Att_3_-_Fish_Passage_Design_Criteria_NMFS.pdf

ANADROMOUS SALMONID

PASSAGE FACILITY DESIGN

NATIONAL MARINE FISHERIES SERVICE

NORTHWEST REGION

www.nwr.noaa.gov

July 2011 http://www.nwr.noaa.gov/

ACKNOWLEDGMENTS

Bryan Nordlund, National Marine Fisheries Service (NMFS) Hydraulic Engineer, is the primary author of this document. He was assisted by Larry Swenson, Hydraulic Engineer; Melissa Jundt, Hydraulic Engineer; Ed Meyer, Hydraulic Engineer; Scott Carlon, Fishery Biologist; and John

Johnson, Hydraulic Engineer; all with NMFS. In addition, he was assisted by Steve Rainey, GEI

Consultants, Inc.

Reviews were provided by Denny Hudson, U.S. Bureau of Reclamation; Pat Powers and Tom

Burns, Washington Department of Fish and Wildlife; Ray Hartlerode, Tom Stahl, and Bernie

Kepshire, Oregon Department of Fish and Wildlife; Lynn Stratton and Matt Hightree, Idaho

Department of Fish and Game; and Ken Bates, Koszmo, Inc.

Suggested changes, additions, or questions should be directed to Bryan Nordlund at

Bryan.Nordlund@noaa.gov for consideration in updating this document.

Assistance from NMFS fish passage specialists can be obtained by contacting the NMFS

Northwest Region Hydropower Division at 503-230-5414.

Suggested citation:

NMFS (National Marine Fisheries Service). 2011. Anadromous Salmonid Passage Facility

Design. NMFS, Northwest Region, Portland, Oregon.

mailto:Bryan.Nordlund@noaa.gov

NMFS Anadromous Salmonid Passage Facility Design July 2011 i

TABLE OF CONTENTS

FOREWORD.............................................................................................................................. viii

