DAM SAFETY GUIDELINES 2007 (2013 Edition) CDA ACB Canadian Dam Association Association Canadienne des Barrages www.cda.catay be lesued at any time, CDA does not warranc that this edition s the most current. Revisions and commentary are made available to CDA members at worwiedsica. Library and Archives Canada Cataloguing in Publication Data Main entsy under tide: Dam sulety guidelines 2007 (20 3 edition) Previously published in 1999 and 2007. leoued alea in French under tie: Recommandhtions de sécurité dex barrager. ISBN 978.1.9996519-0.0, 1.Dam saiety- Canada, 2. Dams - Canada - Management (Canadian Dam Assodation. 4B. Tile Dam safety guideline ‘1C358.03035 2007 627-80289 <2007-9601472 Copyright © 2013 by the Canadian Dam Assocation, llrightsreserved. Ne part of this publication may be seprodced, copied, ster, distrbuted or transmitted in any form or by any means without theprior ‘itten permission ofthe Canadian Dam Association, Requasts for permission should be addressed tothe cecative Duractor at the contact adress provided atwraw eda caCDA@ACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) TABLE OF CONTENTS PREFACE TO 2013 EDITION, PREFACE TO 2007 EDITION, 1. PRINCIPLES. Ld Dam Safety Management vente 12 Operation, Maintenance, and Survetllance enn 13. Emergency Preparedness sete 14 Dam Safety Review... a 15 Analysis and Assessment a DAM SAFETY MANAGEMENT. 2. Introduction. so vente 22. Overall Pr002S$ reo a 23. Elements of Management System cece 231 232 Planning... = 233 Implementation... 234 Cascking and Reviewing... 235 Comective Acton... 238 Reporting. - 2A. Supporting Processes... ste ‘241 Training and Qualification. 242 Progam Communication... 243 Record Keeping and Management. Inundation, Consequences, and Dam Classification. ‘251 Introduction - seen 252 Dam-Bresch Analysis and inundaaon Mapping. 253 DamFaduse Consequences. 254 Dam Classification... OPERATION, MAINTENANCE, AND SURVEILLANCE. 3.1. Introduction. 32 OMS Manual so ee 33. Project Description... a 34 Operation, ce vente 341 Operating Criteria and Constraints oan 342 DataRequisements... 343 Operating Procedures BAA Flow Conteabenecnnen 35 Maintenance so a 1 4 3 Spillway Structures... co 6 Penstocks, Tunnels, and Pressure Conduits... 8 (Othe: Dam Structures... Infrsstructote oc “Thi online document hes been provided for the exchsive we of members in good standing of the Canaan Dam Atsocation. All eghts rezer-ed. iCDA®ACB 36 37 4. EMERGENCY PREPAREDNESS 41 42 43 44 45 5. DAM SAFETY REVIEW. 6. ANALYSIS AND ASSESSMENT. 61 62 63 64 68 67 68 69 ACRONYMS. GLOSSARY. DAM SAFETY GUIDELINES 2007 2013 Eatin) Surveillance... - B61 General on - 342 Visual Inqpecions.. a - 363 Dam instrumentation ae - 364 Dosumantation and FoUOW-UP cc Maintenance and Testing of Flow Control Equipment... Introduction... Emergency Response Plan, - B21 Genel cc - fp 38 38 38 Acuvaton ofPlan and inital Response. 0 423° Contents of Emergency Response Plano 0 Emergency Preparedness Plan. - 4 4 4s 46 46 431 Genel nn - 4 Munteipal or Local Emergency Flans - ‘Tmuning, Testing, and Updating - Contents of Emergency Preparedness Plan Introduction... Review Engineer - Frequency of Review. - Scope and Content of Review - BAL General ccc - 42. Site Inspection and Staiflntercewe 43. Daa and Recores... - 44 Consequences ot Dam Failure —— ~ 43. Dam Safey analyse - 46 Operation, Matntenance, and Survellance Emergency Preparedness vn - 48 Public Safety and Security - B49 Dam Safety Management Systemes Dam Safety Review Report. - Introduction. Risk Informed Approach. - Traditional Standards Based Approach - Hydrotechalcal.... SEISMIC ene Geotechnical... Structural Mechanical and Electrical. (Other Considerations This onine document has been provided fr the exclusive use of members in good standing ofthe Canadan Damn Accacnon Allrightsrecerved aCDAWACB DAM SAFETY GUIDELINES 2007 (201 tion) PREFACE TO 2013 EDITION Dam Saféty Guidelines 2007 (2013 edition) results from a review and revision to Sections 61, 62 and 63 of the publication issued in 2007. The only changes from the 2007 edition are contained in this Preface and Sections €1, 6.2and 63 and are marked in the right-hand margin. Other material in Dam Safety Guidelines 2007 remains unchanged. CDA members have requested additional guidance on Sections 62 and 6.3 of the CDA Dam Safty Guidelines 2007. The 2007 veision refecred to both Risk-Informed and Traditional Standards ‘Based Approaches to dam safety assessments, without comment on their relative merits. In this 2013 revision, the CDA clarifies ls endorsement of the use of a risk-informed approach, which andludes traditional deterministic standards-based analysis as one of many conaderations. CDA accepts that there are fundamenval weaknesses in both approaches. Issues with the nisk-anformed. approach include current challenges in the characterization of the hazard, the dam system ‘performance, and the consequences. The traditional standards-based appzoach not orly shares these difficulties but has a number of additional significant imitations. Of particular concem are: + Focus on extreme natural hazards in isolation, which can lead to preferentially smplementing expensive solutions that may not necesrauily improve the safety af the dam over that which could be achieved by other more economical meane 4+ Inability to define standards for a number of dam failure modes, wwhich may lead te snappropriate or misleading assesoment of safety ‘There are also other recognized difficulties in the application of the 2007 version of Sections 6.2 and 63. For example, selection of the level for seismic annual exceedance probability “must be justified to demonstrate conformity to societal nomns of acceptable risk.” Resolution of this and other ditficalties will require extensive discussions at a societal and governmental level, to answer the question of how safenew or existing dams shouldbe. The CDA. as non: govemmental organization, does not in any way consider this question to be their responsibility: ‘however, itrecognizes that guidance is required in the interim until such larger issues are resolved. ‘There are many instances where the prevailing capability and resources of dam owners will preclude the use of 2 comprehensive risk informed approach. Continued use of a standards- ‘bared approach is inevitable in these cases, with appropriate additional conservatisms. A standards-based approach may be appropriate for certain elements of dam design and assessment, The CDA has identified the need for continued development and acceptance of the risk-informed approach. The revised Sections 6.1, 62 and 6.3 should be considered interim guidance, to be used until the above difficulties are addressed over time. “Ths outing document: has been provided for the exclusive use of members in good stanéng of the Canadian Dam Ansocation. All eghts reserved. iiCDA®ACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) PREFACE TO 2007 EDITION Dams in Canada are owned by utilities, mining companies, pulp and paper companies, various levels of government, and private owners. Regulation of dam safety in Canadas primaaily a provincial responsibility; some provinces have enaced specific dam safety regulations, while others use existing Acts or regulations to authorize the design, construction, inspection, operation, rehabilitation, alteration, or decommissioning of dams. Federal agencies have jurisdiction over some aspects of dam safety related to intemational boundary waters covered by treaty with the United States. The federal government also has some responsibility for security of itical infrastructure which includes many dams. In any case, legal regulations take precedence over guidelines produced by nongovernmental organizations. In 1995, alter thuee years of effort by working groups across the country, the Canadian Dam Safety Association published Dam Safry Guidelines. In 1999, the Canadian Dam Association (CDA) issued a revised version. In 2003, the CDA began soliating input and suggestions for revisions and additions through the Internet and workshops across the country. Dam Safety Guidelines is a product of the CDA members, and a lange number of individuals contributed to it. Dam Safety Guidelines consists of ‘© Section 1, principles that are applicable to all dams ~The principles should be understood by dam owners, regulators, managers, operators, and other interested parties. The brief explanatory text outlines, in general, how conformance with the principles could be demonstrated, ‘© Sections 2-5, guidelines that outline processes and crteri for management of dam safety in accordance with the principles— The guidelines are of interest to dam owners, regulators, managers, operators, and other decision-makers, as well as engineers and consultants. The CDA also publishes a separate companion series of technical bulletins on dam sefety. The technical bulletins suggest methodologies and procedures for use by qualified professionals as they carry out dam analyses and safety assessments. The technical bulletins are of particular anterest to professional engineers involved in dam engineering. The responsisle dam safety enginzer or decision-maker must assess and interpret the information provided in Dam Safety Guidelines and the technical bulletins, identify any considerations not addressed by those documents, and