requirements for Holders of Recovery Well Permits 
A responsible party recovering water during a year pursuant to a recovery well permit shall include in the annual report required by A.R.S. § 45-875.01 the names of any persons, other than nonirrigation 
customers of cities, towns, private water companies and irrigation districts, to whom the responsible party delivered the recovered water during the year, the quantity of recovered water 
delivered to each person named, and the uses to which the recovered water was applied. If the recovered water included commingled groundwater, decreed or appropriative surface water other 
than spillwater, central Arizona project water, effluent or spillwater, the responsible party shall include in the annual report an estimate of the quantity of each type of water delivered to each 
person named in the annual report or put to a specific use by the responsible party. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-1007. Reporting Requirements for Annual Account 
A person required to file an annual account pursuant to A.R.S. § 45-468 shall account for water provided to the following classes of users: 
1. Cities and towns, 
2. Private water companies, 
3. Irrigation districts, 
4. Dairies, 
5. Metal mining facilities, 
6. Cattle feed lots, 
7. Turf-related facilities, 
8. Sand and gravel facilities, 
9. Electrical power generation facilities, 
10. Other industrial users. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). 
R12-15-1008. Information Required to Maintain an Operating Flexibility Account 
A. A responsible party who withdraws, receives, or uses groundwater during a calendar year pursuant to an irrigation grandfathered right, including any in lieu water received pursuant to a 
groundwater savings facility permit issued pursuant to A.R.S. § 45-812.01, shall include the following information for the calendar year in an annual report filed pursuant to A.R.S. § 45-467 
or 45-632: 
1. The quantity of groundwater withdrawn from each well. 
2. The quantity of groundwater withdrawn and delivered to another person for irrigation purposes. 
3. The quantity of groundwater received from a city, town, private water company, or irrigation district, including any in lieu water received pursuant to a groundwater savings facility 
permit issued pursuant to A.R.S. § 45-812.01. 
4. The quantity of groundwater received from a person other than a city, town, private water company, or irrigation district, including any in lieu water received pursuant to a groundwater 
savings facility permit issued pursuant to A.R.S. § 45-812.01. 
5. The quantity of effluent received. 
6. The quantity of decreed or appropriative surface water received, other than normal flow and spillwater. 
7. The quantity of normal flow received. 
8. The quantity of spillwater received. 
9. The quantity of tailwater used. 
10. The quantity of tailwater delivered in accordance with the provisions of R12-15-1010(A), and the farm or irrigation district to which the tailwater was delivered. 
11. The quantity of central Arizona project water received. 
12. The quantity of any surface water received and not accounted for pursuant to subsections (6) through (11) of this subsection. 
13. The number of surface water right acres in the farm to which the irrigation grandfathered right is appurtenant. 
14. The quantity of water used for the legal irrigation of acres in the farm to which irrigation grandfathered rights are not appurtenant. If the responsible party omits this information, the 
Director shall presume that the total amount of water received or used for the irrigation of the farm was applied to acres to which irrigation grandfathered rights are appurtenant. 
TITLE 12. NATURAL RESOURCES Page 30 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
15. Any other information the Director may reasonably require to accomplish the management goals of the applicable active management area. 
B. A water deliverer shall include the following information for an accounting period in an annual account filed pursuant to A.R.S. § 45-468: 
1. The quantity of groundwater delivered to each farm, including any in lieu water delivered pursuant to a groundwater savings facility permit issued pursuant to A.R.S. § 45-812.01. 
2. The quantity of normal flow delivered to each farm. 
3. The quantity of spillwater delivered to each farm. 
4. The quantity of decreed or appropriative surface water, other than normal flow and spillwater, delivered to each farm. 
5. The quantity of central Arizona project water delivered to each farm. 
6. The quantity of decreed or appropriative surface water, other than normal flow and spillwater, delivered for use within the service area of the water deliverer, including all farm and nonfarm 
deliveries. 
7. The number of surface water right acres within the service area of the water deliverer. 
8. The quantity of effluent delivered to each farm. 
9. Any other information the Director may reasonably require to accomplish the purposes of A.R.S. § 45-468. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-1009. Credits to Operating Flexibility Account 
A. Except as provided in subsection (B) of this Section and in R12-15-1010, if the total amount of water from all sources other than spillwater used by a farm for irrigation purposes in a calendar 
year is less than the farm's maximum annual groundwater allotment for the year, the Director shall register the difference as a credit to the farm's operating flexibility account. 
B. If a farm is within the service area of a water deliverer, the Director shall reduce the credit as calculated pursuant to subsection (A) of this Section by an amount equal to the difference 
between the farm's pro rata share of the total quantity of decreed or appropriative surface water, other than normal flow or spillwater, delivered by the water deliverer during the year for use 
within its service area, and the quantity of water actually received by the farm during the year. The Director shall determine the farm's pro rata share by dividing the number of surface water 
right acres in the farm that are within the service area of the water deliverer by the total number of surface water right acres within the service area of the water deliverer, and multiplying the 
quotient by the total quantity of decreed or appropriative surface water, other than normal flow or spillwater, delivered by the water deliverer during the year for use within its service area. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-1010. Operating Flexibility Account; Tailwater 
A. When calculating credits or debits to a farm's operating flexibility account for a year, the Director shall exclude from the total amount of water used on the farm during that year the amount of 
any tailwater that originated on the farm and that was delivered from the farm to another farm or to an irrigation district for irrigation purposes during the year if all of the following apply: 
1. Prior to January 1 of the year in which the deliveries of tailwater take place, the Director approves a written plan to measure and record the tailwater deliveries. The plan shall include: 
a. The installation and use of a totalizing water measuring device that will record tailwater deliveries with no greater than a 10 percent margin of error. 
b. Procedures for keeping accurate records of the tailwater deliveries. 
c. A description of how the tailwater will be delivered. 
d. An identification of the farm or irrigation district to which the tailwater will be delivered. 
2. The person has measured, recorded, and delivered the tailwater in accordance with the plan approved under subsection (A)(1) of this Section. 
3. The tailwater was delivered directly from the farm on which it originated to: 
a. A specified farm that used the tailwater for the legal irrigation of irrigation acres or surface water right acres on that farm, or 
b. A specified irrigation district that delivered the tailwater for the legal irrigation of irrigation acres or surface water right acres within that district. 
B. A person who delivers tailwater in accordance with subsection (A) of this Section, and a person who directly receives and uses the tailwater pursuant to subsection (A)(3)(a) of this Section, 
shall account for and report the tailwater as if it were comprised of a mixture of groundwater, decreed and appropriative surface water other than normal flow, central Arizona project water, 
spillwater, other surface water, and effluent, as applicable, in the same proportions as those types of water comprise the total amount of water other than normal flow received or withdrawn 
for irrigation use during the calendar year on the farm on which the tailwater originated. 
C. A person who uses tailwater that has not been delivered and accounted for as provided in subsections (A) and (B) of this Section may credit against the person's use of groundwater in a 
calendar year the amount of the tailwater used during the calendar year if the use of such tailwater would cause a debit to be incurred. The credit shall be applied only against the person's 
operating flexibility account debits that otherwise would have been incurred that year and shall not be used to discharge debits from prior years or accumulate credits for future years. For 
purposes of calculating credits to the person's operating flexibility account, the Director shall treat tailwater as groundwater, unless reported otherwise according to its source. 
D. An irrigation district that receives tailwater pursuant to subsection (A)(3)(b) shall account for the water in the same manner as other water in the district's distribution system. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-1011. Statement of Operating Flexibility Account 
A. The Director shall annually issue to each owner or user of an irrigation grandfathered right for which a current annual report has been filed a statement of the operating flexibility account 
setting forth the status of the operating flexibility account for the farm, based on the information submitted in the annual report filed for the right. 
B. Upon a motion or on the initiative of the Director, the Director may amend a statement of operating flexibility account at any time to correct clerical mistakes or to adjust the balance of the 
account based on information submitted in an amended or late annual report. The Director shall give written notice of any amendments made pursuant to this subsection to the person to 
whom the statement of operating flexibility account was issued. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-1012. Rule of Construction 
Nothing in A.A.C. R12-15-1001 through R12-15-1011 shall be construed to determine the legality of any water use for which an accounting is required under these rules. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). 
R12-15-1013. Retention of Records for Annual Accounts and Annual Reports 
The responsible party shall keep and maintain, for at least three calendar years following the filing of an annual account or an annual report, all records which may be necessary to verify the 
information and data contained therein. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). 
R12-15-1014. Late Filing or Payment of Fees; Extension Penalties 
A. An annual account, an annual report, or a request for extension pursuant to subsection (E) of this rule shall be deemed to be filed at the time a complete annual account, a complete annual 
report or a request for extension is hand-delivered to any Department office, or at the time the envelope in which it is mailed is postmarked. 
B. Except as provided in subsection (C) of this Section, groundwater withdrawal fees and long-term storage credit recovery fees are deemed paid at the time the fees are hand-delivered to any 
Department office, or at the time the envelope in which they are mailed is postmarked. 
C. If any groundwater withdrawal fees or long-term storage credit recovery fees are paid with a negotiable instrument that is not honored and paid upon the Department's initial demand, the fees 
are deemed paid at the time the Department actually receives the fees in cash or when the negotiable instrument is honored and paid to the Department. 
D. If an annual account or an annual report filed on or before the date required by the applicable statute is found by the Director to be incomplete, the Director shall notify the responsible party of 
the inadequacies and allow the responsible party 30 days from the date of the notice to provide the missing information in a form prescribed by the Director. If the responsible party does not 
provide the missing information within 30 days from the date of the notice, late penalties under A.R.S. §§ 45-437, 45-632, 45-875.01, 45-876.01, 45-877.01, 45-878.01 or 45-1004 shall 
begin to accrue on the 31st day following the date of the notice. The Director shall not recommend to a court, pursuant to A.R.S. §§ 45-634, 45-635, 45-881.01, 45-882.01, 45-1062 or 45- 
1063, that civil penalties be imposed through the first 30 days following the date of the notice. However, if the inadequacy included the failure to pay all groundwater withdrawal fees due or 
all long-term storage credit recovery fees due, late penalties under A.R.S. §§ 45-614 or 45-874.01 shall begin to accrue on April 1, except as provided in subsection (E) of this Section. 
E. A responsible party required to file an annual account or annual report for a year may request a 30-day extension of the first day of accrual of the late penalties under A.R.S. §§ 45-437, 45- 
614, 45-632, 45-874.01, 45-875.01, 45-876.01, 45-877.01, 45-878.01 or 45-1004 and of the civil penalties that the Director may recommend that a court impose pursuant to A.R.S. §§ 45- 
634, 45-635, 45-881.01, 45-882.01, 45-1062 or 45-1063. The request shall be filed no later than the date the annual account or annual report is required to be filed under the applicable 
statute. The Director shall grant a request for a 30-day extension if good cause is shown. If the Director grants the request, the late penalties and civil penalties shall begin to accrue on the 
first day after the 30-day extension period, except that if the Director finds that the person making the request presented false or misleading information to the Director and the Director 
relied on that information in granting the request, the late penalties and civil penalties shall begin to accrue as if the request was not granted. The Director shall not grant an extension to a 
responsible party who was granted an extension in the preceding calendar year and who subsequently failed to file a complete annual account or annual report and pay all groundwater 
withdrawal fees and all long-term storage credit recovery fees due within the 30-day extension period. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). Amended by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-1015. Reporting Requirements for Conveyances of Grandfathered Rights and Groundwater Withdrawal Permits 
A. A person who is required by A.R.S. § 45-482 to notify the Director of a conveyance of a grandfathered right shall file a notice of conveyance, on a form prescribed by the Director, within 30 
days of the conveyance. All parties to the conveyance may use a single form for the required notice. Except provided in subsection (B) of this rule, the notice of conveyance shall include an 
accounting of the amount of water withdrawn or received pursuant to that grandfathered right from January 1 to the date of conveyance for that calendar year. 
B. If the person to whom a grandfathered right is conveyed is unable, because of extraordinary circumstances and good cause shown, to perform the accounting otherwise required by subsection 
(A) of this rule, the Director may waive the requirement for that person. 
TITLE 12. NATURAL RESOURCES Page 31 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
C. If a person, including a person who is granted a waiver pursuant to subsection (B) of this rule, fails to include the required accounting in a timely filed notice of conveyance pursuant to 
subsection (A) of this rule, the Director shall determine the amount of groundwater withdrawn or received pursuant to the grandfathered right from January 1 to the date of conveyance for 
that calendar year. Such a person shall bear the burden, in any subsequent administrative or judicial proceeding, of establishing by clear and convincing evidence that the Director's 
determination was incorrect. 
D. A person requesting the Director's approval of a proposed conveyance of a groundwater withdrawal permit pursuant to A.R.S. § 45-520(B) shall include with such request the quantity of 
groundwater withdrawn pursuant to the groundwater withdrawal permit for that calendar year and all other information required to be submitted pursuant to A.R.S. § 45-632. 
Historical Note 
Adopted effective December 12, 1990 (Supp. 90-4). 
R12-15-1016. Spillwater Reporting by Water Deliverers 
A water deliverer that delivers spillwater during a year shall include the following information in the annual account or annual report submitted by the water deliverer for that year: 
1. The total quantity of spillwater delivered for non-irrigation uses during the year. 
2. The total quantity of spillwater delivered for irrigation uses during the year. 
3. Any other information the Director may reasonably require to determine whether the water qualifies as spillwater under R12-15-1001(10). 
Historical Note 
New Section made by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
R12-15-1017. Maintenance and Filing of Annual Reports Required by A.R.S. § 45-343 
A community water system required to file an annual report under A.R.S. § 45-343 shall maintain the report on a calendar year basis and shall file the report with the Director no later than June 1 
of each year for the preceding calendar year. 
Historical Note 
New Section made by final rulemaking at 11 A.A.R. 5395, effective February 4, 2006 (Supp. 05-4). 
ARTICLE 11. INSPECTIONS AND AUDITS 
R12-15-1101. Inspections 
A. For the purpose of this rule, "inspection" means an entry by the Director at reasonable times onto private or public property for any of the following purposes: 
1. To obtain factual data or access to records required to be kept under A.R.S. §§ 45-632, 45-879.01, or 45-1004. 
2. To inspect a well or another facility for the withdrawal, transportation, use, measurement, or recharge of groundwater under A.R.S. § 45-633. 
3. To inspect a facility that is used for the purpose of water storage, stored water recovery, or stored water use under A.R.S. § 45-880.01(A). 
4. To inspect a body of water under A.R.S. § 45-135 or to ascertain compliance with A.R.S. Title 45, Chapter 1, Article 3. 
5. To inspect or to obtain factual data or access to records pursuant to any Section of A.R.S. Title 45 that requires the Director to adopt rules for conducting inspections, examining records, 
and obtaining warrants. 
6. To inspect facilities used for the withdrawal, diversion, or use of water pursuant to a water exchange under A.R.S. § 45-1061. 
B. Not less than seven days prior to an inspection, the Director shall mail notice of the inspection by first class letter to the owner, manager or occupant of the property. The notice shall include 
the statutory authorization and purpose for the inspection. The notice shall specify a date and time certain or a seven-day period within which the inspection may take place. If a request is 
made before the seven-day period, the Director shall schedule the inspection for a time certain within the seven-day period to allow an opportunity for a representative of the property to be 
present at the inspection. The notice shall include the name and telephone number of a Department employee who may be contacted to arrange such an appointment. 
C. Whenever practical, Department employees shall minimize disruptions to on-going operations caused by an inspection. 
D. If the property is controlled or secured against entry at the time specified in the notice of inspection but consent to the inspection was not denied, the Director shall give a second notice in the 
manner prescribed in subsection (B) before seeking a search warrant or its equivalent. The second notice shall request that a representative of the property be present at the inspection to 
accompany Department personnel. 
E. If the Director gives notice of an inspection and is not permitted to conduct an inspection, the Director may apply for and obtain a search warrant or its equivalent. 
F. Notice of inspection shall not be required under subsections (B) and (D) of this rule if the Director reasonably believes that notice would frustrate the enforcement of A.R.S. Title 45, or where 
entry is sought for the sole purpose of inspecting water measuring devices required pursuant to A.R.S. § 45-604. 
G. The Director shall mail a copy of the report of the inspection either to the person to whom the notice of inspection was directed, or to the owner, manager or occupant of the property if no 
notice of inspection was given. The report shall include the date of the inspection and a short summary of the findings. If no notice was given, the report shall include an explanation of the 
reason for determining that notice would not be given, unless providing the explanation would frustrate enforcement of A.R.S. Title 45. An aggrieved person may file with the Director 
written comments on the report within 30 days after the report is mailed. 
H. The owner, manager or occupant of the property may waive the provisions for notice contained in this rule. 
I. The Director shall comply with the requirements of A.R.S. § 41-1009 when conducting inspections under this Section. 
Historical Note 
Adopted effective August 31, 1992 (Supp. 92-3). Amended effective July 22, 1994 (Supp. 94-3). Amended by final rulemaking at 11 A.A.R. 5395, effective 
February 4, 2006 (Supp. 05-4). 
R12-15-1102. Audits 
A. For the purpose of this rule, "representative" means 
1. An officer or director of a corporation subject to the audit, 
2. A general partner of a partnership subject to the audit, or 
3. A person who appears at an audit and produces a signed authorization to act on behalf of the person subject to the audit. 
B. This rule applies to audits conducted pursuant to A.R.S. §§ 45-633(C), 45-880.01, and any other Section of A.R.S. Title 45 that authorizes the Director to require a person to appear at the 
Director's office and produce records and information and that also requires the Director to adopt rules for conducting inspections, examining records, and obtaining warrants. 
C. No less than 20 days prior to an audit, the Director shall mail notice of the audit by first class letter to the person that is the subject of the audit. The notice shall state the date, time and place of 
the audit. The notice shall specify the records or information which the person must produce. The notice shall also include the statutory authorization and purpose for the audit and the name 
and telephone number of a Department employee who may be contacted for further information. The audit shall be held at the Department's offices, unless the Director grants a request to 
have the audit conducted at a different location. 
D. The person subject to the audit or a representative shall appear at the scheduled time and shall produce the records and information specified in the notice. The person subject to the audit or a 
representative may make one request to reschedule the audit, which the Department shall grant if practicable. 
E. The Director shall mail a copy of the report of the audit to the person subject to the audit. An aggrieved person may file with the Director written comments on the report within 30 days after 
the report is mailed. 
F. The person subject to the audit may waive the provisions for notice contained in this rule. 
Historical Note 
Adopted effective August 31, 1992 (Supp. 92-3). Amended effective July 22, 1994 (Supp. 94-3). 
ARTICLE 12. DAM SAFETY PROCEDURES 
R12-15-1201. Applicability 
A. This Article applies to any artificial barrier meeting the specifications of A.R.S. § 45-1201(1) as interpreted by R12-15-1204. This Article applies to an application for the construction of a 
dam and reservoir; an application to reconstruct, repair, alter, enlarge, breach, or remove an existing dam and reservoir, including a breached or damaged dam; operation and maintenance of 
an existing dam and reservoir; and enforcement. A structure identified in R12-15-1203 is exempt from this Article. 
B. This Article is applicable to any dam regardless of hazard potential classification, with the following exceptions: 
1. R12-15-1208, R12-15-1209, R12-15-1213, R12-15-1221, R12-15-1225, and R12-15-1226 apply only to a dam classified as a high or significant hazard potential dam. 
2. R12-15-1210 applies only to a dam classified as a low hazard potential dam. A low hazard potential dam is exempt from R12-15-1208, R12-15-1209, R12-15-1211, R12-15-1213, R12- 
15-1221, R12-15-1225, and R12-15-1226. 
3. R12-15-1211 applies only to a dam classified as a very low hazard potential dam. A very low hazard potential dam is exempt from R12-15-1208, R12-15-1209, R12-15-1210, R12-15- 
1212, R12-15-1213, R12-15-1215, R12-15-1216, R12-15-1221, R12-15-1225, and R12-15-1226. 
4. R12-15-1216(B) applies only to an embankment dam. 
Historical Note 
Adopted effective November 2, 1978 (Supp. 78-6). Former Section R12-15-01 renumbered without change as Section R12-15-1201 effective October 8, 1982 (Supp. 82-5). Section 
repealed; new Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1202. Definitions 
In addition to the definitions provided in A.R.S. § 45-1201, the following definitions are applicable to this Article: 
1. "Alteration or repair of an existing dam or appurtenant structure" means to make different from the originally approved construction drawings and specifications or current condition 
without changing the height or storage capacity of the dam or reservoir, except for ordinary repairs and general maintenance as prescribed in R12-15-1217. 
2. "Appurtenant structure" means any structure that is contiguous and essential to the safe operation of the dam including embankments, saddle dikes, outlet works and controls, diversion 
ditches, spillway and controls, access structures, bridges, and related housing at a dam. 
3. "Classification of dams" means the placement of dams into categories based upon an evaluation of the size and hazard potential, regardless of the condition of the dam. 
4. "Concrete dam" means any dam constructed of concrete, including arch, gravity, arch-gravity, slab and buttress, and multiple arch dams. A dam that only has a concrete facing is not a 
concrete dam. 
5. "Construction" means any activity performed by the owner or someone employed by the owner that is related to the construction, reconstruction, repair, enlargement, removal, or 
TITLE 12. NATURAL RESOURCES Page 32 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
alteration of any dam, unless the context indicates otherwise. Construction is performed after approval of an application and before issuance of a license. 
6. "Dam failure inundation map" means a map depicting the maximum area downstream from a dam that would be flooded in the event of the worst condition failure of the dam. 
7. "Department" means the Arizona Department of Water Resources. 
8. "Director" means the Director of the Arizona Department of Water Resources or the Director's designee. 
9. "Embankment dam" means a dam that is constructed of earth or rock material. 
10. "Emergency spillway" means a spillway designed to safely pass the inflow design flood routed through the reservoir. If the flow is controlled by gates, it is a controlled spillway. If the 
flow is not controlled by gates, it is an uncontrolled spillway. 
11. "Engineer" means a Professional Engineer registered and licensed in accordance with A.R.S. Title 32, Chapter 1, with proficiency in engineering and knowledge of dam technology. 
12. "Enlargement to an existing dam or appurtenant structure" means any alteration, modification, or repair that increases the vertical height of a dam or the storage capacity of the reservoir. 
13. "Flashboards" mean timber, concrete, or steel sections placed on the crest of a spillway to raise the retention water level that may be quickly removed at time of flood either by a tripping 
device or by designed failure of the flashboards or their supports. 
14. "Flood control dam" means a dam that uses all of its reservoir storage capacity for temporary impoundment of flood waters and collection of sediment or debris. 
15. "Hazard potential" means the probable incremental adverse consequences that result from the release of water or stored contents due to failure or improper operation of a dam or 
appurtenances. 
16. "Hazard potential classification" means a system that categorizes dams according to the degree of probable incremental adverse consequences of failure or improper operation of a dam 
or appurtenances. The hazard potential classification does not reflect the current condition of the dam with regard to safety, structural integrity, or flood routing capacity. 
17. "Height" means the vertical distance from the lowest elevation of the outside limit of the barrier at its intersection with the natural ground surface to the spillway crest elevation. For the 
purpose of determining jurisdictional status, the lowest elevation of the outside limit of the barrier may be the outlet pipe invert elevation if the outlet is constructed below natural 
ground. 
18. "Impound" means to cause water or a liquid to be confined within a reservoir and held with no discharge. 
19. "Incremental adverse consequences" means under the same loading conditions, the additional adverse consequences such as economic, intangible, lifeline, or human losses, that would 
occur due to the failure or improper operation of the dam over those that would have occurred without failure or improper operation of the dam. 
20. "Inflow design flood" or "IDF" means the reservoir flood inflow magnitude selected on the basis of size and hazard potential classification for emergency spillway design requirements 
of a dam. 
21. "Intangible losses" means incremental adverse consequences to property that are not economic in nature, including property related to social, cultural, unique, or resource-based values, 
including the loss of irreplaceable and unique historic and cultural features; long-lasting pollution of land or water; or long-lasting or permanent changes to the ecology, including fish 
and endangered species habitat identified and evaluated by a public natural resource management or protection agency. 
22. "Jurisdictional dam" means a barrier that meets the definition of a dam prescribed in A.R.S. § 45-1201 that is not exempted by R12-15-1203 over which the Department of Water 
Resources exercises jurisdiction. 
23. "Levee" means an embankment of earth, concrete, or other material used to prevent a watercourse from spreading laterally or overflowing its banks. A levee is not used to impound 
water. 
24. "License" means license of final approval issued by the Director upon completion or enlargement of a dam under A.R.S. § 45-1209. 
25. "Lifeline losses" mean disruption of essential services such as water, power, gas, telephone, or emergency medical services. 
26. "Liquid-borne material" means mine tailings or other milled ore products transported in a slurry to a storage impoundment. 
27. "Maximum credible earthquake" means the most severe earthquake that is believed to be possible at a point on the basis of geologic and seismological evidence. 
28. "Maximum water surface" means the maximum elevation of the reservoir water level attained during routing of the inflow design flood. 
29. "Natural ground surface" means the undisturbed ground surface before excavation or filling, or the undisturbed bed of the stream or river. 
30. "Outlet works" means a closed conduit under or through a dam or through an abutment for the controlled discharge of the contents normally impounded by a dam and reservoir. The 
outlet works include the inlet and outlet structures appurtenant to the conduit. Outlet works may be controlled or uncontrolled. 
31. "Probable" means likely to occur, reasonably expected, and realistic. 
32. "Probable maximum flood" or "PMF" means the flood runoff expected from the most severe combination of critical meteorologic and hydrologic conditions that are reasonably possible 
in the region, including rain and snow where applicable. 1/2 PMF is that flood represented by the flood hydrograph with ordinates equal to 1/2 the corresponding ordinates of the PMF 
hydrograph. 
33. "Probable maximum precipitation" means the greatest depth of precipitation for a given duration that is theoretically physically possible over a particular size storm area at a particular 
geographical location at a particular time of year. 
34. "Reservoir" means any basin that contains or is capable of containing water or other liquids impounded by a dam. 
35. "Residual freeboard" means the vertical distance between the highest water surface elevation during the inflow design flood and the lowest point at the top of the dam. 
36. "Restricted storage" means a condition placed on a license by the Director to reduce the storage level of a reservoir because of a safety deficiency. 
37. "Saddle dike or saddle dam" means any dam constructed in a topographically low area on the perimeter of a reservoir, required to contain the reservoir at the highest water surface 
elevation. 
38. "Safe" means that a dam has sufficient structural integrity and flood routing capacity to make failure of the dam unlikely. 
39. "Safe storage level" means the maximum reservoir water surface elevation at which the Director determines it is safe to impound water or other liquids in the reservoir. 
40. "Safety deficiency" means a condition at a dam that impairs or adversely affects the safe operation of the dam. 
41. "Safety inspection" means an investigation by an engineer or a person under the direction of an engineer to assess the safety of a dam and determine the safe storage level for a reservoir, 
which includes review of design reports, construction documents, and previous safety inspection reports of the dam, spillways, outlet facilities, seepage control and measurement 
systems, and permanent monument or monitoring installations. 
42. "Spillway crest" means the highest elevation of the floor of the spillway along a centerline profile through the spillway. 
43. "Storage capacity" means the maximum volume of water, sediment, or debris that can be impounded in the reservoir with no discharge of water, including the situation where an 
uncontrolled outlet becomes plugged. The storage capacity is reached when the water level is at the crest of the emergency spillway, or at the top of permanently mounted emergency 
spillway gates in the closed position. Storage capacity excludes dead storage below the natural ground surface. 
44. "Surcharge storage" means the additional water storage volume between the emergency spillway crest or closed gates, and the top of the dam. 
45. "Total freeboard" means the vertical distance between the emergency spillway crest and the top of the dam. 
46. "Unsafe" means that safety deficiencies in a dam or spillway could result in failure of the dam with subsequent loss of human life or significant property damage. 
Historical Note 
Adopted effective November 2, 1978 (Supp. 78-6). Former Section R12-15-02 renumbered without change as Section R12-15-1202 effective October 8, 1982 (Supp. 82-5). Section 
repealed; new Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). Amended to correct typographical error under A.A.C. R1-1-109 (Supp. 01- 
2). 
R12-15-1203. Exempt Structures 
The following structures are exempt from regulation by the Department: 
1. Any artificial barrier identified as exempt on Table 1 and defined as follows: 
a. Less than 6 feet in height, regardless of storage capacity. 
b. Between 6 and 25 feet in height with a storage capacity of less than 50 acre-feet. 
c. Greater than 25 feet in height with 15 acre-feet or less of storage capacity. 
2. A dam owned by the federal government. A dam designed by the federal government for any non-federal entity or person that will subsequently be owned or operated by a person or 
entity defined as an owner in A.R.S. § 45-1201 is subject to jurisdiction, beginning with design and construction of the dam. 
3. A dam owned or operated by an agency or instrumentality of the federal government, if a dam safety program at least as stringent as this Article is applicable to and enforced against the 
agency or instrumentality. 
4. A transportation structure such as a highway, road, or railroad fill that exists solely for transportation purposes. A transportation structure designed, constructed, or modified with the 
intention of impounding water on an intermittent or permanent basis and meeting the definition of dam in A.R.S. § 45-1201 is subject to jurisdiction. 
5. A levee constructed adjacent to or along a watercourse, primarily to control floodwater. 
6. A self-supporting concrete or steel water storage tank. 
7. An impoundment for the purpose of storing liquid-borne material. 
8. A release-contained barrier as defined by A.R.S. § 45-1201(5). 
Historical Note 
Adopted effective November 2, 1978 (Supp. 78-6). Former Section R12-15-03 renumbered without change as Section R12-15-1203 effective October 8, 1982 (Supp. 82-5). Section 
repealed; new Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
Table 1. Exempt Structures 
TITLE 12. NATURAL RESOURCES Page 33 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
 Historical Note 
New Table adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1204. Provision for Guidelines 
The Department may develop and adopt substantive policy statements that serve as dam safety guidelines to aid a dam owner or engineer in complying with this Article. The Department 
recommends that dam owners and engineers consult design guidelines published by agencies of the federal government, including the U.S. Bureau of Reclamation, the U.S. Army Corps of 
Engineers, the Natural Resources Conservation Service, and the Federal Energy Regulatory Commission, for the design of concrete, roller compacted concrete, stone masonry, timber, inflatable 
rubber, and mechanically-stabilized earth dams. The Director may require that other criteria be used or revise any of the specific criteria for the purpose of dam safety. An owner shall obtain 
advance approval by the Director of design criteria. 
Historical Note 
Adopted effective November 2, 1978 (Supp. 78-6). Former Section R12-15-04 renumbered without change as Section R12-15-1204 effective October 8, 1982 (Supp. 82-5). Section 
repealed; new Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1205. General Responsibilities 
A. Each owner is responsible for the safe design, operation, and maintenance of a dam. The owner shall operate, maintain, and regularly inspect a dam so that it does not constitute a danger to 
human life or property. The owner of a high or significant hazard potential dam shall provide timely warning to the Department and all other persons listed in the emergency action plan of 
problems at the dam. The owner shall develop and maintain effective emergency action plans and coordinate those plans with local officials as prescribed in R12-15-1221. 
B. The owner shall conduct frequent observation of the dam, as prescribed in the emergency action plan and as follows: 
1. The owner shall increase the frequency of observation when the reservoir is full, during heavy rains or flooding, and following an earthquake. 
2. The owner shall report to the Director any condition that threatens the safety of the dam as prescribed in R12-15-1224(A). The owner shall make the report as soon as possible, but not 
later than 12 hours after discovery of the conditions. 
3. If dam failure appears imminent, the owner shall notify the county sheriff or other emergency official immediately. 
4. The owner is responsible for the safety of the dam and shall take action to lower the reservoir if it appears that the dam has weakened or is in danger of failing. 
C. The owner of a dam shall install, maintain, and monitor instrumentation to evaluate the performance of the dam. The Director shall require site-specific instrumentation that the Director deems 
necessary for monitoring the safety of the dam when failure may endanger human life and property. Conditions that may require monitoring include land subsidence, earth fissures, 
embankment cracking, phreatic surface, seepage, and embankment movements. 
D. The owner shall perform timely maintenance and ordinary repair of a dam. The owner shall implement an annual plan to inspect the dam and accomplish the maintenance and ordinary repairs 
necessary to protect human life and property. 
E. If a change of ownership of a dam occurs, the new owner shall notify the Department within 15 days after the date of the transaction and provide the mailing address and telephone number 
where the new owner can be contacted. Within 90 days after the date of the transaction, the new owner shall provide the name and telephone number of the individual or individuals who are 
responsible for operating and maintaining the dam. 
Historical Note 
Adopted effective November 2, 1978 (Supp. 78-6). Former Section R12-15-05 renumbered without change as Section R12-15-1205 effective October 8, 1982 (Supp. 82-5). Section 
repealed; new Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1206. Classification of Dams 
A. Size Classification. Dams are classified by size as small, intermediate, or large. Size is determined with reference to Table 2. An owner or engineer shall determine size by storage capacity or 
height, whichever results in the larger size. 
B. Hazard Potential Classification 
1. The Department shall base hazard potential classification on an evaluation of the probable present and future incremental adverse consequences that would result from the release of water 
or stored contents due to failure or improper operation of the dam or appurtenances, regardless of the condition of the dam. The evaluation shall include land use zoning and 
development projected for the affected area over the 10 year period following classification of the dam. The Department considers all of the following factors in hazard potential 
classification: probable loss of human life, economic and lifeline losses, and intangible losses identified and evaluated by a public resource management or protection agency. 
a. The Department bases the probable incremental loss of human life determination primarily on the number of permanent structures for human habitation that would be impacted in the 
event of failure or improper operation of a dam. The Department considers loss of human life unlikely if: 
i. Persons are only temporarily in the potential inundation area; 
ii. There are no residences or overnight campsites; and 
iii. The owner has control of access to the potential inundation area and provides an emergency action plan with a process for warning in the event of a dam failure or improper 
operation of a dam. 
b. The Department bases the probable economic, lifeline, and intangible loss determinations on the property losses, interruptions of services, and intangible losses that would be likely 
to result from failure or improper operation of a dam. 
2. The 4 hazard potential classification levels are very low, low, significant, and high, listed in order of increasing probable adverse incremental consequences, as prescribed in Table 3. The 
Director shall classify intangible losses by considering the common or unique nature of features or habitats and temporary or permanent nature of changes. 
a. Very Low Hazard Potential. Failure or improper operation of a dam would be unlikely to result in loss of human life and would produce no lifeline losses and very low economic and 
intangible losses. Losses would be limited to the 100 year floodplain or property owned or controlled by the dam owner under long-term lease. The Department considers loss of 
life unlikely because there are no residences or overnight camp sites. 
b. Low Hazard Potential. Failure or improper operation of a dam would be unlikely to result in loss of human life, but would produce low economic and intangible losses, and result in 
no disruption of lifeline services that require more than cosmetic repair. Property losses would be limited to rural or agricultural property, including equipment, and isolated 
buildings. 
c. Significant Hazard Potential. Failure or improper operation of a dam would be unlikely to result in loss of human life but may cause significant or high economic loss, intangible 
damage requiring major mitigation, and disruption or impact on lifeline facilities. Property losses would occur in a predominantly rural or agricultural area with a transient 
population but significant infrastructure. 
d. High Hazard Potential. Failure or improper operation of a dam would be likely to cause loss of human life because of residential, commercial, or industrial development. Intangible 
losses may be major and potentially impossible to mitigate, critical lifeline services may be significantly disrupted, and property losses may be extensive. 
3. An applicant shall demonstrate the hazard potential classification of a dam before filing an application to construct. The Department shall review the applicant's demonstration early in the 
design process at pre-application meetings prescribed in R12-15-1207(D). 
4. The Department shall review the hazard potential classification of each dam during each subsequent dam safety inspection and revise the classification in accordance with current 
conditions. 
Historical Note 
Adopted effective November 2, 1978 (Supp. 78-6). Former Section R12-15-06 renumbered without change as Section R12-15-1206 effective October 8, 1982 (Supp. 82-5). Section 
repealed; new Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
Exhibit A. Repealed 
Historical Note 
