Emergency Action Planning

For Referable Dams

June 2013
This publication has been compiled by Queensland Water Supply Regulator, Water Supply and
Sewerage Services, Department of Energy and Water Supply.
State of Queensland, 2013.
The Queensland Government supports and encourages the dissemination and exchange of its
information. The copyright in this publication is licensed under a Creative Commons Attribution 3.0
Australia (CC BY) licence.

Under this licence you are free, without having to seek our permission, to use this publication in
accordance with the licence terms.
You must keep intact the copyright notice and attribute the State of Queensland as the source of the
publication.
For more information on this licence, visit http://creativecommons.org/licenses/by/3.0/au/deed.en
The information contained herein is subject to change without notice. The Queensland Government
shall not be liable for technical or other errors or omissions contained herein. The reader/user accepts
all risks and responsibility for losses, damages, costs and other consequences resulting directly or
indirectly from using this information.
Contents

1 Abbreviations 1

2 Definitions/Glossary 1

3 Frequently asked questions 4

4 Scope 7

5 Disclaimer 10

6 Rationale for Emergency Action Plans (EAPs) 10

7 The requirement for an EAP 12

7.1 Requirement to prepare EAP 13
7.2 Requirement to update EAPs 14

8 The Roles of the Parties Involved in Emergency Planning for Dam 14

8.1 Dam owners role 14
8.2 The role of relevant Disaster Management Groups 15
8.3 The role of the Dam Safety Regulator 15

9 Developing an EAP for a Referable Dam 15

9.1 Magnitude and Complexity of EAP 15
9.2 Process for developing an EAP 16
9.3 Events to be considered in EAPs 16
9.4 Content and Format of EAPs 17
9.5 Flood Mapping Requirements for an EAP 18
9.6 Activation of EAPs 20
9.7 Implementing an EAP during an event 21
9.8 Notification of affected PAR during Emergency Events 22
9.9 Special provisions for dams having low PAR 26
9.10 Special provisions for dams under construction 27
9.11 Disaster management input and review of plan 27
9.12 Consistency with the Local/District Disaster Management Plan 28

10 Preparing for Implementation of EAPs 29

11 Approval of EAPs 31
11.1 Submission of EAP for Approval 31
11.2 Approval of new EAPs 32
11.3 Agreement to non-substantive amendment of EAPs 32
11.4 Approval of substantive amendment of EAPs 33

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 11.5 Publication of approved EAPs 33
11.6 Who should be provided copies of EAPs 33
11.7 Transitional arrangements for existing Referable Dams 34

12 Reviewing an existing EAP 34

12.1 Review of EAP triggered by dam owner 34
12.2 Review of EAP triggered by the chief executive 34

13 Amending an existing approved EAP 35

14 Limitations to adequacy of dam owners EAPs 35

15 Emergency event reporting 36

16 References and further reading 37

Appendix 1: Modes of dam failure and probable emergency response 37

Appendix 2: Contents of an EAP for major dams 42

Appendix 3: Compliance with Queensland Floods commission of Inquiry Interim Report

recommendations 45

Draft Appendix for inclusion in Local and District Disaster Management Guidelines 47

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1 Abbreviations
DDMG District Disaster Management Group

DEWS Department of Energy and Water Supply

DM Act Disaster Management Act 2003

EAP Dam owners Emergency Action Plan

EER Emergency Event Report

EMQ Emergency Management Queensland

FSL Full Supply Level

LDMG Local Disaster Management Group

LDMP Local Disaster Management Plan

PAR Population at Risk

QDMA Queensland Disaster Management Arrangements

QDSMG Queensland Dam Safety Management Guidelines

QFCoI Queensland Floods Commission of Inquiry

SDMG State Disaster Management Group

The Act Water Supply (Safety and Reliability) Act 2008

2 Definitions/Glossary
the Act Water Supply (Safety and Reliability) Act 2008
The first stage of emergency response whereby a heightened level of
vigilance is maintained due to the possibility of an emergency event
Alert
occurring. Action is required to ensure the situation is monitored by
someone capable of assessing the potential of the threat.
Approval Period The period of approval for the EAP. It can be for a period of no more than 5
(for an EAP) years and must be stated in the approved EAP.
In this provisional guideline, unless otherwise specifically given a different
meaning, references to the chief executive or the Dam Safety Regulator
are to be interpreted as references to the Director-General of the
Department of Energy and Water Supply (DEWS) or the Director-Generals
delegate. Correspondence to the Director-Generals delegate can be sent
to:
chief executive
Director Dam Safety
Queensland Water Supply Regulator
Department of Energy and Water Supply
PO Box 15456, City East QLD 4002
Or by email to: EWSWSSSOWSR.Corro@dews.qld.gov.au