determine the appropriate dam safety requirements for a specific sizuation. ‘The CDA intends to review and update Dam Saféty Guutelines and the technical bulletins as the need arises. While every reasonable effort has been made to ensure the validity and accuracy of the published infomation, the CDA and its membership disdaim any legal responsibility for use of Dam Safety Guidelines. This online document as been provided fr the exclusive use of members in good standing ofthe Canadn Dam Asrecintion.Allrightsreverved iCDAWACB DAM SAFCTY GUIDELINES 2007 (2013 Eaton) 1. PRINCIPLES 1.1 Dam Safety Management PRINCIPLE 1a The public and the environment shall be protected from the effects of dam jailure, as ‘well as release of any or all of the retained fluids behind a dam, such that the risks are kept az low as reasonably practicable. ‘The owner! is responsible for the safe management of a dam, Dam safety management takes place ‘within the context of public policy and the business objective of the otvner. The standard of care applied to the management of safety should reflect society's values and priorities i allocating and istributing resources to protect lives, the environment, and property. The absence of specific regulation does not negate the owner's responsibility for safe management. ‘Dam safety managementis the management of risks associated with dams, including release of ‘laids as a result of structural failure, mis-operation, planned operation, or any other cause. For dams that retain contaminants of any sort, protection of the public and the environment should extend to seepage and pathways not necessarily associated with catastrophic failure of the retaining structures. Established conservative practices may be assumed to provide protection that sa Lor a3 reasonably practicable (ALARP). The current most widely applied approach to decsion-making ssbased on deterministic prncples, ales, and requirements aimed at ensuring a relatively high but unspeatied level of safety. The rules and requirements ate adjusted to provide proportionately higher safety levels when hazards or consequences of fallue are greater. The decision process typically reies on clasitcation of dams on the basis ofthe consequences of failure, aswell as on engineering analysis and assesamentand the application of engineering Judgment. an altemstive approach risk assessment emerging asa method for improving the way safety decisions are mate, particularly as those decisions come more cemplen and society demands smote transparency and accountability. If resources and knowledge are available, risk assessment an be considered an approach that incorporates more specific inosledge ofthe particular Ciecumetances of the dam under consideration. y definition, rist incorporates both the consequences of an adverse event and the probability of such an event occurring. However, itis recognized that determining the probability of failure is 2 complex task that isnot readily accomplished, given the current state of knowledge. ‘The safety management framework chould make traneparent all factors coneidered, thus seacouring the public and the stakeholders that ricks to people, property, and the environment are "Terms in bold may be found inthe slossary “This online document has been provided forthe exclusive we of members n good stancing ofthe Canadian Dam Acsocation. All ights reserved. 1CDAWACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) being properly addressed. At the same time, the framework should ensure thet the dam owners, in responding to econonuic pressures, will not be imposing Intolerable risks. The framework should address all ethical, social, and economic considerations of howr to achieve the necessary trade-offs between beneiits to society and adequate protection for individuals. PRINCIFLE 1b The standard of care to be exercised in the management of dam safety shall be commensurate with the consequences of dam jailure, The potential consequences of dam failure may include loss of life, injury, and general disruption of the lives of the population in the inundated area; envizonmental and cultural impacts; and damage to infrastructure and economic assets. To assess the potential consequences, the potential failure modes for the dam and the initial conditions downstream from the dam should be determined, the resulting discharge characteristics estimated, the impacted areas mapped, and the consequences quantified. If dam failure is related to a natural event, the total consequences are generally above and beyond ‘hose that would have occurred had the dam not failed. These incremental consequences of {allure ate attributable to dam failure. In these guidelines, the term consequences of fallure refers to the incremental consequence The estimate of consequences should cover both downstream and upstream damage, including © Cascade effects where a given drainage basin has a series of dams © Release of contammants to the environmert Environmental, cultural, and third-party economiclosses should be estimated separately and. taken inte account. The dam class should be determined by the highest potential consequences, whether human, environmental, cultural, or economic. The class should be based on the failure scenario that would result in the worse consequences: either sunny day failure or flood failure. This classification should be used for purposes of general management oversight, as well as inspection, maintenance, and surveillance programs. For determining design criteria for specific components ata site, the consequences of failure of the components may be evaluated separately. PRINCIPLE 1c Due diligence shall be exercised at all stages of adam’s life cycle. ‘The prinaples of dam safety apply at all stages of the life cycle (design, construction, operation, decommissioning, and long-term closure) During initial construction and (cr) rehabilitation, the project specifications must be strictly followed; any deviation should be subject to an appropriate review and approval process. Quality control and documentation muct be maintained throughout the construction period. Temporary This onine documenthas been provided fr the exclusive use of members in good standing ofthe Canadian Dams Ascacnion Allrghtsrecerved 2CDAWACB (DAM SAFETY GIIIDELINES 2007 (2013 Battin) construction facilities should be designed and constructed such that the risks to the safety of the dam, cofferdam, and appurtenant structures are appropriately managed. ‘During the operational stage, public safety should be an important element of the dam owner's ue diligence ‘Prior to decommissioning and closure, the dam owner should prepare a detailed plan for ‘withdrawmg the dam from service, indicating measures necessary for site safety. The possibility ‘that any remaining structures might be exposed to loads or combinations of loads not foreseen in ‘the original design or exposed to otherwise unacceptable conditions should be carefully addressed, Closure requirements for tailings dams should be considered at the initial design stage and at all subsequent design and construction phases. PRINCIPLE 1d A dam safety management system, incorporating policies, responsibilities, plans and procedures, documentation, training, and review and correction of deficiencies and nonconformances, shall be in place. ‘The dam safety management system provides framework for safety activities, decisions, and supporting processes within the context of public policies and the owner's business objectives Figure I-1 illustrates the typical activities and decision pomts in such a system. ‘The owner's policy should dearly demonstrate commitment to safety management throughout the complete life cycle of the dam. The policy should cover the fllowing: + Level of eafity that isto be provided Applicable regulations must be met, and industry practice and due diligence must be taien inio account. + Ultimate acsovextabilty ond authority ix the organization for ensuring that the policy it implersented—Reaponsibilities and authorities need to be delegated within the organization for all dam safety activities. ‘© Decision-making process within the organization for decisions related to dam safety — Custical safety decisions with significant societal or nancial implications must be made or approved at the highest level. “This online document has been provided forthe exclusive wse of members n good sanéing ofthe Canadian Dam Associaton. Allrights reserved. 