1. DEFINITION OF TERMS

2. PRELIMINARY DESIGN DEVELOPMENT

2.1 Introduction

2.2 Site Information

2.3 Biological Information

2.4 Design Development Phases

3. DESIGN FLOW RANGE

3.1 Introduction

3.2 Design Low Flow for Fish Passage

3.3 Design High Flow for Fish Passage

3.4 Fish Passage Design for Flood Flows

4. UPSTREAM ADULT FISH PASSAGE SYSTEMS

4.1 Introduction

4.2 Fishway Entrance

4.2.1 Description and Purpose

4.2.2 Specific Criteria and Guidelines

4.3 Auxiliary Water Systems

4.3.1 Description and Purpose

4.3.2 Specific Criteria and Guidelines – AWS Diffusers

4.3.3 Specific Criteria and Guidelines – AWS Fine Trash Racks

4.3.4 Specific Criteria and Guidelines – AWS Screens

4.3.5 Specific Criteria and Guidelines – AWS Flow Control

4.3.6 Specific Criteria and Guidelines – AWS Excess Energy Dissipation

4.4 Transport Channels

4.4.1 Description and Purpose

4.4.2 Specific Criteria and Guidelines

4.5 Fish Ladder Design

4.5.1 Description and Purpose

4.5.2 Types of Fish Ladders

4.5.3 Specific Criteria and Guidelines

4.6 Counting Stations

4.6.1 Description and Purpose

4.6.2 Specific Criteria and Guidelines – Counting Stations

4.6.3 Specific Criteria and Guidelines – Counting Window

4.7 Fishway Exit Section

4.7.1 Description and Purpose

4.7.2 Specific Criteria and Guidelines – Fishway Exit Section ii

4.8 Fishway Exit Sediment and Debris Management

4.8.1 Description and Purpose

4.8.2 Specific Criteria and Guidelines – Coarse Trash Rack

4.8.3 Specific Criteria and Guidelines – Debris and Sediment

4.9 Miscellaneous Considerations

4.9.1 Specific Criteria and Guidelines

4.10 Roughened Chutes

4.10.1 Description and Purpose

4.10.2 Types of Roughened Chutes

5. EXCLUSION BARRIERS

5.1 Introduction

5.2 Types of Exclusion Barriers

5.3 Picket Barriers

5.3.1 Description and Purpose

5.3.2 Specific Criteria and Guidelines

5.4 Velocity Barrier

5.4.1 Description and Purpose

5.4.2 Specific Criteria and Guidelines

5.5 Vertical Drop Structures

5.5.1 Description and Purpose

5.5.2 Specific Criteria and Guidelines

5.6 Horizontal Draft Tube Diffusers

5.6.1 Description and Purpose

5.6.2 Specific Criteria and Guidelines

6. ADULT FISH TRAPPING SYSTEMS

6.1 Introduction

6.2 Trap Design Scoping

6.3 Fish Handling

6.3.1 Specific Criteria and Guidelines

6.4 General Trap Design

6.4.1 Specific Criteria and Guidelines

6.5 Trap Holding Pool

6.5.1 Specific Guidelines and Criteria

6.6 Trapping Mechanism

6.6.1 Description and Purpose

6.6.2 Specific Criteria and Guidelines

6.7 Lift/Hopper

6.7.1 Description and Purpose

6.7.2 Specific Criteria and Guidelines

iii

6.8 Fish Lock

6.8.1 Description an Purpose

6.8.2 Specific Criteria and Guidelines

6.9 Single Holding Pool Traps

6.9.1 Description and Purpose

6.9.2 Specific Criteria and Guidelines

7. CULVERTS AND OTHER ROAD CROSSINGS

7.1 Introduction

7.2 Preferred Alternatives for New, Replacement, or Retrofitting Culverts

7.3 Active Channel Design Method

7.3.1 Description and Purpose

7.3.2 Specific Criteria and Guidelines

7.4 Streambed Simulation Design Method

7.4.1 Description and Purpose

7.4.2 Specific Criteria and Guidelines

7.5 Hydraulic Design Method

7.5.1 Design and Purpose

7.5.2 Specific Criteria and Guidelines

7.6 Retrofitting Culverts

7.6.1 Description and Purpose

7.6.2 Specific Criteria and Guidelines

7.7 Miscellaneous Culverts/Road Crossings

7.7.1 Specific Criteria and Guidelines

8. TIDE GATES (WORK IN PROGRESS)

9. COLUMBIA AND SNAKE RIVER FISH PASSAGE FACILITIES

9.1 Introduction

9.2 Mainstem Upstream Passage

9.2.1 Description and Purpose

9.2.2 Specific Criteria and Guidelines

9.3 Mainstem Juvenile Screen and Bypass

9.3.1 Description and Purpose

9.3.2 Specific Criteria and Guidelines

9.4 Vertical Barrier Screens

9.4.1 Description and Purpose

9.4.2 Specific Criteria and Guidelines

10. UPSTREAM JUVENILE FISH PASSAGE

10.1 Introduction

10.2 Design

10.2.1 General Criteria and Guidelines

iv

11. FISH SCREEN AND BYPASS FACILITIES

11.1 Introduction

11.2 Functional Screen Design

11.3 Site Conditions

11.4 Existing Screens

11.4.1 Acceptance Criteria and Guidelines for Existing Screens

11.5 Structure Placement

11.5.1 Specific Criteria and Guidelines – Streams and Rivers

11.5.2 Specific Criteria and Guidelines – Lakes, Reservoirs, and Tidal Areas

11.6 Screen Hydraulics – Rotating Drum Screens, Vertical Screens, and Inclined Screens . 89

11.6.1 Specific Criteria and Guidelines

11.7 Screen Material

11.7.1 Specific Criteria and Guidelines

11.8 Civil Works and Structural Features

11.8.1 Specific Criteria and Guidelines

11.9 Bypass Facilities

11.9.1 Specific Criteria and Guidelines – Bypass Layout

11.9.2 Specific Criteria and Guidelines – Bypass Entrance

11.9.3 Specific Criteria and Guidelines – Bypass Conduit and System Design

11.9.4 Specific Criteria and Guidelines – Bypass Outfall

11.10 Debris Management

11.10.1 Specific Criteria and Guidelines

11.11 End of Pipe Screens (including pump intake screens)

11.11.1 Specific Criteria and Guidelines

12. INFILTRATION GALLERIES (EXPERIMENTAL TECHNOLOGY)

12.1 Introduction

12.2 Scope

12.3 Selection of Appropriate Screen Technology

12.4 Site Selection

12.5 Design: Infiltration Galleries

12.5.1 Specific Criteria and Guidelines

13. TEMPORARY AND INTERIM PASSAGE FACILITIES

14. OPERATIONS AND MAINTENANCE RESPONSIBILITIES

15. POST-CONSTRUCTION EVALUATIONS

15.1 Introduction

15.2 Evaluation of Juvenile Fish Screens

15.3 Biological Evaluation

v

16. EXPERIMENTAL FISH GUIDANCE DEVICES

16.1 Introduction

16.2 Juvenile Fish Entrainment at Intakes

16.3 Behavioral Devices

16.4 Process for Developing Experimental Fish Passage Technology

16.5 Conclusions

17. SUGGESTED READING AND REFERENCES

vi

TABLES AND FIGURES

Figure 1-1. Plunging Flow over Fishway Weir

Figure 1-2. Streaming Flow over Fishway Weir

Figure 4-1. Features of an Upstream Passage System using a Vertical Slot Fishway

Figure 4-2a. Plan View of Vertical Slot fishway Showing Generalized Flow Path

Figure 4-2b. Isometric View of Vertical Slot Fishway

Figure 4-2c. Dimensions of a Typical Vertical Slot

Figure 4-3a. Plan View of an Ice Harbor Type Weir and Orifice Fish Ladder

Figure 4-3b. Longitudinal Cross-section of an Ice Harbor Type Weir and Orifice

Fish Ladder

Figure 4-3c. Front View Cross-section of Ice Harbor Fishway Baffle

Figure 4-4. Pool and Chute Fishway

Figure 4-5. Coarse Trashrack

Figure 5-1. Velocity Barrier

Figure 5-2. Potential Layout of a Horizontal Draft Tube Diffuser

Table 7-1. Maximum Allowable Average Culvert Velocity

Table 10-1. Juvenile Upstream Fish Passage Guidelines

Table 11-1. Bypass Design Examples

Figure 12-1. Cross Section of an Example Infiltration Gallery vii

ACRONYMS AND ABBREVIATIONS

AWS auxiliary water supply cfs cubic feet per second

COE U.S. Army Corps of Engineers

EPRI Electric Power Research Institute

ESA Endangered Species Act

FERC Federal Energy Regulatory Commission

FPA Federal Power Act

HGL hydraulic grade line

HGMP Hatchery and Genetic Management Plan

MSA Magnuson-Stevens Fishery Conservation and Management Act

NMFS National Marine Fisheries Service

NWR Northwest Region

PESBS Positive-exclusion screen and bypass systems

PIT passive integrated transponder ppm parts per million

R/D ratio of bypass pipe center-line radius of curvature to pipe

VBS Vertical barrier screens

WDFW Washington Department of Fish and Wildlife viii

FOREWORD

The National Oceanic and Atmospheric Administration’s National Marine Fisheries Service