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 Having an EAP issued as a controlled document means that specified
copies of a document are kept up to date in a controlled manner using a
system that distributes updated versions/pages of the document as they are
issued and retrieves superseded versions/pages of the document as they
become redundant. In this way, only the current version of the document is
Controlled used during any event.
document A controlled document requires the following metadata to be recorded in the
document and securely archived:
Contents, versions and dates of versions;
Name and role of the person approving each version and details of any
prior consultation undertaken; and
Names and roles of persons issued with copies.
The Act defines a dam failure hazard in relation to a dam to be a reasonably
Dam failure
foreseeable hazard that has the potential to cause or contribute to the failure
hazard
of the dam. Example significant flooding in the catchment area of the dam
Dam Safety
Refer to the chief executive above.
Regulator
District Disaster Management Groups comprise representatives from
regionally based Queensland government agencies which can provide and
District Disaster coordinate whole-of-government support and resource gap assistance to
Management disaster-stricken communities. The District Groups perform a 'middle
Group management' function within the disaster management arrangements by
coordinating the provision of functional agency resources when requested
by Local Groups on behalf of local governments.
DM Act Disaster Management Act 2003
The Act defines a downstream release hazard in relation to a dam to be a
reasonably foreseeable hazard to the safety of persons or property that
could potentially be caused or aggravated by
Downstream
(a) a release of water from the dams spillway; or
release hazard
(b) a controlled release of the water from the dam.
Example flooding of downstream properties and transport infrastructure
caused by a release of water
The Act defines an emergency condition, for a dam, to mean -
(a) a dam failure hazard; or
(b) a downstream release hazard; or
Emergency
(c) a circumstance that potentially indicates an increase in the likelihood of
condition
a dam failure hazard or downstream release hazard happening.
Example for paragraph (c) an unusual amount of seepage from the
dam
Emergency An interim report on the performance of the dam and the functioning of the
Event Interim EAP during emergency event which is presented to the chief executive prior
Report to the end of the event at the request of the chief executive
Report on the performance of the dam and the functioning of the EAP during
Emergency
emergency event which is presented to the chief executive following the end
Event Report
of the event
It is a process used under the Act to determine the number of people whose
Failure Impact
safety could be at risk should the dam fail. This assessment must be
Assessment
certified by a registered professional engineer in accordance with the Act

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 A failure impact rating is a measure of the population at risk should the dam
Failure Impact fail. There are two categories for referable dams:
Rating category 1- 2 to 100 people at risk if the dam were to fail;
category 2 - more than 100 people at risk if the dam were to fail.
Flood Mitigation A manual of the operational procedures for flood mitigation for a dam that
Manual complies with section 371D of the Act.
The stage of emergency response prior to stand up whereby a heightened
level of situational awareness of a disaster event (either current or
Lean Forward
impending) is maintained and a state of operational readiness is developed.
Personnel at dam are on standby; ready to activate EAP.

Local Disaster Management Groups are established to support local

government disaster management activities. The Local Group is supported
by the relevant District Group if and when disaster management activities
exceed the capacity of a Local Group. The functions of the Local Group
include (but are not limited to):
develop, regularly review and assess effective disaster management;
assist local government for its area to prepare a local disaster
management plan;
Local Disaster
ensuring the community is aware of ways of mitigating the adverse
Management
effects of an event, and preparing for, responding to and recovery from a
Group
disaster;
identify, and coordinate the use of resources that may be used for
disaster operations;
manage disaster operations in the area under policies and procedures
decided by the State Group; and
ensuring disaster management and disaster operations in the area are
consistent with the State Groups SPF for disaster management for the
State.
Population at The number of people calculated under the FIA guidelines, whose safety will
Risk (PAR) be at risk if the dam, or the proposed dam after its construction, fails.
Queensland's whole-of-government disaster management arrangements
are based upon partnerships between government, government-owned
corporations, non-government organisations (NGOs), commerce and
industry sectors and the local community. These arrangements recognise
each level of the disaster management arrangements working
collaboratively to ensure the effective coordination of planning, services,
information and resources necessary for comprehensive disaster
management.
Queensland The Australian disaster management arrangements are formed around
Disaster three levels of government, Local, State and the Australian Government.
Management The Queensland Disaster Management Arrangements acknowledge these
Arrangements three levels of government, however are based on a four tiered system to
include an additional State government tier, between Local and State
Governments and known as Disaster Districts, to enable a more efficient
and effective operational service delivery in support of local communities.
Further details of the Queensland Disaster Management arrangements can
be found at.
www.disaster.qld.gov.au/About_Disaster_Management/DM_arrangments.ht
ml

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 A dam, or a proposed dam after its construction will be a referable dam if
(a) a failure impact assessment of the dam, or the proposed dam, is
required to be carried out under the Act; and
Referable Dam
(b) the assessment states the dam has, or the proposed dam after its
construction will have, a category 1 or category 2 failure impact rating; and
(c) the chief executive has, under section 349 of the Act, accepted the
assessment.
The Act defines the relevant disaster management group as
(a) if only 1 local disaster area could potentially be affected by an
emergency condition identified in the planthe local group for the area (a
Relevant relevant local group); or
disaster (b) otherwise the district group (a relevant district group) for the
management disaster district that could potentially be affected by an emergency condition
group identified in the plan.
Note: If more than one district group covers the area potentially affected by
an emergency condition identified in the plan, each district group should be
considered.
The Act defines relevant entities to be notified of an emergency condition
under an EAP to include each of the following
(a) the relevant disaster management group for the plan;
(b) the persons whose safety or property may be threatened by the
emergency condition; Examples of such persons include
Relevant the owners of parcels of farm land adjacent to the dam
entities the residents of a township
(c) each local government whose local government area may be affected by
the emergency condition;
(d) the chief executive of DEWS;
(e) any other entity the owner of the dam considers appropriate to notify of
the condition. (such as the Queensland Police Service)
The final stage of emergency response when there is no longer a
requirement to respond to the event and the threat is no longer present. At
Stand down
stand down there is a transition from responding to an event back to
normal core business and/or recovery operations.
The operational state following lean forward whereby resources are
mobilised, personnel are activated and operational activities commenced.
Stand up
Moving into this operational state triggers the requirement for an emergency
event report.
Sunny Day The failure of a dam without any other general flooding or spillway
failure discharges

3 Frequently asked questions

For new users of these provisional guidelines, the responses to these questions will give the
reader some idea of where different topics are found in the guideline.