3CDA#ACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) Figure 1-1: Overview of a Dam Safety Management System PUBLIC POLICY DAM OWNER'S POLICIES AND PRIORITIES DAM SAFETY MANAGEMENT SYSTEM Dam Safaty Policy Reperting Plenning Implementing, Checking, Corrective Action Teune anne eiod Dan Seay Revers ae L “1 = I Tear 1 Ye Opes mation espns x mergeny ¥ + a fete ro pene cosenanes | | meregese + J DAMS SAFE ENOUGH ‘Supporting Processes: This ontne document has bees provided for the exclusive use of members in good standing ofthe Caran Damn Association. Allrigts reserved 4CDAWACB DAM SAFETY GUIDELINES 2007 (2015 Easton ‘The safety management system should take the following into account: © Aninventory of dams and appurtenances in the system ‘+ Safe operation, maintenance, surveillance, emergency preparedness, public safety, and security + Periodic Dam Safety Reviews + Follow-up, prioritization, and correction of deficiencies in dam performance, supporting infrastructure operation, maintenance, surveillance, security procedures, and the ‘management system © A parmanent record of the design, construction, operation, and performance of the dam and the management of its safety (record should include design documents, instrumentation readings, inepection and testing reports, Dam Safety Review reports, operational records, investigation results, and current clesure plans if applicable) + Qualification and training of all individuals with responsibilities for dam safety activities (Gaining records should be maintained) + Regular review of the safety management system, 1.2 Operation, Maintenance, and Surveillance PRINCIPLE 22 Requirements for the safe operation, maintenance, and surveillance of the dam shall be developed and documented with sufficient information in accordance with the ‘impacts of operation and the consequences of dam failure. ‘A atitical part of the dam safety management system is the development, implementation, and control of procedures for the operation, maintenance, and surveillance of the facility, taking into account public safety and security. ‘The presence of a dam, its special features, and its operation, coupled with the siver morphology, can present safety hazards to the public while participating in acavites at or around the dam ste Operation, maintenance, and surveillance procedures should be initially developed for the particular site during the construction phase and then updated when there are major changes to the structures, flow control equipment or operating conditions. These procedures should be documented in an Operation, Maintenance, and Surveillance Manual (OMS Manual) or equivalent, The procedures and practices chould be reviewed regulatly (ar a minimum, during the periodic Dam Safety Revietve) to ensure that the information ie up to date. This seviets ie required for complete life-cycle management, from construction through major rehabilitation or replacement to closure or decommissioning of the dam, Ongoing log books, records, or reports should be maintained to show that the specified activities and observations have been carried out and that the dam safety requirements are being met. The appropriate level of detail in the OMS Manual and corresponding records depends on the complexity of the site and the severity of the potertial consequences of failure. A simple dam with ‘minimal consequences of failure might have a brief OMS Manual that also includes the emergency plan and public safety documentation. This onine document has bean provided forthe exclsive use of members in good standing ofthe Canadian Dam Accainion All rights reserved. 5CDA#ACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) normal, unusual, and emergency conditions stall be followed. Proper operation of adam system is critical to safety and performance and thus to managing potential impacts on the public, the environment, and other stakeholders. ‘Development of operating procedures should take into account the compleulty of the site and the consequences of mus-operaton. The operating procedures should not violate dam safety design ‘parameters. The availabilty of stat to respond to changing conditions, the type and size ot flow control equipment, and other site-specitic considerations should be taken into account. Operating procedures should consider the availability of reliable data, including the following: Headwater and tailwater elevations ‘Remote indicators of the operation of flow control equipment Flood-forecasting information Fluid balance requirements for tailings ponds and other industrial ponds Operations of other dam owners that affect inflows to the reservoir and the need for operations to discharge excess inflows Operating procedures should address the following: ‘+ Flood management including clear operating procedures forlocal staif Public safety issues, including the use of recreational areas and restricted zones ‘Notification plan for changing flows or conditions Prevention of unauthorized entry to the site or operation of equipment Compliance with regulatory or other established limits on reservoir levels tailings beach length, and (cr) freeboard for operating tailings dams under construction, rates of water rise or drawdown, and discharge rates in both the upstream and the downstream environs Ability of the flow control equipment, including hackup pawer supplies, to operate under all expected conditions + Management of debris and ice to neure operability of discharge facilitice + Winter operations + Tailings management isouee ‘Dam operators need to be aware of situations in which operations may go from nomalto abnormal or become an emergency. The authority of operating staff to initiate emergency ‘procedures should be clearly defined and linked to the emergency plan. “This ontne document has been provited forthe exclusive use of members in good standing ofthe Canadian Dam Astocnion Allrghts reserved éCDAWACB DAM SAFETY GUIDE! 1ES 2007 (2013 Eaition) PRINCIPLE 2c Documented maintenance procedures shell be followed to ensure that the dam remains ina safe and operational condition. ‘Maintenance of equipment and systemeis important to ensure operational availability, cafe operations, and integrity of the dam. This is particularly true of mechanical and electrical eystems, ‘used for flow control, where failure can be eudden, Maintenance neade alzo vary eeaconally: through different otages in the life eye. ‘The particular maintenance needs of critical comporents or subsystems, such as flow control systems, power supply, backup power, civil structures, public safety and security measures, and communications and other infrastructure, should be identified, ‘Maintenance activities should be pricritized, carried out, and documented with due consideration of safety implications. Maintenance procedures for dosed or decommissioned dams should take nto account the availability of appropriate personnel to perform the maintenance activites. PRINCIPLE 24 Documented surveillance procedures shall be followed to provide early identification and to allow for timely mitigation of conditions that might affect dam safety. Surveillance, including visual inspections and mstrument monitoring, 1s a method for checking ‘whether the dam is performing saisfactonly. Effective dam surveillance is based on an ‘understanding of how the dam might fail (failure modes), what eally signs of failure to look for, and what inspection or monitoring measures could be used to detect a developing failure. ‘The surveillance pragram should provide regular manitaring of dam performance, a follows: ‘© Compare actual and design performance to identity deviations. ‘© Detect changes in performance or the development of hazardous conditions. © Confirm that reservoir operations are in compliance with dam safety requirements, © Confirm that adequate maintenance is being carried out. ‘The frequency of inepection and monitoring activities chould reilact the consequence of failure, dam condition and pat performance, rapicity of development of potential failure modes, acceso constraints due to weather or the season, regulatory requirements, secarity needs, and other factors. In addition to scheduled and documented inspections, surveillance can take place each time staff visits « site for other routine activities. Special inspections should be underiaken {following unusual events, such as earthquakes, floods, or zapid draw down. Training should be ‘prowided so that inspectors understand the importance of thelr role, the value of good documentation, and the means to carry out thetr responsibilities effecuvely. Instrumentation may be useful or necessary. depending on the consequences of dam failure and fon the need to understand performance parameters that should be measured quantitatively. The {installation of an automated instrumentation data system should not prechude theneed for routine “This online document has been provided forthe exclusive tse of member n goed standing ofthe Canadien Dam Acrocntion Allrights recerved 7CDAWACB DAM SAFETY GUIDELINES 2007 2013 Efition) visual inspections. Procedures should docament how often instruments are read and by whom; where instrument readinge will be stored, how they will be processed, and how they willbe snalyzed; what threshold valuee or limite are acceptable for triggering follow up actions; what the follow-up actions should be; and what instrament maintenance and calibration are necessary Follow-up actions might range from continued or enhanced inspection and monitoring, to remedial repairs, fo upgrading of the dam system. The dam owner should establish procedures for appropriate follow-up of surveillance findings. In some situations, immediate action, such as reservoir lowering or emergency repairs, may be necessary to manage the risks. PRINCIPLE 2e Flow control equipment shall be tested and be capable of operating as required. Testing of flow control equipment should be cazried cut to demonstrate that it will reliably handle the expected operating loads and site conditions, retaining or releasing water upon demand, The operational capability of equipment should he assessed with consideration of bath normal and untasual conditions and the consequences af equipment faihure. Test procedures shavld take into consideration upstream and downstream eifecte, including impacts on public safety and environmental concems, Normal and standby power sources, as well a local and remote controls, should be tested. Test rerulte chould be documented. 