(NMFS) is charged by Congress to manage, conserve, and protect living marine resources within the United States Exclusive Economic Zone. NMFS also plays a supportive and advisory role in the management of living marine resources in areas under state jurisdiction. Among these living marine resources are the Pacific anadromous salmonids (salmon and steelhead) which have tremendous economic, cultural, recreational, and symbolic importance to the Pacific Northwest

(NRC 1996).

Anadromous fishes reproduce in freshwater and the progeny migrate to the ocean to grow and mature and return to freshwater to reproduce. Salmon and steelhead cross many geographic and human boundaries during their freshwater migration. It is an arduous journey; some species migrate hundreds of miles each way in freshwater and thousands of miles while in the ocean. In addition to the challenge of covering great distances, most species must navigate many barriers during migration. Migration barriers—complete blockages and poorly functioning passage facilities—are a significant factor affecting most salmon populations in the Pacific Northwest.

Any independent Pacific salmonid (genus Oncorhynchus) population is considered viable when it can withstand threats and risk of extinction from demographic variation, local environmental variation, and genetic diversity changes over a 100-year timeframe (McElheny et al. 2000).

Each viable population needs to exhibit the abundance, productivity, spatial distribution and diversity of natural spawners sufficient to accomplish the following: avoid the loss of genetic and/or life history diversity during short-term losses in abundance that are expected parts of environmental cycles; fulfill key ecological functions that are attributable to the species, such as nutrient cycling and food web roles; and be resilient to environmental and anthropogenic disturbances.

The primary effect of barriers (e.g., hydroelectric dams, water storage projects, irrigation diversions, impassable culverts, etc.) on Pacific salmonids is the reduction in population abundance and productivity through excessive mortality and reduction in habitat quantity and quality. Individuals are lost to the population due to death from passing through turbines, disproportionate predation in reservoirs, entrainment at unscreened or improperly screened diversions, etc. Spatial structure and diversity have also been reduced by the loss of nearly 40% of salmon habitat from dams (NRC 1996), either through complete blockage or inundation.

This document is intended to assist with improving conditions for salmonids that must migrate past barriers to complete their life cycle. The task involved in successfully passing fish upstream or downstream of an in-river impediment is a dynamic integration of fish behavior, physiology, and bio-mechanics with hydraulic analysis, hydrologic study, and engineering. Installing a fish passage structure does not constitute providing satisfactory fish passage unless all of the above components are adequately factored into the design.

The following document provides criteria, rationale, guidelines, and definitions for the purpose of designing proper fish passage facilities for the safe, timely, and efficient upstream and downstream passage of anadromous salmonids at impediments created by artificial structures, ix natural barriers (where provision of fish passage is consistent with management objectives), or altered instream hydraulic conditions. This document provides fishway facility design standards for the National Marine Fisheries Service, and is to be used for actions pertaining to the various authorities and jurisdictions of NMFS, including Section 18 of the Federal Power Act (FPA), the

Endangered Species Act (ESA), and the Magnuson-Stevens Fishery Conservation and

Management Act (MSA) in the Northwest Region (NWR). This document intends to provide generic guidance as an alternative to active participation by NMFS engineers in a design process, for the purpose of providing designs that will be acceptable for fishways that fall within NMFS jurisdictions. If passage facilities are designed and constructed in a manner consistent with these criteria, adverse impacts to anadromous fish migration will be minimized.

Instances will occur where a fish passage facility may not be a viable solution for correcting a passage impediment, due to biological, sociological, or economic constraints. In these situations, removal of the impediment or altering operations may be a suitable surrogate for a constructed fish passage facility. In other situations, accomplishing fish passage may not be an objective of

NMFS because of factors such as limited habitat or lack of naturally occurring runs of anadromous fish upstream of the site. To determine whether NMFS will use its various authorities to promote or to prescribe fish passage, NMFS will rely on a collaborative approach, considering the views of other fisheries resource agencies, Native American Tribes, non-government organizations, and citizen groups, and will strive to accomplish the objectives in watershed plans for fisheries restoration and enhancement.

This document does not address aspects of design other than those that provide for safe and timely fish passage, and to some extent, preservation of aquatic habitat. Structural integrity, public safety, and other aspects of facility design are the responsibility of the principal design engineer, who should ensure that the final facility design meets all other requirements in addition to the fish passage criteria and guidelines contained in this document.

Section 11 (Fish Screen and Bypass Facilities) supersedes previous design guidance published by

NMFS, including Juvenile Fish Screen Criteria (February 16, 1995) and Juvenile Fish Screen

Criteria for Pump Intakes (May 9, 1996).

The fish passage facilities described in this document include various fish ladders; exclusion barriers; trap and haul facilities; fish handling and sorting facilities; instream structures; road crossing structures such as culverts or bridges; juvenile fish screens; tide gates (still under development); infiltration galleries; upstream juvenile passage facilities; and specialized criteria for mainstem Columbia and Snake River passage facilities. Passage facilities for projects under

NMFS jurisdiction should be consistent with the details described in this document, with the facility design developed in coordination with NMFS fish passage specialists.