(a) What is an Emergency Action Plan?

An Emergency Action Plan (EAP) is a formal plan that:

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 identifies such emergency conditions
prescribes procedures that should be followed by the dam owner and operating
personnel in the event of an emergency or if there are significant changes to releases or
outflows (including their likely timing) from the dam during floods.

(b) Why do you need an Emergency Action Plan for your referable dam?

Under the Water Supply (Safety and Reliability) Act 2008 (the Act), the owner of a referable
dam must have an approved EAP for the dam. Referable dams, by definition, would put lives
at risk if they were to fail.

The primary reason for an EAP is to minimise that risk as far as practicable. Such risks can
arise from a number of scenarios which can include failure of elements of the dam or the
complete dam. In order to maximise preparedness for such events, provision is also made
for taking into account circumstances which may develop into the failure of the dam. Further
detail as to the rationale behind EAPs is contained in Section 6 of these guidelines.

Prior to the recent amendments to the Act, EAPs were required as part of dam safety
conditions applied to the dam. However, following these amendments, the requirements for
an EAP is now specified in the Act. Under the provisions of the Act, the range of events that
have to be catered for in the EAP has been extended to include downstream release
hazards. Further detail as to the legislative requirements to provide and updating EAPs is
contained in Section 7 of these guidelines.

(c) Who should be involved in developing an Emergency Action Plan?

The dam owner and their relevant disaster management group are the primary parties
involved in the development and implementation of the EAP. The roles of the various parties
are described in Section 8 of these guidelines. Basically it is the dam owners responsibility
to prepare the EAP in consultation with the relevant disaster management and to submit it to
the Dam Safety Regulator for approval.

(d) Who is your Relevant Disaster Management Group?

The relevant disaster management group for your dam will be the Local Disaster
Management Group (LDMG) responsible for the local area where the consequences of the
dam failure hazard or the downstream release hazard will occur. For most dams this will be
in the local authority area in which the dam is located. However, for major dams or dams
which are near the boundaries of local authority areas, this may extend to adjacent areas.
Where more than one local authority is involved, dam owners should contact the Distract
Disaster Management Groups (DDMGs) to ensure they have all relevant local areas of
impact covered.

(e) How do you prepare an Emergency Action Plan for your referable dam?

The process for developing an EAP is described in Section 9 of these guidelines. The details
required and the way these are presented will vary from dam to dam depending on a number
of parameters.

While the primary parameter in developing the EAP will be the protection of the population at
risk (PAR), the impact on property that could potentially be caused or aggravated by the
release of spillway discharges should also be a consideration.

At one end of the scale, it may not be practical for the owners of dams having large PARs to
individually notify each PAR and the relevant disaster management group will need to be

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more involved in that process. This is expected to be the case where population centres such
as towns or other urban communities are involved. However, the relevant disaster
management group will need to be consulted on the most appropriate means of such
notifications.

For small dams where there are only a few PAR or where the PAR are in close proximity to
the dam, it will generally take too long to directly involve disaster management groups and
notifications will need to be directly undertaken by the dam owner. Under such
circumstances, the EAP documentation can be much simpler than for larger PAR dams.

The simplest case will be where the PAR is the dam owners family. In such cases, the dam
owner needs to inform occupants of potential hazards and the EAP should, include these
aspects in any emergency drills for the household to ensure they remain aware of the risks
and the dam owner has to take on the role of warning whoever is in the house if that hazard
ever eventuates.

(f) How do you get your Emergency Action Plan approved?

The chief executive of the Department of Energy and Water Supply (or delegate) is the
person with the statutory responsibility for approving EAPs.

Note that before submitting their EAP to the chief executive for approval, referable dam
owners need to give a copy of the EAP to the chairperson of the relevant disaster
management group, to enable them to review the plan for consistency with the relevant
disaster management plan. If the chairperson reviews the plan, they must give the dam
owner a report on the review and the dam owner must submit this report to the chief
executive when the EAP is submitted for approval. If the dam owner wishes, the dam owner
can also submit a response to the chairpersons report to the chief executive.

The process for approving an EAP is described in detail in Section 11 of these guidelines.

(g) When must you submit your Emergency Action Plan?

For owners of dams that were referable at the time of the commencement of the emergency
action plan provisions of the Act (8 November 2012), dam owners need to submit their EAP
to the chief executive for approval by 1 October 2013.

For owners of existing dams that first become referable after the commencement of the
emergency action plan provisions, dam owners need to submit their EAP to the chief
executive within 4 months after the date of acceptance of the Failure Impact Assessment
making the dam a referable dam.

Similarly dam owners need to submit their EAP for renewal of their approval at least one
month before the end of the approval period for their existing EAP expires.

