The California Application for Approval of Plans and Specifications is the form a dam owner files with the Division of Safety of Dams (DSOD) to get state approval before building, enlarging, repairing, altering, or removing a jurisdictional dam. You file it with the California Department of Water Resources, and you may not start any work until DSOD signs off.
This article walks through all three versions of the application: Construction or Enlargement, Repair or Alteration (DWR Form 4, Rev. 11/21), and Removal (DWR Form 5). DSOD oversees more than 1,200 jurisdictional dams in California, and a single missed signature or a wrong fee can push your project back months while water sits behind a structure the state has not yet cleared.
Here is what you will learn:
- 📋 What each version of the form asks, line by line, in plain English
- 💰 How the filing fee works and why your estimated cost of work drives the whole bill
- 🗺️ Which attachments, like sealed plans and inundation maps, must ride along with the form
- ✍️ Three full filled-out examples that follow real owners from the first box to the signature
- ⚠️ The field-level mistakes that get applications rejected and how to dodge each one
What the Form Is and Who Must File It
The Application for Approval of Plans and Specifications is the gateway document for any work on a jurisdictional dam in California. It tells DSOD what you own, where it sits, what you plan to do, and how much the job will cost. The form does not give you the right to take or store water; that right comes from a separate filing with the State Water Resources Control Board. The application is purely a safety review of your engineering.
You must file if your structure meets the definition of a dam under Water Code section 6002. A dam is an artificial barrier that impounds or diverts water and that is either 25 feet or more in height to the maximum storage elevation, or holds 50 acre-feet or more. The plain-English version is simple: big enough to hurt people if it fails, so the state wants eyes on it.
A barrier that is six feet or less in height, no matter how much it holds, or that holds 15 acre-feet or less, no matter how tall it is, is not a dam under Water Code section 6003. The consequence of ignoring this is steep. If you build a jurisdictional dam without approval, DSOD can order you to lower the reservoir, breach the structure, or remove it at your own cost. A common misconception is that a small farm pond is always exempt. A pond that is only eight feet tall but backs up 60 acre-feet still falls under DSOD, because impounding capacity alone can trigger jurisdiction per section 6002.
The agency that receives the form is DSOD, a division of the Department of Water Resources. The statute that requires it is Part 1, Division 3 of the California Water Code, which California has enforced since 1929. The deadline that governs it is “before any work starts,” and the penalty for skipping it is enforcement action against the owner of record.
Before You Start: Documents and Information You Need
Gather everything below before you open the form. DSOD will not start review until your package is complete, and Water Code section 6304 lets the agency hold the file until at least 20 percent of the fee arrives. A missing piece means your application sits in a drawer while the clock on your construction season runs out.
- The exact legal name of the dam owner. DSOD matches this against its ownership records, and a mismatch stalls the file while staff confirm who is responsible.
- Owner mailing address, plus officers if a corporation. The form asks for the president and secretary when the owner is a corporation, and leaving this blank voids the page.
- The dam’s official DSOD dam number. For existing dams this speeds matching; if you write the wrong number, your work may post to another owner’s file.
- Latitude and longitude to five decimal places. DSOD plots the structure on its statewide map, and coarse coordinates can place your dam in the wrong watershed.
- A clear description of the proposed work. Vague descriptions draw a request for more information, which adds weeks before the review even begins.
- The estimated cost of the work. This single number sets your filing fee under Water Code section 6300, so a lowball figure means a fee correction later.
- Plans and specifications sealed by a California registered civil engineer. The form is not complete without them, and DSOD rejects packages that arrive with unsealed drawings.
- The name and license number of your engineer and contractor. DSOD needs a licensed point of contact, and a missing engineer seal blocks approval at the certification step.
- Inundation maps where required. DSOD reviews inundation maps for high and significant hazard dams, and missing maps delay the safety analysis.
- Your initial filing fee payment, at least 20 percent. Without the deposit, section 6304 says DSOD need not even consider the application.