Exhibit repealed by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000; a Historical Note for Exhibit A did not exist before this date (Supp. 00-2). 
Table 2. Size Classification 
Category Storage Capacity (acre-feet) Height (feet) 
Small 50 to 1,000 25 to 40 
Intermediate greater than 1,000 and not exceeding 50,000 higher than 40 and not exceeding 100 
TITLE 12. NATURAL RESOURCES Page 34 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
Historical Note 
New Table adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
Table 3. Downstream Hazard Potential Classification 
Historical Note 
New Table adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1207. Application Process 
A. An applicant shall obtain written approval from the Director before constructing, reconstructing, repairing, enlarging, removing, altering, or breaching a dam. Application requirements differ 
according to the hazard potential of the dam. 
1. To construct, reconstruct, repair, enlarge, or alter a high or significant hazard potential dam, the applicant shall comply with R12-15-1208. 
2. To breach or remove a high or significant hazard potential dam, the applicant shall comply with R12-15-1209. 
3. To construct, reconstruct, repair, enlarge, alter, breach, or remove a low hazard potential dam, the applicant shall comply with R12-15-1210. 
4. To construct, reconstruct, repair, enlarge, alter, breach, or remove a very low hazard potential dam, the applicant shall comply with R12-15-1211. 
B. An application shall not be filed with the Director under the following circumstances: 
1. The dam is exempt under R12-15-1203; 
2. A dam owner starts repairs to an existing dam that are necessary to safeguard human life or property and the Director is notified without delay; 
3. The owner performs general maintenance or ordinary repairs as prescribed in R12-15-1217(A) or (B); or 
4. Breach, removal, or reduction of a very low hazard dam as prescribed in R12-15-1211(C). 
C. An applicant is not required to comply with a requirement in this Article if the Director finds that, considering the site characteristics and the proposed design, the requirement is unduly 
burdensome or expensive and is not necessary to protect human life or property. The Director shall consider the size, hazard potential classification, physical site conditions, and 
applicability of a requirement to a proposed dam. The Director shall state in writing the reason or reasons the applicant is not required to comply with a requirement. 
D. An applicant shall schedule pre-application conferences with the Department to discuss the requirements of this Article and to resolve issues essential to the design of a dam while the design 
is in preliminary stages. The Director shall view the dam site during the pre-application process. The following are examples of issues for pre-application conferences: the hazard potential 
classification, the approximate inflow design flood, the basic design concepts, and any requirements that may be found by the Director to be unduly burdensome or expensive and not 
necessary to protect human life or safety. In addition, the applicant may submit preliminary design calculations to the Department for review and comment. The Department shall comment 
as soon as practicable, depending on the size of the submittal and the current workload. 
E. The Department shall review applications as follows: 
1. Applications will be received by appointment. During this meeting the Department shall make a brief review of the application to determine that the application contains each of the items 
required by R12-15-1208, R12-15-1209, R12-15-1210, or R12-15-1211. 
2. Following receipt of an application submitted under R12-15-1208, R12-15-1209, R12-15-1210, or R12-15-1211, the Director shall complete an administrative review as prescribed in 
R12-15-401(1) and notify the applicant in writing whether the application is administratively complete. If the application is not administratively complete, the notification shall include 
a list of additional information that is required to complete the application. 
3. After finding the application submitted under R12-15-1208, R12-15-1209, R12-15-1210, or R12-15-1211 administratively complete, the Director shall complete a substantive review as 
prescribed in R12-15-401(3) and notify the applicant in writing of the Director's approval or disapproval. If during this review period, the Director determines that there are defects in 
the application that would impact human life and property, a written notice of the defects shall be sent to the applicant. 
4. An applicant may request in writing that the Director expedite the review of an application by employing an expert consultant on a contract basis under A.R.S. § 45-104(D). The Director 
shall establish on-call contracts with expert consultants to facilitate the process of expediting review. The Director may retain a consultant to review all or a portion of the application as 
necessary to expedite the process in response to an owner's request or to comply with time-frame rules. Before conducting the review, the consultant shall provide the Director and the 
applicant with a proposed time schedule and cost estimate. If the applicant agrees to the consultant's proposal for an expedited review of an application and the Director employs the 
consultant, the applicant shall pay to the Department the cost of the consultant's services in addition to the application fees. The Director retains the authority to review and approve, 
disapprove, or modify the findings and recommendations of the consultant. 
5. The Director shall not approve an application in less than 10 days from the date of receipt. 
6. If the Director disapproves the application, the Director shall provide the applicant with a statement of the Director's objections. 
7. If the Director approves an application, the applicant shall submit in triplicate revised drawings and specifications that incorporate any required changes. 
a. The Director shall return to the applicant 1 set of final construction drawings and specifications with the Department's approval stamp to be retained onsite during construction; 
b. The Director shall retain for permanent state record 1 set of final construction drawings and specifications with the Department's approval stamp; and 
c. The Director shall retain for use by the Department during construction the 3rd set of final construction drawings and specifications with the Department's approval stamp. 
8. The Director shall impose conditions and limitations that the Director deems necessary to safeguard human life and property. Examples of the conditions of approval include but are not 
limited to: 
a. The applicant shall not cover the foundation or abutment with the material of the dam until the Department has been given notice and a reasonable time to inspect and approve them. 
b. The applicant shall start construction within 1 year from the date of approval. 
c. The applicant shall maintain a safe storage level for an existing dam being reconstructed, repaired, enlarged, altered, or breached. 
F. An approval to construct a new dam or repair, enlarge, alter, breach, or remove an existing dam is valid for 1 year. 
1. If construction does not begin within 1 year, the approval is void. 
2. Upon written request and good cause shown by the owner, the time for commencing construction may be extended. An applicant shall not start construction before the Director reviews 
the application for changes and grants approval. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1208. Application to Construct, Reconstruct, Repair, Enlarge, or Alter a High or Significant Hazard Potential Dam 
A. An application package to construct, reconstruct, repair, enlarge, or alter a high or significant hazard potential dam shall include the following prepared by or under the supervision of an 
engineer as defined in R12-15-1202(11). 
1. A completed application filed in duplicate on forms provided by the Director. 
2. A design information summary or checklist of items prepared in duplicate on forms provided by the Director. 
3. An initial application fee based on the total estimated project cost and computed in accordance with A.R.S. § 45-1204 and R12-15-151(B)(11). 
4. A detailed estimate of project costs. Project costs are all costs associated with construction of the dam and appurtenant works including preliminary investigations and surveys, 
engineering design, supervision of construction, and any other engineering costs. 
5. Two complete sets of construction drawings as prescribed in R12-15-1215(1). 
6. Two complete sets of construction specifications as prescribed in R12-15-1215(2). 
7. An engineering design report that includes information needed to evaluate all aspects of the design of the dam and appurtenances, including references with page numbers to support any 
assumptions used in the design, as prescribed in R12-15-1215(3). The engineering design report shall recommend a safe storage level for existing dams being reconstructed, repaired, 
enlarged, or altered. 
8. A construction quality assurance plan describing all aspects of construction supervision. 
9. A description of the use for the impounded or diverted water, proof of a right to appropriate, and a permit to store water as prescribed in A.R.S. §§ 45-152 and 45-161. 
10. A long-term budget plan and evidence of financing, prepared using customary accounting principles, that demonstrate that the applicant has the financial capability to construct, operate, 
and maintain the dam in a safe manner. If the applicant does not have evidence that can be verified by an independent audit of the financial capability to construct, operate, and maintain 
the dam in a safe manner, the Director may require a performance bond for the entire cost of the proposed construction work. 
B. The following may be submitted with the application or during construction. 
1. An emergency action plan as prescribed in R12-15-1221. 
2. An operation and maintenance plan to accomplish the annual maintenance. 
3. An instrumentation plan regarding instruments that evaluate the performance of the dam. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1209. Application to Breach or Remove a High or Significant Hazard Potential Dam 
A. An applicant shall excavate the dam down to the level of the natural ground at the maximum section. Upon approval of the Director, additional breaches may be made. This provision shall not 
Large greater than 50,000 higher than 100 
Hazard Potential 
Classification 
Probable Loss of Human Life Probable Economic, Lifeline, and Intangible Losses 
Very Low None expected 
Economic and lifeline losses limited to owner's 
property or 100-year floodplain. 
Very low intangible losses identified. 
Low None expected Low 
Significant None expected Low to high 
High Probable - One or more expected 
Low to high 
(not necessary for this classification) 
TITLE 12. NATURAL RESOURCES Page 35 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
be construed to require more than total removal of the dam regardless of the flood magnitude. The breach or breaches shall be of sufficient width to pass the greater of: 
1. The 100 year flood at a depth of less than 5 feet, or 
2. The 100 year flood at a normal flood depth of not more than 2 feet at a distance of 2,000 feet downstream of the dam. 
B. The sides of each breach shall be excavated to a slope ratio that is stable and not steeper than 1 horizontal to 1 vertical. 
C. Each breach shall be designed to prevent silt that has previously been deposited on the reservoir bottom and the excavated material from the breach from washing downstream. 
D. Before breaching the dam, the reservoir shall be emptied in a controlled manner that will not endanger lives or damage downstream property. The applicant shall obtain approval from the 
Director for the method of breaching or removal. 
E. An application package to breach or remove a high or significant hazard potential dam shall include the following prepared by or under the supervision of an engineer as defined in R12-15- 
1202(11). 
1. The construction drawing or drawings for the breach or removal of a dam, including the location, dimensions, and lowest elevation of each breach. 
2. A long-term budget plan and evidence of financing, prepared using customary accounting principles, that demonstrate that the applicant has the financial capability to breach or remove 
the dam in a safe manner. If the applicant does not have evidence that can be verified by an independent audit of the financial capability to breach or remove the dam in a safe manner, 
the Director may require a performance bond for the entire cost of the proposed construction work. 
3. A construction quality assurance plan describing all aspects of construction supervision. 
F. Reduction of a high or significant downstream hazard potential dam to nonjurisdictional size may be approved by letter under the following circumstances: 
1. The owner shall submit a completed application form and construction drawings for the reduction and the appropriate specifications, prepared by or under the supervision of an engineer 
as defined in R12-15-1202(11). 
2. The construction drawings and specifications shall contain sufficient detail to enable a contractor to bid on and complete the project. 
3. The plans shall comply with all requirements of this Section except that the breach is not required to be to natural ground. 
4. Upon completion of an alteration to nonjurisdictional size, the engineer shall file as constructed drawings and specifications with the Department. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1210. Application to Construct, Reconstruct, Repair, Enlarge, Alter, Breach, or Remove a Low Hazard Potential Dam 
A. An application package to construct, reconstruct, repair, enlarge, or alter a low hazard potential dam shall include the following prepared by or under the supervision of an engineer as defined 
in R12-15-1202(11). 
1. A completed application filed in duplicate on forms provided by the Director. 
2. An initial application fee based on the total estimated project cost, computed in accordance with A.R.S. § 45-1204 and R12-15-151(B)(11). 
3. A detailed estimate of project costs. Project costs are all costs associated with construction of the dam and appurtenant works, including preliminary investigations and surveys, 
engineering design, supervision of construction, and any other engineering costs. 
4. The seal and signature of the responsible engineer in accordance with A.A.C. R4-30-304. 
5. A statement by the responsible engineer that classifies the dam as low hazard in accordance with R12-15-1206(B). The responsible engineer shall submit a map of the area that would be 
inundated by failure or improper operation of the dam. The responsible engineer shall demonstrate that failure or improper operation of the dam would be unlikely to result in: 
a. Loss of human life. The demonstration may be based on an emergency action plan for persons who may be in the area of inundation; 
b. Significant incremental adverse consequences; or 
c. Significant intangible losses, as defined in R12-15-1202(21) and identified and evaluated by a public natural resource management or protection agency. 
6. Two complete sets of construction drawings as prescribed by R12-15-1215(1). 
7. Two complete sets of construction specifications as prescribed by R12-15-1215(2). 
8. An engineering design report that includes information needed to evaluate all aspects of the design of the dam and appurtenances, including references with page numbers to support any 
assumptions used in the design, as prescribed in R12-15-1215(3). 
9. A description of the use for the impounded or diverted water, proof of a right to appropriate, and a permit to store water as prescribed in A.R.S. §§ 45-152 and 45-161. 
10. A construction quality assurance plan clearly describing all aspects of construction supervision. 
11. A long-term budget plan and evidence of financing, prepared using customary accounting principles, that demonstrate that the applicant has the financial capability to construct, operate, 
and maintain the dam in a safe manner. If the applicant does not have evidence that can be verified by an independent audit of the financial capability to construct, operate, and maintain 
the dam in a safe manner, the Director may require a performance bond for the entire cost of the proposed construction work. 
B. An application package for the breach or removal of a low hazard potential dam shall include the following. 
1. A completed application filed in duplicate on forms provided by the Director that contains the following information: 
a. The name and address of the owner of the dam or the agent of the owner. 
b. A description of the proposed removal. 
c. The proposed time for beginning and completing the removal. 
2. An initial application fee based on the total estimated project cost and computed in accordance with A.R.S. § 45-1204 and R12-15-151(B)(11). 
3. A statement by the responsible engineer demonstrating both of the following: 
a. That the dam will be excavated to the level of natural ground at the maximum section; and 
b. That the breach or breaches will be of sufficient width to pass the greater of: 
i. The 100 year flood at a depth of less than 5 feet, or 
ii. The 100 year flood at a normal flood depth of not more than 2 feet at a distance of 2,000 feet downstream of the dam. 
iii. Subsection (b) shall not be construed to require more than a total removal of the dam regardless of flood magnitude. 
c. That the sides of the breach will be excavated to a slope ratio that is stable and not steeper than 1 horizontal to 1 vertical. 
4. A detailed estimate of project costs. Project costs are all costs associated with the removal of the dam and appurtenant works, including preliminary investigations and surveys, 
engineering design, supervision of removal, and any other engineering costs. 
C. An applicant intending to reduce a low hazard potential dam to nonjurisdictional size shall submit a written notice to the Director at least no less than 60 days before the date that construction 
begins. 
D. Within 45 days after receipt of a complete application package as prescribed by subsection (A) or (B), the Director shall either: 
1. Determine that the dam falls within the low hazard potential classification; or 
2. Issue a written notice that the dam does not fall within the low hazard potential classification. 
E. The Director's determination that the proposed dam does not fall within the low hazard classification is an appealable agency action and subject to administrative and judicial review under 
A.R.S. Title 41, Chapter 6, Article 10. 
F. Upon completion of construction, the owner shall notify the Department in writing. The owner shall not use the dam or reservoir before issuance of a license unless the Director issues written 
approval. 
G. Within 90 days after completing construction, reconstruction, repair, enlargement, or alteration of a low hazard potential dam, the owner shall file the following. 
1. An affidavit showing the actual cost of construction, reconstruction, repair, enlargement, or alteration of the dam. The owner shall submit a detailed accounting of the costs, including all 
engineering costs. 
2. An additional fee or refund request computed in accordance with A.R.S. § 45-1209 and R12-15-151(B)(11), based on the actual cost of construction, reconstruction, repair, enlargement, 
or alteration. 
3. A brief completion report summarizing the salient features of the project, including a description of the causes for any changes or deviations from the approved application package 
prepared by the engineer who supervised the construction, in accordance with A.R.S. Title 32, Chapter 1. The engineer shall indicate: 
a. That the dam has been designed and constructed in compliance with basic principles of dam construction currently being practiced in the industry; 
b. That the dam as constructed has structural integrity and flood routing capacity consistent with its hazard potential classification; and 
c. That the as constructed drawings and the report accurately represent the construction of the dam. 
4. As constructed drawings prepared and sealed by the engineer who supervised the construction. The owner and the engineer shall maintain a record of the drawings. 
H. Upon receiving the Director's written approval, the owner may operate the dam and appurtenant works. Within 30 days after receipt of the information in subsection (G), the Director shall 
issue to the owner either a license or a notice that the dam and appurtenant works shall not be operated because the dam and appurtenant works do not qualify as low hazard or were not built 
according to the submitted design. The license shall include conditions of operation, including: 
1. The safe storage level of the reservoir; 
2. A requirement that the dam be operated and maintained so that it does not constitute a danger to human life and property; 
3. A requirement that the conditions resulting in the low hazard classification be maintained throughout the life of the dam; and 
4. A requirement that the owner demonstrate in writing the low hazard classification in the manner prescribed by subsection (A)(5) every 5 years. 
I. Within 90 days after completing removal of a low hazard potential dam, the owner shall file the following. The Director shall remove the dam from jurisdiction upon approval of the submittal. 
1. An affidavit showing the actual cost of removal of the dam. The owner shall submit a detailed accounting of the costs, including all engineering costs. 
2. An additional fee or refund request computed in accordance with A.R.S. § 45-1209 and R12-15-151(B)(11) based on the actual cost of removal. 
3. A brief completion report, including a description of the causes for any changes or deviations from the approved application package prepared by the engineer who supervised the 
construction, in accordance with A.R.S. Title 32, Chapter 1. The engineer shall certify that the as removed drawings and the report accurately represent the actual removal of the dam. 
4. As-removed drawings prepared and sealed by the engineer who supervised the removal. The owner and the engineer shall maintain a record of the drawings. 
J. An owner shall immediately commence repairs necessary to safeguard human life and property and prevent failure and improper operation of a low hazard potential dam. The owner shall 
notify the Department as soon as reasonably possible and in all cases within 10 days of commencing the required repairs. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 13 A.A.R. 3022, effective October 6, 2007 (Supp. 07-3). 
R12-15-1211. Application to Construct, Reconstruct, Repair, Enlarge, Alter, Breach, or Remove a Very Low Hazard Potential Dam 
A. An application package to construct, reconstruct, repair, enlarge, or alter a very low hazard potential dam shall include the following prepared by an engineer or a person under the supervision 
TITLE 12. NATURAL RESOURCES Page 36 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
of an engineer as defined in R12-15-1202(11). 
1. A completed application filed in duplicate on forms provided by the Director that contains the following information: 
a. The name and address of the owner of the dam or the agent of the owner. 
b. The location, type, size, and height of the proposed dam and appurtenant works. 
c. The storage capacity of the reservoir associated with the proposed dam. 
d. The proposed time for beginning and completing construction. 
e. A description of the use for the impounded or diverted water and proof of a right to impound that water. 
2. The means, plans, and specifications by which the stream or body of water is to be dammed, by-passed, or controlled during construction. 
3. Maps, drawings, and specifications of the proposed dam. 
4. An initial application fee based on the total estimated project cost and computed in accordance with A.R.S. § 45-1204 and R12-15-151(B)(11). 
5. A detailed estimate of project costs. Project costs are all costs associated with construction of the dam and appurtenant works, including preliminary investigations and surveys, 
engineering design, supervision of construction, and any other engineering costs. 
6. A statement by the responsible engineer that classifies the dam as very low hazard in accordance with R12-15-1206(B). The responsible engineer shall submit a map of the area that would 
be inundated by failure or improper operation of the dam. The responsible engineer shall demonstrate that failure or improper operation would be unlikely to result in: 
a. Loss of human life. The demonstration may be based on an emergency action plan for persons who may be in the area of inundation; 
b. Significant incremental adverse consequences; or 
c. Significant intangible losses, as defined in R12-15-1202(21) and identified and evaluated by a public natural resource management protection agency, because the dam has a size 
classification of either small or intermediate under R12-15-1206(A) and any release would be limited to the 100 year floodplain or property owned or controlled by the dam owner 
under long-term lease. 
7. The seal and signature of the responsible engineer in accordance with A.R.S. Title 32, Chapter 1. 
8. The drawings required by subsection (A)(3) shall include a plan view and maximum section of the dam; the outlet works; and the spillway plan, profile, and cross section. 
9. The specifications required by subsection (A)(3) shall include the construction materials, testing criteria, and installation techniques. 
B. The Director may make other requirements for drawings and specifications for the proposed repair or alteration of a very low hazard potential dam. In determining other requirements, the 
Director shall consider the size and extent of the repair or alteration, the portions of the dam that will be repaired or altered, and whether the requirements elicit a description of the proposed 
construction work that is adequate to allow the Director to evaluate the repair or alteration. 
C. An owner intending to breach, remove, or reduce a very low hazard potential dam to nonjurisdictional size shall submit written notice to the Director at least 60 days before the date that 
construction begins. 
D. After receipt of a complete application package as prescribed by subsection (A), the Director shall either: 
1. Determine that the dam falls within the very low hazard classification and approve the application in writing; or 
2. Issue a written notice that the dam does not fall within the very low hazard classification. 
E. The Director's determination that the proposed dam does not fall within the very low hazard classification is an appealable agency action and subject to administrative and judicial review 
under A.R.S. Title 41, Chapter 6, Article 10. 
F. Upon completion of construction, the owner shall notify the Department in writing. The owner shall not use the dam and reservoir before receipt of a license unless the Director issues written 
approval. 
G. Within 90 days after completion of the construction, reconstruction, repair, enlargement, or alteration of a very low hazard potential dam, the owner shall file the following: 
1. An affidavit showing the actual cost of construction, reconstruction, repair, enlargement, or alteration of the dam. The owner shall submit a detailed accounting of the costs, including all 
engineering costs. 
2. An additional fee or refund request computed in accordance with A.R.S. § 45-1209 and R12-15-151(B)(11) based on the actual cost of construction, reconstruction, repair, enlargement, or 
alteration. 
3. A brief completion report summarizing the salient features of the project, including a description of the causes for any changes or deviations from the approved application package 
prepared by the engineer who supervised the construction in accordance with A.R.S. Title 32, Chapter 1. The report shall include: 
a. That the dam has been designed and constructed in compliance with basic principles of dam construction currently being practiced in the industry; 
b. That the dam as constructed has structural integrity and flood routing capacity consistent with its hazard potential classification; and 
c. That the as constructed drawings and the report accurately represent the construction of the dam. 
4. As constructed drawings prepared by the engineer who supervised the construction. The owner and the engineer shall maintain a record of the drawings. 
H. Within 30 days after receipt of the information in subsection (G), the Director shall issue to the owner either a license or a notice that the dam and appurtenant works shall not be operated 
because the dam and appurtenant works do not qualify as very low hazard or were not built according to the submitted design. Upon receiving the Director's written approval, the owner may 
operate the dam and appurtenant works. The license shall include conditions of operation, including: 
1. The safe storage level of the reservoir; 
2. A requirement that the conditions resulting in the very low hazard classification be maintained throughout the life of the dam; and 
3. A requirement that the owner demonstrate in writing the very low hazard classification in the manner prescribed by subsection (A)(6) every 5 years. 
I. An owner shall immediately commence repairs necessary to safeguard human life and property and prevent failure or improper operation of a very low hazard potential dam. The owner shall 
notify the Department as soon as reasonably possible and in all cases within 10 days of commencing the required repairs. 
J. The Department may periodically inspect construction to confirm that it is proceeding according to the approved design and that proper construction quality assurance is being exercised by the 
owner's engineer. The owner, or the owner's engineer under the direction of the owner, shall remedy any unsatisfactory condition using the contractor. 
K. The owner shall provide the Department access to the dam site for purposes of inspecting all phases of construction, including the foundation, embankment and concrete placement, inspection 
and test records, and mechanical installations. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1212. Construction of a High, Significant, or Low Hazard Potential Dam 
A. Before commencement of construction activities, the owner shall invite to a pre-construction conference all involved regulatory agencies, the prime contractor, and all subcontractors. At this 
meeting the Department shall identify, to the extent possible, the key construction stages at which an inspection will be made. At least 48 hours before each key construction stage identified 
for inspection, the owner or the owner's engineer shall provide notice to the Department. 
B. The owner and the owner's engineer shall oversee construction of a new dam or reconstruction, repair, enlargement, alteration, breach, or removal of an existing dam. Failure to perform the 
work in accordance with the construction drawings and specifications approved by the Director renders the approval revocable. The owner's engineer shall exercise professional judgment 
independent of the contractor. 
C. A professional engineer with proficiency in engineering and knowledge of dam technology shall supervise or direct the supervision of construction in accordance with the construction quality 
assurance plan. 
D. The owner's engineer shall submit summary reports of construction activities and test results according to a schedule approved by the Department. 
E. The owner shall immediately report to the Department any condition encountered during construction that requires a deviation from the approved plans and specifications. 
F. The owner shall promptly submit a written request for approval of any necessary change and sufficient information to justify the proposed change. The owner shall not commence construction 
without the written approval of the Director unless the change is a minor change. A minor change is a change that complies with the requirements of this Article and provides equal or better 
safety performance. 
G. Upon completion of construction, the owner shall notify the Department in writing. The Department shall make a final inspection. The owner shall correct any deficiencies noted during the 
inspection. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1213. Completion Documents for a Significant or High Hazard Potential Dam 
Within 90 days after completion of the construction or removal work for a significant or high hazard potential dam and final inspection by the Department, the owner shall file the following. 
1. An affidavit showing the actual cost of the construction. The owner shall submit a detailed accounting of the costs, including all engineering costs. 
2. An additional fee or refund request based on the actual cost of the construction, computed in accordance with A.R.S. § 45-1209 and R12-15-151(B)(11). 
3. One set of full sized as constructed drawings prepared and sealed by the engineer who supervised the construction. If changes were made during construction, the owner shall file 
supplemental drawings showing the dam and appurtenances as actually constructed. 
4. Construction records, including grouting, materials testing, and locations and baseline readings for permanent bench marks and instrumentation, initial surveys, and readings. 
5. Photographs of construction from exposure of the foundation to completion of construction. 
6. A brief completion report summarizing the salient features of the project, including a description of the causes for any changes or deviations from the approved drawings and 
specifications that were made during the construction phase. 
7. A schedule for filling the reservoir, specifying fill rates, water level elevations to be held for observation, and a schedule for inspecting and monitoring the dam. The owner shall monitor 
the dam monthly during the first filling. 
8. An operating manual for the dam and its appurtenant structures. The operating manual shall include a process for safety inspections prescribed in R12-15-1219. The operating manual 
shall include schedules for surveillance activities and baseline information for any installed instrumentation as follows: 
a. The frequency of monitoring; 
b. The data recording format; 
c. A graphical presentation of data; and 
d. The person who will perform the work. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
TITLE 12. NATURAL RESOURCES Page 37 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
R12-15-1214. Licensing 
A. Upon review and approval of the documents filed under R12-15-1213 and finding that the construction at the dam has been completed in accordance with the approved plans and 
specifications and finding that the dam is safe, the Director shall issue a license. The license shall specify the safe storage level for the reservoir and shall specify conditions for the safe 
operation of the dam. The dam and reservoir shall not be used before issuance of a license unless the Director issues written approval. Procedures for issuance of a license for low and very 
low hazard potential dams are prescribed in R12-15-1210(H) and R12-15-1211(H), respectively. 
B. A new license shall be issued in the following instances: 
1. Upon change of ownership of a dam. 
2. Upon change of the safe storage level. 
3. Upon expiration of time to appeal a notice issued under R12-15-1223(B). 
4. Upon expiration of time to appeal an order issued by the Director under R12-15-1223(D). 
5. Upon expiration of time to appeal an order of a court. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1215. Construction Drawings, Construction Specifications, and Engineering Design Report for a High, Significant, or Low Hazard Potential Dam 
The owner and engineer are responsible for complete and adequate design of a dam and for including in the application all aspects of the design pertaining to the safety of the dam. 
1. Construction Drawing Requirements. The construction drawings required by R12-15-1208(5), R12-15-1209(E)(1), and R12-15-1210(A)(6) shall include the following: 
a. The seal and signature of the responsible engineer in accordance with A.A.C. R4-30-304. 
b. One or more topographic maps of the dam, spillway, outlet works, and reservoir on a scale large enough to accurately locate the dam and appurtenances, indicate cut and fill lines, 
and show the property lines and ownership status of the land. Contour intervals shall be compatible with the height and size of the dam and its appurtenances and shall show design 
and construction details. 
c. A reservoir area and capacity curve that reflect area in acres and capacity in acre-feet in relation to depth of water and elevation in the reservoir. The construction drawings shall 
show the spillway invert and top of dam elevations. The construction drawings shall also show the reservoir volume and space functional allocations. The construction drawings 
may include alternate scales as required for the owner's use. 
d. Spillway and outlet works rating curves and tables at a scale or scales that allow determination of discharge rate in cubic feet per second at both low and high flows as measured by 
depth of water passing over the spillway control section. 
e. A location map showing the dam footprint and all exploration drill holes, test pits, trenches, adits, borrow areas, and bench marks with elevations, reference points, and permanent 
ties. This map shall use the same vertical and horizontal control as the topographic map. 
f. Geologic information including 1 or more geologic maps, profile along the centerline, and other pertinent cross sections of the dam site, spillway or spillways, and appurtenant 
structures, aggregate and material sources, and reservoir area at 1 or more scales compatible with the site and geologic complexity, showing logs of exploration drill holes, test 
pits, trenches, and adits. 
g. One or more plans of the dam to delineate design and construction details. 
h. Foundation profile along the dam centerline at a true scale where the vertical scale is equal to the horizontal scale, showing the existing ground and proposed finished grade at cut and 
fill elevations, including anticipated geologic formations. The foundation profile shall include any proposed grout and drain holes. 
i. Profile and a sufficient number of cross sections of the dam to delineate design and construction details. The drawings shall illustrate and show dimensions of camber, details of the 
top, core zone, interior filters and drains, and other zone details. The profile of the dam may be drawn to different horizontal and vertical scales if required for detail. A maximum 
section of the dam shall be drawn to a true scale, where the vertical scale is equal to the horizontal scale. The outlet conduit may be shown on the maximum section if this is 
typical of the proposed construction. 
j. One or more dam foundation plans showing excavation grades and cut slopes with any proposed foundation preparation, grout and drain holes, and foundation dewatering 
requirements. 
k. Plan, profile, and details of the outlet works, including the intake structure, the gate system, conduit, trashrack, conduit filter diaphragm, conduit concrete encasement, and the 
downstream outlet structure. The drawings shall include all connection and structural design details. 
l. Plan, profile, control section, and cross sections of the spillway, including details of any foundation preparation, grouting, or concrete work that is planned. A complex control 
structure, a concrete chute, or an energy dissipating device for a terminal structure shall include both hydraulic and structural design details. 
m. Hydrologic data, drainage area and flood routing, and diversion criteria. 
2. Construction Specification Requirements. The construction specifications required by R12-15-1208(6) and R12-15-1210(A)(7) shall include the following: 
a. The seal and signature of the responsible engineer in accordance with A.A.C. R4-30-304. 
b. The statement that the construction drawings and specifications shall not be materially changed without the prior written approval of the Director. 
c. A detailed description of the work to be performed and a statement of the requirements for the various types of materials and installation techniques that will enter into the permanent 
construction. 
d. The statement that construction shall not be considered complete until the Director has approved the construction in writing. 
e. The statement that the owner's engineer shall control the quality of construction. 
f. The following construction information: 
i. All earth and rock material descriptions, placement criteria, and construction requirements for all elements of the dam and related structures. 
ii. All concrete, grout, and shotcrete material and mix descriptions, placement and consolidation criteria, temperature controls, and construction requirements for all elements of the 
dam and related structures. 
iii. Material criteria and material testing, cleaning, and treatment. If foundation or curtain grouting is required, the specifications shall describe the type of grout, grouting method, 
special equipment necessary, recording during grouting, and foundation monitoring to avoid disturbance from grouting. 
iv. All materials testing that will be performed by the contractor for pre-qualification of materials, including special performance testing, such as water pressure tests in conduits. 
The Director shall accept materials that are pre-tested successfully and constructed in-place in accordance with specifications. 
v. A plan for control or diversion of surface water during construction. The design engineer may determine frequency of storm runoff to be controlled during construction, 
commensurate with the risk of economic loss during construction. 
vi. Criteria for blast monitoring and acceptable blast vibration levels, including particle velocities for the dam and other critical appurtenances. Monitoring equipment and 
monitoring locations shall be specified. 
vii. Instrumentation material descriptions, placement criteria, and construction requirements and a statement that instrumentation shall be installed by experienced speciality 
subcontractors. 
3. Engineering Design Report Requirements. The engineering design report required by R12-15-1208(7) and R12-15-1210(A)(8) shall include the following: 
a. The seal and signature of the responsible engineer in accordance with A.A.C. R4-30-304. 
b. The classification under R12-15-1206 of the proposed dam, or for the proposed enlargement of an existing dam or reservoir. 
c. Hydrologic considerations, including calculations and a summary table of data used in determining the required emergency spillway capacity and freeboard, and design of any 
diversion or detention structures. The design report shall include input and output listings on both hard copy and computer diskette. 
d. Hydraulic characteristics, engineering data, and calculations used in determining the capacities of the outlet works and emergency spillway. The design report shall include input and 
output listings on both hard copy and computer diskette. 
e. Geotechnical investigation and testing of the dam site and reservoir basin. Results and analysis of subsurface investigations, including logs of test borings and geologic cross sections. 
f. Guidelines and criteria for blasting to be used by the contractor in preparing the blasting plan. 
g. Details of the plan for control or diversion of surface water during construction. 
h. Details of the dewatering plan for subsurface water during construction. 
i. Testing results of earth and rock materials, including the location of test pits and the logs of these pits. 
j. Discussion and design of the foundation blanket grouting, grout curtain, and grout cap based on foundation stability and seepage considerations. 
k. Calculations and basic assumptions on loads and limiting stresses for reinforced concrete design. The design report shall include input and output listings on both hard copy and 
computer diskette. 
l. A discussion and stability analysis of the dam including appropriate seismic loading, safety factors, and embankment zone strength characteristics. Analyses shall include both shortterm 
and long-term loading on upstream and downstream slopes. The design report shall include input and output listings on both hard copy and computer diskette. 
m. A discussion of seismicity of the project area and activity of faults in the vicinity. The design report shall use both deterministic and statistical methods and identify the appropriate 
seismic coefficient for use in analyses. 
n. Discussion and design of the cutoff trench based on seepage and other considerations. 
o. Permeability characteristics of foundation and dam embankment materials, including calculations for seepage quantities through the dam, the foundation, and anticipated in the 
internal drain system. The design report shall include input and output listings on both hard copy and computer diskette. The design report shall include copies of any flow nets 
used. 
p. Discussion and design of internal drainage based on seepage quantity calculations. The design report shall include instrumentation necessary to monitor the drainage system and filter 
design calculations for protection against piping of foundation and embankment. 
q. Erosion protection against waves and rainfall runoff for both the upstream and downstream slopes, as appropriate. 
r. Discussion and design of foundation treatment to compensate for geological weakness in the dam foundation and abutment areas and in the spillway foundation area. 
s. Post-construction vertical and horizontal movement systems. 
t. Discussion of foundation conditions including the potential for subsidence, fissures, dispersive soils, collapsible soils, and sink holes. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1216. Design of a High, Significant, or Low Hazard Potential Dam 
A. General Requirements. 
TITLE 12. NATURAL RESOURCES Page 38 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