Proponents of new, unproven fish passage designs (i.e., not meeting the criteria and guidelines contained in this document) must provide to NMFS: (1) development of a biological basis for the concept; (2) demonstration of favorable fish behavioral response in a laboratory setting; (3) an acceptable plan for evaluating the prototype installation; and (4) an acceptable alternate plan developed concurrently for a fish passage design satisfying these criteria, should the prototype rbeatty Highlight x not adequately protect fish. Section 16 (Experimental Fish Guidance Devices) provides additional information on the NMFS approval process for unproven fish passage devices.

Criteria are specific standards for fishway design, maintenance, or operation that cannot be changed without a written waiver from NMFS. For the purposes of this document, a criterion is preceded by the word ―must.‖ In general, a specific criterion can not be changed unless there is site-specific biological rationale for doing so. An example of biological rationale that could lead to criterion waiver is a determination or confirmation by NMFS biologists that the smallest fry-sized fish will likely not be present at a proposed screen site. Therefore, the juvenile fish screen approach velocity criterion of 0.4 ft/s could be increased to match the smallest life stage expected at the screen site. A guideline is a range of values or a specific value for fishway design, maintenance or operation that may change when site-specific conditions are factored into the conceptual fishway design. For the purposes of this document guidelines are preceded by the word ―should.‖ Guidelines should be followed in the fishway design until site-specific information indicates that a different value would provide better fish passage conditions or solve site-specific issues. An example of site-specific rationale that could lead to a modified guideline is when the maximum river depth at a site is three feet, as compared to the design guideline for a fishway entrance depth of six feet. In this example, safe and timely fish passage could be provided by modifying the guideline to match the depth in the river. It is the responsibility of the applicant to provide compelling evidence in support of any proposed waiver of criteria or modification of a guideline for NMFS approval early in the design process, well in advance of a proposed Federal action.

On occasion, more conservative designs may be required on a project-by-project basis if there is a need to provide additional protection for other species of fish. In addition, there may be instances where NMFS provides written approval for use of alternative passage standards, if

NMFS determines that the alternative standards provide equal or superior protection as compared to the guidelines and criteria listed herein, for a particular site or for a set of passage projects within the NWR.

It is possible that part or all of this document, or approved alternate passage standards, could be used to develop programmatic consultation under the ESA. For example, a project developer may choose to use this document as the basis for fish passage design and develop additional detail beyond the scope of this document (e.g., construction management, project implementation scheduling, riparian replacement, project monitoring, etc.) in consultation with

NMFS. Programmatic ESA consultation may conclude that an optimal uniform approach to implementing a number of fish passage projects will not pose any threat to ESA-listed species or to critical habitat. With this conclusion, individual ESA consultation on each project could be avoided.

Existing facilities may not adhere to the criteria and guidelines listed in this document.

However, that does not mean these facilities must be modified specifically for compliance with this document. The intention of these criteria and guidelines is to ensure future compliance in the context of major upgrades and new designs of fish passage facilities.

rbeatty Highlight xi

The following document is hereby designated as NMFS NWR Fish Passage Design Policy for responsibilities under the ESA, FPA, and MSA, for the purpose of providing project proponents with NMFS’ perspective on proper design of fish passage facilities for providing safe, timely, and efficient fish passage. This document was developed by NWR fish passage engineers based on nearly 60 years of agency experience in developing fishway designs, and further refined through a collaborative process with regional fishway design experts. This guidance is considered to be a working document, thus when new or updated information suggests that a different standard (criterion or guideline) provides better fishway passage, simplifies operations, or decreases required maintenance, this document will be periodically updated. Suggested changes, additions, or questions should be directed to Bryan Nordlund at

Bryan.Nordlund@noaa.gov for consideration in updating this document. Assistance from NMFS fish passage specialists can be obtained by contacting the NMFS NWR Hydropower Division at

(503) 230-5414.

Bruce K. Suzumoto

Assistant Regional Administrator

Hydropower Division

1. DEFINITION OF TERMS

Terms defined in this section are identified in italics throughout the document.

Anadromous - fish species that travel upstream to spawn in freshwater.

Active screens - juvenile fish screens equipped with proven cleaning capability and are automatically cleaned as frequently as necessary to keep the screens free of any debris that will restrict flow area. An active screen is the required design in most instances.

Approach velocity - the vector component of canal velocity that is perpendicular to and upstream of the vertical projection of the screen face, calculated by dividing the maximum screened flow by the effective screen area. An exception to this definition is for end-of-pipe cylindrical screens, where the approach velocity is calculated using the entire effective screen area. Approach velocity should be measured as close as physically possible to the boundary layer turbulence generated by the screen face.

Apron - a flat, usually slightly inclined slab below a flow control structure that provides for erosion protection and produces hydraulic characteristics suitable for energy dissipation or in some cases fish exclusion.

Attraction flow - the flow that emanates from a fishway entrance with sufficient velocity and in sufficient quantity and location to attract upstream migrants into the fishway.

Attraction flow consists of gravity flow from the fish ladder, plus any auxiliary water system flow added at points within the lower fish ladder.

Auxiliary water system - a hydraulic system that augments fish ladder flow at various points in the upstream passage facility. Typically, large amounts of auxiliary water flow are added in the fishway entrance pool in order to increase the attraction of the fishway entrance.