Further details in relation to the timings for submitting an EAP to the chief executive are
given in Table 1 of these guidelines.

(h) How do you get your Emergency Action Plan amended?

EAPs are intended to be living documents that develop over time as circumstances change
and can only be approved for a period of up to 5 years. EAPs will need to be periodically
reviewed to ensure they remain current. Such reviews may be triggered in a number of ways:

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 When reviews following emergency events demonstrate the need for changes to ensure
they remain effective;
When the chief executive determines there is a need for the EAP to be reviewed;
Prior to the expiration of the current approval period for the EAP.

If the proposed amendments are minor and not of a substantive nature and the chief
executive agree that they are such, a simpler approval process applies and the dam owner
does not need to give a copy of the proposed amendments to the chairperson of the relevant
disaster management group for comment. Further details are provided in Section 11.3 of
these guidelines.

(i) How do you test the preparedness to implement your EAP

Dam owners should train their personnel in the use of the EAP and periodically exercise the
implementation of their EAPs to ensure that:

EAPs are kept up to date and effective

EAPs are consistent with the disaster management plan for the relevant disaster
management group
Those involved in the implementation of the EAP are familiar with the EAP and they are
capable of effectively implementing the EAP.

Details of how to exercise your EAP and maximise your preparedness to implement the EAP
effectively are contained in Section 10 of these guidelines.

(j) When do you need to submit an Emergency Event Report?

An Emergency Event Report (EER) is intended to provide important feedback to the chief
executive on the adequacy and the effectiveness of EAP during emergency events. An EER
will be required to be submitted to the chief executive within 30 days after the completion of
the emergency event. In cases where the events last for prolonged periods, the chief
executive has the power to issue a notice requiring the dam owner to submit an Interim EER
within an alternate nominated time. Further details of Emergency Event Reporting can be
found in Section 15 of these guidelines.

4 Scope
Emergency Action Plans for referable dams are intended to manage the consequences that
dam failure or downstream release hazards can have on the safety of communities impacted
by such occurrences.

Amendments to the Water Supply (Safety and Reliability) Act 2008 (the Act) which
commenced in November 2012 have changed the requirements for Emergency Action Plans
(EAPs) for referable dams.

These changes formed part of state government responses to recommendations made by

the Queensland Floods Commission of Inquiry 2012.

The primary purpose of this provisional guideline is to provide dam owners with necessary
information to prepare an EAP that meets the legislative requirements now applying to EAPs.
This provisional guideline will be subject to comment by key stakeholders and review prior to
final approval.

Currently, there are more than 107 referable dams in Queensland. These dams fulfil an
important role in our society including domestic and industrial water supply, irrigation,

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hydroelectric power generation, process water management, flood control, sediment and
water control and recreation.

This provisional guideline will supersede and replace section 9 of the previously approved
version of the Queensland Dam Safety Management Guidelines on Emergency Action
Planning.

The overall process of developing and approving Emergency Action Plans for referable dams
is shown in Figure 1.

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Figure 1: EAP Development and Approval Flow Chart
Dam Owner

Prepare Consult with Revise EAP Submit to the Revise EAP after the Submit the EAP to Keep a copy of
Prepare a
draft EAP relevant after the chairperson of relevant DMG review the Chief the approved EAP
new EAP
Refer parties having consultation the relevant and may prepare a Executive, DEWS and distribute to

major changes
section 9 role in the EAP process DMG for response report if for approval relevant parties
review review report is Refer section 11 Refer section 11
received from the

Repeat if
DMG
Management Group
Chairperson

Provide advice to Chairperson may

Disaster

the dam owner review and prepare a

Refer section 8.2 review report within 10
days of receiving EAP
Refer section 9.11

No
Chief Executive DEWS

Chief Executive, Chief Executive,

DEWS assess Approve DEWS gives notice
EAP to dam owner
Refer section 11 Yes Refer section 11

Gives approval notice to dam owner

Provides an approved copy to Chief Executive,
EMQ
Updates register of EAPs
Publishes the EAP on the DEWS website
Refer section 11

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5 Disclaimer
Users of this provisional guideline should note that the wording of this provisional guideline is
not intended to be relied upon as an exact statement of the requirements of the legislation
and users should refer to the relevant Act when considering the legislative requirements.

Notwithstanding anything in this provisional guideline that might be interpreted to the

contrary, the provisions of the relevant Act hold force.

No responsibility is accepted for actions taken or any losses sustained based on reliance on
an interpretation of this provisional guideline to the exclusion of the relevant legislative
provisions.

In particular, dam owner and their agents must take their own legal advice as to whether their
actions meet the requirements of the legislation and community expectations.

Emergency Action Planning should be viewed as an ongoing continued improvement

process that incorporates detailed disaster risk management principles and aligns with local
government disaster management plans.

6 Rationale for Emergency Action Plans (EAPs)

The community impact of floods affected by dams, including dam-break floods, can be
greatly reduced if communities have recognised the risk beforehand and put in place
emergency plans and other appropriate measures.