1. Emergency Spillway Requirements. An applicant shall: 
a. Construct each spillway in a manner that avoids flooding in excess of the flooding that would have occurred in the same location under the same conditions before construction. The 
owner of a dam shall demonstrate that a spillway discharge would not result in incremental adverse consequences. In determining whether a spillway discharge of a dam would 
result in incremental adverse consequences, the Director shall evaluate whether the owner has taken any or all of the following actions: issuing public notice to downstream 
property owners, complying with flood insurance requirements, adopting emergency action plans, conducting mock flood drills, acquiring flow easements or other acquisitions of 
real property, or other actions appropriate to safeguard the dam site and flood channel. 
b. Include a control structure to avoid head cutting and lowering of the spillway crest for spillways excavated in soils or soft rock. In the alternative, the design may provide evidence 
acceptable to the Director that erosion during the inflow design flood will not result in a sudden release of the reservoir. 
c. Provide each spillway and channel with a minimum width of 10 feet and suitable armor to prevent erosion during the discharge resulting from the inflow design flood. 
d. Ensure that downstream spillway channel flows do not encroach on the dam unless suitable erosion protection is constructed. 
e. Ensure that each spillway, in combination with outlets, is able to safely pass the peak discharge flow rate, as calculated on the basis of the inflow design flood. 
f. Not construct bridges or fences across a spillway unless the construction is approved in writing by the Director. The Director's approval may include conditions regarding the design 
and operation of the spillway and fencing, based on safety concerns. 
g. Not use a pipe or culvert as an emergency spillway unless the Director approves the use following review of the dam design and site characteristics. 
2. Inflow Design Flood Requirements 
a. Unless directed otherwise in writing by the Director, the inflow design flood requirements for determining the spillway minimum capacity are stated in Table 4. 
b. As an alternative to the requirements prescribed in Table 4, the Director may accept an inflow design flood determined by an incremental damage assessment study, based on the 
relative safety of the alternatives. 
c. The Director may accept site-specific probable maximum precipitation studies in determination of the inflow design flood. 
d. An applicant shall ensure that the total freeboard is the largest of the following: 
i. The sum of the inflow design flood maximum water depth above the spillway crest plus wave run up. 
ii. The sum of the inflow design flood maximum water depth above the spillway crest plus 3 feet. 
iii. A minimum of 5 feet. 
3. Outlet Works Requirements. An applicant shall ensure that a dam has a low level outlet works that: 
a. Is capable of draining the reservoir to the sediment pool level. A low level outlet works for a high or significant hazard potential dam shall be a minimum of 36 inches in diameter. A 
low level outlet works for a low hazard potential dam shall be a minimum of 18 inches in diameter. 
b. For a high or significant hazard potential dam, has the capacity to evacuate 90% of the storage capacity of the reservoir within 30 days, excluding reservoir inflows. 
c. Has a filter diaphragm or other current practice measures to reduce the potential for piping along the conduit. 
d. Has accessible outlet controls when the spillway is in use. 
e. Has an emergency manual override system or can be operated manually. 
f. Is constructed of materials appropriate for loading condition, seismic forces, thermal expansion, cavitation, corrosion, and potential abrasion. The applicant shall not use corrugated 
metal pipes or other thin-walled pipes except as a form for a cast-in-place concrete conduit. The applicant shall construct outlet conduits of cast-in-place reinforced concrete. The 
applicant shall design each outlet to maintain water tightness. The applicant shall construct each outlet to prevent the occurrence of piping adjacent to the outlet. 
g. Has an operating or guard gate on the upstream end of any gated outlet. 
h. Has an outlet conduit near the base of 1 of the abutments on native bedrock or other competent material. The applicant shall support the entire length of the conduit on foundation 
materials of uniform density and consistency to prevent adverse differential settlement. 
i. Has an upstream valve or gate capable of controlling the discharge through all ranges of flow on any gated outlet conduit. 
j. Has a trashrack designed for a minimum of 25% of the reservoir head to which it would be subjected if completely clogged at the upstream end of the outlet. 
k. Has an air vent pipe just downstream of the control gate. The applicant shall include a blow-off valve at or near the downstream toe of the dam for an outlet conduit that is connected 
directly to a distribution system. 
l. Has an outlet conduit designed for internal pressure equal to the full reservoir head and for superimposed embankment loads, acting separately. 
4. Dam Site And Reservoir Area Requirements 
a. An applicant shall demonstrate that reservoir storage during the inflow design flood will not result in incremental adverse consequences and that the design will not result in the 
inundation or wave damage of properties within the reservoir, except marina-type structures, during the inflow design flood. In determining whether a discharge will result in 
incremental adverse consequences, the Director shall evaluate whether the owner has taken any or all of the following actions: issuing public notice to upstream affected property 
owners, complying with flood insurance requirements, adopting emergency action plans, conducting mock flood drills, acquiring flood easements or other acquisitions of real 
property, or other actions appropriate to safeguard the dam site and reservoir. Permanent habitations are not allowed within the reservoir below the spillway elevation. 
b. The applicant shall clear the reservoir storage area of logs and debris. 
c. The applicant shall place borrow areas a safe distance from the upstream toe and the downstream toe of the dam to prevent a piping failure of the dam. 
d. The applicant shall keep the top of the dam and appurtenant structures accessible by equipment and vehicles for emergency operations and maintenance. 
5. Geotechnical Requirements 
a. The applicant shall provide an evaluation of the static stability of the foundation, dam, and slopes of the reservoir rim and demonstrate that sufficient material is available to construct 
the dam as designed. 
b. The applicant shall not construct a dam on active faults, collapsible soils, dispersive soils, sink holes, or fissures, unless the applicant demonstrates that the dam can safely withstand 
the anticipated offset or other unsafe effects on the dam. 
6. Seismic Requirements 
a. The applicant shall submit a review of the seismic or earthquake history of the area around the dam within a radius of 100 miles to establish the relationship of the site to known 
faults and epicenters. The review shall include any known earthquakes and the epicenter locations and magnitudes of the earthquakes. 
b. The applicant shall identify the location of active or potentially active faults that have experienced Holocene or Late Pleistocene displacement within a radius of 100 miles of the site. 
c. For a high or significant hazard potential dam, the applicant shall design the dam to withstand the maximum credible earthquake. 
d. For a low hazard potential dam, the applicant shall use probabilistic or deterministic methods to determine the design earthquake. The magnitude of the design earthquake shall vary 
with the size of the dam, site condition, and specific location. 
B. Embankment Dam Requirements. 
1. Geotechnical Requirements. Table 5 states minimum factors of safety for embankment stability under various loading conditions. For an embankment dam an applicant shall provide a 
written analysis of minimum factors of safety for stability. 
a. The analysis of minimum factors of safety shall include the effects of anisotropy on the phreatic surface position by using a ratio of horizontal permeability to vertical permeability of 
at least 10. The Director may require ratios of up to 100 if the material types and construction techniques will cause excessive stratification. 
b. The applicant shall use tests modeling the conditions being analyzed to determine the strengths used in the stability analysis. The stability analysis shall include total and effective 
stress strengths appropriate for the different material zones and conditions analyzed. The stability analysis shall use undrained strengths or strength parameters for all saturated 
materials. 
c. The applicant shall perform an analysis of the upstream slope stability for a partial pool with steady seepage considering the reservoir level that provides the lowest factor of safety. 
d. A stability analysis is not required for low hazard potential dams if the owner or the owner's engineer demonstrates that conservative slopes and competent materials are included in 
the design. 
2. Seismic Requirements 
a. The applicant shall determine the seismic characteristics of the site as prescribed in subsection (A)(6). 
b. The applicant shall determine the liquefaction susceptibility of the embankment, foundation, and abutments. The applicant shall use standard penetration testing, cone penetration 
testing, shear wave velocity measurements, or a combination of these methods to make this determination. The applicant shall compute the minimum factor of safety against 
liquefaction at specific points and make a determination of whether the overall site is subject to liquefaction. 
c. The applicant shall determine the safety of the dam under seismic loading using a pseudo static stability analysis, computing the minimum factor of safety if the embankment, 
foundation or abutment is not subject to liquefaction and has a maximum peak acceleration of 0.2g or less, or a maximum peak acceleration of 0.35g or less, and consists of clay 
on a clay or bedrock foundation. The applicant shall use in the pseudo static stability analysis a pseudo static coefficient that is at least 60% of the maximum peak bedrock 
acceleration at the site. 
d. The applicant shall compute a minimum factor of safety against overtopping due to deformation and settlement in each of the following cases. The minimum factor of safety against 
overtopping can be no less than 2.5, determined by dividing the total pre-earthquake freeboard by the estimated vertical settlement in feet. The applicant shall determine the total 
vertical settlement by adding the settlement values of the upstream and downstream slopes. 
i. The minimum factor of safety in a pseudo static analysis is less than 1.0; 
ii. An embankment, foundation, or abutment is not subject to liquefaction, has a maximum peak acceleration of more than 0.2g or a maximum peak acceleration of more than 
0.35g and consists of clay on a clay or bedrock foundation; or 
iii. The embankment, foundation or abutment is subject to liquefaction. 
e. The applicant shall perform a liquefaction analysis to establish approximate boundaries of liquefiable zones and physical characteristics of the soil following liquefaction for an 
embankment, foundation, or abutment subject to liquefaction. The applicant shall perform an analysis of the potential for flow liquefaction. 
f. Other, more sophisticated analytical procedures may be required by the Director for sites with high seismicity or low strength embankment or foundation soils. 
3. Miscellaneous Design Requirements 
a. The design of any significant or high hazard potential dam shall provide seepage collection and prevent internal erosion or piping due to embankment cracking or other causes. 
b. The Director shall review the filter and permeability design for a chimney drain, drain blanket, toe drain, or outlet conduit filter diaphragms on the basis of unique site characteristics. 
i. The minimum thickness of an internal drain is 3 feet. 
ii. The minimum width of a chimney drain is 6 feet. 
iii. The applicant shall filter match an internal drain to its adjacent material. 
iv. The applicant shall design internal drains with sufficient capacity for the expected drainage without the use of drainpipes using only natural granular materials. 
c. The use of a geosynthetic is not permitted in a design if it serves as the sole defense against dam failure. The use of geotextiles and geonets as a filter or drain material or a 
TITLE 12. NATURAL RESOURCES Page 39 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
geomembrane liner is permitted only in a location that is easily accessible for repair or if its excavation cannot create an unsafe condition at the dam. A geosynthetic liner is allowed 
under special conditions and in specific situations if it is subject to monitoring and redundant safety controls. The Director may impose conditions, including monitoring 
appropriate to the hazard classification, inspection, and necessary repairs, each performed every 5 years. 
d. The applicant shall use armoring on any upstream slope of an embankment dam that impounds water for more than 30 days at a time. If the applicant uses rock riprap, it shall be 
well-graded, durable, sized to withstand wave action, and placed on a well-graded pervious sand and gravel bedding or geotextile with filtering capacity appropriate for the site. 
e. The applicant shall protect the downstream slopes and groins of an embankment dam from erosion. 
f. The minimum width of the top of an embankment dam is equal to the structural height of the dam divided by 5 plus an additional 5 feet. The required minimum width for any 
embankment dam is 12 feet. The maximum width for any embankment dam is 25 feet. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
Table 4. Inflow Design Flood 
* For a high hazard potential dam, the applicant shall design the dam to withstand an inflow design flood that varies from .5 PMF to the full PMF, with size increasing based on persons at risk 
and potential for downstream damage. The applicant shall consider foreseeable future conditions. 
Historical Note 
New Table adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
Table 5. Minimum Factors of Safety for Stability1 
1 Not applicable to an embankment on a clay shale foundation. 
Historical Note 
New Table adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1217. Maintenance and Repair; Emergency Actions 
A. An owner shall perform general maintenance and ordinary repairs that do not impair the safety of the dam. General maintenance and ordinary repair activities listed under this subsection do 
not require prior approval of the Director. These repair activities include: 
1. Removing brush or tall weeds. 
2. Cutting trees and removing slash from the embankment or spillway. Small stumps may be removed provided no excavation into the embankment occurs. 
3. Exterminating rodents by trapping or other methods. Rodent damage may be repaired provided it does not involve excavation that extends more than 2 feet into the embankment and 
replacement materials are compacted as they are placed. 
4. Repairing erosion gullies less than 2 feet deep on the embankment or in the spillway. 
5. Grading the surface on the top of the dam embankment or spillway to eliminate potholes and provide proper drainage, provided the freeboard is not reduced. 
6. Placing additional riprap and bedding on the upstream slope, or in the spillway in areas that have sustained minor damage and restoring the original riprap protection where the damage 
has not yet resulted in erosion and weakening of the dam. 
7. Painting, caulking, or lubricating metal structures. 
8. Patching or caulking spalled or cracked concrete to prevent deterioration. 
9. Removing debris, rock, or earth from outlet conduits or spillway channels and basins. 
10. Patching to prevent deterioration within outlet works. 
11. Replacing worn or damaged parts on outlet valves or controls to restore them to original condition or its equivalent. 
12. Repairing or replacing fences intended to keep traffic or livestock off the dam or spillway. 
B. General maintenance and ordinary repair that may impair or adversely effect safety, such as excavation into or near the toe of the dam, construction of new appurtenant structures for the dam, 
and repair of damage that has already significantly weakened the dam shall be performed in accordance with this Article. The Director may approve maintenance performed according to a 
standard detail or method of repair on file with the Department upon submittal of a letter. The Director shall determine whether general maintenance and ordinary repair activities not listed 
in subsection (A) will impair safety. 
C. Emergency actions not impairing the safety of the dam may be taken before guidance can be provided by an engineer and do not require prior approval of the Director. Emergency actions do 
not excuse an owner's responsibility to promptly undertake a permanent solution. Emergency actions include: 
1. Stockpiling materials such as riprap, earth fill, sand, sandbags, and plastic sheeting. 
2. Lowering the reservoir level by making releases through the outlet or a gated spillway, by pumping, or by siphoning. 
3. Armoring eroded areas by placing sandbags, riprap, plastic sheeting, or other available material. 
4. Plugging leakage entrances on the upstream slope. 
5. Increasing freeboard by placing sandbags or temporary earth fill on the dam. 
6. Diverting flood waters to prevent them from entering the reservoir basin. 
7. Constructing training berms to control flood waters. 
8. Placing sandbag ring dikes or reverse filter materials around boils at the downstream toe to provide back pressure. 
9. Removing obstructions from outlet or spillway flow areas. 
D. Emergency actions impairing the safety of the dam require prior approval of the Director. An owner shall not lower the water level by excavating the spillway or embankment unless failure is 
imminent. 
E. For all high and significant hazard potential dams, the emergency action plan shall be implemented with any emergency actions taken at the dam. 
F. The owner shall notify the Director immediately of any emergency condition that exists and any emergency action taken. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1218. Safe Storage Level 
The Director has the authority to determine the safe storage level for the reservoir behind each dam, including the storage level of an existing dam while it is being repaired, enlarged, altered, 
breached, or removed. The elevation of the safe storage level is stated on the license. The owner shall not store water in excess of the level determined by the Director to be safe. The owner shall 
not place flashboards or other devices in the emergency spillway without approval of an alteration of the dam in accordance with this Article. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1219. Safety Inspections 
A. Except as provided in subsection (E), the Director shall conduct a dam safety inspection annually or more frequently for each high hazard potential dam, triennially for each significant hazard 
potential dam, and once every 5 years for each low and very low hazard potential dam. 
B. An engineer is considered qualified to provide information to the Director regarding the safe storage level of a reservoir if the engineer: 
1. Meets the criteria in R12-15-1202(11); 
2. Has 3 years of experience in the field of dam safety; and 
3. Has actual experience in conducting dam safety inspections. 
C. A dam safety inspection includes: 
1. Review of previous inspections, reports, and drawings; 
2. Inspection of the dam, spillways, outlet facilities, seepage control, and measurement systems; 
3. Inspection of any permanent monument or monitoring installations; 
4. Assessment of all parts of the dam that are related to the dam's safety; and 
5. A recommendation regarding the safe storage level of the reservoir. 
Dam Hazard Class 
Dam Size 
Classification 
IDF 
Magnitude 
Very Low All Sizes 100-year 
Low All Sizes 0.25 PMF 
Significant 
Small 
Intermediate 
Large 
0.25 PMF 
0.5 PMF 
0.5 PMF 
High* All Sizes * 
Embankment Loading Condition Minimum Factor of Safety 
End of construction case - upstream and downstream slopes 1.3 
End of construction case for embankments greater than 50 feet in height on weak foundations 1.4 
Steady state seepage - upstream (critical partial pool) and downstream slope (full pool) 1.5 
Instantaneous drawdown - upstream slope 1.2 
TITLE 12. NATURAL RESOURCES Page 40 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
D. The engineer shall submit a safety inspection report that describes the findings and lists actions that will improve the safety of the dam. The report shall include the engineer's recommendation 
of the safe storage level. The engineer shall use a report form approved by the Director. 
E. Inspections by the Owner 
1. An owner may provide to the Director, at the owner's expense, a safety inspection report that complies with the requirements of subsections (B), (C), and (D) in place of an inspection by 
the Department. The owner's engineer shall notify the Director and submit a written summary of the engineer's qualifications at least 14 days before the scheduled safety inspection. 
2. The Director may refuse to accept an inspection that does not conform to this Article. 
F. Inspections by the Department 
1. The Director may enter at reasonable times upon private or public property and the owner shall permit such entry, where a dam is located, including a dam under construction, 
reconstruction, repair, enlargement, alteration, breach, or removal, for any of the following purposes: 
a. To enforce the conditions of approval of the construction drawings and specifications related to an application for construction, reconstruction, repair, enlargement, alteration, breach, 
or removal. 
b. To inspect a dam that is subject to this Article. 
c. To investigate or assemble data to aid review and study of the design and construction of dams, reservoirs, and appurtenances or make watershed investigations to facilitate decisions 
on public safety to fulfill the duties of A.R.S. § 45-1214. 
d. To ascertain compliance with this Article and A.R.S. Title 45, Chapter 6. 
2. Upon receipt of a complaint that a dam is endangering people or property: 
a. The Director shall inspect the dam unless there is substantial cause to believe the complaint is without merit. 
b. If the complainant files a complaint in writing and deposits with the Director sufficient funds to cover the costs of the inspection, the Director shall make an inspection. 
c. The Director shall provide a written report of the inspection to the complainant and the dam owner. 
d. If an unsafe condition is found, the Director shall cause it to be corrected and return the deposit to the complainant. If the complaint was without merit the deposit shall be paid into 
the general fund. 
3. The Director may employ qualified on-call consultants to conduct inspections. 
4. Inspections under subsection (A) shall comply with the requirements of A.R.S. § 41-1009. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1220. Existing Dams 
A. The requirements of this Article apply to existing dams, except as provided in subsections (B) and (C). 
B. If the Director has determined that an existing dam is in a safe condition, the owner is not required to comply with R12-15-1216 unless the Director determines that it is cost effective to 
upgrade the dam to comply with the requirements of R12-15-1216 at the time a major alteration or major repair is planned. In determining whether it is cost effective to upgrade a dam, the 
Director shall consider: 
1. The hazard potential classification of the dam; 
2. Whether the cost of the upgrade would exceed 25% of the total cost of the major alteration or major repair; and 
3. Whether there is a more cost effective alternative that would provide an equivalent increase in safety. 
C. If the Director has determined that a dam is in an unsafe condition, the owner shall comply with the requirements in R12-15-1216. The owner is not required to comply with a requirement in 
this Article if the Director finds that, considering the site characteristics and the proposed design, the requirement is unduly burdensome or expensive and is not necessary to protect human 
life or property. The Director shall consider the size, hazard potential classification, physical site conditions, and applicability of a requirement to the dam. The Director shall state in writing 
the reason or reasons the owner is not required to comply with a requirement. 
D. The owner shall ensure that installation of utilities beneath or through an existing dam is accomplished by open cuts or jacking and boring methods. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1221. Emergency Action Plans 
A. Each owner of a high or significant hazard potential dam shall prepare, maintain, and exercise a written emergency action plan for immediate defensive action to prevent failure of the dam and 
minimize any threat to downstream development. The emergency action plan shall contain a: 
1. Notification chart showing the priority for notification in an emergency situation. The owner shall notify local emergency response agencies, affected downstream populations, county 
emergency management agencies, and affected flood control districts; 
2. Description of the demand reservoir and scope of the emergency action plan; 
3. Delineation of potentially unsafe conditions, evaluation procedures, and triggering events that require the initiation of partial or full emergency notification procedures, based on the 
urgency of the situation; 
4. Delineation of areas of responsibility of the owner and other parties. The emergency action plan shall clearly identify individuals responsible for notifications and declaring an emergency; 
5. Specific notification procedure for each emergency situation anticipated; 
6. Description of emergency supplies and resources, equipment access to the site, and alternative means of communication. The emergency action plan shall also identify specific 
preparedness activities required, such as annual full or partial mock exercises and updates of the emergency action plan; and 
7. Map showing the area that would be subject to flooding due to spillway flows and dam failures. 
B. The owner shall use the Director's model emergency action plan, which is available at no cost, or an equivalent model, for guidance in preparing the emergency action plan. 
C. The owner shall submit a copy of the proposed emergency action plan for review by the Arizona Division of Emergency Management and all local emergency coordinators involved in the 
plan. The owner shall incorporate appropriate recommendations generated by the reviews and submit the revised emergency action plan to the Department. 
D. The owner shall review and update the emergency action plan annually or more frequently to incorporate changes such as new personnel, changing roles of emergency agencies, emergency 
response resources, conditions of the dam, and information learned from mock exercises. The owner shall send updated portions of the plan to persons and agencies holding copies of the 
plan within 15 days after preparation of an update. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1222. Right of Review 
A. An applicant or owner aggrieved by a decision of the Director regarding the determination of hazard classification, jurisdictional status, or the Director's application of this Article may seek 
review of an appealable agency action under A.R.S. Title 41, Chapter 6, Article 10. 
B. An applicant or owner aggrieved by a decision of the Director that requires the exercise of professional engineering judgment or discretion or the assessment of risk to human life or property, 
such as the adequacy of an applicant's project documentation, dam design, safe storage level, requirements for existing dams, or maintenance, may seek review by a board of review under 
A.R.S. §§ 45-1210 and 45-1211. 
C. The following actions are not subject to review: 
1. Emergency measures taken under A.R.S. §§ 45-1212 or 45-1221. 
2. Agency decisions made under A.R.S. §§ 41-1009(E) or (F). 
3. Agency actions made exempt from review by law. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1223. Enforcement Authority 
A. The Department may exercise its discretion to take action necessary to prevent danger to human life or property. The Director may take any legal action that is proper and necessary for the 
enforcement of this Chapter. 
B. If the Director has cause to believe that a dam is unsafe or a person is violating or has violated a provision of this Article or A.R.S. Title 45, Chapter 6, Article 1, the Director may issue a 
notice directing the owner to remedy the safety deficiency or correct the violation. The owner may appeal a notice issued under this subsection as an appealable agency action in accordance 
with A.R.S. Title 41, Chapter 6, Article 10. If the owner does not appeal within 30 days after the date on the notice, the notice becomes final and may be incorporated as a condition of any 
license based on the duration of the requirement. 
C. If the Director has cause to believe that a dam is unsafe or a person is violating or has violated a provision of this Article or A.R.S. Title 45, Chapter 6, Article 1, the Director may proceed 
under A.R.S. § 45-1221 to initiate a contested case under A.R.S. Title 41, Chapter 6, Article 10 by requesting an administrative hearing. 
D. Following a written decision by an administrative law judge, the Director shall issue a decision and order accepting, rejecting, or modifying the administrative law judge's decision. Upon 
expiration of time to appeal, the decision and order becomes final and may be incorporated as a condition of any license based on the duration of the requirement. 
E. If the Director has cause to believe that a dam is unsafe or a person is violating or has violated a provision of this Article or A.R.S. Title 45, Chapter 6, Article 1 the Director may commence 
an action in a court of appropriate jurisdiction if: 
1. The violation is an emergency requiring appropriate steps to be taken without delay; or 
2. The Director has cause to believe that use of the administrative procedure would be ineffective or that delay would ensue and a deterioration in the safety of the dam would occur. 
F. If the Director commences an action it shall be brought in a court of appropriate jurisdiction in which: 
1. The cause or some part of the cause arose; or 
2. The owner or person complained of has his or her place of business; or 
3. The owner or person complained of resides. 
G. A person determined to be in violation of this Article; A.R.S. Title 45, Chapter 6; a license; or order may be assessed a civil penalty not exceeding $1,000 per day of violation. The Director 
may offer evidence relating to the amount of the penalty in accordance with A.R.S. § 45-1222. 
H. A violation of A.R.S. Title 45, Chapter 6, Article 1 regarding Supervision of Dams, Reservoirs, and Projects is a class 2 misdemeanor, in accordance with A.R.S. § 45-1216. 
Historical Note 
TITLE 12. NATURAL RESOURCES Page 41 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1224. Emergency Procedures 
A. The owner of a dam shall immediately notify the Department and responsible authorities in adjacent and downstream communities, including emergency management authorities, of a 
condition that may threaten the safety of the dam. The owner shall take necessary actions to protect human life and property, including action required under an emergency action plan or 
order issued under this Article. 
1. A condition that may threaten the safety of a dam includes: 
a. Sliding of upstream or downstream slopes or abutments contiguous to the dam; 
b. Sudden subsidence of the top of the dam; 
c. Longitudinal or transverse cracking of the top of the dam; 
d. Unusual release of water from the downstream slope or face of the dam; 
e. Other unusual conditions at the downstream slope of the dam; 
f. Significant landslides in the reservoir area; 
g. Increasing volume of seepage; 
h. Cloudy seepage or recent deposits of soil at seepage exit points; 
i. Sudden cracking or displacement of concrete in a concrete or masonry dam spillway or outlet works; 
j. Loss of freeboard or dam cross section due to storm wave erosion; 
k. Flood waters overtopping an embankment dam; or 
l. Spillway backcutting that threatens evacuation of the reservoir. 
2. In case of an emergency, the owner shall telephone the Arizona Department of Public Safety's emergency numbers at (800) 411-2336 or (602) 223-2000. 
B. The Director shall issue an emergency approval to repair, alter, or remove an existing dam if the Director finds that immediate remedial action is necessary to alleviate an imminent threat to 
human life or property. 
1. The emergency approval shall be provided in writing on a form developed for this purpose. 
2. The emergency approval may contain conditions the Director determines are appropriate to protect human life or property. 
3. The emergency approval is effective immediately for 30 days after notice is issued unless extended in writing by the Director. The Director shall also send notice to the county flood 
control district of the county in which the dam is located, all municipalities within 5 miles downstream of the dam, and any additional persons identified in the emergency action plan. 
4. The Director may institute legal or administrative proceedings that the Director deems appropriate for violations of the emergency approval or conditions of the emergency approval. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1225. Emergency Repairs 
A. The Director shall use monies from the dam repair fund, established under A.R.S. § 45-1212.01 to employ any remedial measure necessary to protect human life and property resulting from a 
condition that threatens the safety of a dam if the dam owner is unable or unwilling to take action and there is not sufficient time to issue and enforce an order. 
B. The deputy director may authorize an expenditure not to exceed $10,000 from the dam repair fund for remedial measures under A.R.S. § 45-1212. The expenditure of any additional funds 
shall be approved by the Director. 
C. The Director shall hold a lien against all property of the owner in accordance with A.R.S. § 45-1212. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
R12-15-1226. Non-Emergency Repairs; Loans and Grants 
A. If the Director determines that a dam represents a threat to human life and property but is not in an emergency condition, the Director may use the dam repair fund, established under A.R.S. § 
45-1212.01, as prescribed in this Article to defray the costs of repair. 
B. Monies from the dam repair fund may be used for loans and grants to owners as provided in A.R.S. §§ 45-1218 and 45-1219. 
C. To qualify for a loan or grant from the dam repair fund, a dam shall be classified as unsafe by the Director. 
D. The Director may authorize grant funds for all or part of the cost of engineering studies or construction needed to mitigate the threat to human life and property created by a dam. 
1. The Director and the grantee shall execute a financial assistance agreement that includes terms of financial assistance, the work progress, and payment schedule. 
2. The Director shall disburse grant funds in accordance with the financial assistance agreement. 
3. The Director shall establish a priority ranking for grants based on factors including the potential for failure of a dam, the number of lives at risk, and the capability of the owner to pay a 
portion of the costs. 
E. The Director may loan funds for engineering studies or for all or part of construction as prescribed in A.R.S. § 45-1218. 
1. The Director and the dam owner shall execute a loan repayment agreement. The loan repayment agreement shall be delivered to and held by the Department. 
2. The Director shall establish a priority ranking for loans based on factors including the potential for failure of a dam, the number of human lives at risk, and the capability of the owner to 
pay a portion of the costs. 
Historical Note 
New Section adopted by final rulemaking at 6 A.A.R. 2558, effective June 12, 2000 (Supp. 00-2). 
ARTICLE 13. WELL SPACING REQUIREMENTS; REPLACEMENT WELLS IN APPROXIMATELY THE 
SAME LOCATION 
R12-15-1301. Definitions 
In addition to the definitions in A.R.S. §§ 45-101, 45-402, and 45-591, the following words and phrases in this Article shall have the following meanings, unless the context otherwise requires: 
1. "Abandoned well" means a well for which a well abandonment completion report has been filed pursuant to R12-15-816(E) or for which a notification of abandonment has been filed 
pursuant to R12-15-816(K). 
2. "Additional drawdown" means a lowering in the water levels surrounding a well that is the result of the operation of the well and that is not attributable to existing regional rates of decline 
or existing impacts from other wells. 
3. "Applicant" means any of the following: 
a. A person who has filed an application for a permit to construct a new well or a replacement well in a new location under A.R.S. § 45-599; 
b. A person who has filed an application for a recovery well permit under A.R.S. § 45-834.01 for a new well as defined in A.R.S. § 45-591 or, except as provided in A.R.S. § 45-834.01 
(B)(2) or (3), an existing well as defined in A.R.S. § 45-591; 
c. A person who has filed an application for approval to use a well to withdraw groundwater for transportation to an active management area under A.R.S. § 45-559; or 
d. A person, other than a city, town, private water company, or irrigation district, who has filed an application for a water exchange permit under A.R.S. § 45-1041. 
4. "ADEQ" means the Arizona Department of Environmental Quality. 
5. "Contaminated groundwater" means groundwater that has been contaminated by a release of a hazardous substance, as defined in A.R.S. § 49-201, or a pollutant, as defined in A.R.S. § 
49-201. 
6. "DOD" means the United States Department of Defense. 
7. "EPA" means the United States Environmental Protection Agency. 
8. "LCR plateau groundwater transporter" means a person transporting groundwater from the Little Colorado River plateau groundwater basin to another groundwater basin pursuant to 
A.R.S. § 45-544(B)(1). 
9. "Notice of water exchange participant" means a person, other than a city, town, private water company, or irrigation district, named as a participant in a water exchange in a notice of 
water exchange filed under A.R.S. § 45-1051. 
10. "Original well" means the well replaced by a replacement well in approximately the same location, except that if the replacement well is the latest in a succession of two or more wells 
drilled as replacement wells in approximately the same location under R12-15-1308 or temporary rule R12-15-840 adopted by the director on March 11, 1983, "original well" means 
the well replaced by the first replacement well in approximately the same location. 
11. "Remedial action site" means any of the following: 
a. The site of a remedial action undertaken pursuant to the comprehensive environmental response, compensation, and liability act ("CERCLA") of 1980, as amended, 42 U.S.C. 9601, 
et seq., commonly known as a "superfund" site; 
b. The site of a corrective action undertaken pursuant to A.R.S. Title 49, Chapter 6, commonly known as a leaking underground storage tank ("LUST") site; 
c. The site of a voluntary remediation action undertaken pursuant to A.R.S. Title 49, Chapter 1, Article 5; 
d. The site of a remedial action undertaken pursuant to A.R.S. Title 49, Chapter 2, Article 5, commonly known as a water quality assurance revolving fund ("WQARF") site; 
e. The site of a remedial action undertaken pursuant to the Resource Conservation and Recovery Act ("RCRA"), 42 U.S.C. 6901, et seq.; or 
f. The site of remedial action undertaken pursuant to the Department of Defense Environmental Restoration Program, 10 U.S.C. 2701, et seq., commonly known as a "Department of 
Defense site" or a "DOD site." 
12. "Replacement well" means a well drilled for the purpose of replacing another well. 
13. "Replacement well in a new location" means a replacement well that does not qualify as a replacement well in approximately the same location under R12-15-1308. 
14. "Replacement well in approximately the same location" means a replacement well that qualifies as a replacement well in approximately the same location under R12-15-1308. 
15. "Well" has the meaning prescribed in A.R.S. § 45-402. An abandoned well is not a well. 
16. "Well of record" means, with respect to an applicant, an LCR plateau groundwater transporter, or a notice of water exchange participant, any well or proposed well not owned by the 
applicant, LCR plateau groundwater transporter, or notice of water exchange participant, or proposed to be drilled by the applicant, LCR plateau groundwater transporter, or notice of 
water exchange participant, to which any of the following apply: 
a. The well is an existing well as defined in A.R.S. § 45-591 and the owner or operator has registered the well with the Department, unless the current well information on file with the 
Department identifies the sole purpose or purposes of the well as one or more of the following: 
TITLE 12. NATURAL RESOURCES Page 42 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
i. Cathodic protection; 
ii. Use as a sump pump or heat pump; 
iii. Air sparging; 
iv. Injection of liquids or gasses into the aquifer or vadose zone, including injection wells that are part of an underground storage facility permitted under A.R.S. Title 45, Chapter 
3.1; 
v. Monitoring water levels or water quality, including a piezometer well; 
vi. Obtaining geophysical, mineralogical, or geotechnical data; 
vii. Grounding; 
viii. Soil vapor extraction; 
ix. Electrical energy generation pursuant to a temporary permit for electrical energy generation issued under A.R.S. § 45-517; 
x. Dewatering pursuant to a dewatering permit issued under A.R.S. § 45-513 or a temporary dewatering permit issued under A.R.S. § 45-518; 
xi. Drainage pursuant to a drainage water withdrawal permit issued under A.R.S. § 45-519; or 
xii. Hydrologic testing pursuant to a hydrologic testing permit issued under A.R.S. § 45-519.01. 
b. The well is a new well as defined in A.R.S. § 45-591 for which a notice of intention to drill was not filed pursuant to A.R.S. § 45-596 and for which a permit was not issued pursuant 
to A.R.S. §§ 45-599 or 45-834.01, and the owner or operator has registered the well with the Department, unless the current well information on file with the Department identifies 
the sole purpose or purposes of the well as one or more of the purposes in subsection (16)(a)(i) through (xii) of this Section; 
c. A filing has been made for the well pursuant to A.R.S. § 45-596(A) or (B), unless any of the following apply: 
i. The filing has expired pursuant to A.R.S. § 45-596(E); 
ii. The filing identifies the sole purpose or purposes of the well as one or more of the purposes in subsection (16)(a)(i) through (xii) of this Section; or 
iii. The well is an exempt well and the director is prohibited by A.R.S. § 45-454(D)(4) from considering impacts on the well when determining whether to approve or reject a 
permit application filed under A.R.S. § 45-599. 
d. An application for a permit to drill the well has been received by the Department pursuant to A.R.S. § 45-599, unless the application has been rejected after exhaustion of all 
administrative and judicial appeals or the permit issued pursuant to the application has been revoked or has expired according to its terms or for failure to complete the well in a 
timely manner pursuant to A.R.S. § 45-599(G); 
e. An application for a permit pursuant to A.R.S. §§ 45-514 or 45-516 has been received by the Department pursuant to A.R.S. § 45-521, unless the application has been rejected after 
exhaustion of all administrative and judicial appeals or the permit issued pursuant to the application has been revoked or has expired according to its terms or for failure to 
complete the well before expiration of the drilling authority; or 
f. An application for a permit to drill a recovery well has been received by the Department pursuant to A.R.S. § 45-834.01, unless the application has been rejected after exhaustion of 
all administrative and judicial appeals or the permit issued pursuant to the application has been revoked or has expired according to its terms or for failure to complete the well in a 
timely manner pursuant to A.R.S. § 45-834.01(F). 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 2193, effective August 7, 2006 (Supp. 06-2). 
R12-15-1302. Well Spacing Requirements - Applications to Construct New Wells or Replacement Wells in New Locations Under A.R.S. § 45-599 
A. The director shall not approve an application for a permit to construct a new well or a replacement well in a new location under A.R.S. § 45-599 if the director determines that the withdrawals 
from the proposed well or wells will cause unreasonably increasing damage to surrounding land or other water users from the concentration of wells under subsection (B) of this Section. 
B. The director shall determine that the withdrawals from the proposed well or wells will cause unreasonably increasing damage to surrounding land or other water users from the concentration 
of wells if any of the following apply: 
1. Except as provided in subsection (D) of this Section, the director determines that the probable impact of the withdrawals from the proposed well or wells on any well of record in 
existence as of the date of receipt of the application will exceed 10 feet of additional drawdown after the first five years of operation of the proposed well or wells. To assist the director 