1.3. Emergency Preparedness PRINCIPLE 3a An effective emergency management process shall be in place for the dam. All dams should have emergency response procediures and emergency preparedness plans in place if lives are at risk or if implementation of emergency procedures could reduce the potential consequences of failure. The emergency management process chould he updated over the full fe cycle of the dam, inclading the construction phase and whenever significant cofferdams 212 required For anew dam, the plans should be established prior to first filling of the reservoir. The level of detail in the procedures and plans should be commensurate with the consequences of failure, Evaluation of the consequences should generally be done by carrying out dam-breach analysis and preparing inundation maps, followed by consequence assessment. lf the consequences are low, the plans can usually be very simple; with the approval of the regulator, plans may not be required in some cases. The absence of government regulations docenot negate the owner's x preparedness planning. ponsibility for emergency ‘This ontne document has been proved for the exclusive use ofmanbers n good stancing ofthe Canadian Cann Association. Al rights reserved 8CDAWACB DAM SAFETY GUIDELINES 2007 2013 Battin) PRINCIPLE 36 The emergency management process shall include emergency response procedures to ‘guide the dam operator and site staff farough the process of responding to an ‘emergency at a dam. Emargency response procedures should outline the steps that the operations staffis to fallow in the event of an emergency at the dam, Documentation should cleanly state, mn order of priority, the ‘key roles and responsibilities, e well ae the required notifications and contact information. Natural floods can create urgent situations that must be managed. These situations may include the passage of floodwater through or over a dam. In most cases the floodwater is well below the level that would threaten the structural integuty of the dam. However, downstream stakeholders are interested inthe effects of imundation, whether caused by a major flood, the passing of discharges through a spillway, or a dam breach, For this reason, the dam oner's procedures should cover the full xange of ocd management planning, and normal operating and surveillance ‘procedures should be linked with the emergency response procedures. ‘The emergency response procedures should inclacle the following: ‘+ Procedures for identification and evaluation ofthe emergency—Potential dam safety hazards (whether natural, structural, or caused by human actions) should be addressed in 2 ‘mamner consistent with identified failure modes and consequences of failure + Contact information and commnunication procedures—Procedures should be documented for ‘informing the authorities responsible for emergency response and evacustion, the dam. owner's staff and people in the inundation zone who are in immediate danger, the upstream and downsteam water-etention facilities, and regulators about the emergency + Remedial and management actions— Procedures should be documented for providing the emergency responders with communication systems, equipment, materials site access, ‘inundation maps, other resources, and data PRINCIPLE 3c The emergency management process shall ensure that effective emergency preparedness procedures are in place for use by external response agencies with responsibilities for public safety within the floodplain. ‘The emergency management process should be documented, distributed, and clearly communicated, in advance, to all response agencies with responsibility for publicsafety within the floodplain, Developing partnerships with key downstream stakeholders and other response agencies is a critical elementin the owner's emergency planning. Local responders should ensure that theit emergency plans include a section addressing potential dam safety hazards (whether natural, structural, or caused by human actions) “This onine document has been proved for the exclusve use of manbers in goad standing ofthe Caraciin Damn Associaton. All rights reserved. 3CDA@ACB DAM SAFETY GUIDELINES 2007 (2013 Edition) Roles and responsibilities of the dam owner and response agencies should be defined and sccepted. Where no formal response agency exists downstream of a dam, thedam owner should ‘nave in place reasonable and practical measures to protect those at risk. inundation maps and critical flood information should be available to downstream response agencies to assist them in identification of critical infrastructure that may be affected by lange releases or the failure of a dam. PRINCIPLE 34 The emergency management process shall ensure that adequate staff training, plan testing, and plan updating are carried out. Exercises should be carried out regularly to test the emergency procedures. There are significant ‘benefits to testing the procedures in cooperative exercises invelving both the dam owner's staff and the external agencies with responce roles. Emergency plans should be updated regulauly, and distutbution should be contyolled so that all coples are kept up to date. 14 Dam Safety Review PRINCIPLE 42 A safety review of t dam (“Dam Safety Review") shall be carried out periodically. The Dam Safety Reviews is a systematic review and evaluation of all aspects of design, construction, operation, maintenance, processes, and other systems affecting a dam's safety, including the dam safety management system, The review defines and encompasses all components of the “dam system” under evaluation (dams, spillway’, foundations, abutments, reservolr tallraces, etc) The review should be based on current knowledge and methods, which may be different from the acceptable practices at the time of original construction or a prior Dam Safety Review. The level of detail in the Dem Saiety Review should be sufficient cither to demonsteate that the dam meets dam safety requirements or to identify areas where conformance cannot be demonstrated and futuze investigation or action is needed. The level of detail may be modified on the basis of previous assessments, complexity of the dam, continuity of surveillance and records, external and internal hazards, operating history, dam performance andl age, and the need for public protection during operation. This online document has besn provided fr the exclusive use of mambars in gooc stancing of the Canadian Dam Assocation. All rights reserved 10CDAWACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) ‘The Dam Safety Review should include viewal inepection of the dam anda review of Consequences of dam failure Operation, maintenance, and surveillance documentation and practices Emergency preparedness plans and procedures Previous Dam Safety Reviews Up-to-date closure plan in the case of a tailings dam Analyses of fallure modes, inflow design flood, seismic loads, other loads and load combinations, stability and performance, reliability and functionality of discharge facilities, and overall effectiveness of safety management atthe dam ‘The frequency required for the Dam Safety Review should be based on the consequences of fsilure, external hazards, failure modes, the ongoing surveillance program, end demonstrated am performance. ‘The Dam Safety Review should be documented in a formal report, with condlusions and recommendations, to enable the dam owner to conform to accepted practices in dam safety and to comply with regulations. PRINCIPLE 4b A qualified registered professional engineer shall be responsible for the technical content, findings, and recommendations of the Dam Safety Review and report. ‘The Dam Safety Review should be carried cut by a registered professional engineer (or team of engineers) with a background in design, construction, operation, and performance analysis of dams. The terms of reference for the review should define who is accountable for the final report. ‘The fandings and recommendations should be independent of conflict of mterest. 