Backwash - providing debris removal by pressurized wash, opposite to the direction of flow.

Backwater - a condition whereby a hydraulic drop is influenced or controlled by a water surface control feature located downstream of the hydraulic drop.

Baffles - physical structures placed in the flow path designed to dissipate energy or to re-direct flow for the purpose of achieving more uniform flow conditions.

Bankfull - the bank height inundated by an approximately 1.2 to 1.5 year (maximum) average recurrence interval and may be estimated by morphological features such as the following: (1) a topographic break from vertical bank to flat floodplain; (2) a topographic break from steep slope to gentle slope; (3) a change in vegetation from bare to grass, moss to grass, grass to sage, grass to trees, or from no trees to trees; (4) a textural change of depositional sediment; (5) the elevation below which no fine debris (e.g., needles, leaves, cones, seeds) occurs; and (6) a textural change of matrix material between cobbles or rocks.

Bedload - sand, silt, gravel, or soil and rock debris transported by moving water on or near the streambed.

Bifurcation (Trifurcation) pools - pools where two or three sections of fish ladders divide into separate routes.

Brail - a device that moves upward (vertically) through the water column, crowding fish into an area for collection.

Bypass flow - in context of screen design, that portion of flow diverted that is specifically used to bypass fish back to the river.

Bypass reach - the portion of the river between the point of flow diversion and the point of flow return to the river.

Bypass system - the component of a downstream passage facility that transports fish from the diverted water back into the body of water from which they originated, usually consisting of a bypass entrance, a bypass conveyance, and a bypass outfall.

Channel bed width - the width of the stream bed under bankfull channel conditions.

Conceptual design - an initial design concept based on the site conditions and biological needs of the species intended for passage. This is also sometimes referred to as preliminary design or functional design.

Crowder - a combination of static and/or movable picketed and/or solid leads installed in a fishway for the purpose of moving fish into a specific area for sampling, counting, broodstock collection, or other purposes.

Diffuser - typically, a set of horizontal or vertical bars designed to introduce flow into a fishway in a nearly uniform fashion. Other means are also available that may accomplish this objective.

Distribution flume - a channel used to route fish to various points in a fish trapping system.

Effective screen area - the total submerged screen area, excluding major structural members, but including the screen face material. For rotating drum screens, effective screen area consists only of the submerged area projected onto a vertical plane, excluding major structural members, but including screen face material.

End of pipe screens - juvenile fish screening devices attached directly to the intake of a diversion pipe.

Entrainment - the unintended diversion of fish into an unsafe passage route.

Exclusion barriers - upstream passage facilities that prevent upstream migrants from entering areas with no upstream egress, or areas that may lead to fish injury.

Exit control section - the upper portion of an upstream passage facility that serves to provide suitable passage conditions to accommodate varying forebay water surfaces, through means of pool geometry, weir design, and the capability to add or remove flow at specific locations.

False weir - a device that adds vertical flow to a upstream fishway, usually used in conjunction with a distribution flume that routes fish to a specific area for sorting or to continue upstream passage.

Fish ladder - the structural component of an upstream passage facility that dissipates the potential energy into discrete pools, or uniformly dissipates energy with a single baffled chute placed between an entrance pool and an exit pool or with a series of baffled chutes and resting pools.

Fish lift - a mechanical component of an upstream passage system that provides fish passage by lifting fish in a water-filled hopper or other lifting device into a conveyance structure that delivers upstream migrants past the impediment.

Fish lock - a mechanical and hydraulic component of an upstream passage system that provides fish passage by attracting or crowding fish into the lock chamber, activating a closure device to prevent fish from escaping, introducing flow into the enclosed lock, and raising the water surface to forebay level, and then opening a gate to allow the fish to exit.

Fish passage season - the range of dates when a species migrates to the site of an existing or proposed fishway, based on either available data collected for a site, or consistent with the opinion of an assigned NMFS biologist when no data is available.

Fish weir (also called picket weir or fish fence) - a device with closely spaced pickets to allow passage of flow, but preclude upstream passage of adult fish. Normally, this term is applied to the device used to guide fish into an adult fish trap or counting window.

This device is not a weir in the hydraulic sense.

Fishway - the set of facilities, structures, devices, measures, and project operations that together constitute, and are essential to the success of, an upstream or downstream fish passage system.

Fishway entrance - the component of an upstream passage facility that discharges attraction flow into the tailrace, where upstream migrating fish enter (and flow exits) the fishway.

Fishway exit - the component of an upstream passage facility where flow from the forebay enters the fishway, and where fish exit into the forebay upstream of the passage impediment.

Fishway entrance pool - the pool immediately upstream of the fishway entrance(s), where fish ladder flow combines with any remaining auxiliary water system flow to form the attraction flow.

Fishway weir - the partition that passes flow between adjacent pools in a fishway.

Flood frequency - the frequency with which a flood of a given river flow has the probability of recurring based on historic flow records. For example, a "100-year" frequency flood refers to a flood flow of a magnitude likely to occur on the average of once every 100 years, or, has a one-percent chance of being exceeded in any year.

Although calculation of possible recurrence is often based on historical records, there is no guarantee that a "100-year" flood will occur within the 100-year period or that it will not recur several times.

Floodplain - the area adjacent to the stream that is inundated during periods of flow that exceed stream channel capacity, as established by the stream over time.