In order to protect life, property, infrastructure and the environment from such floods, it is
necessary to have:

an alert, informed and prepared community whose members understand the hazards and
risks associated with the flooding which could occur,
programs to reduce the risk arising from the operation of referable dams and from
emergencies which involve such dams,
a clear definition of those responsible for emergency management and dam safety,
cooperation between emergency management agencies, dam owners, the community
and dam safety regulators,
a coordinated approach to the use of resources, and
arrangements to enable communities to recover from flood emergencies which involve
referable dams.

As indicated in Manual 23 of the Australian Emergency Management Series (EMA, 2001),

there has been a tendency in Australia for emergency action planning for dams to occur
somewhat separately from general community emergency management planning.

Emergency planning takes place at two levels:

to prescribe activities at the dam - known as the EAP which is prepared and operated by
the dam owner, and
to prescribe activities below or beyond the dam - known as a disaster management plan,
which is prepared and operated by relevant disaster management group with necessary
input from the dam owner.

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The aim of such planning, by both dam owners and emergency management agencies, is
community protection. The separation of the planning processes has tended to discourage
consultation and therefore to increase risks to communities.

In Queensland, the Act has been amended to require more effective coordination between
the parties to provide more seamless emergency management planning in relation to floods
caused or affected by dams.

The intent of these provisional guidelines is to support Queensland referable dam owners
and emergency personnel in the development and implementation of effective and
appropriate emergency measures for referable dams. The delivery of such services will
enhance the safety, health and well-being of the community and contribute to the
achievement of whole-of-Government priorities.

The standards used for design, construction, operation, maintenance and inspection of dams
are intended to minimise the risk of dam failure. However, the failure of dams can have
significant consequences ranging from economic loss and damage to property and the
environment through to major loss of life or injury.

This is particularly so for referable dams which are regulated under the Water Supply
(Safety and Reliability) Act 2008 (the Act). Referable dams are dams which would put two or
more persons at risk if it were to fail. A failure impact assessment is used to determine
whether a dam is referable or not.

Recommendation 17.31 of the Final Report of the Queensland Floods Commission of Inquiry
(QFCoI, 2012) was that the Queensland Government should legislate to oblige each owner
of a referable dam to have an emergency action plan (EAP) approved by the appropriate
Queensland Government agency. Such plans should be reviewed periodically.

In addition to dam emergencies that may occur, people and property downstream of dams
may be affected by releases or outflows from dams during normal flood operation of dams.

Recommendation 4.16 of the Interim Report of the Queensland Floods Commission of

Inquiry (QFCoI, 2011) was that dam operators should plan to contact people identified in
their emergency action plans about dam outflow in sufficient time for them to be able to
respond to the information. In cases where there may be insufficient time to notify affected
people through existing emergency management systems (e.g. through Emergency
Management Queenslands Emergency Alert process or via the media), due to the close
proximity of these people to the dam, the dam owner may need to notify them directly.

The Act has now been amended to contain the requirement for all referable dams to have an
EAP approved by the chief executive (of the Department of Energy and Water Supply).
Previously the requirement for an EAP was detailed in a Dam Safety Condition applied to the
dam.

If circumstances occur which could result in major flood releases or even dam failure, dam
owners need to be able to identify such conditions and react appropriately to minimise the
consequences of such event by providing appropriate notifications.

The main function of an EAP is to specify what the dam owner will do in an emergency in
order to:

(a) provide timely notification to people who are or may be at immediate risk during an
emergency event so that they can take appropriate measures for their own safety;

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 (b) provides timely warning to appropriate emergency management agencies for their
implementation of protection measures for downstream communities; and
(c) monitor and operate the dam to mitigate the consequences of the emergency event
The emergency actions that may be considered reasonable and necessary to be provided for
and undertaken, will depend on the particular circumstances of the dam - including the
consequences and the probability of occurrence ie. it is a risk management exercise.

An EAP should indicate who is responsible for undertaking particular actions under
emergency circumstances and must be tailored to the conditions at each dam. EAPs should
identify the downstream limit for people who will be notified by the dam owner and
communication processes for the dam owner to notify such people directly.

There are various trigger events to activate EAP1. Examples of such trigger events might
be:

spillway discharge rates which are likely to submerge dwellings, locally significant roads
or crossing,
exceedence of the maximum dam lake levels on record,
dam lake levels that may be rising much more rapidly than is usually experienced.
the discovery of problems developing in dam embankments (or ancillary parts of the dam)
which might lead to dam failure.

Further examples of probable EAP triggers are given in Appendix 1 of these guidelines.

7 The requirement for an EAP

Under the Water Supply (Safety and Reliability) Act 2008 (the Act), the owner of a referable
dam must have an approved emergency action plan (EAP) for the dam.

The requirements for the owners of referable dams to prepare and implement EAPs for their
dams are contained in Chapter 4 of the Act.

Table 1: Timetable for the dam owner to submit an EAP to Chief Executive DEWS for approval

Cases EAP Submission Timing Act Comments

Section
number

Existing referable dam Before 1 October 2013 645 Refer section 11.7

Referable dam under within 3 months after the 352F Refer section 9.10
construction construction is finished

if the chief executive gives the

owner of the dam a notice requiring
the EAP before the construction is
finishedwithin the period of at
least 30 business days stated in the
notice

1
Note that activation of an EAP may not trigger a requirement to submit an Emergency Event Report.
Refer to section 15 of these guidelines.