Where to Get the Form and How to Access It
All three application forms live on the DSOD Forms page under the Department of Water Resources website. You will see three separate PDFs: one for Construction or Enlargement, one for Repair or Alteration, and one for Removal. Each form has a matching instructions PDF posted right beside it, and you should download both.
Two extra forms are not posted publicly and must be requested from DSOD directly. The Cost Affidavit for Work Complete and the Ownership Statement for Jurisdictional Dam and Reservoir are available by emailing damsafety@water.ca.gov or calling (916) 565-7868. The plain-English point is that the application is only one piece of a larger package, and the ownership statement settles who legally owns the structure.
Confirm you have the current version before you write anything. The Repair or Alteration form is marked DWR 4 (Rev. 11/21) in the lower corner, and citing the wrong revision can mean DSOD asks you to refile on the updated sheet. A common misconception is that any old copy works. DSOD updates fee references and field labels over time, so an outdated form can carry an outdated fee schedule and bounce your filing.
Step-by-Step: How to Fill Out the Dam Safety Permit Application Line by Line
The three forms share the same skeleton. The Repair or Alteration form (DWR 4) is the cleanest example, so the walkthrough below tracks its boxes in order, then notes where the Construction, Enlargement, and Removal forms differ. Type every entry, use all caps for names, and write dates as MM/DD/YYYY.
Box: Name of Individual Signing Application
This field asks who is personally putting their name on the application. You write the full legal name of the human being signing, not the company name. Maria Chen writes MARIA CHEN on the line that reads “Name of individual signing application.”
The nuance is that the signer is often an engineer or agent, not the owner. If you sign as an agent, you still print your own name here and explain your role lower in the legal-capacity line. A common mistake is writing the company name in this box, which leaves DSOD unsure who is making the sworn statement, and the file gets a clarification hold. The misconception to drop is that “signer” and “owner” are the same; they often are not, and the form treats them as separate roles.
Box: Address and County of the Signer
This field asks where the person signing can receive mail. You enter the street address, then the county and state on the lines that follow. Maria Chen writes 1450 OAK RIDGE RD, NAPA, CA, then County of NAPA, State of CALIFORNIA.
The nuance is that a P.O. Box is fine for mailing, but DSOD may also want a physical address for the dam itself, which appears later. A common mistake is leaving the county blank, since California routes dam files partly by county and an empty county field slows internal sorting. The misconception is that the signer’s address must match the dam’s location; it does not, because engineers and agents often work far from the site.
Line: Repair or Alteration Checkbox
This field asks which action you are requesting. You check exactly one box, either “repair” or “alteration,” and then write the name of the dam and reservoir on the line provided. Maria Chen checks repair and writes SILVER CREEK DAM AND RESERVOIR.
The nuance is the legal line between the two words. A repair restores the dam to its approved condition, while an alteration changes it, but this form cannot be used if the change raises the water storage elevation above what was previously approved. A common mistake is checking “alteration” for work that actually raises storage, which means you filed the wrong form and must refile on the Enlargement application. The misconception is that repair and alteration are interchangeable labels; DSOD reviews them under different standards.
Box: Name and Address of the Owner
This field asks who legally owns the dam and reservoir. You enter the owner’s full legal name, then the address, county, and state. Maria Chen writes SILVER CREEK MUTUAL WATER COMPANY, then its address and County of NAPA, State of CALIFORNIA.
The nuance covers corporate owners. If the owner is a corporation, the next line requires the names and addresses of the president and secretary, because DSOD holds the corporation’s officers accountable. A common mistake is naming the property manager instead of the legal title holder, which puts the wrong party on the safety record and can void enforcement notices later. The misconception is that the owner and applicant are always the same entity; the form keeps them separate so an engineer can apply on the owner’s behalf.
Line: Legal Capacity of the Applicant
This field asks in what role the applicant is acting for the owner. You write one word that fits, such as Agent, Lessee, Trustee, or Engineer. Maria Chen writes ENGINEER because she is the registered civil engineer acting for the water company.