in making a determination under this subsection, the applicant may submit a hydrological study delineating those areas surrounding the proposed well or wells in which the projected 
impacts on water levels will exceed 10 feet of additional drawdown after the first five years of operation of the proposed well or wells. The director may require the applicant to submit 
such a hydrological study if the director determines that the study will assist the director in making a determination under this subsection; 
2. The director determines that the proposed well or wells will be located in an area of known land subsidence and the withdrawals from the proposed well or wells will likely cause 
unreasonably increasing damage from additional regional land subsidence. To assist the director in making a determination under this subsection, the applicant may submit a 
hydrological study, which may include a geophysical evaluation, demonstrating the impact of the withdrawals from the proposed well or wells on regional land subsidence. The director 
may require the applicant to submit such a hydrological study if the director determines that the study will assist the director in making a determination under this subsection; or 
3. Except as provided in subsection (E) of this Section, the director determines, after consulting with ADEQ, that withdrawals from the proposed well or wells will likely cause the migration 
of contaminated groundwater from a remedial action site to a well of record in existence as of the date of the receipt of the application, resulting in a degradation of the quality of the 
water withdrawn from the well of record so that the water will no longer be usable for the purpose for which it is currently being used without additional treatment, and that the damage 
to the owner of the well of record will not be prevented or adequately mitigated through the implementation of a program regulated under Title 49 of the Arizona Revised Statutes, or a 
program regulated by EPA or DOD. To assist the director in making a determination under this subsection, the applicant may submit a hydrological study demonstrating whether the 
withdrawals from the proposed well or wells will have the effect described in this subsection. The director may require the applicant to submit such a hydrological study if the director 
determines that the study will assist the director in making a determination under this subsection. 
C. In making a determination under subsection (B)(1), (B)(2), or (B)(3) of this Section, if the proposed well is a replacement well in a new location, the director shall take into account the 
collective effects of reducing or terminating withdrawals from the well being replaced combined with the proposed withdrawals from the replacement well if the applicant submits a 
hydrological study demonstrating those collective effects to the satisfaction of the director. 
D. If the director determines under subsection (B)(1) of this Section that the probable impact of the withdrawals from the proposed well or wells on one or more wells of record in existence as of 
the date of receipt of the application will exceed 10 feet of additional drawdown after the first five years of operation of the proposed well or wells, the director shall notify the applicant in 
writing of the location of the wells of record and the names and addresses of the owners of the wells as shown in the Department's well registry. The director shall not determine that the 
withdrawals from the proposed well or wells will cause unreasonably increasing damage to surrounding land or other water users from the concentration of wells under subsection (B)(1) of 
this Section if within 60 days after the date on the notice, or a longer time period approved by the director, the applicant submits one of the following for each well of record identified in the 
notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the withdrawals from the proposed well or wells. The applicant shall use the consent form 
furnished by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the applicant made a 
reasonable attempt to locate the current owner of the well of record but was unable to do so. 
E. If the director determines that withdrawals from the proposed well or wells will have the effect described in subsection (B)(3) of this Section on one or more wells of record in existence as of 
the date of receipt of the application, the director shall notify the applicant in writing of the location of the wells of record and the names and addresses of the owners of the wells as shown 
in the Department's well registry. The director shall not determine that the withdrawals from the proposed well or wells will cause unreasonably increasing damage to surrounding land or 
other water users from the concentration of wells under subsection (B)(3) of this Section if within 60 days after the date on the notice, or a longer time period approved by the director, the 
applicant submits one of the following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the withdrawals from the proposed well or wells. The applicant shall use the consent form 
furnished by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the applicant made a 
reasonable attempt to locate the current owner of the well of record but was unable to do so. 
F. At any time before a final determination under this Section, the applicant may: 
1. Amend the application to change the location of the proposed well or wells or the amount of groundwater to be withdrawn from the proposed well or wells to lessen the degree of impact 
on wells of record or regional land subsidence; or 
2. Agree to construct or operate the proposed well or wells in a manner that lessens the degree of impact on wells of record or regional land subsidence. The director shall indicate in the well 
permit that compliance with the agreement is a condition of the well permit. 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 2193, effective August 7, 2006 (Supp. 06-2). 
R12-15-1303. Well Spacing Requirements - Applications for Recovery Well Permits Under A.R.S. § 45-834.01 
A. The director shall not approve an application for a recovery well permit under A.R.S. § 45-834.01 that is filed for a new well as defined in A.R.S. § 45-591 or, except as provided in A.R.S. § 
45-834.01(B)(2) or (3), for an existing well as defined in A.R.S. § 45-591, if the director determines that the recovery of stored water from the proposed well or wells will cause 
unreasonably increasing damage to surrounding land or other water users from the concentration of wells under subsection (B) of this Section. 
B. The director shall determine that the recovery of stored water from the proposed well or wells will cause unreasonably increasing damage to surrounding land or other water users from the 
concentration of wells if any of the following apply: 
1. Except as provided in subsection (D) of this Section, the director determines that the probable impact of the recovery of stored water from the proposed well or wells on any well of record 
in existence as of the date of receipt of the application will exceed 10 feet of additional drawdown after the first five years of the recovery of stored water from the proposed well or 
wells. To assist the director in making a determination under this subsection, the applicant shall submit with the application a hydrological study delineating those areas surrounding the 
proposed well or wells in which the projected impacts on water levels will exceed 10 feet of additional drawdown after the first five years of the recovery of stored water from the 
proposed well or wells; 
2. The director determines that the proposed recovery well or wells will be located in an area of known land subsidence and the recovery of stored water from the proposed well or wells will 
likely cause unreasonably increasing damage from additional regional land subsidence. To assist the director in making a determination under this subsection, the applicant may submit 
a hydrological study, which may include a geophysical evaluation, demonstrating the impact of the recovery of stored water from the proposed recovery well or wells on regional land 
subsidence. The director may require the applicant to submit such a hydrological study if the director determines that the study will assist the director in making a determination under 
this subsection; or 
TITLE 12. NATURAL RESOURCES Page 43 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
3. Except as provided in subsection (E) of this Section, the director determines, after consulting with ADEQ, that the recovery of stored water from the proposed well or wells will likely 
cause the migration of contaminated groundwater from a remedial action site to a well of record in existence as of the date of receipt of the application, resulting in a degradation of the 
quality of the water withdrawn from the well of record so that the water will no longer be usable for the purpose for which it is currently being used without additional treatment, and 
that the damage to the owner of the well of record will not be prevented or adequately mitigated through the implementation of a program regulated under Title 49 of the Arizona 
Revised Statutes, or a program regulated by EPA or DOD. To assist the director in making a determination under this subsection, the applicant may submit a hydrological study 
demonstrating whether the recovery of stored water from the proposed well or wells will have the effect described in this subsection. The director may require the applicant to submit 
such a hydrological study if the director determines that the study will assist the director in making a determination under this subsection. 
C. In making a determination under subsection (B)(1), (B)(2), or (B)(3) of this Section: 
1. If the proposed recovery well is a replacement well in a new location, the director shall take into account the collective effects of reducing or terminating withdrawals from the well being 
replaced combined with the proposed recovery of stored water from the replacement well if the applicant submits a hydrological study demonstrating those collective effects to the 
satisfaction of the director. 
2. If the proposed recovery well will be located within the area of impact, as defined in A.R.S. § 45-802.01, of an underground storage facility and the applicant will account for all of the 
water recovered from the well as water stored at the facility, the director shall take into account the effects of water storage at the facility on the proposed recovery of stored water from 
the recovery well if the applicant submits a hydrological study demonstrating those effects to the satisfaction of the director. 
D. If the director determines under subsection (B)(1) of this Section that the probable impact of the recovery of stored water from the proposed recovery well or wells on any well of record in 
existence as of the date of receipt of the application will exceed 10 feet of additional drawdown after the first five years of operation of the proposed well or wells, the director shall notify 
the applicant in writing of the location of the wells of record and the names and addresses of the owners of the wells as shown in the Department's well registry. The director shall not 
determine that the recovery of stored water from the proposed recovery well or wells will cause unreasonably increasing damage to surrounding land or other water users from the 
concentration of wells under subsection (B)(1) of this Section if within 60 days after the date on the notice, or a longer time period approved by the director, the applicant submits one of the 
following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the recovery of stored water from the proposed recovery well or wells. The applicant shall use the 
consent form furnished by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the applicant made a 
reasonable attempt to locate the current owner of the well of record but was unable to do so. 
E. If the director determines that the recovery of stored water from the proposed recovery well or wells will have the effect described in subsection (B)(3) of this Section on one or more wells of 
record in existence as of the date of receipt of the application, the director shall notify the applicant in writing of the location of the wells of record and the names and addresses of the 
owners of the wells as shown in the Department's well registry. The director shall not determine that the recovery of stored water from the proposed recovery well or wells will cause 
unreasonably increasing damage to surrounding land or other water users from the concentration of wells under subsection (B)(3) of this Section if within 60 days after the date on the 
notice, or a longer time period approved by the director, the applicant submits one of the following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the recovery of stored water from the proposed recovery well or wells. The applicant shall use the 
consent form furnished by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the applicant made a 
reasonable attempt to locate the current owner of the well of record but was unable to do so. 
F. At any time before a final determination under this Section, the applicant may: 
1. Amend the application to change the location of the proposed recovery well or wells or the amount of stored water to be recovered from the proposed recovery well or wells to lessen the 
degree of impact on wells of record or regional land subsidence; or 
2. Agree to construct or operate the proposed recovery well or wells in a manner that lessens the degree of impact on wells of record or regional land subsidence. The director shall indicate 
in the recovery well permit that compliance with the agreement is a condition of the recovery well permit. 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 2193, effective August 7, 2006 (Supp. 06-2). 
R12-15-1304. Well Spacing Requirements - Wells Withdrawing Groundwater From the Little Colorado River Plateau Groundwater Basin for Transportation to Another 
Groundwater Basin Under A.R.S. § 45-544(B)(1) 
A. An LCR plateau groundwater transporter may not withdraw groundwater from a well or wells drilled in the Little Colorado river plateau groundwater basin after January 1, 1991, except a 
replacement well in approximately the same location or a well drilled after that date pursuant to a notice of intention to drill filed on or before that date, for transportation away from the 
basin pursuant to A.R.S. § 45-544(B)(1) if the director determines that the withdrawals for that purpose will cause unreasonably increasing damage to surrounding land or other water users 
from the concentration of wells under subsection (B) of this Section. 
B. The director shall determine that the withdrawals of groundwater from the well or wells will cause unreasonably increasing damage to surrounding land or other water users from the 
concentration of wells if any of the following apply: 
1. Except as provided in subsection (D) of this Section, the director determines that the probable impact of the withdrawals of groundwater from the well or wells on any well of record in 
existence when the withdrawals commenced or are proposed to commence will exceed 10 feet of additional drawdown after the first five years of the withdrawals. To assist the director 
in making a determination under this subsection, the LCR plateau groundwater transporter may submit to the director a hydrological study delineating those areas surrounding the LCR 
plateau groundwater transporter's well or wells in which the projected impacts on water levels will exceed 10 feet of additional drawdown after the first five years of the withdrawals. 
The director may require the LCR plateau groundwater transporter to submit such a hydrological study if the director determines that the study will assist the director in making a 
determination under this subsection; 
2. The director determines that the well or wells from which the groundwater is withdrawn are located in an area of known land subsidence and the withdrawals of groundwater will likely 
cause unreasonably increasing damage from additional regional land subsidence. To assist the director in making a determination under this subsection, the LCR plateau groundwater 
transporter may submit to the director a hydrological study, which may include a geophysical evaluation, demonstrating the impact of the withdrawals on regional land subsidence. The 
director may require the LCR plateau groundwater transporter to submit such a hydrological study if the director determines that the study will assist the director in making a 
determination under this subsection; or 
3. Except as provided in subsection (E) of this Section, the director determines, after consulting with ADEQ, that the withdrawals of groundwater from the well or wells will likely cause the 
migration of contaminated groundwater from a remedial action site to a well of record in existence when the groundwater withdrawals commenced or are proposed to commence, 
resulting in a degradation of the quality of the water withdrawn from the well of record so that the water will no longer be usable for the purpose for which it is currently being used 
without additional treatment, and that the damage to the owner of the well of record will not be prevented or adequately mitigated through the implementation of a program regulated 
under Title 49 of the Arizona Revised Statutes, or a program regulated by EPA or DOD. To assist the director in making a determination under this subsection, the LCR plateau 
groundwater transporter may submit to the director a hydrological study demonstrating whether the withdrawals of groundwater will have the effect described in this subsection. The 
director may require the LCR plateau groundwater transporter to submit such a hydrological study if the director determines that the study will assist the director in making a 
determination under this subsection. 
C. In making a determination under subsection (B)(1), (B)(2), or (B)(3) of this Section, if a well from which the groundwater is withdrawn is a replacement well in a new location, the director 
shall take into account the collective effects of reducing or terminating withdrawals from the well being replaced combined with the withdrawals from the replacement well if the LCR 
plateau groundwater transporter submits a hydrological study demonstrating those collective effects to the satisfaction of the director. 
D. If the director determines under subsection (B)(1) of this Section that the probable impact of the withdrawals of groundwater from the well or wells on any well of record in existence when the 
withdrawals commenced or are proposed to commence will exceed 10 feet of additional drawdown after the first five years of the withdrawals, the director shall notify the LCR plateau 
groundwater transporter in writing of the location of the wells of record and the names and addresses of the owners of the wells as shown in the Department's well registry. The director shall 
not determine that the withdrawals will 
cause unreasonably increasing damage to surrounding land or other water users from the concentration of wells under subsection (B)(1) of this Section if within 60 days after the date on the 
notice, or a longer time period approved by the director, the LCR plateau groundwater transporter submits one of the following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the withdrawals. The LCR plateau groundwater transporter shall use the consent form furnished 
by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the LCR plateau 
groundwater transporter made a reasonable attempt to locate the current owner of the well of record but was unable to do so. 
E. If the director determines that the withdrawals of groundwater from the well or wells will have the effect described in subsection (B)(3) of this Section on one or more wells of record in 
existence when the groundwater withdrawals commenced or are proposed to commence, the director shall notify the LCR plateau groundwater transporter in writing of the location of the 
wells of record and the names and addresses of the owners of the wells as shown in the Department's well registry. The director shall not determine that the withdrawals will cause 
unreasonably increasing damage to surrounding land or other water users from the concentration of wells under subsection (B)(3) of this Section if within 60 days after the date on the 
notice, or a longer time period approved by the director, the LCR plateau groundwater transporter submits one of the following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the withdrawals. The LCR plateau groundwater transporter shall use the consent form furnished 
by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the LCR plateau 
groundwater transporter made a reasonable attempt to locate the current owner of the well of record but was unable to do so. 
F. At any time before a final determination under this Section, the LCR plateau groundwater transporter may agree to construct or operate the well or wells in a manner that lessens the degree of 
impact on wells of record or regional land subsidence. Compliance with the agreement is a condition for the use of the well or wells to withdraw groundwater for transportation away from 
the basin pursuant to A.R.S. § 45-544(B)(1). 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 2193, effective August 7, 2006 (Supp. 06-2). 
R12-15-1305. Well Spacing Requirements - Applications to Use a Well to Withdraw Groundwater for Transportation to an Active Management Area Under A.R.S. § 45-559 
A. The director shall not approve an application to use a well or wells constructed after September 21, 1991, to withdraw groundwater for transportation to an active management area under 
A.R.S. § 45-559 if the director determines that the withdrawals for that purpose will cause unreasonably increasing damage to surrounding land or other water users from the concentration 
of wells under subsection (B) of this Section. 
TITLE 12. NATURAL RESOURCES Page 44 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
B. The director shall determine that the withdrawals of groundwater will cause unreasonably increasing damage to surrounding land or other water users from the concentration of wells if any of 
the following apply: 
1. Except as provided in subsection (C) of this Section, the director determines that the probable impact of the groundwater withdrawals on any well of record in existence as of the date of 
receipt of the application will exceed 10 feet of additional drawdown after the first five years of the withdrawals. To assist the director in making a determination under this subsection, 
the applicant may submit a hydrological study delineating those areas surrounding the proposed well or wells in which the projected impacts of the groundwater withdrawals on water 
levels will exceed 10 feet of additional drawdown after the first five years of the withdrawals. The director may require the applicant to submit such a hydrological study if the director 
determines that the study will assist the director in making a determination under this subsection; 
2. The director determines that the proposed well or wells will be located in an area of known land subsidence and the groundwater withdrawals will likely cause unreasonably increasing 
damage from additional regional land subsidence. To assist the director in making a determination under this subsection, the applicant may submit a hydrological study, which may 
include a geophysical evaluation, demonstrating the impact of the groundwater withdrawals on regional land subsidence. The director may require the applicant to submit such a 
hydrological study if the director determines that the study will assist the director in making a determination under this subsection; or 
3. Except as provided in subsection (D) of this Section, the director determines, after consulting with ADEQ, that the groundwater withdrawals will likely cause the migration of 
contaminated groundwater from a remedial action site to a well of record in existence as of the date of receipt of the application, resulting in a degradation of the quality of the water 
withdrawn from the well of record so that the water will no longer be usable for the purpose for which it is currently being used without additional treatment, and that the damage to the 
owner of the well of record will not be prevented or adequately mitigated through the implementation of a program regulated under Title 49 of the Arizona Revised Statutes, or a 
program regulated by EPA or DOD. To assist the director in making a determination under this subsection, the applicant may submit a hydrological study demonstrating whether the 
groundwater withdrawals will have the effect described in this subsection. The director may require the applicant to submit such a hydrological study if the director determines that the 
study will assist the director in making a determination under this subsection. 
C. If the director determines under subsection (B)(1) of this Section that the probable impact of the groundwater withdrawals on any well of record in existence as of the date of receipt of the 
application will exceed 10 feet of additional drawdown after the first five years of the withdrawals, the director shall notify the applicant in writing of the location of the wells of record and 
the names and addresses of the owners of the wells as shown in the Department's well registry. The director shall not determine that the groundwater withdrawals will cause unreasonably 
increasing damage to surrounding land or other water users from the concentration of wells under subsection (B)(1) of this Section if within 60 days after the date on the notice, or a longer 
time period approved by the director, the applicant submits one of the following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the withdrawals. The applicant shall use the consent form furnished by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the applicant made a 
reasonable attempt to locate the current owner of the well of record but was unable to do so. 
D. If the director determines that the groundwater withdrawals will have the effect described in subsection (B)(3) of this Section on one or more wells of record in existence as of the date of 
receipt of the application, the director shall notify the applicant in writing of the location of the wells of record and the names and addresses of the owners of the wells as shown in the 
Department's well registry. The director shall not determine that the groundwater withdrawals will cause unreasonably increasing damage to surrounding land or other water users from the 
concentration of wells under subsection (B)(3) of this Section if within 60 days after the date on the notice, or a longer time period approved by the director, the applicant submits one of the 
following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the withdrawals. The applicant shall use the consent form furnished by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the applicant made a 
reasonable attempt to locate the current owner of the well of record but was unable to do so. 
E. At any time before a final determination under this Section, the applicant may: 
1. Amend the application to change the location of the proposed well or wells or the amount of groundwater to be withdrawn from the proposed well or wells to lessen the degree of impact 
on wells of record or regional land subsidence; or 
2. Agree to construct or operate the proposed well or wells in a manner that lessens the degree of impact on wells of record or regional land subsidence. The director shall indicate in the 
permit that compliance with the agreement is a condition of the permit to use the well or wells to withdraw groundwater for transportation to an active management area under A.R.S. § 
45-559. 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 2193, effective August 7, 2006 (Supp. 06-2). 
R12-15-1306. Well Spacing Requirements - Applications for Water Exchange Permits Under A.R.S. § 45-1041 
A. The director shall not approve an application for a water exchange permit filed under A.R.S. § 45-1041 by a person other than a city, town, private water company or irrigation district if the 
director determines that any new or increased pumping by the applicant from a well or wells within an active management area pursuant to the water exchange will cause unreasonably 
increasing damage to surrounding land or other water users under subsection (B) of this Section. 
B. The director shall determine that new or increased pumping by the applicant from a well or wells within an active management area will cause unreasonably increasing damage to surrounding 
land or other water users if any of the following apply: 
1. Except as provided in subsection (C) of this Section, the director determines that the probable impact of the new or increased pumping on any well of record in existence as of the date of 
receipt of the application will exceed 10 feet of additional drawdown after the first five years of the pumping. To assist the director in making a determination under this subsection, the 
applicant may submit a hydrological study delineating those areas surrounding the proposed well or wells in which the projected impacts of the new or increased pumping on water 
levels will exceed 10 feet of additional drawdown after the first five years of the pumping. The director may require the applicant to submit such a hydrological study if the director 
determines that the study will assist the director in making a determination under this subsection; 
2. The director determines that the new or increased pumping will occur in an area of known land subsidence and the pumping will likely cause unreasonably increasing damage from 
additional regional land subsidence. To assist the director in making a determination under this subsection, the applicant may submit a hydrological study, which may include a 
geophysical evaluation, demonstrating the impact of the new or increased pumping on regional land subsidence. The director may require the applicant to submit such a hydrological 
study if the director determines that the study will assist the director in making a determination under this subsection; or 
3. Except as provided in subsection (D) of this Section, the director determines, after consulting with ADEQ, that the new or increased pumping will likely cause the migration of 
contaminated groundwater from a remedial action site to a well of record in existence as of the date of receipt of the application, resulting in a degradation of the quality of the water 
withdrawn from the well of record so that the water will no longer be usable for the purpose for which it is currently being used without additional treatment, and that the damage to the 
owner of the well of record will not be prevented or adequately mitigated through the implementation of a program regulated under Title 49 of the Arizona Revised Statutes, or a 
program regulated by EPA or DOD. To assist the director in making a determination under this subsection, the applicant may submit with the application a hydrological study 
demonstrating whether the new or increased pumping will have the effect described in this subsection. If the applicant does not submit such a hydrological study with the application, 
the director may require the applicant to submit the study if the director determines that the study will assist the director in making a determination under this subsection. 
C. If the director determines under subsection (B)(1) of this Section that the probable impact of the new or increased pumping on any well of record in existence as of the date of receipt of the 
application will exceed 10 feet of additional drawdown after the first five years of the pumping, the director shall notify the applicant in writing of the location of the wells of record and the 
names and addresses of the owners of the wells as shown in the Department's well registry. The director shall not determine that the new or increased pumping will cause unreasonably 
increasing damage to surrounding land or other water users under subsection (B)(1) of this Section if within 60 days after the date on the notice, or a longer time period approved by the 
director, the applicant submits one of the following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the new or increased pumping. The applicant shall use the consent form furnished by the director; 
or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the applicant made a 
reasonable attempt to locate the current owner of the well of record but was unable to do so. 
D. If the director determines that the new or increased pumping will have the effect described in subsection (B)(3) of this Section on one or more wells of record in existence as of the date of 
receipt of the application, the director shall notify the applicant in writing of the location of the wells of record and the names and addresses of the owners of the wells as shown in the 
Department's well registry. The director shall not determine that the new or increased pumping will cause unreasonably increasing damage to surrounding land or other water users from the 
concentration of wells under subsection (B)(3) of this Section if within 60 days after the date on the notice, or a longer time period approved by the director, the applicant submits one of the 
following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the new or increased pumping. The applicant shall use the consent form furnished by the director; 
or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the applicant made a 
reasonable attempt to locate the current owner of the well of record but was unable to do so. 
E. At any time before a final determination under this Section, the applicant may: 
1. Amend the application to change the location of the proposed well or wells or the amount of the new or increase pumping to lessen the degree of impact on wells of record or regional 
land subsidence; or 
2. Agree to construct or operate the proposed well or wells in a manner that lessens the degree of impact on wells of record or regional land subsidence. The director shall indicate in the 
water exchange permit that compliance with the agreement is a condition of the water exchange permit. 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 2193, effective August 7, 2006 (Supp. 06-2). 
R12-15-1307. Well Spacing Requirements - Notices of Water Exchange Under A.R.S. § 45-1051 
A. A notice of water exchange participant may not participate in a water exchange for which a notice is filed under A.R.S. § 45-1051 if the director determines that any new or increased pumping 
by the person from a well or wells within an active management area pursuant to the water exchange will cause unreasonably increasing damage to surrounding land or other water users 
under subsection (B) of this Section. 
B. The director shall determine that new or increased pumping from the well or wells in an active management area will cause unreasonably increasing damage to surrounding land or other water 
users if any of the following apply: 
1. Except as provided in subsection (C) of this Section, the director determines that the probable impact of the new or increased pumping on any well of record in existence when the 
pumping commenced or is proposed to commence will exceed 10 feet of additional drawdown after the first five years of the pumping. To assist the director in making a determination 
under this subsection, the notice of water exchange participant may submit to the director a hydrological study delineating those areas surrounding the notice of water exchange 
TITLE 12. NATURAL RESOURCES Page 45 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
participant's well or wells in which the projected impacts of the new or increased pumping on water levels will exceed 10 feet of additional drawdown after the first five years of the 
pumping. The director may require the notice of water exchange participant to submit such a hydrological study if the director determines that the study will assist the director in 
making a determination under this subsection; 
2. The director determines that the new or increased pumping is in an area of known land subsidence and the pumping will likely cause unreasonably increasing damage from additional 
regional land subsidence. To assist the director in making a determination under this subsection, the notice of water exchange participant may submit to the director a hydrological 
study, which may include a geophysical evaluation, demonstrating the impact of the pumping on regional land subsidence. The director may require the notice of water exchange 
participant to submit such a hydrological study if the director determines that the study will assist the director in making a determination under this subsection; or 
3. Except as provided in subsection (D) of this Section, the director determines, after consulting with ADEQ, that the new or increased pumping will likely cause the migration of 
contaminated groundwater from a remedial action site to a well of record in existence when the pumping commenced or is proposed to commence, resulting in a degradation of the 
quality of the water withdrawn from the well of record so that the water will no longer be usable for the purpose for which it is currently being used without additional treatment, and 
that the damage to the owner of the well of record will not be prevented or adequately mitigated through the implementation of a program regulated under Title 49 of the Arizona 
Revised Statutes, or a program regulated by EPA or DOD. To assist the director in making a determination under this subsection, the notice of water exchange participant may submit 
to the director a hydrological study demonstrating whether the new or increased pumping will have the effect described in this subsection. The director may require the notice of water 
exchange participant to submit such a study if the director determines that the study will assist the director in making a determination under this subsection. 
C. If the director determines under subsection (B)(1) of this Section that the probable impact of the new or increased pumping on any well of record in existence when the pumping commenced 
or is proposed to commence will exceed 10 feet of additional drawdown after the first five years of the pumping, the director shall notify the notice of water exchange participant in writing 
of the location of the wells of record and the names and addresses of the owners of the wells as shown in the Department's well registry. The director shall not determine that the new or 
increased pumping will cause unreasonably increasing damage to surrounding land or other water users from the concentration of wells under subsection (B)(1) of this Section if within 60 
days after the date on the notice, or a longer time period approved by the director, the notice of water exchange participant submits one of the following for each well of record identified in 
the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the new or increased pumping. The notice of water exchange participant shall use the consent 
form furnished by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the notice of water 
exchange participant made a reasonable attempt to locate the current owner of the well of record but was unable to do so. 
D. If the director determines that the new or increased pumping will have the effect described in subsection (B)(3) of this Section on one or more wells of record in existence when the pumping 
commenced or is proposed to commence, the director shall notify the notice of water exchange participant in writing of the location of the wells of record and the names and addresses of the 
owners of the wells as shown in the Department's well registry. The director shall not determine that the new or increased pumping will cause unreasonably increasing damage to 
surrounding land or other water users from the concentration of wells under subsection (B)(3) of this Section if within 60 days after the date on the notice, or a longer time period approved 
by the director, the notice of water exchange participant submits one of the following for each well of record identified in the notice: 
1. A signed and notarized consent form from the owner of the well of record consenting to the new or increased pumping. The notice of water exchange participant shall use the consent 
form furnished by the director; or 
2. Evidence satisfactory to the director that the address of the owner of the well of record as shown in the Department's well registry records is inaccurate and that the notice of water 
exchange participant made a reasonable attempt to locate the current owner of the well of record but was unable to do so. 
E. At any time before a final determination under this Section, the notice of water exchange participant may agree to construct or operate the well or wells in a manner that lessens the degree of 
impact on wells of record or regional land subsidence. Compliance with the agreement is a condition for the use of the well to pump water for the water exchange. 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 2193, effective August 7, 2006 (Supp. 06-2). 
R12-15-1308. Replacement Wells in Approximately the Same Location 
A. For purposes of A.R.S. §§ 45-544, 45-596, and 45-597, a replacement well in approximately the same location is a proposed well to which all of the following apply: 
1. The proposed well will be located no greater than 660 feet from the original well, and the location of the original well can be determined at the time the notice of intention to drill the 
proposed well is filed; 
2. Except as provided in subsections (A)(3) and (A)(4) of this Section, the proposed well will not annually withdraw an amount of water in excess of the maximum annual capacity of the 
original well. The director shall determine the maximum annual capacity of the original well by multiplying the maximum pump capacity of the original well in gallons per minute by 
525,600, and then converting the result into acre-feet by dividing the result by 325,851 gallons. The director shall presume that the maximum pump capacity of the original well is the 
maximum pump capacity of the well in gallons per minute as shown in the Department's well registry records, except that: 
a. If the director has reason to believe that the maximum pump capacity as shown in the Department's well registry records is inaccurate, or if the applicant submits evidence 
demonstrating that the maximum pump capacity as shown in the Department's well registry records is inaccurate, the director shall determine the maximum pump capacity by 
considering all available evidence, including the depth and diameter of the well and any evidence submitted by the applicant; or 
b. If the Department's well registry records do not show the maximum pump capacity of the original well, the director shall not approve the proposed well as a replacement well in 
approximately the same location unless the applicant demonstrates to the director's satisfaction the maximum pump capacity of the original well; 
3. If a well permit was issued for the original well under A.R.S. § 45-599, the proposed well will not annually withdraw an amount of groundwater in excess of the maximum annual volume 
set forth in the well permit; 
4. If a recovery well permit was issued for the well to be replaced pursuant to A.R.S. § 45-834.01(B) and the permit sets forth a maximum annual volume of stored water that may be 
recovered from the well, the proposed well will not annually recover an amount of stored water in excess of the maximum annual volume set forth in the recovery well permit; 
5. If the well to be replaced has been physically abandoned in accordance with R12-15-816, a notice of intention to drill the proposed well is filed no later than 90 days after the well to be 
replaced was physically abandoned; and 
6. If the proposed well will be used to withdraw groundwater from the Little Colorado river plateau groundwater basin for transportation away from the basin pursuant to A.R.S. § 45-544(B) 
(1), one of the following applies: 
a. The original well was drilled on or before January 1, 1991, or was drilled after that date pursuant to a notice of intention to drill that was on file with the Department on that date; or 
b. The director previously determined that the withdrawal of groundwater from the original well for transportation away from the Little Colorado river plateau groundwater basin 
complies with R12-15-1304. 
B. After a replacement well in approximately the same location is drilled, the replacement well may be operated in conjunction with the original well and any other wells that replaced the 
original well if the total annual withdrawals from all wells do not exceed the maximum amount allowed under subsection (A)(2), (A)(3), or (A)(4) of this Section, whichever applies. 
C. A proposed well may be drilled as a replacement well in approximately the same location for more than one original well if the criteria in subsections (A)(1), (A)(5), and (A)(6) of this Section 
are met with respect to each original well and if the total annual withdrawals from the proposed well will not exceed the combined maximum annual amounts allowed for each original well 
under subsections (A)(2), (A)(3), or (A)(4) of this Section, whichever apply. 
D. The director may include conditions in the approval of the notice of intention to drill the replacement well to ensure that the drilling and operation of the replacement well meets the 
requirements of this Section. 
Historical Note 
New Section made by final rulemaking at 12 A.A.R. 2193, effective August 7, 2006 (Supp. 06-2). 
Scott Cancelosi 
Director 
Public Services Division 
A.A.C. Table of Contents 
Commercial Use Fees of this Chapter 
Editor 
Arizona Administrative Code 
TITLE 12. NATURAL RESOURCES Page 46 of 46 
http://www.azsos.gov/public_services/Title_12/12-15.htm 11/6/2010
TITLE VII 