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Cases EAP Submission Timing Act Comments
Section
number

Existing non 4 months after the acceptance of 352F Refer section 9.10
referable dam which FIA
becomes referable
through the
acceptance of FIA

Review by chief within 30 business days as stated in 352O Refer section 12.2
executive and the notice by the Chief Executive
direction to prepare
and submit a new
EAP

Renewal of EAP 1 month before the end of the 352S Refer section 7.2
approval period for the EAP.

7.1 Requirement to prepare EAP

There are several ways the requirement for an EAP can be triggered under the provisions of
the Act. These provisions require the owner of a referable dam to prepare an EAP for the
dam and give it to the chief executive for approval.

(a) for referable dams under construction

If construction of the dam is not finished when the chief executive accepts a failure
impact assessment for the dam making the dam referable:

(i) the EAP is required within 3 months after the construction is finished; or

(ii) if the chief executive gives the owner of the dam a notice requiring the EAP before
the construction is finishedwithin the period of at least 30 business days stated in
the notice.

(b) for existing non-referable dams which become referable through acceptance of Failure
Impact Assessments

Section 352F(b) of the Act applies if construction of the dam has finished when the chief
executive accepts a failure impact assessment for the dam. Under this provision, the
EAP is required within 4 months after the chief executive accepts the failure impact
assessment.

(c) for existing referable dams

The transitional provisions detailed in section 645 of the Act apply when an existing dam
was referable at the time of commencement (8 November 2012) or was a referable dam
under section 341 of the Act on and after the commencement.

If this is the case, the owner of the dam must, unless the owner has a reasonable
excuse, prepare an EAP for the dam under chapter 4, part 1, division 2A, subdivision 3 of
the Act and give it to the chief executive for approval before 1 October 2013.

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It is likely that the first EAP approved for each dam under these provisions will be approved
for a shorter period than five years, as the process of improving the quality and effectiveness
of these plans may take a number of iterations of development and approval.

7.2 Requirement to update EAPs

After being approved, plans will need to be reviewed and resubmitted for approval at least
one month before the Approval Period expires. While the approval period may be up to five
years, it cannot be more than five years.

There is also a legislative requirement for dam owners to review the EAPs for their dams by
1 October each year. This aspect is dealt with in more detail in Section 12 of this provisional
guideline.

8 The Roles of the Parties Involved in Emergency

Planning for Dam
8.1 Dam owners role
The responsibility for the safety of a dam rests with the dam owner who will have a duty of
care to those who could be affected by failure of the dam. Dam owners may be liable for loss
and damage caused by the failure of a dam or the escape of water from a dam. Dam owners
need to be able to identify conditions which could lead to significant consequences and
undertake actions to minimise those consequences of dam failure.

A dam owner should:

Consult with relevant disaster management groups to determine the most appropriate
measures to be undertaken to respond to emergency conditions
Develop and maintain the EAP in accordance with the provisions of the Act.
Determine in association with the relevant disaster management group the area of
potential inundation or other impact from dam failure for use within the disaster
management plan
Establish and maintain a communication plan for the timely notification of affected
persons during impending and actual emergencies or significant changes in releases or
outflows from dams during floods.
Provide the relevant disaster management group with details of emergency response
actions at the dam (for example, downstream release hazards and dam failure hazards)
and estimates of their downstream impacts.
Keep a copy of the approved EAP for the dam.
Ensure the EAP is functional and staff are familiar with the EAP.
Ensure the current approved version of the EAP is available to all who have a functional
role in the EAP. This may require the EAP to be issued as a controlled document to all
such persons.
Ensure that in all emergency events, the dam owner responds in accordance with the
approved EAP

Note that the dam owner does not have the power to order evacuation of PAR. All dam
owners can do is to notify people of the risks.

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8.2 The role of relevant Disaster Management Groups
The Relevant Disaster Management Group is defined in the Act as:

(a) if only 1 local disaster area could potentially be affected by an emergency condition
identified in the planthe local group for the area (a relevant local group); or

(b) otherwise the district group (a relevant district group) for the disaster district that
could potentially be affected by an emergency condition identified in the plan.

It is intended that the group will work with dam owners to determine how the hazards
presented by referable dams can be best incorporated into the disaster management
framework and how the EAP can be made consistent with local disaster management plans.

It is also up to the relevant disaster management group to decide whether referable dam
owners are invited to attend relevant meetings and if and how they are to participate in
operational activities.

It is recommended that the disaster management group provides support to the dam owner if
needed during preparedness and community awareness training and actions during
emergency events.

It is up to the chairperson of the relevant disaster management group to decide whether to

provide a review report on a dam owners EAP to assess its consistency with the disaster
management plan for the group

8.3 The role of the Dam Safety Regulator

In relation to EAPs, the role of the chief executive or his/her delegate is to:

Develop guidelines to assist the development of EAPs in association with dam owners
and emergency planners
Decide whether an EAP is required for a referable dam before the construction of the
dam is finished
Decide whether or not to approve new or amended EAPs and decide how long the
approval is to apply and to issue the appropriate notices to dam owners
Give a copy of the approved plan to the emergency management chief executive
Maintain a register of approved EAPs
Decide as necessary whether a dam owner is required to review an EAP and issue the
appropriate notices to dam owners.