The nuance is that this line ties the signer to the owner and proves authority to file. A common mistake is leaving it blank when the signer is not the owner, which makes DSOD question whether the filer has standing to apply. The misconception is that anyone can file for any dam; you must show a legal relationship to the owner, or DSOD will not process the work.
Line 1: Location of the Dam (Latitude and Longitude)
This field asks for the precise map location of the dam. You enter latitude and longitude to five decimal places, measured at the dam’s upper right abutment contact, or the center of the reservoir for tanks. Maria Chen writes 38.41250 latitude and -122.31875 longitude.
The nuance is the reference point. DSOD wants the upper right abutment, not the spillway or the parking area, because the abutment fixes the structure on the statewide map. A common mistake is entering only three decimal places, which can shift the plotted point hundreds of feet and place the dam in the wrong watercourse. The misconception is that a street address is good enough; the form requires geographic coordinates because many dams sit far from any addressed road.
Line 1 (continued): Watercourse and Tributary
This field asks what creek or river the dam sits on and where that water flows. You write the name of the creek, river, or “offstream,” then the larger watercourse it is tributary to. Maria Chen writes SILVER CREEK, tributary to NAPA RIVER.
The nuance is the word offstream. If the reservoir is not on a natural channel, you write “offstream” rather than inventing a creek name, because offstream storage is reviewed differently for flood routing. A common mistake is naming the wrong tributary, which throws off the downstream hazard analysis DSOD performs. The misconception is that this line is just paperwork; it actually feeds the agency’s flood and inundation modeling.
Line 2: Type of Dam
This field asks what the dam is built from and how it works. You write the structural type, such as concrete arch, concrete gravity, earthfill, or rockfill. Maria Chen writes EARTHFILL.
The nuance is that some dams are hybrids, like an earthfill embankment with a concrete spillway. In that case you name the main embankment type and let the plans show the rest. A common mistake is guessing the type without checking the original plans, which can misroute the file to the wrong DSOD review track. The misconception is that the dam type is obvious from looking at it; old dams often have hidden concrete cores that change the classification.
Line 3: Description of Proposed Work
This field asks exactly what you intend to do. You describe the work in clear terms and attach extra sheets if you run out of room. Maria Chen writes REPLACE DETERIORATED 24-INCH OUTLET PIPE AND REPAIR UPSTREAM SLOPE PROTECTION OVER A 120-FOOT REACH.
The nuance is detail. DSOD reviews the description against the sealed plans, so the words and the drawings must match. A common mistake is writing something vague like “fix the dam,” which triggers a request for more information and delays the file for weeks. The misconception is that the plans alone carry the description; the form text is the legal scope of what DSOD approves, so it must be specific.
Line 4: Effect on Maximum Storage Elevation
This field asks whether the work changes how high the water can rise. You write either “No change in” or “Lowering” the maximum possible storage elevation. Maria Chen writes NO CHANGE IN the maximum possible storage elevation.
The nuance is the hard limit on this form. The Repair or Alteration application cannot be used if the work raises the storage elevation above what was previously operated. A common mistake is using this form when the project actually increases storage, which means the work is really an enlargement and belongs on a different application. The misconception is that any change to the dam fits here; raising the pool is an enlargement, full stop, and must move to the Construction or Enlargement form.
Line 5: Estimated Cost of Work
This field asks for the total estimated cost of the project. You enter a dollar figure, and DSOD bases your initial filing fee on this number. Maria Chen writes $185,000.
The nuance is that the estimate sets the fee under Water Code section 6300, which charges 3.25 percent on the first one million dollars, with a $1,000 minimum fee. The owner may amend the estimate and pay additional fees up until construction starts. A common mistake is lowballing the cost to shrink the fee, which leads to a correction and a possible hold once DSOD reviews the plans. The misconception is that the fee is a flat charge; it scales with cost, so an honest estimate avoids surprises.
Line 6: Start and Completion Dates
This field asks when work begins and ends. You enter the date work will commence and the date it will be completed, both as MM/DD/YYYY. Maria Chen writes commence by 08/01/2026, completed by 10/15/2026.