15 Analysis and Assessment ‘The purpose of dam safety analysis is to determine the capability of the dam system to retain the stored volume under all conditions and to pass flows around and through the dam in a safe, controlled manner. An interdisciplinary approach is nesded that encompasses aspects of hydratechnical, seismic, geatechnical, structural, mechanical, electrical, and environmertal ‘engineering. Farther diecussion of technical issues ie included in the technical bulletine published bby the Canadian Dam Aerociation. PRINCIPLE Sa The dam system and components under analysis shall be defined. ‘At the start ofa dam safety analysis, bounds for the system and processes must be established. ‘The system tobe analyzed could range from a specific concem pertaining to one component of the dam to the entire safety management system that applies throughout the life cycle of the dam. “Ths cline documant has bean provide forthe excusve use of members in goed sanding ofthe Canacsn Cam Assocation. Allright reserved 1CDAWACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) Components of dams include all duid retaining and conveyance structures, the reservoir and downstream areas, the flow control equipment, and other subsystems supporting safety (access roads and notification systems, for example). Data and information about the dam system must be adequate (suificient quantity and quality) for reliable assessment of the safety status of the dam PRINCIPLE 5b Hazards external and internal to the dam shall be defined. Hazards may change in nature and significance at different stages of a dam’s life External hazards originate outside the boundary of the dam and reservoir system and are beyond, ‘the control of the dam owner. Extermal hazards include the following. ‘© Meteorological events, such as floods, intense rainstorms (causing local erosion or landslides), temperature extremes ice, lightning strikes, and windsiorms ‘© Seismic even's, either natural, caused by economic activity such as mining, or even reservoir induced +The reservoir environment, snchiding rim features, such ae upstream dame and slopes around the reservoir that pote a threat + Vandalism and szcurity threats Internal hazards may arise from the ageing process or from errors and omissions in the design, construction operation, and maintenance of the dam and water conveyance structures. Internal ‘azards can be subdivided by source: + Components that retain or interface with the body of water + Water conveyance structures required to direct water around or through the dam in 2 controlled way ‘+ Mechanical, electrical, and control subsystems ‘+ Infrastructure and plans, including instraments, operating orders, maintenance strategies and procedures, surveillance procedures, and emergency plans, as well as inflow forecasts PRINCIPLE 5c Failure modes, sequences, and combinations shall be identified for the dam. A failure mode describes how a component failure accirs to cause loss of the aystem function. Failure modes may be interdependent and change in nature and significance st different otagee of a dam’ life. In any analysis, the failure characteristics, including extent and rate of development, should be determined to an appropriate level of detail. At a general level, there are three dam. failure modes ‘© Overtopping —Water flows over the crest of the dam, contrary to design intert. ‘+ Collipse—internal resistance to the applied forcesis inadequate. This onine document has been provided fr the exclusive use of members in good standing ofthe Canadian Dare Association. All rights reserved 2CDA®ACB (DAM SAFETY GUIDELDVES 2007 2013 Eaton © Contaminsted serpage— Contaminated fluid escapes to the natural environment. Dam safety risk managementis directed to () prevention of the initiation ofa failure sequence; (a control of a deteriorating situation; and (st) mitigation of situations where the failure sequence cannot be stopped. PRINCIPLE 5d The dam shall safely retain the reservoir and any stored solids, and it shall pass flows ‘as required for all applicable loading conditions. Dam safety analysis should consider the full sange of applicable conditions in order to determine how the structures are expected to perform and what amount of deviation from the normal, condition iotolersble. Design, construction, and operation should be integrated in the analysis to censure that the design intent haz been incorporated into the dam, This online document hasbeen provided for the excsive use of members in good standing ofthe Canadian Dam: Accovaton. All right reversed. 13CDAWACB DAM SAFETY GUIDELINES 2007 (2013 Edition) 2. DAM SAFETY MANAGEMENT 2.1 Introduction Management of dam safety has the primary objective of preventing dam failure, but italso anvolves preparing to respond to unusual conditions so that hazardous situations can be brought ‘under control Figure 2-1), Dam safety activities are set in the content of the owner's business objectives and the public's interests, which may difer at tmes. In such cases, Its the role of govemunents to set public policies and regulations under which the dam owner must operate Managed systems for the safety of dam facilities, the public, workers, and the environment must bbe coordinated. The emphasis in these guidelines is on dam safety in terms of preventing adverse consequences from failure of the dam facilities. This section describes the need for an overall management system to provide a framework for dam safety activites, decisions, and supporting processes. The key elements of = dam safety program are identified as they fit into the management system. Decision criteria and more detailed prattices and procedures should be developed during the policy and planning stages ina functioning management system. The series of technical bulletins published by the Canadian Dam. Association (CDA) contains technical information that provides guidance in this regard. Figure 2-1: Prevention and Response in Dam Safety Management Sarastopean Ramey menves crberes fagasineneme “soskumene arg roncngmaeny sassre(emamen ante rei eal promeen) Severs) CONSEQUENCES: rogues fase ao) The standard of care applied to management of safety ata dam chould be commensurate with the consequences of failure of the dam and with the dam's condition. Accordingly, the extent of This onine documenthas been provided fr the exclusive use of members in ood standing of the Canadian DamCDAWACB DAN SAFETY GUIDELINES 2007 (2013 Edition application of the management system ar described in thie document and the details and sophistication of such a eystem should also be commenaurate with the dam's condition and the consequences of failure of the dam. 2.2. Overall Process ‘A dam safety management system must function within the context of public policies and the owner's business objectives. To properly support safety decisions, the safety management system should take an integrated view of dam sefety that encompasses planning, implementation of ‘procedures, review, and corrective action. Dam owners ate accountable for the safe management of their dams throughout the dam's life cvde, from design to decommissioning or closure. ‘Typical functions of dams include water storage, mine tailings impoundment, power generation, ‘flood control, recreation, and navigation. Thus, dam owners, while profiting from dam operations, also serve society by meetmg important needs. The necessary time and costs of dam safety acuvities are sometimes consicered tobe m conflict with the primary busmess objectives. However, the cost of dam safety is small in comparison to the costs and damages that would follow adam failure, Investments in dam safety should be accepted as an integral part of the business costs ‘Dam design, construction. operation, maintenance, decommissioning, closure, and all associated activities engage # broad spectrum of human and engineering disciplines. Te support these activities and ensure safety, the dam owner needs a good intemal organizational structure, a lear decisionmaking proces, competent staf, and key project data. Te enaure andl demonstrate due iligmce, the owner's dam safety program should incorporate the escential activities of any effective management system, a2 shown in Figure 2-) and described below. + Plax—Develop policies and goals, and plan activities to meet these goals. + Do—Implement the plan, according to documented procedures and clear accountabilities. + Check—Review the implementation and results to assess the effectiveness of the program. + Corect—Make the necessary improvements, ‘+ Reyort—Report the status and issues to accountable management and (or) regulatory agencies. ‘These basic elements apply to the safety management of an individual dam, as wvell as toa situation where a dam owner is responsible for a portfolio of dams. Owners of avultiple dams should maintain an inventory of dams in the system, Owners of dams in cascade must manage those damsina coherent manner, ensuring that the impacts of each dam on the dams upstzeam or downstream are identitied and managed appropriately. If dams in cascade have multiple owners, sts imperative that the owners cooperate with respect to operations, spill capaaty, emergency response, and any other issues of mutual concern, Similarly, in situations where dams on parallel river systems might affect the same population, management of these dams should be coordinated, and the combined effect of the dams on the population should be identified and addressed. Public polides and regulations may apply. “Ths osline document has been provides for the exclusive ure of members in good stangng of te Canagian Cam Anocition All eghts reserved. 15CDAWACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) Figure 2-2: Overview of an Owner’s Dam Safety Management System DAM SAFETY MANAGEMENT SYSTEM. 2.3 Elements of Management System 231 Policy ‘The owner's dam safety policy should clearly demonstrate the organization’: commitment ‘to oafety management thoughout the dam’s life cycle. This policy should define the following: + The safety practices and criteria to be used, taking into account any applicatle regulations, industry practice (such as the CDA technical bulletins), and due diligence + Ultimate accountebility and authority for ensuring that the policy is implemented «The delegation of responsibility and authority for all dam safety activities 4+ The process for making decisions related to dam safety “This onine document has bean provided forthe exclusive use of members in good standing ofthe Canadian Dam Accocation Allright rasarved. 16CDAWACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) Inlaxge organizations, the dam safety functions within the overall structure of various organizational units should be identified, as well as interrelationships and responsibilities. Key individual positions accountable for dam safety, operation, surveillance, and maintenance should be identified, along with their responsibilities for internal and external reporting. Itis particularly important that accountabilities for operational decision-making be highlighted so that staff members aze aware of their responsibilities and know who has authority to make operational decisions during unusual situations or emergencies. ‘To ensure that safety objectives arenot considered secondary to other business objectives, accountability for dam safety should be placed atthe highest level of management. In large organizations, senior management should be peniodically updated cn the starus of the safety of the dams anc related risk and regulatory issues. The owner's staff and any consultants or contractors who camzy out dam safety activities on behalf of the owner should be made aware of the decision-making process and who is accountable for what. Safety decisions with signiticant societal or financial implications should be made or approved at the highest level. 23.2 Planning Planning involves identifying the components of the dam safety work program, assigning the responsibilities for executing ezch component, and ensuring thatthe resources are adequate to carry out the work. The plans should detine the implementation methodologies, acceptable standards, and required frequencies for carrying out certain tasks It is often useful to consider three levels of planning: the strategic or long-range plan (5-10 years}, the management plan (annual), and operational plans (specific to a project or task), The long-range plan ard the annuel plan for dam safety activities should be set by management at the highest level of the dam safety work program. ‘The annual dim safety plan should identify the program elements to be carried out, the ‘budget allecated, the responsible organizational unit priorities, and relationships to other tasks and crgenizational unite. Each organizational unit should coordinate its assigned, dam salety activities withits other tasks and priorities. For example, the overall plans would include the required frequency of certain activities, time of year (if the activity is affected by weather), priocity for implementation, approval requirement, staif availablity, and coordination with other work. ‘Task: or project-specific plans should take into consideration zegulatory approvals, environmental or site-specific schedule constraints, and risks associated with execution of these tasks, as well as measures that should be in place to mitigate the risks. 23.3 Implementation Implementation of a dam safety program is, by definition, implementing checks and reviews of dam performance and taking corrective action, as discussed in the following sections, Ongoing activities associated with dam management include operation, maintenance, and surveillance, 2s well as emergency preparedness. These should be carried out according to ‘This online document has been provided forthe extusive ase of members in good sanding ofthe Canadian Dam Accosiaton Allright: rezeved. 7CDAWACB DAM SAFETY GUIDELINES 2007 (2013 Edition) ‘clear plan so that the intended function of the dam is achieved without compromising dam safety. Emergency preparedness plans and procedures should be integrated into the overall dam management plan, 23.4 Checking and Reviewing Dam safety management should inchide processes for checking and reviewing dam performance, as well 3: the safety management system itsalt Routine and detailed inspections, monitoring and assessment of data, testing of equipment, and emergency exercises are processes to check and review the condition and performance of the dam and its components. Dam Safety Reviews should be performed periodically to provide independent assurance that the dam meets current safety requitements or fo make recommendations for improvement. ‘The overall dam safety management system should also be reviewed regularly and the results reported to the owner's senior management. This review should cover policies, planning, the decision-making framework and management commitment, as well as how ‘well the routine dam safety activities are carried out. If the owner has only one dam, this could be covered in the Dam Safety Review. However, if the owner is responsible for many dams, an independent review of the safety management system for the complete pportfolic is recommended. These reviews should be carried out by independent dam safety practitioners with broad and extensive experience in dam safety management Its also beneficial for an owner to audit specific aspects of the program to ensure that policigs and procedures are being followed. For example, a procedure may call forall instruments at a dam to be read at a prescribed interval and for the data and data plots to be reviewed within a specified time frame. An audit would review the records to see ‘whether this procedure is in fact being followed and whether there are anv issues or problems that would necessitate staff training, resource adjustment, or revisions to the procedure After any significant dam safety incident, the owner should carry out an investigation to determine root causes, minimize the potential for such incidents to happen again, and ensure that lessons leamed are incorporated into the system and communicated to staff. 2.3.5 Corrective Actions Surveillance, maintenance, operating equipment terts, Dam Safety Reviews, emergency, preparedness teste, incident investigations, managementeystem reviews, and audite may Identify or confirm safety deficiencies or non-conformance with standards, policies, or procedures, Therefore, the dam safety management system should inclads aprocess for timely follow-up and correction of potential deficiencies, confirmed deiiciencies, and non conformance Dam safety incidents and near misses may indicate deficiencies in the management system, processes, or equipment or in staff training and compliance with directives. A process foridentifying and reporting incidents and for following up on these should he ppart of adam safety management system. In addition, incidents or events at other dams or in other countries and juriadictions can be instructive and may peint toimprovements that should be undertaken at similar dams to avoid similar situations. Lessons learned from such events should also be considered when corrective action is being undertaken, This anline document has Assocation All rights reserved 18CDAWACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) In general, audits and investigations should be carried cutin an open, twanaparent manner and in a spirit of continuous improvement, It should be made clear to ll staf that the objective isnot tolay blame but to address system weaknesses and ensure that lessons Jeamed are incorporated appropriately mn the safety management system. Promotion of & ‘rusting environment will encourage staff to report all incidents and work cooperaively toward continual improvement. Identified deficiencies or issues in dam design, performance, supporting infrastructure, operation, maintenance, surveillance, security, emergency preparedness, and the ‘management system should he prioritized and addressed Prioritizing corrective actions and making decisions regarding their implementation should take the following inte account: + The consequences of dam failure + The magnitude and significance of the deficiency or ioue in question + Atisk assexoment of the deficiency + The level of risk tolerance within the organization, + Regulations, laws, and finances [A strategy for implementing comective actions or safety improvements should be formulated. Such a strategy should indude the following: ‘+ Prionty—the order in which conective actions and improvements should be undertaken © Ungercy—how soon these acavites should be undertaken «Progressive mprovement—whether these activities can be implemented in stages 23.6 Reporting ‘Asa minimum, senior management and company officers should be updated annually on. the status of the dam safety program. The update should cover these issues: + Results of the various reviews: + Outstanding issues and deficiencies + Inadents * Comective actions «Adequacy of policies and procedures (orneed fora change) «Program objectives Adequacy of resources «Any other concems “This online document has been provide forthe exclusive we of members n good standing ofthe Canadian Dam Ascott. All ights azened 2CDA#ACB DAM SAFETY GUIDELINES 2007 (2013 Edition) Major decisions may need to be made at the highest level of management during this reporting process. Regulations may require that reporis on specific activities or results be submitted to the regulator and that some major decisions be discussed with the regulator aswell. 