 

RULES GOVERNING DESIGN AND OPERATION OF DAMS 

[As Restated October, 1993] 

 

TABLE OF CONTENTS 

 

SUBTITLE PAGE 

 

 I. GENERAL PROVISIONS 

 701.1 PURPOSE ...................................1 

 701.2 AUTHORITY .................................1 

 701.3 SCOPE OF REGULATIONS ...................... 1 

 701.4 EXEMPTIONS ................................1 

 701.5 PETITION BY AFFECTED PERSONS .............. 1 

701.6 DUTIES, OBLIGATIONS, AND LIABILITIES 
OF DAM OWNERS ............................. 2 


701.7 NO LIABILITY BY COMMISSION, 
EMPLOYEES, OR AGENTS ...................... 2 






701.8 EXCEPTIONS ................................2 

 

 II. PERMITS FOR DAMS 

 702.1 CONSTRUCTION PERMIT .......................2 

 702.2 OPERATION PERMIT ..........................2 

 702.3 TRANSFER OF PERMIT ........................ 3 

 702.4 WATER PLAN COMPLIANCE ..................... 3 

 702.5 APPLICATION ...............................3 

 702.6 COMMISSION REVIEW .........................3 

 702.7 PUBLIC NOTICE .............................3 

 702.8 PUBLIC HEARING ............................3 

 702.9 COMMISSION ACTION .........................3 

 

 III. FEES 

 703.1 ESTIMATED APPLICATION REVIEW FEES ......... 4 

 703.2 FINAL COST REPORT ......................... 4 

 703.3 FINAL APPLICATION REVIEW FEES ............. 4 

 703.4 ANNUAL PERMIT FEE ......................... 4 

 

 IV. ENFORCEMENT 

 704.1 NOTICE OF NON-EMERGENCY DEFICIENCY ........ 5 

 704.2 PUBLIC HEARINGS ...........................5 

 704.3 COMMISSION ORDERS .........................5 

 704.4 PENALTIES .................................5 

 704.5 EMERGENCY REMEDIAL ORDERS ................. 5 

 704.6 APPEALS ...................................5 

 

 V. DESIGN CRITERIA 

 705.1 GENERAL STANDARDS .........................5 

 705.2 REGISTERED PROFESSIONAL ENGINEER .......... 6 

 705.3 SIZE CLASSIFICATION CRITERIA .............. 6 

 705.4 HAZARD CLASSIFICATION CRITERIA ............ 6 

 705.5 SPILLWAY DESIGN FLOOD (SDF) FOR DAMS ...... 7 

 705.6 DOWNSTREAM RELEASES .......................8 

 705.7 RESERVOIR DRAIN CONDUIT ................... 9 

 705.8 STRUCTURAL CRITERIA .......................9 

 

 VI. CONSTRUCTION REQUIREMENTS 

 706.1 PLANS AND SPECIFICATIONS .................. 9 

 706.2 CONSTRUCTION INSPECTIONS ..................9 


 706.3 CONSTRUCTION RECORDS ......................9 

 Figure No. 1 – Seismic Zone Map 10 

 706.4 EROSION PROTECTION .......................11 

 706.5 FINAL INSPECTIONS ........................11 

 706.6 ENGINEER’S CERTIFICATION .................11 

 706.7 RECORD DRAWINGS ..........................11 

 706.8 PERMANENT REFERENCE MARKS ................ 11 

 

 VII. EVALUATIONS OF EXISTING DAMS 

 707.1 TYPES OF EVALUATIONS ..................... 11 

 707.2 DEFICIENCIES .............................12 

 707.3 INTERIM ALTERNATIVES .....................12 

 707.4 VARIANCE .................................12 

 

VIII. OPERATION AND MAINTENANCE 


 708.1 COMPLIANCE ...............................12 

 708.2 EROSION PROTECTION .......................12 

 708.3 WOODY VEGETATION PROHIBITED: 

 EMBANKMENT DAMS ..........................12 

 708.4 WOODY VEGETATION PROHIBITED: 

CONCRETE OR MASONRY DAMS ................. 13 

 708.5 OPERATION OF GATES AND CONTROLS .......... 13 

 708.6 REPAIRS AND MODIFICATIONS ................ 13 

 708.7 RECORDS ..................................13 

 

 IX. INSPECTIONS 

 709.1 OWNER INSPECTION .........................13 

 709.2 COMMISSION INSPECTION ....................14 

 709.4 ASSISTANCE BY OWNER ...................... 14 

 

 X. EMERGENCY ACTION PLANS 

 710.1 EMERGENCY ACTION PLANS REQUIRED .......... 14 

 710.2 APPROVAL OF EMERGENCY ACTION PLANS ....... 14 

 710.3 CONTENTS OF EMERGENCY ACTION PLANS ....... 14 

 710.4 ANNUAL EXERCISES AND DRILLS .............. 14 

 

 XI. REMOVAL OF DAMS 

 711.1 APPROVAL OF PLANS REQUIRED ............... 14 

 711.2 NOTICE TO DOWNSTREAM LANDOWNERS .......... 15 

 711.3 RIGHTS OF OTHER LANDOWNERS ............... 15 

 711.4 PROCEDURE FOR BREACHING .................. 15 

711.5 RESTORATION OF ORIGINAL STREAM CHANNEL ... 15 


 711.6 EROSION PROTECTION .......................15 

 

XII. GLOSSARY 



TITLE VII 

 

RULES GOVERNING 

DESIGN AND OPERATON OF DAMS 

[As Restated October, 1993] 

 

SUBTITLE I. GENERAL PROVISIONS 

 

 Section 701.1. PURPOSE. 

A. Provide for the comprehensive regulation and supervision of 
dams for the protection of the health, safety, welfare, and 
property of the citizens of Arkansas. 
B. Assure proper planning, design, construction, maintenance, 
monitoring and supervision of dams, including such 
preventive measures as are necessary to provide an adequate 
margin of safety. 


 

 Section 701.2. AUTHORITY. 

Rules governing design and operation of dams within the State of 
Arkansas are promulgated under authority of Subchapter 2 of Chapter 22 
of title 15 of the Arkansas Code of 1987. 

 

 Section 701.3. SCOPE OF REGULATIONS. 

All dams within the State of Arkansas, except those owned by the 
United State Government or those exempted by Section 701.4, must have 
a valid construction and operation permit issued under the provisions 
of this title. 

 

 Section 701.4. EXEMPTIONS. 

Dams meeting either of the following criteria are not subject to rules 
contained in this title, unless Section 701.5 of this title is 
successfully invoked. 

A. Dams with height less than 25 feet. 
B. Dams with normal storage less than 50 acre-feet. 
C. Dams with crest elevations below the ordinary high water 
mark of the stream at that location. 


 

Section 701.5. PETITION BY AFFECTED PERSONS. 

Persons who believe themselves or their property to be endangered by 
failure of a dam which is below the size requirements specified in 
Section 701.4 may file a petition requesting that the Commission 
require permitting and compliance with dam safety regulations for that 
dam. 

 A. Commission Investigation. Upon receipt of such petition, 
the Executive Director shall immediately begin an investigation 
of the petitioner’s allegations. 

 B. Public Hearing. As a part of the Commission’s 
investigation, a Public Hearing shall be held within the county 
in which the dam is located. Notice of the hearing shall be 
published in a manner consistent with Section 702.8. 

 C. Commission Order. Upon consideration of staff findings 
and testimony received, the Commission shall issue an order 
either approving or denying the petitioner’s request. 

 

 Section 701.6. DUTIES, OBLIGATIONS, AND LIABILITIES OF DAM 
OWNERS. 

Nothing in these rules shall be construed to relieve an owner or 
operator of a dam or reservoir of the legal duties, obligations, or 
liabilities incident to ownership or operation. 


 

 Section 701.7. NO LIABILITY BY COMMISSION, EMPLOYEES, OR AGENTS. 

No action shall be brought against the State or the Commission or its 
employees or agents for the recovery of damages caused by the partial 
or total failure of any dam or reservoir or through the operation of 
any dam or reservoir upon the grounds that the aforementioned parties 
are liable by virtue of any of the following: 

A. The approval of the dam or reservoir, or approval of floodhandling 
plans during construction; 
B. The issuance or enforcement of orders relative to 
maintenance and operation of the dam or reservoir; 
C. Inspection, control and regulation of the dam or reservoir; 
D. Measures taken to protect against failure during an 
emergency. 


 

Section 701.8. EXCEPTIONS. 

The Commission may grant exceptions to requirements contained within 
this title. Any variance from these rules must be supported by 
written approval of the Commission’s Executive Director setting forth 
the reason for its granting and the limits placed thereon. 

 

 

SUBTITLE II. PERMITS FOR DAMS 

 

 Section 702.1. CONSTRUCTION PERMIT. 

A permit issued by the Commission is required prior to construction of 
any dam not exempted under Sections 701.3 or 701.4 of this title. 

 

 Section 702.2. OPERATION PERMIT. 

A. Before water is deliberately impounded by closing drain 
gates on a newly constructed dam, an operation permit must be 
issued by the Commission. An operation permit will be issued by 
the Chief Engineer upon completion of final inspection and 
receipt of the Certificate of Substantial Compliance by the 
owner’s engineer. (See Section 706.6). 


B. An operation permit is required for all existing dams not 
exempted under Sections 701.3 or 701.4 of this title. 


 

 

 

 

 

 

Section 702.3. TRANSFER OF PERMIT. 

Within six (6) months after change of ownership of a permitted dam, 
the new owner shall notify the Commission. The Commission shall issue 
a dam permit in the name of the new owner. 

 

 Section 702.4. WATER PLAN COMPLIANCE. 

Filing of an application to permit a proposed dam also serves as 
filing for Water Plan Compliance Certification as described in Section 
602.5 of the Commission’s rules. The water plan compliance process 
may run concurrently with the dam permit review. 

 

 Section 702.5. APPLICATION. 

Applicants for dam permits must provide all applicable information 
requested on the form supplied by the Commission. 

 

 Section 702.6. COMMISSION REVIEW. 


Upon receipt of application for dam permit, the Commission staff will 
review data presented to determine compliance with State law, 
Commission rules, and accepted engineering practices. If necessary, 
the staff may request additional data to insure compliance. 

 

 Section 702.7. PUBLIC NOTICE. 

Upon completion of Commission review, the Executive Director will 
cause a Public Notice to be published two times, one week apart. The 
Public Notice will be placed in a newspaper having general circulation 
in the county in which the dam is/will be located. Information in the 
public notice will include: the owner’s name and address, the dam’s 
location and pertinent physical data describing the dam. In addition, 
the Public Notice will request that questions, comments and objections 
to the dam’s permitting and/or requests for public hearing be 
forwarded in writing to the Commission for action within twenty (20) 
days after the second publication. 

 

 Section 702.8. PUBLIC HEARING. 

If requested, the Executive Director shall cause a Public Hearing to 
be conducted within the county in which the dam is/will be located. 
Said hearing will be for the purpose of describing the proposed 
actions and taking testimony regarding the public view of the 
proposal. The Executive Director shall cause publication of a public 
notice describing the time, place and purpose of the Public Hearing. 
Copies of the public notice shall be furnished to the owner(s), 
complainant(s) and adjacent landowners (if known). Publication shall 
be in a newspaper having general circulation in the county in which 
the dam is/will be located. Notice shall be published twice, one week 
apart. 

 

 Section 702.9. COMMISSION ACTION. 

A. If no Public Hearing is requested as a result of the Public 
Notice, the Executive Director will either approve or deny the 
permit request. 
B. If a Public Hearing is requested as a result of the Public 
Notice, the Executive Director will approve or deny the permit 
request based upon the evidence presented. 
C. Prior to issuance of the permit, a Water Plan Compliance 
Certification must be obtained as prescribed in Title VI of the 
Commission’s rules, if applicable. 


 

 

SUBTITLE III. FEES 

 

 Section 703.1. ESTIMATED APPLICATION REVIEW FEES. 

Any application for permitting a proposed dam after March 24, 1993, 
shall be accompanied by a check for one percent (1%) of the estimated 
construction cost of the dam or $100.00, whichever is greater, except 
that no application review fee shall exceed $1000.00. 

 

 Section 703.2. FINAL COST REPORT. 

The owner shall provide to the Commission a report of actual 
construction costs within forty-five (45) days after completion of 
construction. 

 

 Section 703.3. FINAL APPLICATION REVIEW FEES. 

A. If the estimated application review fee exceeds the fee 
based on actual construction cost, an amount equal to the 
difference will be refunded. 



B. If the fee based on construction cost exceeds the estimated 
application review fee, an amount equal to the difference will be 
paid to the Commission. 


 

Section 703.4. ANNUAL PERMIT FEE. 

The annual permit fee shall be computed as specified in Ark. Code Ann. 
§15-22-219, as may be amended from time to time. 

 

Excerpt from Ark. Code Ann. §15-22-219: 

Any person obtaining a permit under the 
provisions of §15-22-210 shall, in consideration 
therefor, pay to the Commission a fee equal to 
twelve cents (12¢ per acre-foot of water which 
the dam involved is designed to impound, but not 
less than twenty-five dollars ($25.00), nor more 
than ten thousand dollars ($10,000.00). The 
permit shall provide that the same fee shall be 
paid by that person to the Commission each year 
thereafter during which the dam is maintained, on 
or before the anniversary date of the issuance of 
the permit. 

 

The volume “the dam involved is designed to impound” is defined as the 
billing volume. (See Subtitle XII, GLOSSARY) 

 

 

SUBTITLE IV. ENFORCEMENT 

 

 Section 704.1. NOTICE OF NON-EMERGENCY DEFICIENCY. 

Upon discovery of a deficiency, which does not immediately threaten 
the dam’s safety, the Chief Engineer will issue a letter specifying 
actions necessary to remedy the problem and requesting a schedule for 
implementing the required actions. Based on mutual agreement a 
consent order will be issued which will embody the agreed upon actions 
and timetable. 

 

 Section 704.2. PUBLIC HEARINGS. 

In the event remedial measures for non-emergency deficiencies cannot 
be accomplished through the means of consent orders, the Executive 
Director shall cause a Public Hearing to be conducted to present the 
staff’s proposed order and accept testimony. The hearing shall be 
conducted in the county in which the dam is located. Public notice of 
the hearing shall be provided in a manner consistent with Section 
702.8 of this title. 

 

 Section 704.3. COMMISSION ORDERS. 

After review of findings of the Public Hearing, the Commission may 
issue orders compelling specified actions. 

 

 Section 704.4. PENALTIES. 

Non-compliance with commission rules or disregard of Commission orders 
may result in fines of up to $10,000. In general, penalties will be 
set by doubling the costs incurred by the Commission. 

 

 Section 704.5. EMERGENCY REMEDIAL ORDERS. 

Upon discovery of a condition which renders a dam subject to rapid 
failure, the Executive Director may issue an Emergency Remedial Order 
describing actions which must be taken to protect life and property. 


Failure to comply with these orders may result in penalties under 
Section 704.4. 

 

 Section 704.6. APPEALS. 

Actions by the Commission may be appealed as described in Subtitle V 
of Title I, rules of Organization and General Operation of the 
Arkansas Soil and Water Conservation Commission. 

 

 

SUBTITLE V. DESIGN CRITERIA 

 

 Section 705.1. GENERAL STANDARDS. 

All dams must be designed in accordance with currently accepted 
engineering practices. Acceptable guidelines include those published 
and recommended by the U.S. Army Corps of Engineers; U.S. Department 
of Agriculture, Soil Conservation Service; U.S. Department of 
Interior, bureau of Reclamation; and Federal Energy Regulatory 
Commission. 

 

 

 Section 705.2. REGISTERED PROFESSIONAL ENGINEER. 

Preparation of all plans and specifications, and the construction, 
enlargement alteration, repair or removal of dams subject to 
Commission review shall be under the supervision of an engineer 
registered in this state. 

 

 Section 705.3. SIZE CLASSIFICATION CRITERIA. 

Size classification is based on the more stringent of two categories, 
either height of dam or maximum storage, and shall be in accordance 
with Table 1 of this section. 

 

 

 

Table 1 

 

SIZE CLASSIFICATION 

 

 

 MAXIMUM STORAGE HEIGHT 

 SIZE (ACRE-FEET) (FEET) 

 

 Small 50 to 1000 25 to 40 

 

 Intermediate • 1000 •40 

 And < 50,000 and < 100 

 

 Large • 50,000 • 100 

 



 

 

 Section 705.4. HAZARD CLASSIFICATION CRITERIA. 

All dams will be classified or reclassified as required to assure 
appropriate safety considerations. Hazard classification shall be 
based on the more stringent of either potential loss of human life or 
economic loss in accordance with Table 2 of this section. If doubt 
exists concerning classification, the more hazardous category must be 
selected. 

 


NOTE: The hazard classification does not indicate the physical 
condition of a dam. 

 


 

Table 2 

 

HAZARD CLASSIFICATION 

 

 

 LOSS OF 

 CATEGORY HUMAN LIFE ECONOMIC LOSS 

 

 Low No Minimal (No significant 
structures; pastures, woodland, 
or largely undeveloped land); 
less than $100,000. 

 

 Significant No Appreciable (Significant 
structures, industrial, or 
commercial development, or 
cropland); $100,000 to $500,000. 

 

 High Yes Excessive (Extensive public, 
industrial, commercial, or 
agricultural development); over 
$500,000. 

 

NOTE: Loss of human life is based upon presence of habitable 
structures. 

 

 

 

 

 

 Section 705.5. SPILLWAY DESIGN FLOOD (SDF) FOR DAMS. 

The size and hazard classifications are combined to determine the 
hydrologic criteria for dams. 

A. The minimum acceptable spillway design floods (SDFs) for 
dams are shown in Table 3. 
B. The minimum hydrologic criteria may be reduced if properly 
prepared dam breach analyses show that dam failure during the SDF 
would cause an increase in flood level of one foot or less at, 
and downstream of, the first habitable structure or financially 
significant development. 


 

 


 

Table 3 

 

SPILLWAY DESIGN FLOOD FOR DAMS 

 

 

 HAZARD SPILLWAY 

 CLASSIFICATION SIZE DESIGN FLOOD 

 

 Low Small .25 PMF 

 Intermediate .25 to .50 PMF 

 * Large .50 to .75 PMF 

 

 Significant Small .25 to .50 PMF 

 Intermediate .50 to PMF 

 Large PMF 

 

 High Small .50 PMF to PMF 

 Intermediate PMF 

 Large PMF 

 

 

NOTE: Where ranges are given in this table, the spillway design 
flood shall be determined by straight line interpolation, based 
upon the effective height of dam or maximum storage, whichever 
computed SDF is greater. 

 

 *SDF shall be extrapolated at the same rate of change as an 
intermediate size dam to a maximum of .75 PMF. 

 



 

 

 

 Section 705.6. DOWNSTREAM RELEASES. 

Each dam constructed after the effective date of these regulations 
shall be equipped with a release port(s) designed to release a flow of 
water for instream and downstream riparian uses. 

A. Minimum release quantities shall be sufficient to maintain 
existing instream and offstream uses and shall be defined after 
consideration of the best available low flow information. 
B. Minimum release ports must be designed to operate without 
manual intervention. 


 

 

 

 

 

 

 

 

 

 

Section 705.7. RESERVOIR DRAIN CONDUIT. 

All proposed dams must include a permanent facility for draining the 
reservoir. 

A. Such conduit shall have a minimum diameter of twelve (12) 
inches for watershed areas less than one square mile and eighteen 
(18) inches for watershed greater than one square mile. Such 



conduits must be capable of lowering the surface of the reservoir 
at a rate not less than two (2) inches per day (at normal pool) 
while inflow to the reservoir is twice the annual average daily 
flow. 
B. Operating equipment for the drain facility must be 
accessible from above the maximum design water surface, unless 
inlet design is such that the conduit is flowing at capacity at a 
lower elevation. 


 

Section 705.8. STRUCTURAL CRITERIA. 

As a minimum, the design must address the following: 

A. Slope stability under all probable loading conditions. 
B. Stability against sliding and overturning. 
C. Adequacy of foundation for imposed loads. 
D. Adequacy of energy dissipating devices at discharge points. 
E. Adequacy of channels and conduits for expected flows. 
F. Protection of embankments and other earth slopes from 
erosion. 
G. Stability against seismic forces for all “High or 
Significant Hazard” dams in Seismic Zones 2 and 3. (See Figure 
1.) 


 

 

SUBTITLE VI. CONSTRUCTION REQUIREMENTS 

 

 Section 706.1. PLANS AND SPECIFICATIONS. 

Written approval of plans and specifications must be obtained from the 
Chief Engineer prior to start of construction. 

 

 Section 706.2. CONSTRUCTION INSPECTIONS. 

An agent of the design registered professional engineer must be on 
site during construction to ensure that techniques and materials used 
comply with plans and specifications. 

 

 Section 706.3. CONSTRUCTION RECORDS. 

The applicant (or applicant’s engineer) must retain construction 
records throughout the life of the dam. As a minimum, the records 
must include: 

A. Daily log of construction activities. 
B. Record of personnel and equipment on site. 
C. Documentation of soil tests such as standard proctor, inplace 
density, and moisture. 
D. Documentation of concrete cylinder tests. 
E. Copies of all engineering change orders and field change 
notes. 


 


 

 

 

 

 

 

 

Section 706.4. EROSION PROTECTION 


During construction, adequate measures must be taken to prevent 
excessive erosion and off site sedimentation. Suitable techniques 
include: temporary vegetation, mulching, staked straw bales, filter 
fences, and chemical stabilization. Other techniques may be sued is 
approved by the Chief Engineer. 

 

 Section 706.5. FINAL INSPECTION. 

Upon substantial completion of construction, the owner must notify the 
Commission and schedule a final inspection of the work. 

 

 Section 706.6. ENGINEER’S CERTIFICATION. 

Upon completion of construction, the project engineer shall file with 
the Commission a certificate of substantial compliance with approved 
plans and specifications. 

 

 Section 706.7. RECORD DRAWINGS. 

Within sixty (60) days after completion of construction, the owner, or 
his engineer, shall submit to the Chief Engineer a complete set of 
record drawings of the project for filing as a permanent record with 
the Commission. 

 

 Section 706.8. PERMANENT REFERENCE MARKS. 

Two or more permanent reference marks shall be established for future 
use near but not on the dam. Accurate longitude, latitude and 
elevation shall be shown on the record drawings. Elevations shall be 
referenced to the National Geodetic Vertical Datum of 1929. 

 

 

SUBTITLE VII. EVALUATIONS OF EXISTING DAMS 

 

 Section 707.1. TYPES OF EVALUATIONS. 

A. Spillway Design Flood. Existing dams will be evaluated 
periodically to determine if development of downstream areas 
warrants change in hazard classification and review of spillway 
design flood (SDF). Overtopping during the SDF may be allowed if 
properly prepared analyses demonstrate that: (1) overtopping 
will have a return interval greater than 25 years; and (2) the 
dam will withstand the projected overtopping without failure. 
B. Structural. A complete evaluation of the structural 
integrity may include the following: geotechnical investigation, 
structural stability, seismic resistance, horizontal and vertical 
alignments, structural concrete reliability, erosion controls, 
inlet and outlet works, stilling basins, seepage, and others. 
C. Operation and Maintenance. Evaluation of an existing 
structure shall include, but not be limited to: visual 
inspections and evaluations of potential problems such as 
leakage, seepage, cracks, slides, settlement, spillway blockages, 
conduit controls and other operational and maintenance 
deficiencies which could lead to failure of the dam. There may 
be sufficient evidence for a finding that an existing dam is 
inadequate. 


 

Section 707.2. DEFICIENCIES. 

Dams not meeting minimum acceptable standards (See Subtitle V and 
VIII) are deemed inadequate and therefore subject to necessary action 
under Subtitle IV. 

 

 Section 707.3. INTERIM ALTERNATIVES. 


When the Commission considers the permanent upgrading or removal of an 
inadequate dam, the dam owner may request the Commission to consider 
interim alternatives including, but not limited to, temporary repairs, 
reservoir dewatering, insurance coverage, and downstream 
warning/evacuation plans. Consideration shall be given to the time 
required to overcome economic, physical and legal restraints to 
upgrading, the prospect of permanent repair, current use of the 
facility, degree of risk, and public welfare. 

 

 Section 707.4. VARIANCE. 

Upon request by the owner of an existing dam which does not meet the 
minimum acceptable standards stated in Subtitles V and VIII of this 
title, the Chief engineer may authorize a variance from these 
criteria. The Chief Engineer’s decision shall consider: (a) 
consequences of dam failure, (b) the owner’s proposal for reduction of 
hazards, (c) barriers to upgrading of the structure, and (d) other 
pertinent factors. 