9 Developing an EAP for a Referable Dam

9.1 Magnitude and Complexity of EAP
An EAP for a small referable dam having a few PAR should be nowhere near as complex as
one for a major dam presenting an extreme hazard to major downstream urban communities.

A dam having known deficiencies might not necessarily need a more complex EAP. It may
just require more intense monitoring and a greater degree of readiness to implement etc.

- 15 -
9.2 Process for developing an EAP
When developing an EAP, the following steps should be taken by, or on behalf of, the dam
owner:

Determine and identify those emergency conditions for the dam, including those that
could forewarn of an emergency or of significant changes in releases or outflows from
dams during floods and specify the actions to be taken and by whom under what
circumstances
Identify areas that would be potentially impacted by emergency events.
In consultation with the relevant disaster management group for the potentially impacted
area, identify all jurisdictions, agencies and individuals who should be considered or
consulted in the preparation of the EAP (for example, EMQ Area Director, local
governments, the Queensland Police Service and downstream residents)
Bearing in mind the period specified for consideration and response to a draft plan by the
relevant disaster management group in Section 352G of the Act, early consultation by, or
on behalf of, the dam owner with all relevant stakeholders is essential.
Identify response actions to be taken by dam personnel in response to potential
emergencies or significant changes in releases or outflows from dams during floods
Identify any necessary resources, special tools, equipment, keys and indicate where they
can be located if required in an emergency
List and prioritise all persons and entities (including contact details) involved in the
notification process and the roles and responsibilities assigned to them (for example, a
flow chart may be used)
Identify primary and secondary communication systems, both internal (between persons
at the dam) and external (between dam personnel and outside entities or persons) (refer
to other relevant sections of these provisional guidelines)
Develop a draft of the EAP
Consult with all parties (including emergency management agencies) included in the
notification list, to review the draft EAP
Make any necessary revisions as a result of consultation process
Submit to chairperson of relevant disaster management groups for review (refer to
Section 9.11 of these provisional guidelines)
Make any revisions the dam owner considers necessary to the EAP as a result of this
review process and/or prepare a response report to the chairpersons review report.
Give the EAP and associated reviews and responses to chief executive for consideration
(refer to Section 10 of these provisional guidelines)
If approved, disseminate the EAP to those who have responsibilities under the EAP (refer
to Section 11.6 of these provisional guidelines).
Test and revise the EAP at regular intervals (refer to Section 12 of these provisional
guidelines).

9.3 Events to be considered in EAPs

Emergency Actions Plans (EAPs) need to identify and determine dam owner responses to
emergency conditions for the dam. An emergency condition for a dam is defined in the Act
as:

(a) a dam failure hazard; or

(b) a downstream release hazard; or
(c) a circumstance that potentially indicates an increase in the likelihood of a dam failure
hazard or downstream release hazard happening.

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The inclusion of (c) above means that the hazard does not need to fully develop before an
emergency condition is considered to have occurred. The example cited in the Act is an
unusual amount of seepage from the dam. Such an event might lead to the activation of the
EAP if it was to become serious enough that a dam failure hazard could reasonably be
expected to occur.

Generally the consequences of dam failure can be grouped into two basic types

Those that occur as a result of elevated lake levels during floods

Those that occur without other flooding (generally known as Sunny Day floods)

The consequences of dam failure will be very dependent on the magnitude and the timing of
any breach and associated releases. The time in particular for flood waves or releases to
potential impact areas will be critical in determining the relative practicality of options to
mitigate impacts.

Downstream dam failure and release hazards include:

risks to persons and isolation resulting from flood waves and flooding, as well as
damage to infrastructure and property, and
scouring and slumping of watercourses.

The example given in the Act of a downstream release hazard is the flooding of downstream
properties and transport infrastructure caused by a release of water. The intent is that this
definition captures only those spillway or other releases which cause substantial enough
downstream flow to make it appropriate to notify local authorities and persons who might be
affected. The identification of downstream release hazards needs to be undertaken in
association with relevant disaster management groups.

Further examples of dam failure hazards and downstream release hazards can be found in
Appendix 1.

The range of emergency conditions to be considered for inclusion in an EAP will be very
dependent on the type of dam and the consequences of each failure mode. E.g. if there is no
PAR for sunny day failures, such failures may not need to be included in the EAP.

9.4 Content and Format of EAPs

EAPs need to well laid out and easily understood and accessible by those who have
functions under the EAP2. As such, they need to be readily available in hard copy formats
during emergency events and users should not rely on them being able to access them by
digital or other electronic means. Measures also need to be in place to ensure that only the
currently approved version of the EAP is applied during any emergency event.

The content of an EAP will be dependent on:

the range of emergency conditions that need to be considered;

the magnitude and extent of the potential consequences of those emergency conditions;
the measures that could be taken at the dam to reduce the risk of those emergency
conditions developing; and

2
Care needs to be taken that the distribution of EAPs is controlled to ensure that only up to date
versions are used during any event. Too wider distribution may make this difficult to achieve.

- 17 -
 the communication that is needed with persons whose safety or property may be
threatened by emergency conditions.