24 Supporting Processes 241 Training and Qualification Supporting processes need to be in place for the effective implementation of a dam safety management system. These processes include adequate training and qualification of all individuals with responsibilities for dam safety activities. The training programs should >be geared toward developing and maintaining the competency of these individuals and should take into account the requized frequency of re-qualification, the complexity of operating systems, and any significant changes in the iacilities or operating criteria. Training records should be maintained. Individuals performing dam safety activities must be qualified and have a comprehensive ‘understanding of the facility and its safe operation. This should include a basic understanding of the civil structures, low control facilities, control systems, operating procedures, interaction of facility operations with other stakeholders, potential hazards and failure modes, and other relevant information. Typically, training should address site- specific issues and ensure that all failure modes, sit intricacies, and interactions of site components are covered. Some type of competency check is also valuable to ensure that participants have understood the topics being delivered, Staff training in emergency preparedness and response is addressed in section 4 This training should be given to all staff that may have a response role during an emergency. Testing of the emergency preparedness and response plans is an integral component of this training, Staff should also be encouraged to become aware of new and updated technologies and. maintain competency by becoming involved in industry and leamed organizations. Owners should participate, and encourage their staff to participate, in the efforts of the dam industry to improve knowledge and update practices and technologies. lis the owner's responsibility to determine that any consultant retained és appropziately qualified and experienced in dam design, construction, safety assessments, or any other acuivities to be carried out 2.4.2 Program Communication [tis of utmost importance that the dam safety policy and management commitment be clearly communicated to staff involved in dam safety activities, Periodic reinforcement of the message should ensure that dam safety avvareness and a culture of continuous improvement are supported within the organization. An open environment should also encourage upward communication to ensure that issues, concerns, or incidents are reported promptly. Public consultations prior to construction of new dams and sepair or upgrade of existing dams give the public an opportunity to provide input to the project and to express any seen provided forthe excusive use of members in good standing ofthe Canadien Dam Acrocation. All rights racerved 20CDAWACB DAMM SAFETY GUIDELINES 2007 (2013 Eaton) concem. From the owner's perspective, itis important that the public understand the benefit and the ricke associated vrith the project and be kept informed of progress or emerging issues, Frequent contact, consultations, exchanges of information, and follow-up with emergency responders, stakeholders, and civic authorities are necessary during the development, ‘maintenance, and testing of plans involving public safety and emergency preparedness. (Clear, concise, and consistent communication is necessary to ensure that emergenc} preparedness and response plans ate effective and that the public is aware of the hazards associated with the dams and their operation. 2.4.3, Record Keeping and Management Documentation should be kept up to date so that there is a permanent record of (i) the design. construction. operation, and performance of the dam: and (ti) the management of its safety. Such documents typically include, but are not limited to, ‘+ Permits and licences Design records Geotechnical investigation records «© Asbuilt drawings + Construction completion reports + Photo and video records of construction activities at various stages + Instrumentation readings and other technical data ‘Inspection and testing reports + Dam Safety Review reports «Operational and maintenance records «Investigation studies © Closure plansif any «Records of dam safety incidents, assodated lessons leamed, and follow-up actions «Records of staif taining + Records of ow control equipment tests, emergency preparedness plans, drills and tests, and follow-up actiors Records and documents, mcluding drawings, electronic documents, and datzbases, should be managed to ensure retention, availabilty, and retmievabiliry dung the entize late cycle of the dam, The records management process should specify which records must be kept permanently and the retention time for others Some documents, by their nature, need to be reviewed and updated frequently. Only the current version should be in use. Documents of that nature should be controlled, meaning. thot they are reviewed periodically, approved md iseued by a designated authority, and Gistributed to registered copy holders. Measures chauld be in place to encare that sll copies are Leptup to date and that recipients understand which information and sesponsibilitiee outlined in the documents pertain to them. ‘Dam safety documents that should be controlled include the Operation, Maintenance, and Surveillance Manal (OMS Manual) (or equivalent documents) and the emergency plan. Since operation and maintenance requirements may change throughout the life cyde of the dam, up-to-date instructions must be distributed and out-of-date information withdraten from circulation. Similarly, the emergency preparedness and response ‘This online document his been previce forthe exclushe ure of mambers in good stancing ofthe Canadian Cam Anovton. Allright reserved 21CDA#ACB. DAM SAFETY GUIDELINES 2007 (2013 Fon) 25 requirements will change in response to changes in circumstances, in personnel, and in stakeholders’ policies and mandates. In addition, any significant changes in operations, dam classification, regulatory requirements, or other critical information should trigger an update. Because OMS Manuals and emergency plans are controlled documents, anv changes or updates to the documentation shauld be appropriately reviewed, approved, and arculited to the rerponsible personnal. Rerorde chould be kept of any changes or updates so that they can be checked during periodic reviews or audits, Inundation, Consequences, and Dam Classification 2.5.1 Introduction An understanding of the consequences of dam failure underlies several of the prinaiples of these dam safety guidelines. A classification system based on consequences is presented herein. Consequences of dam failure may include loss of lif, injury, property and environmental damage, and general disruption of the lives of the population in the inundated area, Relence of the reservoir would alco affect the upstream aquatic habitat, recreational property and activities, boating, water intakes, and other infrastructure. ‘The analyses leading to consequence assessment and classification of thedam should indlude characterization of a hypothetical dam breach, flood wave routing, inundation ‘mapping, and evaluation of the impacts. A wide range of methods may be applied in each, of these steps; the choice will depend on the extent of information needed. The level ot effort and the resulting level of accuracy should be commensurate with the importance of the dam safety decisions that need to be made In general, a preliminary assessment using simple and conservative procedures should be done to obtain a first approximation of the level of consequences. Complexity and ‘accuracy should be increased if there isa need for greater detal to confirm the dam_ classification, cupport a detailed emergency responce plan, or inform rick management decisions. This approach allows for consequence dlassification to be used for smell or obviously low-corsequence structures where the cost and complexity of larger, more detailed studies may not be tequized, 28.2. Dam-Breach Analysis and Inundation Mapping ‘A danr-breach analysis is used to determine the ultimate discharge from a hypothetical breach of the dam. The outcome of the analysisis a flood peak oF flood wave immediately downstream from the dam, ‘Anevaluation is made of inital conditions, as well as the breach geomeuy and tuning ‘The evaluation should address ual hy drologic conditions for the following: + Swxny-day failure —This isa sudden dem failure that occurs during normal operations. It may be caused by internal erosion, piping, earthquakes, mus-operation leading to overtopping, or another event «© Flood-induced falure—This is adam failure resalting from anatural flood of a ‘magnitude that is greater than what the dam can safely pass, Reservoir levels and downstream tributary flow in the assessment should be those expected for a breach event of the particular type. For example. in the analysis for sunay- This online document has basn provided forthe exclave ure of mambars i good stncing ofthe Canadian Dam Association. Al ights reserved. 2CDAWACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) day failures, itis generally considesed reasonable to use maximum normal reservoir levels combined with mean annual flow conditions in the upstream and downsteam channels. For flood-induced fallures, the reservorr levels used to estimate breach discharge should ‘be appropriate for the failure mode threshold. Sensitivity analyses should be carried out to identify more critical situations for specific cases. ‘The breach location within the dam structure and other breach parameters, such as shape. ‘width, depth, and rate of formation, should he determined for various initiating events and failure modes. Typically, for earthfill dams, both overtopping failure and piping {failure are included in the analysie. ‘Most dam-breach analyses require the development of an outflow hydrograph to graph the changes in flow as the breach forms and the reservoir drains. Flood wave routing is conducted to follow the progress of the dam-breach wave from the dam to a location downstream where the effects would be negligible. If there are other dams or water- retaining structures downstream, the study must consider whether the flood wave would also cause breaching of those structures. If it tums out that downstream breaching is likely to occur, the consequence assessment for the failure of the upstream must indlude the damage caused by the downstream failures, ‘The simplest and mest conservative procedures may be applied as a furst approximation; more detailed analyses should be conducted if necessary. Tae method of analysis should reflect the required level of accuracy and the complenty of the downstream channel and. infrastructure. “Mapping of inundation areasis used a: the basis for estimating the potential consequences of » dam breach. Inundation maps are alsa teed for emergency planning and chould show (i) flood and flood peak arrival time; (#) depth of flow; (ai) significant emergency infrastructure, ouch ae roads and hoepitale; and in some eavee (io) velocity of low. 25.3 Dam Failure Consequences Loss of Life ‘The consequences of dam failure should be evaluated in terms of life safety. The ‘population at risk (PAR) in the inundated area provides an indication of the number of ‘people exposed to the hazard, It accounts for demographic and land-use factors for the ‘snundated area, Some classifications rely on estimate of PAR, defined as the number af ‘people who would be exposed to floodvratere and would experiance consequences that could range from inconvenience and ezonomic lostes to loss of life Consistent estimates of expected loss of life are very difficult to develop. The potential for loss of life depends on many highly uncertain and variable factors, such as depth of flow, ‘velocity, time of day, advance waming, topography, distance irom the dam, transportation routes, historical patterns of human activity, and mobility of the ‘population. [No simple, reliable, or universally applicable methodology is available— different methods can produce very differen: estimates of loss of life. Estimates should take into consideration specific scenarios tha! account for a wide range of parameters. The assumptors, reasoning, and calculations should te clearly documented, “This online document has been provided forthe exclusive we of members in good standing ofthe Canaan Dam Ascott. All ights azened 2CDA ACB DAM SAFETY GUIDELINES 2007 (2013 Eaition) Economic Losses ‘The estimate of economic losses should inchade direct damage to third-party property, facilities, other utilities, and infrastructure, In most cases, the damage to the dam owner's property may be excluded from the estimate and left to the owner to consider separately However, t should be recognized that in many cases the owner's losoee would have significant impacts on society. Where appropriate, costs or values can be assigned to social and cultural impacts and included as economic consequences. Environmental Losses To some extent, environmental losses can be assigned a monetary value, but they should bbe evaluated separately. There may be cases, for example, where a dam retains a large reservoir and there ie no permanent PAR, but the environmental consequences could be very serious. The significance of environmental lostes should be assessed in terms of ‘whether restoration of the environment is feasible and Row longit would take. Since the zature of environmental loss is multifaceted it would be impractical, if not impossible, to arriveat a single numerical value characterizing the extent of the damage. For these reasons, a qualitative assessment may be more appropriate Cultural Lesses Social impacts, such as damage to irreplacesble historic and cultural features that cannot be evaluated in economic terms, should be considered on a site-specific basis. Separate assessments should be made of potential damage to sites of cultural and historic value, taking into account the feasibility and practicality of restoration or compensation. Incremental and Total Consequences “These guidelines are based on the traditional ascamption that due diligence and the standard of care expected of adam ovrner relate to the potential damage above and beyond that caused by a natural event when the dam does not fail. The incremental consequences of failute are defined as the total damage from an event with dam failure minus the damage that would have resulted from the same event had the dam not failed, This online document has baen provided forthe excusve use of members in ocd standing of the Canadian Dam Asseciation. All rights reserved mCDA#ACB DAM SAFETY GUIDELINES 2007 (2013 Eaton) 25.4 Dam Classification Table 2-1 presents a classification scheme that can be used to provide guidance on the standard of care expected of dam owners and designers. Estimates of potential consequences of dam failure are categorized to distinguish dame where the risk ie much, dhigher than others. Insome cases, a PAR assessment alone provides enough information to classify the dam and determine required safety levels and procedures, However, in areas with a permanent PAR, a more detailed classification can be determined on the basis of estimates of ppotential loss of life If the clasaitication for a dam ie based on loce of life in a natural flood, the ood and evacuation scenarios should be considered to ensure that the appropriate level of safety is provided Environmental, cultural, and third-party economic losses should be estimated separately and taken into account in assigning a dam to a class. The class should be determined by the highest potential consequences, whether loss of life or environmental, cultural, or economic losses. For the purposes of general management oversight, as well as inspection, maintenance, and surveillance programs, a single classification for the dam system should ‘bebased on the failure scenario that would result in worse consequences: either sunny- Gay failure or flood failure For datermining design criteria for specific componente at a site, the consequences of fatlure of the componente may he considered separately for the relevant individual failure modes and their combinations. The ine document has been provide forthe exclusive we of member: n good standing ofthe Canadian Dam Accocnton. All rights reserved 35CDAWACB DAM SAFETY GLIDELINES 2007 (2013 Battin) Table 2-1: Dam Classification a Population atrisk Environmental and cultural Inet values ‘Minisnal short-term lose Low economic losses; area No longterm loss contains limited sndrsstructure or services Tomporny [Ne signiticant Ince or Losses to recrentional only etarcration offich or wildlife | facilities sessonal ‘habitat ‘workplaces, and ‘Loss of marginal habitat only | infrequently used Restoration or compencation in | H2RsPottation routes kind highly poste Signutcant Iss or detercration | High economic losses fimportentfishor wildlife | afecting infrastrucise, abit public taneportation and ‘Restoration or compersationin | commercial faites end highly possbie D0 er fewer | Significant les or daterioration | Very high exonomic cofcriticelfgh or wild habat | leases adfecung umportant [Restoration or compensation in | tnirastructure or services ‘kind possible butumpracteal | (¢g. highway, industial aclty, stosnge facilites fer dangerous substances) ‘Majorloss efontca hor | Extremelossesattecting srldlse Babstat cutal misracure or [Restoration or compensation | services (e.g, hospital, sand npossble sajor Evdustral complex, rajor storage facilities for dangerous subrtance:) "Note : Denaions for population ste ‘None—There is no idenifabe population at risk, so thereis no possibilty offosoflite other than through “Temporary People are only temporanly inthe dum-tresch inundation sone (eg, seasonal cotage use, pessang ‘nrough on tuansportatien routes, partipaing in ecreatonal ace), ‘Permaneat—The population arises cratariy located inthe dam-2reachsmundatio Zone (2, 25 Pemanert resident ices consequence classes (high very high extreme) ave Propeee to allow for more detalled estimates ‘tpotantia ne of i ty sasetn cecison-macingit the appropriate salves ecamieg on [Note Implication for loe fi: ‘Unspecified The appropriate level ofsnity required ats dam where people am tempera sik dependson, ‘he umber cf peopl the exposure time the nature of thir activity and other condtions. A higher class could be appropriate, depending onthe equiremen’s. However, the design Scod requirement, fr example, might zot be ugha ifthe temporary populaton isnot likly tobe Fretnt during the ood setson This ontne document has bees provided for the exclusve use of members in good standing ofthe Caran Damn Association. Allrigts reserved 6