The nuance is the approval condition that construction must start within one year of the approval date, so your commence date should be realistic and inside that window. A common mistake is listing a start date before DSOD could possibly approve the file, which signals you may begin work without clearance. The misconception is that these dates are loose estimates; they tie directly to the one-year start rule printed on the approval page.
Lines 7 and 8: Engineer and Contractor
This field asks who is engineering and building the project. You enter the engineer on line 7 and the contractor on line 8, with names and license numbers. Maria Chen lists herself as MARIA CHEN, RCE 54321 and the contractor as VALLEY DAM BUILDERS, LIC. 998877.
The nuance is that the engineer must be a California registered civil engineer, because the approval page reserves a line for the engineer’s license number. A common mistake is leaving the contractor blank when one is already chosen, which gives DSOD an incomplete picture of who will perform the work. The misconception is that any engineer will do; only a California-licensed civil engineer can seal dam plans for DSOD.
Line 9 and Signature: Attachments, Fee, and Sign-Off
This field confirms the package is complete and captures the applicant’s signature. You write the filing fee amount on the line, confirm the maps, plans, and specifications are attached, then sign and date. Maria Chen writes $6,012.50, signs as the applicant, and dates it 06/03/2026.
The nuance is that your signature is a sworn statement that the package is true and complete, so review everything before signing. A common mistake is signing an undated form or forgetting to enclose the fee, which sends the whole package back. The misconception is that the signature is a formality; it is the legal act that makes the application valid, and an unsigned form is no application at all.
How the Construction, Enlargement, and Removal Forms Differ
The Construction or Enlargement application adds fields for the new or increased storage capacity, dam height, and reservoir surface area, because the project creates or grows impoundment. The Removal application, DWR Form 5, asks how the structure will be taken out and how the site will be restored, and its instructions require plan sheets prepared by a California registered civil engineer. Across all three, the location, ownership, cost, and signature blocks stay the same, so once you learn one form you can read the others.
Three Filled-Out Examples Using Real Scenarios
Below are three named owners running through the form from start to finish. Each table shows the key fields and what the filer enters.
Scenario 1: Maria Chen repairs an earthfill dam for a mutual water company
| Form Section | What Maria Enters |
|---|---|
| Action checkbox | Repair |
| Name of dam and reservoir | SILVER CREEK DAM AND RESERVOIR |
| Owner | SILVER CREEK MUTUAL WATER COMPANY, NAPA, CA |
| Legal capacity of applicant | ENGINEER |
| Latitude / Longitude | 38.41250 / -122.31875 |
| Type of dam | EARTHFILL |
| Description of work | REPLACE 24-INCH OUTLET PIPE, REPAIR SLOPE PROTECTION |
| Effect on storage elevation | NO CHANGE IN |
| Estimated cost | $185,000 |
| Filing fee enclosed | $6,012.50 |
Scenario 2: Robert Ellis enlarges a ranch reservoir
| Form Section | What Robert Enters |
|---|---|
| Action checkbox | Enlargement |
| Name of dam and reservoir | DRY GULCH DAM AND RESERVOIR |
| Owner | ROBERT ELLIS, ELLIS CATTLE RANCH, TEHAMA, CA |
| Legal capacity of applicant | OWNER |
| Latitude / Longitude | 40.17640 / -122.23410 |
| Type of dam | EARTHFILL |
| Description of work | RAISE CREST 4 FEET TO ADD 90 ACRE-FEET STORAGE |
| New maximum storage | 310 ACRE-FEET |
| Estimated cost | $640,000 |
| Filing fee enclosed | $13,000.00 |
Scenario 3: Janet Wu removes an obsolete dam for a water district
| Form Section | What Janet Enters |
|---|---|
| Action checkbox | Removal |
| Name of dam and reservoir | MILL POND DAM AND RESERVOIR |
| Owner | FOOTHILL WATER DISTRICT, EL DORADO, CA |
| Legal capacity of applicant | AGENT |
| Latitude / Longitude | 38.72910 / -120.81550 |
| Type of dam | CONCRETE GRAVITY |
| Description of work | FULL REMOVAL OF DAM, RESTORE NATURAL CHANNEL |
| Effect on storage | RESERVOIR ELIMINATED |
| Estimated cost | $420,000 |
| Filing fee enclosed | $10,000.00 |
A fourth filer worth naming is Aisha Patel, an HOA board member who learns her community lake sits behind a 28-foot dam and must file a Repair application after a leak appears. A fifth is Marcus Reed, a vineyard owner who assumes his pond is exempt until DSOD confirms it holds 70 acre-feet and is jurisdictional under section 6002.