 

 

SUBTITLE VIII. OPERATION AND MAINTENANCE 

 

 Section 708.1. COMPLIANCE WITH APPROVED DOCUMENTS. 

Operation and maintenance must be performed in accord with documents 
filed by the owner or owner’s engineer in obtaining the dam permit. 

 

 Section 708.2. EROSION PROTECTION. 

Maintenance of adequate means to protect embankments, abutments, 
crests, and earthen channels from erosion is required. 

 

 Section 708.3. WOODY VEGETATION PROHIBITED: EMBANKMENT DAMS. 

Growth of woody vegetation is not permitted on the spillway, crest, 
upstream or downstream embankments, and within twenty (20) feet of the 
downstream toe or groin of the dam. 

A. Remediation: Trees with roots likely to extend to the 
crest of the dam shall be removed. Trees whose roots are 
unlikely to extend to the crest may remain if erosion control 
vegetation can be maintained and inspections can be accomplished. 
Trees larger than six (6) inches in diameter which are to be 
removed from embankments, must be removed together with roots 
larger than two inches. The resulting voids shall be repaired 
with compacted soil similar to the remaining embankment material. 
Smaller trees and brush, and those not on embankments may be cut 
and/or treated with herbicide. 
B. Time for compliance: New growth must be removed before it 
shades out desirable vegetation generally on a two-year cycle. 
Where extensive tree and brush growth were established prior to 
adoption of these rules, a compliance schedule of up to five 
years may be approved provided that: (a) No evidence of 
significant immediate hazard is detected; (b) The compliance 
schedule includes a reasonable estimate for costs, and a rational 
procedure for accumulating necessary funds; (c) Vegetation is not 
so dense that effective inspections are impossible; and (d) 
Appropriate annual efforts are scheduled. The long-term schedule 
may be cancelled if evidence of immediate hazards is discovered 
in subsequent inspections. 


 

Section 708.4. WOODY VEGETATION PROHIBITED; CONCRETE OR MASONRY 
DAMS. 


No grass, vines, brush, trees or other vegetation is permitted to grow 
in cracks or joint of concrete or masonry structures. 

 A. Remediation: Vegetation shall be removed by manual, 
mechanical or chemical means or a combination thereof. Open 
cracks or joints shall be repaired by approved means. 

C. Time for compliance: In the absence of conditions 
indicating immediate hazards, a schedule resulting in complete 
compliance within six months may be approved. 


 

Section 708.5. OPERATION OF GATES AND CONTROLS. 

All gates, valves and controls, must be maintained in operational 
condition. Operation of each such item must be tested at least 
annually, and such tests must be documented in the owner’s permanent 
records. However, tests may be waived by the Chief Engineer if the 
design of drainage facilities and/or their condition is such that 
reclosing the drain would be impossible until the reservoir was 
substantially emptied. 

 

 Section 708.6. REPAIRS AND MODIFICATIONS. 

Written approval by the Chief Engineer is required before repairs or 
modifications to a dam or appurtenances may be undertaken. Plans and 
specifications prepared by a registered professional engineer may be 
required for major actions. 

 

 Section 708.7. RECORDS. 

Documentation of all owner’s inspections, and repairs or modifications 
to the dam or appurtenances must be retained by the owner. 

 

 

SUBTITLE IX. INSPECTION 

 

 Section 709.1. OWNER INSPECTIONS. 

At least once per year and after each major storm event, the owner (or 
owner’s agent) of all permitted dams must perform a visual inspection 
of the dam. Results of such inspections must be summarized on forms 
supplied by the Commission and mailed to the Commission office within 
10 days of inspection. Commission staff may provide training or 
assistance in performing or interpreting inspections. Any 
deterioration of the dam or appurtenances must be reported to the 
Commission, and remedial measures undertaken after approval by the 
Chief Engineer. 

 

 Section 709.2. COMMISSION INSPECTIONS. 

Commission personnel will periodically perform inspections of each 
permitted dam. Commission inspections are of three types: 
Maintenance and Operation; Dam Safety Evaluation; and Emergency. The 
frequency of inspections and evaluations will vary according to the 
hazard rating, size and condition of the dam. Emergency inspections 
will be performed when conditions warrant. 

 

 Section 709.3. ACCESS. 

The owner or owner’s agent must provide Commission personnel access to 
the dam during reasonable working hours for Commission inspections. 
Access during emergency conditions must be available to Commission 
personnel. 

 

 Section 709.4. ASSISTANCE BY OWNER. 


The owner or owner’s agent may be requested to provide limited 
assistance to Commission personnel in performing inspections. 
Requested assistance may include: 

A. Operating gates, valves, and other controls. 
B. Cutting excessive vegetation in preparation for 
inspections. 


 

 

SUBTITLE X. EMERGENCY ACTION PLANS 

 

 Section 710.1. EMERGENCY ACTION PLANS REQUIRED. 

An emergency action plan (EAP) must be prepared by the owner for all 
permitted high hazard dams. 

 

 Section 710.2. APPROVAL OF EMERGENCY ACTION PLANS REQUIRED. 

Written approval of the Chief Engineer must be obtained for all EAPs. 

 

 Section 710.3. CONTENTS OF EMERGENCY ACTION PLANS. 

Site conditions will dictate exact contents of specific EAPs. 
Guidelines for preparation of EAPs are available from the Commission. 

 

 Section 710.4. ANNUAL EXERCISES AND DRILLS. 

Implementation of EAPs must include at least one tabletop exercise per 
year and one test drill every three years. The Commission’s Chief 
Engineer must be notified at least one week in advance of either 
procedure. 

 

 

SUBTITLE XI. REMOVAL OF DAMS 

 

 Section 711.1. APPROVAL OF PLANS REQUIRED. 

Prior to removal, a plan for removal and revegetation must be approved 
by the Chief Engineer. 

 

 Section 711.2. NOTICE TO DOWNSTREAM LANDOWNERS. 

Downstream landowners must be notified of the proposed action if any 
measure of flood protection would be lost due to the removal of the 
dam. 

 

 Section 711.3. RIGHTS OF OTHER LANDOWNERS. 

Downstream landowners and those adjacent to the reservoir have the 
right to notice of projected changes in streamflow patterns or 
reservoir levels, but do not have the right to continued benefits at 
the dam owner’s expense, unless the dam owner is contractually bound 
to provide such benefits. 

 

 Section 711.4. PROCEDURE FOR BREACHING. 

The procedure for breaching must adequately guard against downstream 
flooding, erosion, and sedimentation. 

 

 Section 711.5. RESTORATION OF ORIGINAL STREAM CHANNEL. 

Dimensions of the final cut through the dam must be defined in the 
plan and must be of sufficient size to prevent impounding water when 
streamflow equals the 100-year flood. 

 

 Section 711.6. EROSION PROTECTION. 

The plan must provide for establishment of vegetation or other erosion 
protection measures sufficient to guard against deposition of 
excessive sediment off site. 


 

 

SUBTITLE XII. GLOSSARY 

 

Unless clearly indicated by context, the following words and terms, 
when used in this title, shall have meanings as defined below: 

 

A. Billing volume – Normal storage designed to contain 
sediment accumulation over the life of the dam. 
B. Chief Engineer – The Deputy Director/Chief Engineer of the 
Arkansas Soil and Water Conservation Commission. 
C. Commission – The Arkansas Natural Resources Commission. 
D. Construction costs – Estimated or actual material and labor 
costs, including excavation, embankment placement, spillways, 
gates, valves, and conduits. Shall not include costs of: land, 
reservoir clearing, engineering, water treatment facilities, or 
other costs not directly related to construction of the dam. 
E. Dam – Any barrier, including one for flood detention, 
designed to impound liquid volumes. This shall not include 
highway, railroad or other roadway embankments, including low 
water crossings that may temporarily detain floodwater, levees 
designed to prevent inundation by floodwater, or closed dikes to 
temporarily impound liquids in the event of emergencies and those 
barriers not exempt by Sections 701.3 or 701.4 of this title. 
F. Effective crest of the dam – The elevation of the lowest 
pint on the crest of the dam excluding spillways. 
G. Executive Director – The Executive Director of the Arkansas 
Natural Resources Commission. 
H. Height of dam – The vertical distance from the effective 
crest of the dam to the lowest elevation on the downstream toe of 
the dam. 
I. Maximum storage – The volume of the impoundment created by 
the dam at the effective crest of the dam. 
J. Minimum release – Daily quantity of water which must be 
released to preserve downstream riparian rights, permitted nonriparian 
rights or to meet instream water needs including, but 
not limited to those of fish and wildlife. 
K. Normal storage – The volume of the impoundment created by 
the dam at the lowest uncontrolled spillway crest. 
L. PMF (probable maximum flood) – The maximum runoff condition 
resulting from the most severe combination of hydrologic and 
meteorologic conditions that are reasonably possible for a given 
watershed. The PMF is the maximum runoff computed from the 
spatial and temporal distribution of the PMP over the watershed. 
M. PMP (probable maximum precipitation) – The greatest 
theoretical depth of precipitation (rainfall equivalent) for a 
given duration that is physically possible over a given size 
storm area at a particular geographical location at a certain 
time of the year. 
N. Spillway design flood (SDF) – The largest flood the 
spillway must pass without overtopping a dam. 



Senior Engineer, California Department of Water Resources, Division of Safety of Dams, P.O. Box 942836, 1 
Sacramento, California 94236-0001 
Principal Engineer, California Department of Water Resources, Division of Safety of Dams 2 
HYDROLOGIC ANALYSIS WITHIN CALIFORNIA'S 
DAM SAFETY PROGRAM 
By Emil R. Calzascia 1 and James A. Fitzpatrick2 
Introduction 
The topography and climate of California are extremely diverse, ranging from low elevations at 
the coast to the high altitudes of the Sierras, from less than 3 inches of annual rainfall in the southeast 
desert basins to over 120 inches on the extreme north coast. Drainage basins for dams vary in size 
from portions of an acre to thousands of square miles. Stream gages are sparse in most areas and are 
essentially nonexistent in the undeveloped areas. Accurate estimation of rare flood flows from 
recorded data is especially difficult due to the lack of basic site-specific flow data from which the 
flood producing potential of a drainage basin can be predicted. However, estimates of rare floods 
must be developed for all damsites to be used in evaluation of spillway capacities. To this end, 
precipitation records are employed in lieu of actual flow data. A method was developed by 
California's Division of Safety of Dams (DSOD) to estimate flood hydrographs for ungaged or poorly 
gaged watersheds for use in spillway evaluation. 
Outline of Method 
DSOD requires that all dams within its jurisdiction be capable of adequately passing a selected 
design flood. A method has been devised by DSOD to determine the hydrologic adequacy of any 
spillway in California on a rational and consistent basis (DSOD, 1981). 
The procedure can be divided into eight parts: 
1. Assessment of the potential downstream hazard 
2. Determination of appropriate storm return period 
3. Development of precipitation 
4. Development of synthetic unit hydrograph parameters 
5. Development of loss rate parameters 
6. Computation of the flood hydrograph 
7. Routing of the flood hydrograph through the reservoir 
8. Evaluation of the spillway adequacy 
The following discussion will, elaborate on the basic concepts underlying these procedures, but 
will not present detailed design formulas or criteria.
Hazard Assessment 
The hazard classification of any given dam is determined with respect to the dam's size and to the 
potential downstream damage due to failure of the structure. The classification is selected from a 
rating system that considers (1) reservoir capacity, (2) dam height, (3) estimated number of people 
that would be placed in peril and need to be evacuated in anticipation of dam failure, and (4) potential 
downstream property damage. Each factor is categorized as low, moderate, high or extreme. The 
method produces a composite numerical rating termed the Total Class Weight (TCW). The form, 
shown in Figure 1, is used as an aid to determine the TCW. With this system, small remote dams 
generally have a TCW of 2, while large urban dams might have a TCW of 36. The capacity of the 
reservoir and height of the dam are clearly defined. Estimated evacuation and potential downstream 
damage are uncertain and require an investigation of the potentially flooded area. This investigation 
includes estimating the population at risk, the possible loss of life, the physical property damage, the 
social consequences and the environmental impact. Through application to the many dams under its 
jurisdiction, DSOD has developed a coherent and uniform approach to conducting the damage 
investigations so that consistent total class weights are found. 
DSOD does not allow the use of Economic Risk Analysis in the selection of a design flood for 
spillway evaluation. It is felt that the above procedure adequately addresses the issue of risk. 
DAMAGE POTENTIAL CLASSIFICATION FOR 
FLOOD ESTIMATE AND SPILLWAY ANALYSIS 
Name of Dam __________________ Type of Dam ______________Dam No. __________ 
County _______________________ Located on _________________________________ 
Damage Potential Rating 
Extreme High Moderate Low 
Capacity __________ AF 100,000 & Over 1,000-99,999 100-999 15-99 
(circle weight) 6 4 2 0 
Height ____________ Ft. 150 & Over 100-149 50-99 6-49 
(circle weight) 6 4 2 0 
Estimated Evacuation ______ 1,000 & Over 100-999 1-99 None 
(circle weight) 12 8 4 0 
Potential D/S Damage High Moderate Low None 
(circle weight) 12 8 4 0 
Total Class Weight ________ 
Figure 1
Total Class Weight Histogram 
0 
40 
80 
120 
160 
200 
2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34 36 
TCW 
Number of Dams 
Precipitation 
It is prudent to a allow a continuous range of design floods corresponding to the developed Total 
Class Weights. The minimum allowable design event required is a 1000 year storm which 
corresponds with a TCW of 4. The maximum event is a storm derived from the Probable Maximum 
Precipitation and is equated with a TCW of 30. The design event is interpolated between these limits 
at the computed TCW. Typically, probable maximum precipitation storms are required only for dams 
that impound 1000 acre-feet or more, are at least 50 feet high, would require an estimated evacuation 
of at least 1000 people, and have a damage potential of $25,000,000 or greater. However, most 
dams require a design storm falling between the 1000 year event and the probable maximum event. 
Figure 2 presents a histogram of TCW (as determined by DSOD) for all jurisdictional dams within 
California. As can be seen, less than 8 percent of all dams require a PMF. 
If the TCW is 30 or greater, the design storm is the probable maximum precipitation (PMP) as 
determined by Hydrometeorological Report No. 36 (U.S. Weather Bureau, 1961) or Hydrometeorological 
Report No. 49 (National Weather Service, 1977), depending on geographical location. The 
estimated rainfall is determined directly for these reports. 
If the TCW is less than 30, a statistical frequency estimate of the rainfall is chosen. It is assumed 
that extreme precipitation follows a Pearson Type III probability distribution, with a general skew of 
1.3 for northern California and 1.5 for southern California.
 The equation for precipitation is: 
P = M + k* S ij i j i 
= (1.0 + k * CV) * M j i i 
where: 
P = extreme precipitation value ij 
M = average of extreme values i 
S = standard deviation i 
k = frequency factor j 
CV = coefficient of variation i 
where: 
subscript denotes the event duration i 
subscript denotes the return period j 
The appropriate coefficient of variation for the drainage basin is obtained from Bulletin 195 
(DWR, 1976). This publication is a statistical compilation of observed rainfall data for both longterm 
and short-term durations from measuring stations throughout California. The mean rainfall 
values for various time durations are found from Bulletin 195 or from other available rainfall records 
for stations in the vicinity of the given basin. These means combined with the proper number of 
standard deviations give the precipitation estimates. 
The number of standard deviations (k,) required for a 1000 year storm is 4.96 for northern 
California and 5.23 for southern California. The equivalent number of standard deviations for the 
PMP is obtained from a generalized contour plot relating this upper limit to geographical location. 
Using a nonlinear proration between these two points (k ,TCW and k ,TCW ), the k, for 1000 1000 PMP PMP 
the given TCW is obtained. The corresponding return period is computed from the probability 
distribution. 
The rainfall depth-duration values are estimated either by the PMP procedures or the above 
described statistical method. After adjustment for watershed area, the results are plotted on log-log 
scales and smoothed if necessary to obtain the depth-duration curve. 
Unit Hydrograph 
Where no known reliable hydrographs exist, recourse is made to the computation of a synthetic 
unit hydrograph by Clark's method (Clark, 1945). Clark's unitgraph parameters are obtained from 
a generalized study of observed rainfall and runoff events, which related these parameters to drainage 
basin characteristics by regression analysis (DWR, 1971). The study is applicable to the State of 
California except that area south of the Tehachapi Mountain Divide and the area east of the Sierra 
Nevada Divide. The study was limited to drainage basins approximately 30 square miles or less in 
area, in recognition that approximately 80 percent of the dams under jurisdiction of the Division of 
Safety of Dams have drainage areas of less than this size. Most of the damsites for large reservoirs 
have been exploited in California, and dams that will be constructed in the future will, for the most 
part, be smaller in size and have relatively small drainage areas. Future dams with large drainage 
basins will require special investigation. 
The regression equations from the generalized study relate the drainage basin characteristics of
stream length, area, elevation, and ground cover to the time of concentration (t ) and Clark's storage c 
coefficient (R) for development of a basin-specific unit hydrograph. The study also presents 
guidelines for estimating loss rate parameters. 
For coastal basins south of the Tehachapi Mountains, the unitgraph and loss rate parameters are 
obtained by the procedure given in the U. S. Army Corps of Engineers report entitled "Generalized 
Standard Project Rainflood Criteria-Southern California Coastal Streams", (Hydrologic Engineering 
Center, 1967). 
Guidelines for southeastern California have been developed in a study (Mayer, 1987) similar to 
that for northern California. The region is subdivided into three subareas, with regression equations 
presented to develop unit hydrograph and loss rate parameters. 
Flood Hydrograph 
The flood hydrograph is developed using the computer program HEC-1 (Hydrologic Engineering 
Center, 1981). The program obtains the flood hydrograph by convolution of the effective rainfall 
increments with Clark's unitgraph. 
Rainfall increments are determined from the depth-duration curve at specified time intervals and 
are then arranged into a storm pattern which places the maximum value at the center of the storm 
duration with successively smaller values placed alternately on each side (approximating a bell-shaped 
distribution). In general, the total precipitation duration is taken to be 72 hours. If routing will not 
significantly affect the peak outflow, a shorter storm (e.g., 24 hours) can be considered since the peak 
inflow will be about the same in either case. 
It is assumed that antecedent storms have saturated the drainage basin so that loss rates are fairly 
low. For each time interval, the losses from rainfall due to surface retention and infiltration are 
estimated by the exponential loss rate function within HEC-1. These losses are deducted from the 
distributed precipitation to produce excess rainfall values for each time interval. The general criteria 
is that the percent runoff should not be less than 70 when the mean annual precipitation (MAP) at the 
basin is greater than 25 inches and should not be less than 60 when the MAP is 25 inches or less. 
If applicable, allowances for snowmelt, base flow in the basin, runoff from prior storms, import 
of water etc., are added to the storm runoff hydrograph to obtain the design flood hydrograph for the 
watershed. 
Flood Routing Through Reservoir 
The design flood hydrograph is routed through the reservoir and spillway(s) to obtain the timehistory 
of storage elevation, spillway discharge, tailwater elevation, etc. that describe passage of the 
flood through the reservoir. This is essentially a process of accounting for volumes of inflow, 
storage, and outflow throughout the duration of the flood. It is usually assumed that the reservoir 
is full at the beginning of the design flood. If there are several reservoirs in the watershed, the 
reservoir routing is repeated from the uppermost to the most downstream reservoir, in turn. 
Evaluating Spillway Capacity
 New embankment dams must pass the spillway design flood with a minimum of 1.5 feet of residual 
freeboard above the maximum reservoir flood stage. Additional freeboard is required for severe wave 
conditions from wind effects. Residual freeboard requirements for new concrete dams are based on 
the ability of the abutments and foundation to resist damage from overpour. Existing embankment 
dams must pass the spillway design flood without overtopping. 
Refinements and Future Enhancements 
It is the policy of DSOD to continually refine the developed methodology as new data becomes 
available and as the state-of-the-art advances. A reevaluation of the coefficients of variation, skew 
factors, and the appropriate probability distribution for precipitation is presently underway. 
REFERENCES 
California Department of Water Resources (1971), Rare Flood Estimates for Small Ungaged 
Watersheds in California, (Including revision of 1976); Division of Safety of Dams 
California Department of Water Resources (1976), Rainfall Analysis for Drainage Design, Volume 
I: Short-Duration Precipitation Frequency Data and Volume II: Long-Duration Precipitation 
Frequency Data, Bulletin No. 195 Sacramento: State of California, Resources Agency 
Clark, C. O. (1945), Storage and the Unit Hydrograph, Transactions of the American Society of 
Civil Engineers 110, p. 1419-1446 
Division of Safety of Dams (1981), Hydrology Manual-Flood Estimates for Dams 
Sacramento: California Department of Water Resources 
Hydrologic Engineering Center (March 1967), Generalized Standard Project Rainflood Criteria- 
Southern California Coastal Streams, Sacramento: U.S. Army, Corps of Engineers 
Hydrologic Engineering Center (September 1981), HEC-1 Flood Hydrograph Package Davis, 
California: U.S. Army, Corps of Engineers 
Mayer, R. G. (1987), Unit Hydrographs for Small Ungaged Watersheds in Southeastern California, 
Sacramento: California State University, Sacramento 
National Weather Service (1977), Probable Maximum Precipitation Estimates, Colorado River and 
Great Basin Drainages, Hydrometeorological Report No. 49 Washington D.C.: U.S. Department of 
Commerce 
U.S. Weather Bureau (1961), Interim Report-Probable Maximum Precipitation in California 
(Including revision of 1969), Hydrometeorological Report No. 36. Washington D.C.: U.S. 
Department of Commerce
 

 

STATE OF CALIFORNIA 

 

The Resources Agency 

 

Department of Water Resources 

 

Division of Safety of Dams 

 

 

 

 

 

STATUTES AND REGULATIONS 

 

PERTAINING TO 

 

SUPERVISION OF 

 

DAMS AND RESERVOIRS 

 

 

 

 

 

 

 

 

 

 


FOREWARD 

 

 

 

 

 

Since August 14, 1929, the State of California has supervised dams to prevent failure, to 
safeguard life, and to protect property. The legislation was a result of the failure of St. 
Francis Dam in March of 1928. Legislation enacted in 1965 revised the Statutes to 
include off-stream storage reservoirs as a result of the failure of Baldwin Hills Reservoir 
in December 1963. 

 

Dams and reservoirs are defined in the California Water Code Sections 6002, 6003, and 
6004. Certain exemptions are included in Sections 6004 and 6025. All dams under 
these definitions are subject to State supervision unless they are owned and operated by 
the United States. A careful reading of all the California Water Code sections and the 
California Code of Regulations sections included herein is strongly recommended for 
those who are regulated by these provisions. The schedule of fees is periodically 
adjusted in accordance with Section 6307 of the Water Code. The current fee structure 
is listed on the Division website under “Fees.” 

 

This document contains Parts 1 and 2 of Division 3, Dams and Reservoirs, of the 
California Water Code (Statutes), Chapter 1 of Division 2, Title 23 Waters, of the 
California Code of Regulations (Regulations adopted by the Department of Water 
Resources), and an outline of Current Practices of the Department in Supervision of 
Dams and Reservoirs. 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

NOTICE 

 

This compendium of laws governing dams and reservoirs has been compiled by the 
Department of Water Resources, Division of Safety of Dams, for convenient reference 
only and is not represented to be the official version of the statutes or the regulations. 
Notes, text, and history of repealed sections are not included in this reprint. 


CONTENTS 

 

CALIFORNIA WATER CODE 

DIVISION 3. DAMS AND RESERVOIRS 

 

 Sections Page 

PART 1. SUPERVISION OF DAMS 

 AND RESERVOIRS . . . . . . . . . . 6000-6470..... 1 

 

Chapter 1. Definitions . . . . . . . . . . 6000-6008.... 2 
Chapter 2. General Provisions. . . . . . . 6025-6031.... 4 
Chapter 3. Administrative Provisions . . . 6052-6056.... 6 
Chapter 4. Powers of the Department. . . . 6075-6157.... 6 
Article 1. Powers in General . . . . . . 6075-6081.... 6 

Article 2. Maintenance and Operation . . 6100-6102.... 7 

Article 3. Emergency Work. . . . . . . . 6110-6113.... 8 

Article 4. Investigations and Studies. . 6120-6121.... 8 

Article 5. Action and Procedure 




 to Restrain Violations. . . 6150-6157.... 9 

Chapter 5. Applications. . . . . . . . . . 6200-6267..... 10 
Article 1. New Dams and Reservoirs 




 or Enlargements of Dams 

 and Reservoirs. . . . . . . 6200-6206. ... 10 

Article 2. Repairs, Alterations 

 or Removals . . . . . . . . 6225-6230..... 11 

Article 3. Dams Constructed Prior 

 to August 14, 1929. . . . . 6250-6253..... 12 

Article 4. Approval of Applications. . . 6260-6267..... 13 

Chapter 6. Fees. . . . . . . . . . . . . . 6300-6309..... 13 
Chapter 7. Inspection and Approval . . . . 6350-6407..... 17 


 Article 1. New or Enlarged 

 Dams and Reservoirs. . . . . 6350-6355..... 17 

 Article 1.5 Certificates of Approval. . . 6357-6357.4... 18 

 Article 2. Repaired or Altered 

 Dams and Reservoirs . . . . . 6360-6364.... 19 

 Article 3. Removal of Dams and Reservoirs 6370-6372.... 19 

 Article 4. Dams Completed Prior 

 to August 14, 1929. . . . . 6380-6382..... 20 

 Article 5. Complaints as to Unsafe 

 Conditions. . . . . . . . . 6390-6393..... 20 

 Article 6. Inspection During 

 Progress of Work. . . . . . 6400-6407..... 20 

 

 


 

CONTENTS (Continued) 

 

 Sections Page 

 

Chapter 8. Offenses and Punishment . . . . 6425-6428..... 22 
Chapter 9. Dams Under Construction 


 Prior to August 14, 1929. . . . 6450-6452..... 22 

Chapter 10. Dams and Reservoirs Under 


 State Supervision Through 

 1965 Revisions of Part 1. . . . 6455-6470..... 23 

 Article 1. Dams and Reservoirs 

 Completed Before 

 1965 Revisions. . . . . . . . 6455-6461..... 23 

 Article 2. Dams and Reservoirs 

 Under Construction 

 Before 1965 Revisions. . . . .6465-6467..... 24 

 Article 3. Fees for Dams or Reservoirs 

 Under Construction Before 

 1965 Revisions. . . . . . . . 6470.......... 25 

 

PART 2 FISHWAYS OVER DAMS. . . . . . . . . . . 6500-6501..... 25 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


CALIFORNIA CODE OF REGULATIONS 

TITLE 23. WATERS 

DIVISION 2. DEPARTMENT OF WATER RESOURCES 

 

 Page 

Chapter 1. CHAPTER 1. DAMS AND RESERVOIRS . . . . . .26 


 

 Article 1. General Provisions . . . . . . . . . . . 27 

301. Definitions. . . . . . . . . . . . . . . 27 
302. Purpose and Effect of Regulations. . . . 27 
303. Evidence of Water Rights . . . . . . . . 27 
304. Civil Engineering Plans and 
Specifications . . . . . . . . . . . . 28 


305. Civil Engineering Supervision 
of Construction. . . . . . . . . . . . 29 




 

 Article 2. Applications for Construction, 

 Enlargement, Repair, Alteration, 

 or Removal of Dams or Reservoirs . . . 29 

310. Applications for Construction 
or Enlargement . . . . . . . . . . . . 29 


311. Criteria for Determining 
Completeness . . . . . . . . . . . . . 30 


312. Standard Terms . . . . . . . . . . . . . 31 
313. Automatic Approval of Applications . . . 31 
314. Filing Fee . . . . . . . . . . . . . . . 32 


 

 

Article 3. Annual Fee . . . . . . . . . . . . . . . 32 

315. Annual Fee . . . . . . . . . . . . . . . 32 
316. Inoperative Dams . . . . . . . . . . . . 32 


 

Article 4. Small Dams Review Board. . . . . . . . . 33 

320. Small Dams Review Board. . . . . . . . . 33 
321. Scope of Review. . . . . . . . . . . . . 33 
322. Small Dam Defined. . . . . . . . . . . . 33 
323. Time to Request Board Review; 


 Filing Fee . . . . . . . . . . . . . . 34 

324. Time and Conduct of Review . . . . . . . 34 
325. Findings of the Board. . . . . . . . . . 34 


 

 Article 5. Dams Owned by the Department of 

 Water Resources. . . . . . . . . . . . 35 

330. Consulting Board . . . . . . . . . . . . 35 
331. Scope of Review. . . . . . . . . . . . . 35 
332. Actions for Which Board is Retained. . . 35 
333. Periodic Review. . . . . . . . . . . . . 35 




CURRENT PRACTICES 

OF THE 

DEPARTMENT OF WATER RESOURCES 

IN 

SUPERVISION OF DAMS AND RESERVOIRS 

 

 Page 

 Introduction. . . . . . . . . . . . . . . . . . . . . 38 

 

 Division of Safety of Dams. . . . . . . . . . . . . . 38 

 

 Dams and Reservoirs in State Jurisdiction . . . . . . 38 

 

 Proposed Dams and Reservoirs. . . . . . . . . . . . . 38 

 

 Procedure for Construction or Enlargement 

 of Dams and Reservoirs. . . . . . . . . . . . . . . 38 

 

 Procedure for Repair or Alteration of Dams 

 or Reservoirs . . . . . . . . . . . . . . . . . . . 40 

 

 Procedure for Removal of Dams and Reservoirs. . . . . 41 

 


 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CALIFORNIA WATER CODE 

Division 3. Dams and Reservoirs 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 



DIVISION 3. DAMS AND RESERVOIRS 

 

 

PART 1. SUPERVISION OF DAMS AND RESERVOIRS 

 

Chapter 1. Definitions 

 

 

6000. Unless the context otherwise requires, the definitions in 
this chapter govern the construction of this part. 


 

6002. “Dam” means any artificial barrier, together with 
appurtenant works, which does or may impound or divert water, and 
which either (a) is or will be 25 feet or more in height from the 
natural bed of the stream or watercourse at the downstream toe of the 
barrier, as determined by the department, or from the lowest 
elevation of the outside limit of the barrier, as determined by the 
department, if it is not across a stream channel or watercourse, to 
the maximum possible water storage elevation or (b) has or will have 
an impounding capacity of 50 acre-feet or more. 


 

6003. Any such barrier which is or will be not in excess of 6 
feet in height, regardless of storage capacity, or which has or will 
have a storage capacity not in excess of 15 acre-feet, regardless of 
height, shall not be considered a dam. 


 

6004. a) No obstruction in a canal used to raise or lower water 
therein or divert water therefrom, no levee, including but not 
limited to a levee on the bed of a natural lake the primary purpose 
of which levee is to control floodwaters, no railroad fill or 
structure, and no road or highway fill or structure, no circular tank 
constructed of steel or concrete, or both, no tank elevated above the 
ground, and no barrier which is not across a stream channel, 
watercourse, or natural drainage area and which has the principal 
purpose of impounding water for agricultural use shall be considered 
a dam. 


 

b) No obstruction in the channel of astream or 
watercourse which is 15 feet or less in height from the lowest 
elevation of the obstruction and which has the single purpose of 
spreading water within the bed of the stream or watercourse upstream 
from the obstruction for percolation underground shall be considered 
a dam. 
c) The levee of an island adjacent to tidal waters in the 
Sacramento-San Joaquin Delta, as defined in Section 12220, even when 
used to impound water, shall not be considered a dam and the 
impoundment shall not be considered a reservoir if the maximum 
possible water storage elevation of the impounded water does not 



exceed four feet above mean sea level, as established by the United 
Stated Geological Survey 1929 datum. 


 

d) No noncircular tank, constructed of steel or concrete, 
or both, that is constructed in a county of the third class by a 
public agency, under the supervision of a civil engineer registered 
in the state, that does not exceed 75 acre-feet in capacity or 30 
feet in height, and no barrier that is not across a stream channel, 
watercourse, or natural drainage area and that has the principal use 
as a sewage sludge drying facility shall be considered a dam. 


 

6004.5. “Reservoir” means any reservoir which contains or will 
contain the water impounded by a dam. 


 

6005. “Owner” includes any of the following who own, control, 
operate, maintain, manage, or propose to construct a dam or 
reservoir: 


 

 (a) The State and its departments, institutions, 
agencies, and political subdivisions. 

 

 (b) Every municipal or quasi-municipal corporation. 

 

 (c) Every public utility. 

 

 (d) Every district. 

 

 (e) Every person. 

 

 (f) The duly authorized agents, lessees, or trustees 
of any of the foregoing. 

 

 (g) Receivers or trustees appointed by any court for 
any of the foregoing. 

 

 “Owner” does not include the United States. 

 

6006. “Alterations”, “repairs”, or either of them, mean only 
such alterations or repairs as may affect the safety of the dam or 
reservoir. 