Flow control structure - a structure in a water conveyance intended to maintain flow in a predictable fashion.

Flow duration exceedence curve - the plot of the relationship between the magnitude of daily flow and the percentage of the time period for which that flow is likely to be equaled or exceeded. Other time units can be used as well, depending on the intended application of the data.

Flow egress weir - a weir used to route excess flow (without fish) from a fish facility.

Forebay - the water body impounded immediately upstream of a dam.

Freeboard - the height of a structure that extends above the maximum water surface elevation.

Fry - for purposes of this document, defined as a young juvenile salmonid with absorbed egg sac, less than 60 mm in length.

Functional design - an initial design concept, based on the site conditions and biological preliminary design or conceptual design.

Hatchery supplementation - hatchery propagation usually utilizing the progeny of local wild broodstock.

rbeatty Highlight

Head loss - the loss of energy through a hydraulic structure.

Hopper - a device used to lift fish (in water) from a collection or holding area, for release upstream of the impediment.

Hydraulic drop - the energy difference between an upstream and downstream water surface, considering potential (elevation) and kinetic energy (velocity head), and pressure head. For fishway entrances and fishway weirs, the difference in kinetic energy and pressure head is usually negligible and only water surface elevation differences are considered when estimating hydraulic drop across the structure. As such, staff gages that indicate hydraulic drop over these structures must be suitably located to avoid the drawdown of the water surface due to flow accelerating through the fishway weir or fishway entrance.

Impingement - the consequence of a situation where flow velocity exceeds the swimming capability of a fish, creating injurious contact with a screen face or bar rack.

Infiltration gallery - a water diversion that provides flow via an excavated gallery beneath the stream bed.

Kelts - an adult steelhead that has completed spawning and is migrating downstream.

Off-ladder trap - a trap for capturing fish located adjacent to a fish ladder in an off ladder flow route, separate from the normal fish ladder route. This device allows fish to either pass via the ladder, or be routed into the trap depending on management objectives.

Passive screens - juvenile fish screens without an automated cleaning system.

Picket leads or Pickets - a set of vertically inclined flat bars or circular slender columns

(pickets), designed to exclude fish from a specific point of passage (also, see fish weir).

PIT- tag detector - a device that passively scans a fish for the presence of a passive integrated transponder (PIT) tag that is implanted in a fish and read when activated by an electro-magnetic field generated by the detector.

Plunging flow - flow over a weir that falls into the receiving pool with a water surface elevation below the weir crest elevation. Generally, surface flow in the receiving pool is in the upstream direction, downstream from the point of entry into the receiving pool.

rbeatty Highlight

Figure 1-1. Plunging Flow over Fishway Weir

Porosity - the open area of a mesh, screen, rack or other flow area relative to the entire gross area.

Positive-exclusion - a means of excluding fish by providing a barrier which they can not physically pass through.

Preliminary design - an initial design concept, based on the site conditions and biological functional design or conceptual design.

Ramping rates - the rate at which (typically inches per hour) a flow is artificially altered to accommodate diversion requirements.

Rating curve - the graphed data depicting the relationship between water surface elevation and flow.

Redd - deposition of fish eggs in a gravel nest, excavated by a spawning female salmonid.

Screen material - the material that provides physical exclusion to reduce the probability of entraining fish. Examples of screen material include perforated plate, bar screen, and woven wire mesh.

Scour - erosion of streambed material, resulting in temporary or permanent lowering of streambed profile.

Section 10 and 404 Regulatory Programs - The principal Federal regulatory programs, carried out by the COE, affecting structures and other work below mean high water. The

COE, under Section 10 of the River and Harbor Act of 1899, regulates structures in, or affecting, navigable waters of the U.S. as well as excavation or deposition of materials

(e.g., dredging or filling) in navigable waters. Under Section 404 of the Federal Water

Pollution Control Act Amendments (Clean Water Act of 1977), the COE is also responsible for evaluating application for Department of the Army permits for any activities that involve the placement of dredged or fill material into waters of the United

States, including adjacent wetlands.

Smolt - a juvenile salmonid that has completed its fresh water rearing cycle and is proceeding out to sea.

Streaming flow - flow over a weir which falls into a receiving pool with water surface elevation above the weir crest elevation. Generally, surface flow in the receiving pool is in the downstream direction, downstream from the point of entry into the receiving pool.

Figure 1-2. Streaming Flow over Fishway Weir

Sweeping velocity - the vector component of canal flow velocity that is parallel and adjacent to the screen face, measured as close as physically possible to the boundary layer turbulence generated by the screen face.

Tailrace - the stream immediately downstream of an instream structure.

Tailwater - the flow through the tailrace.

Total project head - the difference in water surface elevation from upstream to downstream of an impediment such as a dam. Normally, total project head encompasses a range based on stream flows and/or the operation of flow control devices.

Thalweg - the stream flow path following the deepest parts of a stream channel.

Tide Gate - a gate used in coastal areas to regulate tidal intrusion.

Training wall - a physical structure designed to direct flow to a specific location or in a specific direction.

Transport channel - a hydraulic conveyance designed to pass fish between different sections of a fish passage facility.

Transport velocity - the velocity of flow within the migration corridor of a fishway, excluding areas with any hydraulic drops greater than 0.1 feet.

Trap and Haul - a fish passage facility designed to trap fish for upstream or downstream transport to continue their migration.