How to File the Completed Form
DSOD accepts dam safety applications by mail and email, and you should confirm the current preferred channel when you call. The plain-English point is that you send the form, the sealed plans, and the fee together as one package.
- By mail. Send the package to the Division of Safety of Dams, 2720 Gateway Oaks Drive, Suite 300, Sacramento, CA 95833. Pay by check made out to the Department of Water Resources, and keep a copy of the check and a delivery receipt as proof of filing.
- By email. Email the application and plans to damsafety@water.ca.gov and call (916) 565-7868 to arrange the fee. Save the sent email and any confirmation reply as your proof of filing.
For every channel, your initial fee must be at least 20 percent of the total under Water Code section 6304, or DSOD need not consider the application. The fee itself follows the section 6300 schedule, starting at 3.25 percent of the first one million dollars of estimated cost, with a $1,000 floor. Processing time depends on the size and complexity of the project and the completeness of your engineering, so a clean package moves faster. Keep every receipt, because the date of filing can matter if a deadline or dispute arises later.
What Happens After You File
Once DSOD has your complete package and deposit, staff begin a technical review of your plans and specifications. They may run their own structural, hydrologic, hydraulic, and geotechnical analyses, and they often send written requests for more information. The plain-English version is that DSOD double-checks your engineer’s work before any dirt moves.
When the review is satisfied, the Division Manager signs the approval page, which is the second page of the form. The approval carries two standing conditions: construction must start within one year of the approval date, and no foundation or abutment may be covered by dam material until DSOD has inspected and approved it. A common misconception is that approval means you can build however you like; in reality, DSOD oversees construction and inspects the work as it proceeds.
If DSOD finds problems it cannot resolve, it can deny the application or require redesign. Building without that approval exposes the owner to enforcement, including orders to lower the reservoir or remove the structure. The mini-scenario: if Robert Ellis starts raising his dam crest before approval, DSOD can order the new fill removed and the reservoir lowered until the file is cleared.
Mistakes to Avoid When Filling Out the Form
- Writing the company name where the form asks for the individual signing; DSOD cannot tell who made the sworn statement and holds the file.
- Naming a property manager instead of the legal owner; the wrong party lands on the safety record and enforcement notices may be void.
- Entering latitude and longitude with fewer than five decimals; the plotted point shifts and can place the dam in the wrong watercourse.
- Using the Repair or Alteration form for work that raises storage; the project is really an enlargement and the file gets rejected.
- Writing a vague work description like “fix the dam”; DSOD sends a request for more information and the review stalls.
- Lowballing the estimated cost to shrink the fee; DSOD corrects the fee and can hold the file until the balance is paid.
- Forgetting the engineer’s California license number; the approval page cannot be completed without a registered civil engineer.
- Submitting unsealed plans; DSOD rejects packages that arrive without an engineer’s seal on the drawings.
- Sending the form without at least 20 percent of the fee; under section 6304 DSOD need not consider it.
- Listing a commence date before approval is possible; it signals you may start work without clearance.
- Leaving the county lines blank; California routes dam files partly by county and the file sorts slowly.
- Signing an undated application; an undated or unsigned form is treated as no application at all.
Do’s and Don’ts
Do:
- Confirm you have the current form revision, such as DWR 4 (Rev. 11/21), because old sheets can carry old fee references.