 

6007. “Enlargement” means any change in or addition to an 
existing dam or reservoir, which raises or may raise the water 
storage elevation of the water impounded by the dam or reservoir. 


 

6008. Water storage elevation means that elevation of water 
surface which could be obtained by the existing dam or reservoir, as 
previously operated, were there no outflow and were the reservoir 
full of water. 



 

Chapter 2. General Provisions 

 

6025. It is the intent of the Legislature by this part to provide 
for the regulation and supervision of dams and reservoirs exclusively 
by the State. 


 

6025.5 a) Notwithstanding any other provision, subject to 
subdivision (b), the requirements for state regulation and 
supervision of safety of dams, as contained in this division, shall 
not be applicable to waste water treatment and storage ponds 
constructed as a part of a waste water control facility. 


 

b) This section applies to those ponds specified in 
subdivision (a) only after the governing body of the city, county, 
district, or other agency which operates the waste water control 
facility adopts a resolution which (1) finds that the ponds have been 
constructed and operated to standards adequate to protect life and 
property, and (2) provides that the city, county, district, or other 
agency shall supervise and regulate the design, construction, 
operation, enlargement, replacement, and removal of the ponds after 
the effective date of the resolution. 


 

c) This section applies only to ponds specified in 
subdivision (a) which (1) have a maximum height of 15 feet or less 
and a maximum storage capacity of 1,500 acre-feet or less, (2) have 
been designed by, and constructed under the supervision of, a 
registered civil engineer, and (3) are not across a stream channel or 
watercourse. 


 

6025.6 a) An owner of a structure defined as a dam pursuant to 
Section 6002, but excluded from that definition pursuant to 
subdivision (d) of Section 6004 or otherwise exempted from the 
requirements of this chapter pursuant to Section 6025.5, shall comply 
with the requirements of Section 8589.5 of the Government Code and 
shall employ a civil engineer who is registered in the state to 
supervise the structure for the protection of life and property for 
the full operating life of the structure. 


 

b) (1) The civil engineer supervising a dam pursuant to 
subdivision (a) shall take into consideration, in determining whether 
or not a dam constitutes, or would constitute, a danger to life or 
property, the possibility that the dam might be endangered by 
seepage, earth movement, or other conditions that exist, or might 
occur, in any area in the vicinity of the dam. 


 

 (2) If the civil engineer determines that a dam under his 
or her supervision constitutes, or would constitute, a danger to life 


or property, the civil engineer shall notify the owner of the dam and 
recommend appropriate action. 

c) The owner shall submit to the department the name, 
business address, and telephone number of each supervising civil 
engineer. 


 

d) The department shall submit the information provided 
pursuant to subdivision (c) to the Office of Emergency Services on or 
before January 1, 1995, and on or before each January 1 thereafter. 
Any change in the information shall be submitted to the department on 
or before July 1 of each year. 


 

6026. No city or county has authority, by ordinance enacted by 
the legislative body thereof or adopted by the people under the 
initiative power, or otherwise, to regulate, supervise, or provide 
for the regulation or supervision of any dams or reservoirs in this 
state, or the construction, maintenance, or operation thereof, nor to 
limit the size of any dam or reservoir or the amount of water which 
may be stored therein. This part shall not prevent a city or county 
from adopting ordinances regulating, supervising, or providing for 
the regulation or supervision of dams and reservoirs that (a) are not 
within the state’s jurisdiction, or (b) are not subject to regulation 
by another public agency or body. 


 

6027. Whenever supervision of safety of design or construction of 
a proposed or existing dam or reservoir is exercised by the United 
States or any of its agencies pursuant to a jurisdiction superior to 
that of the state, and the requirements made under authority of such 
jurisdiction are so contradictory with requirements made by the 
department under this part that a compliance cannot be made which 
will meet both federal and state requirements, then the state 
requirements shall be modified by the department sufficiently to make 
possible compliance with both federal and state requirements. 


 

6028. No action shall be brought against the state or the 
department or its agents or employees for the recovery of damages 
caused by the partial or total failure of any dam or reservoir or 
through the operation of any dam or reservoir upon the ground that 
such defendant is liable by virtue of any of the following: 


 

 (a) The approval of the dam or reservoir. 

 

 (b) The issuance or enforcement of orders relative to 
maintenance or operation of the dam or reservoir. 

 

 (c) Control and regulation of the dam or reservoir. 

 (d) Measures taken to protect against failure during 
an emergency. 


 

6029. Nothing in this part shall be construed to relieve an owner 
or operator of a dam or reservoir of the legal duties, obligations, 
or liabilities incident to the ownership or operation of the dam or 
reservoir. 


 

6030. The findings and orders of the department and the 
certificate of approval of any dam or reservoir issued by the 
department are final and conclusive and binding upon all state 
agencies, regulatory or otherwise, as to the safety of design, 
construction, maintenance, and operation of any dam or reservoir. 


 

6031. Nothing in this part shall be construed to deprive any 
owner of such recourse to the courts as he may be entitled to under 
the laws of this State. 


 

Chapter 3. Administrative Provisions 

 

6052. The department shall employ such clerical, engineering, and 
other assistants as are necessary for carrying on the work of dam and 
reservoir supervision in accordance with this part. 


 

6053. The department may employ consultants. 


 

6054. When the safety and technical considerations pertaining to 
a certificate of approval, dam, reservoir, or plans and 
specifications require it, or when requested in writing to do so by 
the owner, the department shall appoint a consulting board of two or 
more consultants to report to the department on the safety features 
involved. 


 

6055. The cost and expense of a consulting board if appointed on 
the request of an owner shall be paid by the owner. 


 

6056. The department shall retain a board of three consultants 
who shall make an independent report to the director upon the 
issuance, modification, or renewal of any certificate of approval for 
any dam owned by the department. 


 

 

Chapter 4. Powers of the Department 

 

Article 1. Powers in General 

 

6075. The department, under the police power of the state, shall 
supervise the construction, enlargement, alteration, repair, 
maintenance, operation, and removal of dams and reservoirs for the 
protection of life and property as provided in this part. 



 

6076. All dams and reservoirs in the state are under the 
jurisdiction of the department. 


 

6077. It is unlawful to construct, enlarge, repair, alter, 
remove, maintain, or operate any dam or reservoir except upon 
approval of the department as provided in this part. 


 

6078. The department shall adopt and revise from time to time 
such rules and regulations and issue such general orders as may be 
necessary for carrying out, but not inconsistent with, the provisions 
of this part. 


 

6079. In carrying out the provisions of this part the department 
may cooperate with the United States or any of its agencies. 


 

6080. In making any investigations or inspections required or 
authorized by this part the department or its representatives may 
enter upon private property as may be necessary. 


 

6081. In determining whether or not a dam or reservoir or 
proposed dam or reservoir constitutes or would constitute a danger to 
life or property, the department shall take into consideration the 
possibility that the dam or reservoir might be endangered by seepage, 
earth movement, or other conditions which exist or which might occur 
in any area in the vicinity of the dam or reservoir. Whenever the 
department deems that any such condition endangers a dam or 
reservoir, it shall order the owner to take such action as the 
department determines to be necessary to remove the resultant danger 
to life and property. 


 

Article 2. Maintenance and Operation 

 

6100. Supervision over the maintenance and operation of dams and 
reservoirs insofar as necessary to safeguard life and property from 
injury by reason of the failure thereof is vested in the department. 


 

6101. The department may require owners to keep records of, and 
to report on, maintenance, operation, staffing, and engineering and 
geologic investigations and shall issue such rules and regulations 
and orders as necessary to secure maintenance and operation and to 
require staffing and engineering and geologic investigations which 
will safeguard life and property. In addition, the owner of a dam or 
reservoir or his agent shall fully and promptly advise the department 
of any sudden or unprecedented flood or unusual or alarming 
circumstance or occurrence affecting the dam or reservoir. 



 

6102. The department, from time to time, shall make inspections 
of dams and reservoirs at state expense for the purpose of 
determining their safety but shall require owners to perform at their 
expense such work as necessary to disclose information sufficient to 
enable the department to determine conditions of dams and reservoirs 
in regard to their safety and to perform at their expense other work 
necessary to secure maintenance and operation which will safeguard 
life and property. 


 

Article 3. Emergency Work 

 

6110. The department shall immediately employ any remedial means 
necessary to protect life and property if either: 


 

(a) The condition of any dam or reservoir is so 
dangerous to the safety of life or property as not 
to permit time for the issuance and enforcement of 
an order relative to maintenance or operation. 


 

(b) Passing or imminent floods threaten the safety of 
any dam or reservoir. 


 

6111. In applying the remedial means provided for in this 
article, the department may in emergency do any of the following: 


 

(a) Lower the water level by releasing water from the 
reservoir. 


 

(b) Completely empty the reservoir. 


 

(c) Take such other steps as may be essential to 
safeguard life and property. 


 

6112. The department shall continue in full charge and control of 
such dam or reservoir, or both, and its appurtenances until they are 
rendered safe or the emergency occasioning the action has ceased. 


 

6113. The cost and expenses of the remedial means provided in 
this article, including cost of any work done to render a dam or 
reservoir of its appurtenances safe, shall be recoverable by the 
state from the owner by action brought by the department in the 
superior court of the county wherein the dam or reservoir or any part 
thereof is situated. 


 

Article 4. Investigations and Studies 

 

6120. For the purpose of enabling it to make decisions as 
compatible with economy and public safety as possible the department 



shall make or cause to be made such investigations and shall gather 
or cause to be gathered such data as may be needed for a proper 
review and study of the various features of the design and 
construction of dams, reservoirs, and appurtenances. 


 

6121. The department shall also make or cause to be made such 
watershed investigations and studies as may facilitate its decisions. 


 

Article 5. Action and Procedure 

To Restrain Violations 

 

6150. The department may commence an action or proceeding under 
this article, either by mandamus or injunction, for the purpose of 
stopping or preventing violations or threatened violations. 


 

6151. An action or proceeding under this article may be commenced 
whenever any owner or any person acting as a director, officer, 
agent, or employee of any owner, or any contractor or agent or 
employee of such contractor is: 


 

(a) Failing or omitting or about to fail or omit to do 
anything required of him by this part or by any 
approval, order, rule, regulation, or requirement 
of the department under the authority of this part; 
or 


 

(b) Doing or permitting anything or about to do or 
permit anything to be done in violation of or 
contrary to this part or any approval, order, rule, 
regulation, or requirement of the department under 
this part. 


 

6152. Any action or proceeding under this article shall be 
commenced in the superior court in and for the county in which (a) 
the cause or some part thereof arose, (b) the owner or person 
complained of has its principal place of business or (c) the person 
complained of resides. 


 

6153. Any action or proceeding under this article shall be 
brought by petition in the superior court, alleging the violation or 
threatened violation complained of, and praying for appropriate 
relief by way of mandamus or injunction. 


 

6154. The court shall specify a time, not exceeding 20 days after 
the service of the copy of the petition, within which the owner or 
person complained of shall answer the petition, and in the meantime 
the owner or person may be restrained. 



 

6155. In case of default in answer or after answer the court 
shall immediately inquire into the facts and circumstances of the 
case. 


 

6156. The court may join such parties as it deems necessary or 
proper in order to make its judgment, order, or writ effective. 


 

6157. The final judgment in such action or proceeding shall 
either dismiss the action or proceeding or direct that the writ of 
mandamus or injunction issue or be made permanent as prayed for in 
the petition, or in such modified or other form as will afford 
appropriate relief. 


 

Chapter 5. Applications 

 

Article 1. New Dams and Reservoirs or 

Enlargements of Dams and Reservoirs 

 

6200. Construction of any new dam or reservoir or the enlargement 
of any dam or reservoir shall not be commenced until the owner has 
applied for and obtained from the department written approval of 
plans and specifications. 


 

6201. A separate application for each dam or reservoir shall be 
filed with the department upon forms to be provided by it, except 
that only one application need be filed for a dam and the reservoir 
which will contain the water impounded by the dam. 


 

6202. The application shall give the following information: 


 

(a) The name and address of the owner. 


 

(b) The location, type, size, and height of the 
proposed dam or reservoir and appurtenant works. 


 

(c) The storage capacity of the reservoir. 


 

(d) Such other pertinent information as the department 
requires. 


 

(e) As accurately as may be readily obtained,the area 
of the drainage basin, rainfall and streamflow 
records and floodflow records and estimates. 



 

6203. The department may also require the following: 


 

(a) Data concerning subsoil and foundation conditions 
and the materials entering into construction of the 
dam or reservoir. 


 

(b) Investigations of, and reports on, subsurface 
conditions, involving such matters as exploratory 
pits, trenches and adits, drilling, coring, 
geophysical surveys, tests to determine leakage 
rates, and physical tests to measure in place the 
properties and behavior of foundation materials at 
the dam or reservoir site. 


 

(c) Investigations of, and reports on, the geology of 
the dam or reservoir site and its vicinity, 
possible geologic hazards, availability and quality 
of construction materials, and other pertinent 
features. 


 

(d) Such other appropriate information as may be 
necessary in a given instance. 


 

6204. In instances wherein the physical conditions involved and 
the size of the dam or reservoir are such as to render the above 
requirements as to drainage areas, rainfall, streamflow, floodflow, 
and drilling or prospecting of site unnecessary, the department may 
waive the requirements. 


 

6205. The application shall set forth the purpose for which the 
impounded or diverted water is to be used. 


 

6206. The application shall be accompanied by maps and plans and 
specifications of such character and size and setting forth such 
pertinent details and dimensions as the department requires. 


 

 The maps and plans and specifications shall be a part of 
the application. 

 

Article 2. Repairs, Alterations 

or Removals 

 

6225. Before commencing the repair, alteration, or removal of a 
dam or reservoir, including the alteration or removal of a dam or 
reservoir so that it no longer constitutes a dam or reservoir as 
defined in this part, the owner shall secure the written approval of 
the department, except as provided in this article. 



 

6226. The application shall give such pertinent information or 
data concerning the dam or reservoir, or both, as may be required by 
the department and such information as to other matters appropriate 
to a thorough consideration of the safety of such a change as may be 
required by the department. 


 

6227. The application shall state the proposed time of 
commencement and of completion of construction. 


 

6228. The application shall give the name and address of 
applicant, shall adequately detail, with appropriate references to 
the existing dam or reservoir, the changes which it is proposed to 
effect, and shall be accompanied by maps and plans and specifications 
which shall be a part of the application and which shall be of such 
character and size and set forth such pertinent details and 
dimensions as the department may require. The department may waive 
any of the requirements of this section if found by it unnecessary. 


 

6229. In case of an emergency where repairs are necessary to 
safeguard life and property, repairs may be started immediately, but 
the department shall be notified at once of proposed repairs and of 
work under way. 


 

6230. The proposed repairs and work shall be made to conform to 
such orders as the department issues. 


 

Article 3. Dams Constructed Prior 

to August 14, 1929 

 

6250. Unless application for approval of the dam has heretofore 
been made, every owner of a dam completed prior to August 14, 1929 
shall, immediately after the effective date of this part, file an 
application for the approval of such dam. 


 

6251. A separate application shall be made for each dam and shall 
be filed with the department upon forms to be supplied by it and 
shall supply such appropriate information concerning the dam as the 
department requires. 


 

6252. The department shall give notice to file to owners who have 
failed to do so as required by this article, and a failure to file 
within 30 days after such notice shall be punishable as provided in 
this part. 


 

6253. The notice provided for in this article may be given by 
registered mail and a return receipt signed by the owner shall 
constitute prima facie evidence of service. 



 

Article 4. Approval of Applications 

 

6260. Upon receipt of any application other than an application 
provided for in Article 3 of this chapter the department shall give 
its consideration thereto and shall approve or disapprove the same 
within the time provided in this article. 


 

6261. A defective application made in a bona fide attempt to 
conform to the law and rules and regulations of the department shall 
not be rejected but notice of defect shall be sent to the applicant 
by ordinary and registered mail. 


 

6262. If within 30 days of the date of mailing the notice the 
applicant does not file an amended and perfected application, the 
application shall be rejected and canceled unless for good cause 
shown the department allows the applicant further time. 


 

6263. No application shall be approved in less than 10 days from 
its receipt but all applications shall be approved or disapproved as 
soon as practicable after the receipt of all data and information 
found necessary by the department. 


 

6264. Approvals may be granted under terms, conditions, and 
limitations necessary to safeguard life and property. 


 

6265. Actual construction shall be commenced within one year 
after date of approval, otherwise the approval becomes void. 


 

6266. The department may, upon written application and for good 
cause shown, extend the time for commencing construction. 


 

6267. Notice shall be given to the department at least 10 days 
before construction is to be commenced and such other notices shall 
be given to the department as it may require. 


 

Chapter 6. Fees 

 

6300. (a) The application for a new dam or reservoir or 
enlargement shall set forth the estimated cost, as defined in this 
article, of the dam or reservoir or enlargement and shall be 
accompanied by a filing fee based upon the estimated cost and 
according to the following schedule: 


 

(1) For the first three hundred thousand dollars 
($300,000), a fee of 3 percent of the estimated 
cost. 



 

(2) For the next seven hundred thousand dollars 
($700,000), a fee of 2 percent. 


 

(3) For the next one million dollars ($1,000,000) a 
fee of 1 ½ percent. 


 

(4) For the next one million dollars ($1,000,000), a 
fee of 1 ¼ percent. 


 

(5) For the next two million dollars ($2,000,000), a 
fee of 1 percent. 


 

(6) For the next two million dollars ($2,000,000), a 
fee of three-fourths of 1 percent. 


 

(7) For all costs in excess of seven million dollars 
($7,000,000), a fee of one-half of 1 percent. 


 

(b) In no case, however, shall the minimum fee be less 
than three hundred dollars ($300). 


 

6301. One filing fee only shall be collected for an enlargement 
to be effected by flashboards, sandbags, earthen levees, gates, or 
other works, devices, or obstructions which are, from time to time, 
to be removed and replaced or opened and shut and thereby operated so 
as to vary the surface elevation of the impounded water. 


 

6302. For the purposes of this part, the estimated cost of the 
dam or reservoir or enlargement involved shall include the following: 


 

(a) The cost of all labor and materials entering into 
the construction of the dam and appurtenant works or 
reservoir. 


 

(b) The cost of preliminary investigations and 
surveys. 


 

(c) The cost of the construction plant properly 
chargeable to the cost of the dam or reservoir. 


 

(d) Any and all other items entering directly into 
the cost of the dam or reservoir. 


 

6303. The costs of right-of-way, detached powerhouses, electrical 
generating machinery, and roads and railroads affording access to the 
dam or reservoir shall not be included among the items used in the 
determination of cost. 



 

6304. An application shall not be considered by the department 
until the filing fee is received. 


 

6305. In the event the actual cost exceeds the estimated cost by 
more than 15 percent, a further fee shall be required by the 
department before final approval and shall be 115 percent of the 
amount by which the original fee is less than it would have been had 
the cost it was based upon been the same as the actual cost. No 
further fee shall be required, however if such fee is to be computed 
at less than twenty dollars ($20). 


 

6306. Applications for dams found by the department to have been 
less than 90 percent constructed on August 14, 1929, shall be 
accompanied by fees as much 


less than provided for dams commenced after that date as the 
percentage of construction found by the department to have been 
completed on that date. 

 

6307. (a) (1) The department shall adopt, by regulation, a 
schedule of fees to cover the department’s costs in carrying out the 
supervision of dam safety. 


 

 (2) The revenue generated by the fees imposed under 
this section shall be adjusted periodically for cost-of-living 
increases. If the director determines that the revenue collected 
during the preceding fiscal year was greater or less than the cost to 
operate the program, the director shall adjust the fees to compensate 
for the overcollection or undercollection of revenue. The department 
shall provide a schedule of fees to the Legislature and to every dam 
owner that has a permit or has applied for a permit, when any 
adjustment is made to the fees under this section. 

 

 (b) (1) An annual fee shall be paid on or before January 
31, 2004, July 1, 2004, and on or before July 1 of each succeeding 
year, based upon a fixed rate and height of the dam, including all 
enlargements thereto, substantially completed by or in operation on 
June 30, 2003, and on June 30 of each succeeding year. The fees 
collected on December 31, 2003, will be credited toward the fees due 
January 31, 2004. The annual fee shall be four hundred dollars 
($400) per dam, plus one hundred ten dollars ($110) per foot of 
height. This fee shall be periodically adjusted, as described in 
subdivision (a). 

 

 (2) A penalty plus interest, as set forth in Section 
6428 of the Water Code, shall be imposed for fees received after July 
1 in any year, except that for the year 2003, the penalty plus 
interest shall be imposed for any fees received after January 31, 
2004. 


 

 (c) For the purposes of this section, “height of the 
dam” means the vertical distance, to the nearest foot, from the 
natural bed of the stream or watercourse at the downstream toe of the 
barrier, as determined by the department, or from the lowest 
elevation of the outside limit of the barrier, as determined by the 
department, if it is not across a stream channel or watercourse, to 
the maximum possible water storage elevation. 

 

 (d) Notwithstanding subdivision (b), the department 
shall limit the total annual fee per dam to not more than seventyfive 
($75) if both of the following apply: 

 

 (1) The dam has a storage capacity of not more than 
100 acre-feet. 

 (2) The governing body of a private school or the 
governing board of a public school certifies that the dam is used as 
a subject of study by its students. 

 

 (e)(1) Notwithstanding subdivision (b), the department 
shall limit the total annual fee for dams or reservoirs located on 
farms or ranch properties to one hundred fifty dollars ($150) per 
dam, and sixteen dollars ($16) per foot of height. 

 

 (2) For purposes of this subdivision, “farm” has the 
same meaning as defined in Section 52262 of the Food and Agricultural 
Code. 

 

 (f)(1) Privately owned dams with less than 100 acrefeet 
of storage capacity shall be assessed an annual fee in 
accordance with paragraph (1) of subdivision (e). 

 

 (2) As used in this subdivision, “privately owned” 
does not include dams owned by municipalities, water districts or 
companies, irrigation districts, private, investor owned or publicly 
owned utilities, or public agencies. 

 

6308. All fees, penalties, interest, fines, or charges collected 
by the department under this division shall be deposited in the Dam 
Safety Fund, which is hereby established in the State Treasury. The 
money in that fund shall be available to the department, upon 
appropriation by the Legislature, for the administration of the dam 
safety program. 


 

6309. The fees provided for in this chapter shall be required of 
any “owner”, as defined in Section 6005. 



 

Chapter 7. Inspection and Approval 

 

Article 1. New or Enlarged Dams 

and Reservoir 

 

6350. Immediately upon completion of a new dam or reservoir or 
enlargement of a dam or reservoir, the owner shall give a notice of 
completion to the department and as soon thereafter as possible shall 
file with the department supplementary drawings or descriptive matter 
showing or describing the dam or reservoir as actually constructed, 
including the following: 


 

(a) A record of all grout holes and grouting. 


 

(b) A record of permanent location points and bench 
marks. 


 

(c) A record of tests of concrete or other material 
used in the construction of the dam or reservoir. 


 

(d) Any other items which may be of permanent value 
and have a bearing on the safety and permanency 
of the dam or reservoir. 


 

6351. In connection with the enlargement of a dam or reservoir, 
the supplementary drawings and descriptive matter need apply only to 
the new work. 


 

6352. As soon as possible after giving notice of completion, the 
owner shall file an affidavit with the department stating the actual 
cost of the dam or reservoir in such detail as the department 
requires to determine whether a further fee is due. In the event the 
owner of a new or enlarged dam or reservoir, because of loss of 
records, recent change of ownership, or other causes beyond his 
control, is unable to report the actual cost of construction or 
enlargement, he shall file an affidavit to this effect, stating the 
reasons therefore, within 30 days after receiving a written request 
therefore from the department. The department shall then make its 
own appraisal of the cost of construction or enlargement and 
determine what further fee, if any, is required. Upon making a 
determination that a further fee is required, the department shall 
notify the owner by certified mail of the amount of such fee within 
15 days and shall notify the owner that he may appear within 60 days 
thereafter before an authorized representative of the department to 
protest the amount of the fee, in whole or in part, determined by the 
department to be required, and the sufficiency of the appraisal upon 
which such determination was based. 



 

6354. As soon as practicable the completed dam or reservoir shall 
be inspected by the department. 


 

6355. A certificate of approval shall be issued upon a finding 
that the dam or reservoir is safe to impound water within the 
limitations prescribed in the certificate. Upon written request by 
an owner for a certificate of approval, the department shall issue 
the certificate if it finds that the dam or reservoir is safe to 
impound water within the limitations prescribed in the certificate. 
Pending issuance of a certificate of approval by the department, the 
owner of the dam or reservoir shall not, through action or inaction, 
cause the dam or reservoir to impound water. 


 

Article 1.5. Certificates of Approval 

 

6357. Each certificate of approval issued by the department under 
this part may contain such terms and conditions as the department may 
prescribe. 


 

6357.1 The department may revoke any certificate of approval 
whenever it determines that the dam or reservoir constitutes a danger 
to life and property. Whenever it deems such action necessary to 
safeguard life and property, the department may also amend the terms 
and conditions of any such certificate by issuing a new certificate 
containing the revised terms and conditions. 


 

6357.2 The owner of a dam or reservoir for which a certificate of 
approval has been issued shall not, through action or inaction, cause 
the dam or reservoir to impound water after the certificate 
terminates unless a new certificate is issued for the dam or 
reservoir. A new certificate shall be issued upon a finding by the 
department that the dam or reservoir is safe to impound water within 
the limits prescribed in the certificate. 


 

6357.3 With respect to each certificate of approval or written 
consent for use of a dam which has been issued by the department or a 
predecessor of the department and which is in effect prior to the 
effective date of this article, the department shall, within one year 
from such effective date, issue a new certificate of approval, which 
shall supersede the previous certificate or written consent for use, 
or shall revoke the existing certificate or written consent for use 
if it finds that the dam or reservoir is not safe to impound water. 


 

6357.4 Before any certificate of approval is revoked by the 
department, the department shall hold a hearing. Written notice of 
the time and place of the hearing shall be mailed, at least 20 days 
prior to the date set for the hearing, to the holder of the 
certificate. Any interested persons may appear at the hearing and 



present their views and objections to the proposed action. Any 
petition for a writ of mandate to inquire into the validity of action 
of the department revoking a certificate of approval shall be 
commenced within 30 days after service of notice of the revocation on 
the holder of the certificate. 


 

Article 2. Repaired or Altered 

Dams and Reservoirs 

 

6360. Immediately upon completion of the repair or alteration of 
any dam or reservoir, the owner shall give notice of completion to 
the department and as soon thereafter as possible shall file with it 
supplementary drawings or descriptive matter showing or describing 
the dam or reservoir as actually repaired or altered together with 
such maps, data, records, and information pertaining to the dam or 
reservoir as repaired or altered as the department requires. 


 

6362. As soon as practicable the dam or reservoir as repaired or 
altered shall be inspected by the department. 
6363. A certificate of approval shall be issued upon a finding 
that the dam or reservoir is safe to impound water within the 
limitations prescribed in the certificate. Pending issuance of a new 
certificate of approval, the owner of the dam or reservoir shall not, 
through action or inaction, cause the dam or reservoir to impound 
water beyond the limitations prescribed in the existing certificate. 


 

6364. The certificate of approval shall supersede any previous 
certificate of approval issued for the dam or reservoir so repaired 
or altered. 


 

Article 3. Removal of Dams 

and Reservoirs 

 

6370. Upon completion of the removal of a dam or reservoir such 
evidence as to the manner in which the work was performed and as to 
the conditions obtaining after the removal as the department requires 
shall be filed with the department. 


 

6371. This evidence shall show that a sufficient portion of the 
dam has been removed to permit the safe passage of floods down the 
watercourse across which the dam was located. 


 

6372. Before final approval of the removal of a dam or reservoir 
is issued, the department shall inspect the work and determine that 
all danger to life and property has been eliminated. 



Article 4. Dams Completed Prior 

to August 14, 1929 

 

6380. The department shall make inspections at State expense of 
all dams in the State completed prior to August 14, 1929. 


 

6381. The department shall require owners to perform at their 
expense such work or tests as necessary to disclose information 
sufficient to enable the department to determine whether to issue 
certificates of approval or to issue orders directing further work at 
the owners’ expense necessary to safeguard life and property. 


 

6382. If, upon inspection or upon completion to the satisfaction 
of the department of all work that may be ordered, the department 
finds that the dam is safe to the full extent for which use is or 
will be made, a certificate of approval shall be issued. 


 

Article 5. Complaints as to 

Unsafe Conditions 

 

6390. Upon receipt of a written complaint alleging that the 
person or property of the complainant is endangered by the 
construction, maintenance, or operation of any dam or reservoir the 
department shall cause an inspection to be made unless the data, 
records, and inspection reports on file with it are found adequate to 
enable a determination whether or not the complaint is meritorious. 


 

6391. If the complainant insists upon an inspection and deposits 
with the department a sum estimated by it to be sufficient to cover 
costs of an inspection, the department shall cause an inspection to 
be made despite its finding as to the sufficiency of its records to 
determine the alleged danger. 


 

6392. If it is found that an unsafe condition exists, the 
department shall take such action as is necessary to render or cause 
the condition to be rendered safe and any money deposited to secure 
an inspection shall be returned. 


 

6393. If, after an inspection is made on account of a complaint, 
the complaint is found by the department to have been without merit, 
any money deposited therefore shall be payable into the State 
Treasury. 


 

Article 6. Inspection During 

Progress of Work 

 

6400. During the construction, enlargement, repair, alteration, 
or removal of any dam or reservoir the department shall make 
continuous or periodical inspections at state expense for the purpose 



of securing conformity with the approved plans and specifications but 
shall require the owner to perform at his expense such work or tests 
as necessary to disclose information sufficient to enable the 
department to determine that conformity with the approved plans and 
specifications is being secured. 


 

6401. If, after any inspections, investigations, or examinations, 
or at any time as the work progresses, or at any time prior to 
issuance of a certificate of approval it is found by the department 
that amendments, modifications, or changes are necessary to insure 
safety, the department may order the owner to revise the plans and 
specifications. 


 

6402. If conditions are revealed which will not permit the 
construction of a safe dam or reservoir the approval may be revoked. 


 

6403. In the event that conditions imposed may be waived or made 
less burdensome without sacrificing a proper margin of safety, the 
department may authorize an owner to revise the plans and 
specifications accordingly. 


 

6404. If at any time during construction, enlargement, repair, or 
alterations of any dam or reservoir the department finds that the 
work is not being done in accordance with the provisions of the 
approval and the approved plans and specifications or in accordance 
with the approval and revised plans and specifications, it shall give 
a written notice and order by registered mail or by personal service 
to the owner. 


 

6405. The notice and order shall state the particulars in which 
the approval and approved plans and specifications or the approval 
and approved plans and specifications as revised are not being or 
have not been complied with shall order the immediate compliance with 
the approval and approved plans and specifications or with the 
approval and approved revised plans and specifications as the case 
may be. 


 

6406. The department may order that no further work be done until 
such compliance has been effected and approved by the department. 


 

6407. A failure to comply with the approval and approved plans 
and specifications as originally approved or as revised shall render 
the approval subject to 


revocation by the department, if compliance is not made in accordance 
therewith after notice and order from the department as provided in 
this article. 


 

Chapter 8. Offenses and Punishment 

 

6425. Every person who violates any of the provisions of this 
part or of any approval, order, rule, regulation, or requirement of 
the department is guilty of a misdemeanor and punishable by a fine of 
not more than two thousand dollars ($2,000) or by imprisonment in the 
county jail not exceeding six months, or both. In the event of a 
continuing violation each day that the violation continues 
constitutes a separate and distinct offense. 


 

6426. Any person who willfully obstructs, hinders, or prevents 
the department or its agents or employees from performing the duties 
imposed by this part or who willfully resists the exercise of the 
control and supervision conferred by this part upon the department or 


its agents or employees is guilty of a misdemeanor and punishable as 
provided in this article. 

 

6427. Any owner or any person acting as a director, officer, 
agent, or employee of an owner, or any contractor or agent or 
employee of a contractor who engages in the construction, 
enlargement, repair, alteration, maintenance, or removal of any dam 
or reservoir, who knowingly does work or permits work to be executed 
on the dam or reservoir without an approval or in violation of or 
contrary to any approval as provided for in this part, or any 
inspector, agent, or employee of the department who has knowledge of 
such work being done and who fails to immediately notify the 
department thereof is guilty of a misdemeanor and punishable as 
provided in this article. 


 

6428. Any owner who fails to pay any annual fee or any part of 
any annual fee required to be paid pursuant to Section 6307 within 
the time required shall pay a penalty of 10 percent of the annual fee 
or part of the annual fee, plus interest at the rate of one-half of 1 
percent per month, or fraction thereof, from the date on which the 
annual fee or the part of the annual fee became due and payable to 
the state until the date of payment. 


 

Chapter 9. Dams Under Construction 

Prior to August 14, 1929 

 

6450. Any dam which the department finds was not 90 percent 
constructed on August 14, 1929 shall be subject to the same 
provisions as a dam commenced after that date. 