Trash rack - a rack of vertical bars with spacing designed to catch debris and preclude it from entering the fishway, while providing sufficient opening to allow the passage of fish.

Trash rack, coarse - a rack of vertical bars with spacing designed to catch large debris and preclude it from entering the fishway, while providing sufficient opening to allow the passage of fish.

Trash rack, fine - a rack of vertical bars designed to catch debris and reduce or eliminate entry of fish into the intake of an auxiliary water system.

Turbine intake screens – partial flow screens positioned within the upper portion of turbine intakes, designed to guide fish into a collection system for transport or bypass back to the river.

Upstream fish passage - fish passage relating to upstream migration of adult and/or juvenile fish.

Upstream passage facility - a fishway system designed to pass fish upstream of a passage impediment, either by volitional passage or non-volitional passage.

Vee screen - a pair of juvenile fish screens installed in a vee configuration (i.e., mirrored about a centerline) with the bypass entrance located between the junction of the two screens.

Velocity head (hv) - the kinetic energy of flow contained by the water velocity, calculated by the square of the velocity (V) divided by two times the gravitational constant (g) (hv =

V /2g).

Vertical barrier screens - vertical screens, usually located in a gatewell of a mainstream hydroproject, that dewater flow from turbine intake screens, thereby concentrating fish for passage into a bypass system.

Volitional passage - fish passage made continuously available without trap and transport.

Wasteway - a conveyance which returns water originally diverted from an upstream location back to the diverted stream.

Weir - an obstruction over which water flows.

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2. PRELIMINARY DESIGN DEVELOPMENT

2.1 Introduction – Preliminary Design Development

In cases such as applications for a FERC license, ESA consultation, ESA Section 9

Enforcement activity, or ESA permit, a preliminary design for a fish passage facility must be developed in an interactive process with NMFS NWR Hydropower Division engineering staff. For all fish passage facility projects, the preliminary design should be developed based on a synthesis of the required site and biological information listed below. In general, NMFS will review fish passage facility designs in the context of how the required site and the biological information was integrated into the design. Submittal of all information discussed below may not be required in writing for NMFS review.

However, the applicant should be prepared to describe how the biological and site information listed below was included in the development of the preliminary design.

NMFS will be available to discuss these criteria in general or in the context of a specific site. The applicant is encouraged to initiate coordination with NMFS fish passage specialists early in the development of the preliminary design to facilitate an iterative, interactive, and cooperative process.

2.2 Site Information

The following site information should be provided for the development of the preliminary design.

1. Functional requirements of the proposed fish passage facilities as related to all anticipated operations and river flows. Describe median, maximum, and minimum monthly diverted flow rates, plus any special operations (e.g., use of flash boards) that modify forebay or tailrace water surface elevations.

2. Site plan drawing showing location and layout of the proposed fishway relative to existing project features facilities.

3. Topographic and bathymetric surveys, particularly where they might influence locating fishway entrances and exits, and personnel access to the site.

4. Drawings showing elevations and a plan view of existing flow diversion structures, including details showing the intake configuration, location, and capacity of project hydraulic features.

5. Basin hydrology information, including daily and monthly streamflow data and flow duration exceedence curves at the proposed fish passage facility site based on the entire period of available record. Where stream gage data is unavailable, or if a short period of record exists, appropriate synthetic methods of generating flow records may be used.

6. Project operational information that may affect fish migration (e.g., powerhouse flow capacity, period of operation, etc.)

7. Project forebay and tailwater rating curves encompassing the entire operational range.

8. River morphology trends. If the fish passage facility is proposed at a new or modified diversion, determine the potential for channel degradation or channel migration that may alter stream channel geometry and compromise fishway performance. Describe whether the stream channel is stable, conditionally stable, or unstable, and indicate the overall channel pattern as straight, meandering, or braided. Estimate the rate of lateral channel migration and change in stream gradient that has occurred over the last decade. Also, describe what effect the proposed fish passage facility may have on existing stream alignment and gradient and the potential for future channel modification due to either construction of the facility or continuing natural channel instability.

9. Special sediment and/or debris problems. Describe conditions that may influence design of the fish passage facility, or present potential for significant problems.

10. Other information from site-specific biological assessment.

2.3 Biological Information

The following biological information should be provided for the development of the preliminary design.

1. Type, life stage, run size, period of migration, and spawning location and timing for each life stage and species present at the site.

2. Other species (including life stage) present at the proposed fish passage site that also require passage.

3. Predatory species that may be present.

4. High and low design passage flow for periods of upstream fish passage (see

Section 3).

5. Any known fish behavioral aspects that affect salmonid passage. For example, most salmonid species pass readily through properly designed orifices, but other species unable to pass through these orifices may impede salmonid passage.

6. What is known and what needs to be researched about fish migration routes approaching the site.

7. Document, or estimate, minimum streamflow required to allow migration around the impediment during low water periods (based on past site experience).

8. Poaching/illegal trespass - describe the degree of human activity in immediate area and the need for security measures to reduce or eliminate illegal activity.

9. Water quality factors that may affect fish passage at the site. Fish may not migrate if water temperature and quality are marginal, instead seeking holding zones until water quality conditions improve.

2.4 Design Development Phases

A description of steps in the design process is presented here to clarify the preliminary design as it contrasts with often-used and related terms in the design development process. The following are commonly used terms (especially in the context of larger facilities) by many public and private design entities. NMFS engineering staff may be consulted for all phases of design; required reviews are described below in Detailed

Design Phase.