- Use a California registered civil engineer to prepare and seal the plans, since DSOD requires it for approval.
- Match the work description on the form to the sealed plans, because DSOD compares the two word for word.
- Keep proof of filing and proof of payment, since the filing date can matter in a later dispute.
- Call DSOD at (916) 565-7868 before filing to confirm the preferred channel and any extra forms.
Don’t:
- Don’t start construction before approval, because DSOD can order the work undone at your cost.
- Don’t guess the dam type from a quick look, since hidden concrete cores can change the classification.
- Don’t use the Repair form to raise storage, because that work is an enlargement under a different application.
- Don’t skip the ownership statement when DSOD requests it, since it settles who is legally responsible.
- Don’t assume a small pond is exempt, because 50 acre-feet of storage alone can make it jurisdictional under section 6002.
Pros and Cons of Filing on Your Own vs. With an Engineer
| Filing With a Registered Civil Engineer | Filing the Form Yourself |
|---|---|
| Plans arrive sealed, which DSOD requires, so the package is complete on day one. | You save the engineering fee, which can matter for a very small repair budget. |
| The engineer translates the work into the exact terms DSOD reviews, cutting back-and-forth. | You keep full control over how the description and dates are worded. |
| A licensed engineer can answer DSOD’s technical requests fast, shortening review. | You learn the process firsthand, which helps on future filings. |
| The license number is ready for the approval page, avoiding a stall at certification. | You avoid waiting on a third party’s schedule to submit. |
| Errors in hydrology or stability are caught before filing, lowering rejection risk. | For a tiny, well-documented repair, the form text itself is straightforward to complete. |
The catch is that California requires a registered civil engineer to seal dam plans, so even a self-filed application still needs engineered drawings. The realistic split is that owners can complete the form’s administrative boxes themselves while the engineer handles the plans and the technical lines.
FAQs
Do I need a permit for a small farm pond?
Yes. A pond is jurisdictional if it holds 50 acre-feet or more, or stands 25 feet or more, even when it looks small, under Water Code section 6002.
Is a six-foot barrier ever a dam under DSOD rules?
No. A barrier six feet or less in height is not a dam regardless of storage, and one holding 15 acre-feet or less is not a dam regardless of height.
Do I write my own name or the company name in the “individual signing” box?
Yes, your own name. That box asks for the individual signing, while the company goes in the separate owner field below it.
Do I have to enter latitude and longitude to five decimal places?
Yes. The form requires five decimal places at the dam’s upper right abutment, because fewer digits can misplace the structure on DSOD’s map.
Do I use the Repair or Alteration form if my project raises the water level?
No. That form cannot be used to raise storage; raising the pool is an enlargement and belongs on the Construction or Enlargement application.
Is the filing fee a flat amount?
No. The fee scales with estimated cost under section 6300, starting at 3.25 percent of the first one million dollars, with a $1,000 minimum.
Do I write the owner or the agent in the legal-capacity line?
Yes, the role. You write what the applicant is, such as Agent, Engineer, or Owner, to show authority to file for the owner.
Can I start construction once I mail the form?
No. You may not begin work until DSOD approves the application, and approval requires construction to start within one year of that date.
Do I need a licensed engineer to file?
Yes. California requires plans sealed by a registered civil engineer, and the approval page reserves a line for the engineer’s license number.
Is this the same as a water rights permit?
No. This application is a safety review only; water rights come from a separate filing with the State Water Resources Control Board.
Do I have to pay the whole fee up front?
No. Under section 6304 at least 20 percent is required for DSOD to begin considering the application, with the balance due before construction.
Can I amend my estimated cost after filing?
Yes. The owner may amend the estimate and pay additional fees up until construction starts, per Water Code section 6300.
Do I need a separate form to remove a dam?
Yes. Removal uses DWR Form 5, with its own instructions and plan sheets prepared by a California registered civil engineer.
Is the property manager an acceptable owner entry?
No. You must name the legal title holder, because DSOD holds the recorded owner responsible for the dam’s safety and any enforcement.
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