 

6451. Construction work on such a dam may proceed, if an 
application for approval thereof is filed, until an order from the 
department is received approving the dam or specifying how its 
construction must be made or altered to render it safe. After 



receipt of an order directing the construction of such a dam, work 
thereafter must be in accordance with the order. 


 

6452. Dams found to be 90 percent or more constructed on August 
14, 1929, shall be subject to the same supervision as dams which were 
completed prior to that date. 


 

Chapter 10. Dams and Reservoirs Under 

State Supervision Through1965 

Revisions of Part 1 

 

Article 1. Dams and Reservoirs 

Completed Before 1965 Revisions 

 

6455. Every owner of a dam or reservoir that falls within the 
definition of a dam or reservoir in this part by virtue of the 
amendment of Section 6002 or the addition of Section 6004.5 at the 
1965 Regular Session of the Legislature and that was completed prior 
to September 17, 1965, shall immediately file an application with the 
department for the approval of such dam or reservoir; provided that 
this Chapter 10 shall not apply to any reservoir which contains the 
water impounded by a dam for which a certificate of approval is in 
effect on September 17, 1965. 


 

6456. A separate application shall be made for each dam or 
reservoir and shall be filed with the department upon forms to be 
supplied by it and shall include or be accompanied by such 
appropriate information concerning the dam or reservoir as the 
department requires. 


 

6457. The department shall give notice to file an application to 
owners of such dams or reservoirs who have failed to do so as 
required by this article, and a failure to file within 30 days after 
such notice shall be punishable as provided in this part. 


 

6458. The notice provided for in this article may be given by 
registered or certified mail and a return receipt signed by the owner 
shall constitute prima facie evidence of service. 


 

6459. The department shall make inspections of such dams or 
reservoirs at state expense. 


 

6460. The department shall require owners of such dams or 
reservoirs to perform at their expense such work or tests as 
necessary to disclose information sufficient to enable the department 
to determine whether to issue certificates of approval or to issue 
orders directing further work at the owner’s expense necessary to 
safeguard life and property. For this purpose, the department may 



require an owner to lower the water level of, or to empty, the 
reservoir. 


 

6461. If, upon inspection or upon completion to the satisfaction 
of the department of all work that may be ordered, the department 
finds that the dam or reservoir is safe to impound water, a 
certificate of approval shall be issued. The owner of the dam or 
reservoir shall not, through action or inaction, cause the dam or 
reservoir to impound water following receipt by the owner of a 
written notice from the department that a certificate will not be 
issued because the dam or reservoir will not safely impound water. 
Before such notice is given by the department, the department shall 
hold a hearing. Written notice of the time and place of the hearing 
shall be mailed, at least 20 days prior to the date set for the 
hearing, to the owner of the dam or reservoir. Any interested 
persons may appear at the hearing and present their views and 
objections to the proposed action. Any petition for a writ of 
mandate to inquire into the validity of the action of the department 
shall be commenced within 30 days after receipt by the owner of a 
written notice from the department that a certificate of approval 
will not be issued. 


 

Article 2. Dams and Reservoirs Under Construction 

Before 1965 Revisions 

 

6465. Any dam or reservoir that falls within the definition of a 
dam or reservoir in this part by virtue of the amendment of Section 
6002 or the addition of Section 6004.5 at the 1965 Regular Session of 
the Legislature and which the department finds was under construction 
and not 90 percent constructed on September 17, 1965, shall, except 
as provided in Section 6466, be subject to the same provisions in 
this part as a dam or reservoir commenced after that date. Every 
owner of such a dam or reservoir shall file an application with the 
department for the department’s written approval of the plans and 
specifications of the dam or reservoir. Where an application for 
approval of the plans and specifications for a dam is pending before 
the department on September 17, 1965, such application shall be 
deemed to also constitute an application for approval of the plans 
and specifications of the reservoir which will contain the water 
impounded by the dam. 


 

6466. Construction work on such a dam or reservoir may proceed, 
provided an application for approval of the plans and specifications 
therefore is filed, until a certificate of approval is received by 
the owner from the department approving the dam or reservoir or an 
order is received by the owner from the department specifying how the 
construction must be performed to render the dam or reservoir safe. 
After receipt of an order specifying how construction of a dam or 



reservoir must be performed, work thereafter must be in accordance 
with the order. 


 

6467. Such dams or reservoirs as are 90 percent or more 
constructed on September 17, 1965, shall be subject to the same 
supervision as dams or reservoirs which were completed prior thereto. 


 

Article 3. Fees for Dams or Reservoirs Under 

Construction Before 1965 Revisions 

 

6470. The owners of completed dams or reservoirs and dams or 
reservoirs that are 90 percent or more constructed that are made 
subject to the provisions of this part by the amendment of Section 
6002 or the addition of Section 6004.5 at the 1965 Regular Session of 
the Legislature shall not be required to pay a fee in relation to 
applications filed with the department for approval of their dams or 
reservoirs. Applications for the approval of dams or reservoirs that 
are made subject to this part by said amendment or addition that are 
found by the department to have been less than 90 percent constructed 
on September 17, 1965, shall be accompanied by fees as much less than 
provided for dams or reservoirs commenced after that date as the 
percentage of construction found by the department to have been 
completed on that date. 


PART 2. FISHWAYS OVER DAMS 




 

6500. Whenever an application for approval of plans and 
specifications for a new dam, or for the enlargement of any dam, in 
any stream in this State, is filed pursuant to Part 1 of this 
division, a copy of the application shall be filed with the Fish and 
Game Commission as required by the Fish and Game Code. 


 

6501. The provisions for the installation of fishways over or around dams and for the 
protection and preservation of fish in streams obstructed by dams are contained in Chapter 3 
(commencing with Section 5900), Part 1, Division 6 of the Fish and Game Code. 



 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CALIFORNIA CODE OF REGULATIONS 

 

Title 23. Waters 

 

Division 2. Department of Water Resources 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


Chapter 1. Dams and Reservoirs 

 

Article 1. General Provisions 

 

 301. Definitions. 

 

 As used in this subchapter, the terms “dam”, “reservoir”, 
“owner”, “alteration”, enlargement”, and “water storage elevation” 
shall have the meanings given in Sections 6002 and 6004.5 through 
6008 of the Water Code. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Sections 6002-6008, Water Code. 

 

 302. Purpose and Effect of Regulations. 

 

 The regulations in this subchapter are not intended to 
limit the authority of the department to act under the police power 
of the state to the extent authorized by law, when necessary to 
protect life and property from a dam or reservoir which constitutes, 
or which may constitute a danger to life and property, and they shall 
not be interpreted as depriving the department of such authority. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Sections 6075, 6081, and 6110, Water Code. 

 

 303. Evidence of Water Rights. 

 

(a) The department will not issue a written approval 
to commence construction or enlargement of a dam 
or reservoir until the applicant or owner 
demonstrates evidence of adequate water rights in 
accordance with the requirements of this section. 


 

(b) The applicant or owner shall provide the 
department with either: 


 

(1) A copy of an entitlement to the use of water 
issued by the State Water Resources Control 
Board pursuant to Division 2, Part 2 
(commencing with Section 1200) of the Water 
Code; or 
(2) If the right to divert or use water does not 
depend on an entitlement identified in 
subsection (1) above, a statement of the 
legal basis of the right. 


 

(c) The applicant or owner shall also provide the 
department with either: 



(1) Evidence that a statement of water diversion 
and use has been filed with the State Water 
Resources Control Board pursuant to Division 
3, Part 1, Chapter 5 (commencing with 
Section 5100) of the Water Code, or 


 
(2) A statement either establishing that a 
statement of water diversion and use is not 
legally required, or showing good cause for 
not filing one. 




 

(d) The department shall obtain a written statement 
from the staff of the State Water Resources 
Control Board stating whether the water right is 
adequate for the proposed dam and reservoir. 


 

(e) If a right to divert or use water is based upon a 
claim of riparian rights, or rights to 
appropriate water established prior to 1914, and 
such claim is disputed by the State Water 
Resources Control Board, the department shall not 
withhold approval to commence construction solely 
upon the basis of such a dispute, provided that 
it is satisfied with the evidence of a water 
right provided pursuant to subsection (b) above. 


 

(f) In the event that the State Water Resources 
Control Board has initiated proceedings to 
determine whether to authorize use of water, and 
no decision has been issued, written approval to 
commence construction or enlargement shall not be 
withheld pursuant to this section after the 120th 
day following either the date that the matter is 
submitted to the Board for decision after hearing 
or, if no hearing is held, the date on which the 
protest period closes. 


 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Sections 1052, 6075, 6202(d), 6205, and 6264, Water Code. 

 

 304. Civil Engineering Plans and Specifications. 

 

 Plans and specifications which are submitted to the 
department shall be prepared by, or under the direction of, a civil 
engineer who is registered pursuant to California law and 
authenticated by him as provided in the Business and Professions 
Code, or be prepared by such other person as may be permitted under 
the provisions of said code to prepare such plans and specifications, 
in which case satisfactory evidence of such other person’s right to 


so act shall be submitted to the department when the plans and 
specifications are submitted. 

 

 NOTE: Authority cited: Section 6078, Water Code. Reference: 
Section 6206 Water Code; and Sections 6371, 6374-6375, Business and 
Professions Code. 

 

 305. Civil Engineering Supervision of Construction. 

 

 The work of construction, enlargement, repair, alteration 
or removal of a dam or reservoir shall be under the responsible 
charge of a civil engineer who is registered pursuant to California 
law or of such other person as may be permitted under the provisions 
of the Business and Professions Code to assume responsible charge of 
such work. 

 

 NOTE: Authority cited: Section 6078, Water Code. Reference: 
Section 6206, Water Code; Sections 6731, 6374-6375, Business and 
Professions Code. 

 

 Article 2. Applications for Construction, 

 Enlargement, Repair, Alteration, 

 Removal of Dams or Reservoirs 

 

 310. Applications for Construction or Enlargement. 

 

 (a) This section shall apply to applications for the 
department’s approval of plans and specifications for the 
construction or enlargement of dams and reservoirs. 

 

 (b) Applications for construction or enlargement of a 
dam and reservoir shall be made on printed forms provided by the 
department. The department shall also provide written instructions 
for completing the application. 

 

 (c) The amount of information required will depend on 
factors such as the size of the proposed dam and reservoir, potential 
hazards, hydrology of the watershed, complexity of the site and 
proximity to active faults. 

 

 (d) Plans, maps, specifications and other information 
required for an application shall be provided in sufficient clarity 
and detail to be readily interpreted and studied, and to permit an 
adequate evaluation of the safety of the proposed work. 

 

 (e) The department may require the filing of any 
information, in addition to that specified in this section which, in 
its opinion, it considers necessary to determine the safety of the 
dam and reservoir. 


 

 (f) In addition to the information required by the 
Water Code Sections 6201-6206, and subsections (b)-(e), an 
application shall also include the following: 

 

 (1) Evidence of water rights, as required by Section 
303. 

 

 (2) Information necessary to enable the department to 
comply with the requirements of the California Environmental Quality 
Act (Public Resources Code Sections 21000-21174). This information 
shall be either: 

 

 (a) A copy of the environmental impact report (EIR) or 
negative declaration prepared by a lead agency, or evidence that a 
lead agency is preparing or will prepare environmental documentation, 
or 

 

 (b) Data and information necessary for the department 
to act as a lead agency to prepare environmental documentation, where 
it is required by law to do so. 

 

 (3) Where the department acts as a responsible agency, 
the lead agency’s EIR or negative declaration must be submitted to 
the State Clearinghouse. 

 

 (4) The fee as required by Water Code Section 6300, as 
made specific by Section 314 of this subchapter. 

 

 NOTE: Authority cited: Section 6078, Water Code. Reference: 
Sections 6200-6206, Water Code; and Sections 21002.1(d) and 21083, 
Public Resources Code. 

 

 311. Criteria for Determining Completeness. 

 

 (a) Applications will be considered complete when the 
department has received the completed, signed application form, the 
information and fee required in Water Code Sections 6201 and 6206 and 
Section 310(d)-(f), and the fee required by Sections 6300-6302 of the 
Water Code. 

 

 (b) The department on its own motion 

may waive any information required for a complete application, 
including but not limited to the requirements of Section 303 where it 
determines that it has sufficient information to commence and 
complete a review within applicable time limits, and that all 
requirements for issuance of an approval will be met within such time 
limits. 


 

 (c) The requirements published by the department 
pursuant to Section 310 shall set forth the procedures that the 
department will follow to review an application. 

 

 (d) Failure to comply with a request for information 
pursuant to such procedures within a 

reasonable time and in a reasonably responsive manner shall be cause 
for the department to disapprove the application. 

 

 NOTE: Authority cited: Section 6078, Water Code. Reference: 
Section 65941, Government Code. 

 

312. Standard Terms 


 (a) The following are standard terms and 




conditions included in any approval of a dam safety application: 

 

 (1) Construction work shall be started within one year 
from date of approval. 

 

 (2) No foundations or abutments shall be covered by 
the material of the dam until the Department has been given an 
opportunity to inspect and approve the same. 

 

 (b) General Safety Requirement. In addition to the 
above terms and conditions, the law requires that a dam shall at all 
times be designed, constructed, operated and maintained so that it 
shall not or would not constitute a danger to life or property, and 
the Department may, at any time, exercise any discretion with which 
it is vested, or take any action necessary to prevent such danger. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Sections 6075, 6260-6267, Water Code. 

 

313. Automatic Approval of Applications. 


 

 Applications approved in accordance with Government Code 
Section 65956 shall contain the terms and conditions set forth in 
Section 311. Such approvals may be revoked or modified at any time 
and under any conditions which would apply to any other approval 
granted under Division 3, Part 1 of the Water Code. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Section 65956, Government Code; and Sections 6260-6267, 
Water Code. 


 

314. Filing Fee. 


 

 (a) Amount of Fee. The estimated cost of the dam and 
reservoir or enlargement as specified in Section 6302 of the Water 
Code shall include engineering, geologic, surveying, construction 
supervision, and administrative costs. 

 

 NOTE: Authority cited: Section 21082, Public Resources 
Code; Section 6078, Water Code. Reference 

Section: 21089 Public Resources Code; Sections 6301-6305, Water Code. 

 

Article 3. Annual Fee. 

 

 315. Annual Fee. 

 

 (a) Determination of Amount. The department shall 
determine the amount of the fee in accordance with Section 6307 of 
the Water Code. Each owner shall be informed of the amount of the 
fee by April 30 of each year. 

 

 (b) Penalty for Delinquent Payment of Annual Fee. An 
owner who fails to pay any part of any annual fee on or before July 
1, as required by Section 6307 of the Water Code, shall be penalized 
in accordance with Section 6428 of the Water Code. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Section 161, Water Code; and Sections 6307 and 6428, Water 
Code. 

 

316. Inoperative Dams. 

 

 A dam will not be considered to be substantially completed 
or in operation for annual fee purposes, where the department 
determined that it has been rendered inoperative on other than a 
temporary basis. In making its determination the department will 
consider the following circumstances, among others, with respect to 
the dam: 

 

 (a) Alteration of the outlet facilities to assure 
maximum possible uncontrolled water release through the outlet works. 

 

 (b) Absence of water impounding capability under 
reasonably foreseeable conditions, taking into account the size of 
the drainage area. 

 

 (c) Absence of benefit from the dam and reservoir to 
the owner or others. 


 

 The Department may determine that a dam is no longer 
inoperative when investigation reveals that conditions which rendered 
the dam inoperative on other than a temporary basis have changed. In 
this event the dam will be considered substantially completed or in 
operation on the date such determination is made, and the annual fee 
shall be charged on a pro rata basis. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Section 6307, Water Code. 

 

Article 4. Small Dams Review Board 

 

 320. Small Dams Review Board. 

 

 In the Department there shall be a Small Dams Review Board 
consisting of a chairperson who shall be the Division Chief, Division 
of Design and Construction; a qualified engineer or geologist 
appointed by the Division Chief, Division of Safety of Dams; and, for 
each review, a consulting engineer who would be agreed upon by the 
Department and the dam owner. 

 

 NOTE: Authority cited: Section 6078, Water Code. Reference: 
Section 6054, Water Code. 

 

321. Scope of Review 


 

 (a) The Board shall be convened upon the 

request of any owner of a small dam or proposed small dam to review 
any decision or order of the department respecting any technical 
standard, study requested, engineering requirement or other technical 
matter required by the department where the owner disputes the basis 
for such requirement, the need for such requirement, or the facts 
found by the department. 

 

 (b) No review shall be undertaken if, in the opinion of 
the department, there exists an immediate hazard to life or property. 
This subsection shall not be construed to bar a Small Dams Review 
Board proceeding after, in the judgment of the department, an 
immediate hazard to life and property no longer exists. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Section 6054, Water Code. 

 

322. Small Dam Defined. 


 

 “Small Dam” means any dam less than 25 feet 

in height with a reservoir storage less than 2,000 

acre-feet. 


 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Sections 6054 and 6055, Water Code. 

 

323. Time to Request Board Review; Filing Fee. 


 

(a) The owner must request board review within 60 days 
of the disputed departmental action. The request must be made to the 
Division Chief, Division of Safety of Dams, and must state the facts 
and circum-stances on which such owner bases his grievance. 

 

 (b) The owner shall remit, at the time the grievance 
is filed the amount of $250 to partially defray the cost and expense 
of the Board. 

 

 (c) If the Board meets for more than one day, the 
department shall bill the owner for its additional costs incurred for 
subsequent days. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Sections 6054 and 6055, Water Code. 

 

324. Time and Conduct of Review. 


 

The Board shall review the owner’s grievance promptly after such 
grievance is filed. The review shall be conducted in an informal 
manner. The Board shall consider all relevant information and data 
presented by the owner, his engineer, or any other person. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Section 6054, Water Code. 

 

325. Findings of the Board. 


 

 Based upon information and data secured during the review, 
the Board shall refer its findings to the Division Chief, Division of 
Safety of Dams, regarding the matter which led to the grievance. 
Decisions made by the Division Chief shall be final. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Section 6054, Water Code. 


 

Article 5. Dams Owned by the Department 

 of Water Resources 

 

 330. Consulting Board. 

 

 Pursuant to Section 6056 of the Water Code, the department 
shall retain a board of three consultants to report to the Director 
on the safety of dams owned by the department. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Section 6056, Water Code. 

 

 331. Scope of Review. 

 

 The consulting board shall make independent findings with 
regard to conditions which may affect the safety of the dam and 
reservoir as specified in Section 6081 of the Water Code, and the 
board shall also make independent findings that the dam is safe to 
impound water, as specified in Section 6355 of the Water Code. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Sections 6056, 6081, 6355, Water Code. 

 

 332. Actions for Which Board is Retained. 

 

 (a) The department shall retain a consulting board: 

 

 (1) To review the adequacy of the design of a dam and 
reservoir the department proposes to construct, or 

 

 (2) To review the safety of the completed construction 
and the terms and conditions to be included 

 

in a certificate of approval for any dam owned by the department as 
issued, renewed or modified, no later than six months following any 
such action. 

 

 (b) Where a board is retained to review the adequacy 
of the design of a dam and reservoir, it shall report its findings to 
the Director prior to the approval of an application to construct or 
enlarge the dam. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Section 6056, Water Code. 

 

333. Periodic Review. 

 


 In addition to the times specified in Section 332, the 
department shall retain a review board at least once every five years 
to review the operational performance of department owned dams. The 
Federal Power Commission’s five year independent review may be 
substituted if it is comparable to the review required by this 
article. 

 

 NOTE: Authority cited: Section 6078, Water Code. 
Reference: Section 6056, Water Code. 

 


 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CURRENT PRACTICES 

OF THE 

DEPARTMENT OF WATER RESOURCES 

IN 

SUPERVISION OF DAMS AND RESERVOIRS 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


Introduction 

 

 The following is provided to help the reader comply with the 
requirements of the foregoing sections of the Water Code (WC) and the 
California Code of Regulations (CCR). Current practices of the 
Department of Water Resources in supervision of dams and reservoirs in 
State jurisdiction are given. Information required for applications 
is outlined. (CCR 310) 

 

Division of Safety of Dams 

 

 Responsibility for supervision of dams and reservoirs is 
assigned to the department and delegated to the Division of Safety of 
Dams (DSOD). 

 

Dams and Reservoirs in State Jurisdiction 

 

 Water Code Sections 6000 to 6004.5 and 6025.5 identify dams 
and reservoirs that are in State jurisdiction. Note that dams and 
reservoirs owned by the United States are not subject to State 
jurisdiction except as otherwise provided by federal law. 

 

 The Division will review the physical description on request 
of existing or proposed impoundments and determine if they are or will 
be in State jurisdiction. Plans for proposed impoundments are usually 
required before determinations can be made. 

 

Proposed Dams and Reservoirs 

 

 The Division of Safety of Dams inspects sites, reviews 
preliminary plans, and comments on firm proposals for proposed dams 
and reservoirs. It attempts to inspect representative field 
exploration, unique laboratory testing, etc., for proposed facilities. 
However, any comments based on preliminary plans and data are not 
binding on the Division’s later consideration of applications. 

 

 In matters relating to the California Environmental Quality 
Act (CEQA), the Department of Water Resources is the lead or 
responsible agency for dams and reservoirs. Environmental 
consideration for dams and reservoirs not directly related to safety 
is assigned to the Department’s four districts. Usually, the Division 
of Safety of Dams makes preliminary reviews of dam and 

reservoir proposals, as discussed above, before environmental 
documentation is prepared. Other water related concerns are handled 
by the appropriate district. 

 

Procedure for Construction or Enlargement of Dams and Reservoirs 

 

1. If adequate water rights are not already held, file an 
application for water rights with the State Water Resources 
Control Board, Division of Water Rights, 901 P Street, 
Sacramento, California 95814. Evidence of water rights is 
required before a construction or enlargement application can be 
approved. (CCR 303) 


 

2. Pre-application meetings are not required by the statutes or 
regulations. Practice, however, has shown that early involvement 



of DSOD in projects is most beneficial for aggressive project 
schedules. CEQA scoping meetings, early site visits to view 
exploration, preliminary design discussions, project schedule 
reviews, and submittal of preliminary 60 percent plans, 
specifications, and geologic data are recommended to expedite 
review leading to final approval. 


 

3. File application for construction or enlargement of dam. (CCR 
310) Include: 


 

(a) Application forms (DWR 3) in duplicate to 

 Department of Water Resources, Division of 

 Safety of Dams, P.O. Box 942836, Sacramento, 

 California 94236-0001, (2200 X Street, Suite 

 200), plus one copy to the Fish and Game 

 Commission in-care of the State Department of 

 Fish and Game, 12th Floor, Resources Building, 

 1416 Ninth Street, Sacramento, California 

 95814, if the dam is in a stream. (WC 6500) 

 Sign all copies. 

 

(b) Plans prepared by registered civil engineer 

 pursuant to California law. (CCR 304) Such 

 plans shall be filed in duplicate in the form 

 of paper prints. Unsigned, nearly complete, 

 prints should be submitted. 

 

(c) Specifications in duplicate. Nearly complete 

 specifications should be submitted. 

 

 (d) Filing Fee. (WC 6300-6309 and CCR 314). The 

 Current fee structure is listed on the Division 

 Website under “Fees.” 

 

 (e) Certain additional information may be 

 desirable, or may be required, depending upon 

 the magnitude of the project. Such added 

 information may include soils data, logs of 

 borings or other exploratory data, geologic 

 reports, hydrologic data, structural and 

 hydraulic design notes, etc. 

 

 (f) Information to enable the department to comply 

 with the California Environmental Quality Act 

 and regulations. This information is as 

 appropriate: 

 

 (1) A copy of the final adopted environmental 

 impact report or initial study--negative 

 declaration prepared by a lead agency, or 

 

 (2) Data and information necessary for the 

 department to act as lead agency to 

 prepare the environmental documentation. 

 

 

 


 The environmental documentation in either 

 case must be submitted to the State Clearing- 

 house for processing as required by State 

 law. 

 

4. Within 30 days after receipt of an application, the Division 
informs the applicant that the application is complete or of the 
information necessary to make it complete. 


 

5. After review of plans, specifications, etc., and inspection of 
the site, changes in the plans and specifications, and any 
supplemental data necessary for approval, will be identified. 


 

6. Submit signed drawings in triplicate and final specifications in 
duplicate for application approval when review comments are 
resolved. 


 

7. All civil engineering work is to bear the seal or stamp of the 
responsible civil engineer and shall be signed across the face 
with the expiration of the certificate shown on or adjacent to 
the seal. Civil engineering work includes plans, specifications, 
reports, and documents which are prepared under the Civil 
Engineering Practice Act. 


 

8. Notify the Division when construction is to begin and keep DSOD 
field engineers informed as to the status of construction work at 
all times. Inspections are made during construction as deemed 
necessary. No foundations or abutments shall be covered until 
the DSOD field engineer has inspected and approved them. 


 

9. Upon completion of construction, notify the Division by letter. 
Final inspections are made as soon as practicable after notice is 
received. 


 

10. As soon as possible after completion of the dam and final 
inspection by the division’s field engineer, file the following: 


 

(a) Affidavit of cost of construction. Attach 

 breakdown of costs, including engineering. 

 

 (b) Additional filing fee if final cost exceeds 

 estimated cost by more than 15 percent. 

 

 (c) As-constructed plans, if required, in the form 

 of paper prints. 

 

11. A Certificate of Approval will be issued upon a finding that the 
dam and reservoir are safe to impound water within the 
limitations prescribed in the certificate. Impoundment of water 
must not commence until this certificate is issued. 


 

Procedure for Repair or Alteration of Dams or Reservoirs 

 

 The procedure is the same as for construction or enlargement 
except for the following: 

 

 


1. Evidence of water rights is not required. 


 

2. Use application form DWR 4. 


 

3. Plans and specifications may not be required for minor repair 
work. 


 

4. Repair and maintenance qualify for an exemption under the 
California Environmental Quality Act. 


 

5. Only two sets of signed plans are required for application 
approval. 


 

6. The Certificate of Approval is only modified when the alteration 
or repair lowers the approved water surface elevation. 


 

Procedure for Removal of Dams and Reservoirs 

 

 The procedure is the same as for construction or enlargement 
except for the following: 

 

1. Evidence of water rights is not required. 


 

2. Use application form DWR 5. 


 

3. Only two sets of signed plans are required for application 
approval. 


 

4. The Certificate of Approval, if any, is returned to the 
Department. 


 





Draft 
lified Dam Failure Analysis for Inundation Mapping Using H 
By 
J. J. DeVries1 
Introduction 
per describes a simplified approach to dam failure analysis using HEC-1 to 
input hydrographs for the hydrodynamic model Mike 21. Mike 21 was used in 
duce inundation maps. 
lifornia Office of Emergency Services (CA OES) was directed by the Govern 
te of California to develop dam failure inundation maps for all non-federal dams in 
ting topographic information available from the USGS. Nearly 500 dam failure 
ion maps were ndat produced in a four-month period. The purpose of this study was 
mapping s 
vid the final detailed inundation maps for individual dams. 
generation of flood maps to the inundation process. CA OES selected two models: 
e 21 modeling. 
1 requires an input hydrograph since the program does not simulate a dam failu 
ide reservoir routing to compute the outflow hydrograph through the breach as it 
ps with time. HEC-1 has these features so it was used to si 
C-1 also has an option for writing the calculated hydrograph data to user-formatted 
utility program was used to reformat the HEC-1 output as Mike 21 input. 
database for dam and reservoir characteristics for the State of California is 
ntained by the Division of Dam Safety of the California Department of Water 
ces for dams under their jurisdiction. The information includes the height of the 
simulate a dam failure HEC-1 requires breach characteristics, including total failure 
d an elevation-capacity curve for the reservoir. These were developed from the 
acity. 
kground 
lifornia Office of Emergency Services da 
ergency procedure program applies to dams meeting specific size requirements 
them subject to the jurisdiction of the State of California. Dams owned by 
s of the United States government are not under the jurisdiction of this progra 
legislative intent of the original CA OES seismic safety of dams legislation was to 
h emergency procedures for the evacuation and control of populated areas below 



s which could be used to save lives and reduce injury in the event of a dam failure. 
ners submit inundation maps to CA OES for re 
h guidance issued by CA OES. Inundation maps represent the best estimate of where 
ould flow if a dam failed completely and suddenly with a fu 
delineated areas, cities and 
er w ll reservoir. Based 
proved inundation maps, or the counties with territor 
apped areas are required to adop 
trol of populated areas below the dams. 
C-1 dam failure analysis 
Breach analysis—Because a large number of dams had to be analyzed, it was no 
sified as either an earth or rockfill dam or a concrete dam. The following table shows 
ameters for the two types of dams. 
ptions c 
• “Sunny-day” failure 
Reservoir is full 
• Failure is rapid 
Earth dam: 15 minu 
9 minu
tes for full failure 
Concrete dam: tes for full failure 
• The maximum expected breach width occurs 
le 1. Dam breach parameters: 
eter 
e slope of breach 1.0 0.2 
ntil breach reaches its 
um size (h 
0.25 0.15 
r) 
width of breach (ft) 5 * H 1 * 
possible. 
on of water surface in Weir Crest Elevation Weir Cre 
ervoir at failure 
at upstream end of Small dams : 10 cfs Inflow to reservoir = 
ervoir Medium dams: 100 cfs 
ge dams : 1000 cfs 
di 
Lar tu
scharge through 
rbines 



Dam Width, W 

H 

Figure 1. Breach geometry for earthen dams 
5 Hd 1:1 side slopes Final breach area 

 

Text Box: 

 Hydrodynamic model 
MIKE 21 BACKGROUND 
The version of Mike 21 used in this study simulates water level variations and flows in 
response to a variety of forcing functions in water bodies. The water levels and flows are 
resolved on a rectangular grid covering the a 

b 

etc. The system solves the full 

ation of momentum. The solution is obtained using an implicit ADI finite 
difference scheme of second-order accuracy. 
Mike 21 parameters: 
The only changes to the modeling paramete 

were to the Manning’s n values used fo 

oodplains. A single v 
anning’s n by lan 
vation value and 


hydrograph generated by HEC-1 had an ini 

ded at the end of the hydrograph. Model sta 

raph. 


T 

 

5 m2/s 

Win 

s 

Dry Depth 
Fl 

Manning’s 

anyons 

Manning’s n - F 

loodplain 0. 

 

Results 

The assumptions used produc 
failure; the 

servatively large flows 

 considered conservativel 

etry were not represented 

 the simulated dam 

low; and many of the 
the 30-m 



It 

p 

 

A 

fa 

to 
g 


 Conclu 

Text Box: Final breach area

 

 



Current Hydrologic Practices, Problems, and Needs 
Within California’s Dam Safety Program 

By 
Melissa Collord 

 
oduction 

 
There are over 1,200 dams within the jurisdiction of the California Departme 
ter Resources (DWR), Division of Safety of Dams (DSOD). The dams are located 
ughout the state and have drainage basins that vary in size from portions o 
usands of square miles. DSOD requires that all dams within its jurisdiction be 

of adequately passing a selected design flood. A method was developed by DSOD to 
mate flood hydrographs for ungaged or poorly gaged watersheds for use in spillwa 
luation. 

Methodology 
The procedure devised by DSOD in 1 

of any spillway in California consists of eight parts: 
Assessment of the potential downstream hazard 
Determination of appropriate storm return period 
Development of precipitation 

4. Development of synthetic unit hydrograph parameters 
Development of loss rate parameters 

6. Computation of the flood hydrograph 
Routing of the flood hydrograph through the reservoir 
Evaluation of the spillway adequacy 

 
The following discussion will focus on parts 4 thru 6, their basic concepts and 
rtcomin 

 
it Hydrograph 

 
DSOD utilizes Clark’s method to develop a synthetic unit hydrograph. Clark’s 

observed rainfall and runoff events, which related these parameters to drainage basin 
racteristics by regression analysis. The study is applicable to the State of Califo 
ept the area south of the Tehachapi Mountain Divide and the area east of the 

stream length, area, elevation, and ground cover to the time of concentration ( c 
rk’s storage coefficient (R) for development of a basin-specific unit hydrograph. T 

 


od Hydrograph 
The flood hydrograph is developed using the computer program HEC-1 

convolution of the effective rainfall increments with Clark’s unitgraph. Losses due to 
ace reten n and infiltration are estimated by the exponential loss rate functi 
hin HEC-1. The general criteria is that the percent runoff shoul 

when the mean annual precipitation (MAP) at the basin is greater than 25 inches and 
uld not be less than 60 when the MAP is 25 inches or less. 

 If applicable, allowances for snowmelt, base flow in the basin, runoff from prio 
ms, import of water, etc., are added to the storm runoff hydrograph to 
ign flood hydrograph for the watershed. 
blems Faced 

 
The regression equations provide a rational, consistent and simplistic method t 

fa 

asin models has become easier and a more widely used approach. The optimization 
eature in HEC-HMS estimates unit hydrograph and loss rate parameters wit