Reconnaissance study - typically an early investigation of one or more sites for suitability of design and construction of some type of facility.

Conceptual alternatives study - lists types of facilities that may be appropriate for accomplishing objectives at a specific site, and does not entail much on-site investigation.

It results in a narrowed list of alternatives that merit additional assessment.

Feasibility study - includes an incrementally greater amount of development of each design concept (including a rough cost estimate), which enables selection of a most-preferred alternative.

Preliminary design - includes additional and more comprehensive investigations and design development of the preferred alternative, and results in a facilities layout

(including some section drawings), with identification of size and flow rate for primary project features. Cost estimates are also considered to be more accurate. Completion of the preliminary design commonly results in a preliminary design document that may be used for budgetary and planning purposes, and as a basis for soliciting (and subsequent collating) design review comments by other reviewing entities. The preliminary design is commonly considered to be at the 20% to 30% completion stage of the design process.

Detailed design phase - uses the preliminary design as a springboard for preparation of the final design and specifications, in preparation for the bid solicitation (or negotiation) process. Once the detailed design process commences, NMFS must have the opportunity to review and provide comments at the 50% and 90% completion stages. These comments usually entail refinements in the detailed design that will lead to operations, maintenance, and fish safety benefits. Electronic drawings accompanied by 11 x 17 inch paper drawings are the preferred review medium.

3. DESIGN FLOW RANGE

3.1 Introduction – Design Flow Range

The design streamflow range for fish passage, bracketed by the designated fish passage design high and low flows, constitutes the bounds of the fish passage facility design where fish passage facilities must operate within the specified design criteria. Within this range of streamflow, the fishway design must allow for safe, timely, and efficient fish passage. Outside of this flow range, fish must either not be present or not be actively migrating, or must be able to pass safely without need of a fish passage facility. Site-specific information is critical to determine the design time period and river flows for the passage facility - local hydrology may require that these design streamflows be modified for a particular site.

Criteria are specific standards for fishway design, maintenance, or operation that cannot be changed without a written waiver from NMFS. For the purposes of this document, a criterion is preceded by the word ―must.‖ In general, a specific criterion can not be changed unless there is site-specific biological rationale for doing so. An example of biological rationale that could lead to criterion waiver is a determination or confirmation by NMFS biologists that the smallest fry-sized fish will likely not be present at a proposed screen site. Therefore, the juvenile fish screen approach velocity criterion of

0.4 ft/s could be increased to match the smallest life stage expected at the screen site. A guideline is a range of values or a specific value for fishway design, maintenance, or operation that may change when site-specific conditions are factored into the conceptual fishway design. For the purposes of this document guidelines are preceded by the word

―should.‖ Guidelines should be followed in the fishway design until site-specific information indicates that a different value would provide better fish passage conditions or solve site-specific issues. An example of site-specific rationale that could lead to a modified guideline is when the maximum river depth at a site is 3 feet, as compared to the design guideline for a fishway entrance depth of 6 feet. In this example, safe and timely fish passage could be provided by modifying the guideline to match the depth in the river. It is the responsibility of the applicant to provide compelling evidence in support of any proposed waiver of criteria or modification of a guideline for NMFS approval early in the design process, well in advance of a proposed Federal action.

3.2 Design Low Flow for Fish Passage

Design low flow for fishways is the mean daily average streamflow that is exceeded 95% of the time during periods when migrating fish are normally present at the site. This is determined by summarizing the previous 25 years of mean daily streamflows occurring during the fish passage season, or by an appropriate artificial stream flow duration methodology if streamflow records are not available. Shorter data sets of stream flow records may be useable if they encompass a broad range of flow conditions. The fish passage design low flow is the lowest streamflow for which migrants are expected to be present, migrating, and dependent on the proposed facility for safe passage.

3.3 Design High Flow for Fish Passage

Design high flow for fishways is the mean daily average streamflow that is exceeded 5% of the time during periods when migrating fish are normally present at the site. This is determined by summarizing the previous 25 years of mean daily streamflows occurring during the fish passage season, or by an appropriate artificial stream flow duration methodology if streamflow records are not available. Shorter data sets of stream flow records may be used if they encompass a broad range of flow conditions. The fish passage design high flow is the highest streamflow for which migrants are expected to be present, migrating, and dependent on the proposed facility for safe passage.

3.4 Fish Passage Design for Flood Flows

The general fishway design should have sufficient river freeboard to minimize overtopping by 50 year flood flows. Above a 50-year flow event, the fishway operations may include shutdown of the facility, in order to allow the facility to quickly return to proper operation when the river drops to within the range of fish passage design flows.

Other mechanisms to protect fishway operations after floods will be considered on a case-by-case basis. A fishway must never be inoperable due to high river flows for a period greater than 7 days during the migration period for any anadromous salmonid species. In addition, the fish passage facility should be of sufficient structural integrity to withstand the maximum expected flow. It is beyond the scope of this document to specify structural criteria for this purpose. If the fish passage can not be maintained, the diversion structure should not operate and the impediment should be removed.

4. UPSTREAM ADULT FISH PASSAGE SYSTEMS

4.1 Introduction – Upstream Adult Fish Passage Systems

An upstream passage impediment is defined as any artificial structural feature or project operation that causes adult or juvenile fish to be injured, killed, blocked, or delayed in their upstream migration, to a greater degree than in a natural river…