The Act specifies the minimum requirements for the content of an EAP. Under section
352H(1) of the Act, an EAP must

(a) identify each emergency condition for the dam; and

(b) for each emergency condition
(i) identify the area likely to be affected by an emergency event that may happen
because of the emergency condition, including, for example, by attaching to the
plan maps showing areas expected to be flooded; and
(ii) state when and how the owner of the dam must notify the relevant entities of the
emergency condition, if it happens, including the order of priority in which the
relevant entities are to be notified; and
(iii) state the actions the owner of the dam must take in response to the emergency
condition, if it happens; and
(c) if the owner of the dam has been given a disaster management review report for the
plan under section 352G(3) be accompanied by the report; and
(d) include any other relevant matter prescribed under a regulation3.

The recommended Table of Contents for an EAP is as follows:

1. Distribution control sheet
2. Title page/Cover sheet
3. Table of contents
4. Notification listing or flowchart
5. Basic details of the dam
6. Roles and responsibilities
7. Area map
8. Drawing of the storage catchment area
9. Emergency events and action list
10. Dam release hazard and dam failure hazard inundation maps
11. Any other charts, rating tables, considered by the dam owner as necessary
12. Appendices (as required)
Further detail on what is to be included in an EAP is provided in the following sections and A
provides more detail on how it should be laid out in the EAP.

In addition, because an EAP needs to be easily identified, it is strongly recommended that

the EAP is contained in a distinctive hard covered A4 sized folder, colour coded red.

9.5 Flood Mapping Requirements for an EAP

Flood mapping is mapping which defines the extent of flooding during a flood event. It
provides a vital resource in planning for and managing response actions for a downstream
release hazard or dam failure situation and becomes an integral part of an EAP.

3
Note that there is currently (17 June 2013) no regulation in force to detail any other relevant matter.

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The detail and precision required for all mapping will need to be tailored to suit the
circumstances of each individual referable dam. It will depend on the particular
circumstances of the hazard and consequences associated with each emergency condition
at the dam, the concurrent flooding circumstances, and what is a reasonable expectation in
those circumstances.

While it is not expected that the dam owner should generate local authority flood inundation
maps, the dam owners inundation mapping should be consistent with the general flood plain
inundation mapping available to the relevant disaster management group.

It is however expected that dam owners will provide (in consultation with relevant parties)
appropriate inundation mapping for extreme events likely to result from the operation and/or
failure of the dam to at least include those resulting from the Sunny Day failure, and a dam
crest flood with and without dam failure. Where the design of the dam is expected to
withstand a degree of overtopping without dam failure, the dam crest flood should be
replaced by inundation mapping for the dam passing such a flood with and without dam
failure.

The following notes are relevant:

(a) Agreement should be sought with the relevant disaster management group as to:
the necessary extent and accuracy of the required inundation mapping.
(b) The extent of required flood event mapping will depend on the potential consequences of
that emergency event.
Where the number of properties potentially affected and PAR is limited,
detailed flood mapping may not be necessary. It may be sufficient to just
identify where the particular dwellings are and the circumstances in which
they may be affected, in the body of the EAP
Where the numbers of PAR are significant and they are located in. suburbs or
towns which are far enough downstream to be warned by the relevant disaster
management group, individual dwellings may not need to be identified.
However, in such circumstances, more sophisticated methods of broadcasting
alert and community warnings are likely to be necessary.
Further downstream where the consequences of dam failure are mitigated, it
may be possible just to present the impacts as a rise in water levels
Sufficient inundation maps should be provided to differentiate between
different failure modes. For example, on some small dams, a sunny day
failure event might not have any significant consequences and may not need
to be specifically considered in the EAP whereas the incremental effects for a
flood failure emergency condition might have significant consequences
depending on what concurrent flooding is occurring when the event occurs
Flood mapping will normally be only required downstream of the referable
dam. However, where emergency conditions might result in rapid rises in
water levels upstream of the dam, inundation mapping may be required
upstream of the dam.

(c) The quality and accuracy of the required flood event modelling used to determine the
extent of the inundated areas and the accuracy of the associated mapping incorporated
into the EAP should reflect the consequences of the failure of the dam. i.e. the greater
the sensitivity of the consequences to depths of inundation, the greater the accuracy of
the modelling and the associated mapping should be.
Flood inundation maps need to be able to be applied by those having a
function in relation to the EAP and by most of those potentially impacted by

- 19 -
 emergency events. As such they need to be well presented in relatively simple
standardised formats. Ideally these formats should be consistent with
available local flood plain emergency management mapping. Where
appropriate, mapping should be linked into established maps, studies and
information help by the local authority, LDMG agencies and other state
agencies.
Where the terrain is relatively flat, greater precision may be needed to
differentiate PAR from those who may not be at risk;
Where the terrain is steep and greater accuracy may not be needed to
differentiate PAR from those who may not be at risk.
If there is some doubt as to whether people should be included as Population
at Risk (PAR) in an EAP, they should be included in the EAP. Reasonable
conservatism and the precautionary principle should be applied in any
analysis.

(d) The number of emergency event scenarios to be mapped will depend on the potential
consequences of those emergency conditions developing.
Sufficient inundation maps should be provided to differentiate between
different failure modes
The consequences of potential emergency conditions can vary depending on
the type of emergency condition being considered.
Embankment dams will tend to have different dam failure emergency
scenarios to concrete dams.
Downstream release hazards vary depending on what is downstream of the
dam.
It may be possible for one inundation map to cover multiple emergency
conditions. The determining criterion will be the clarity of the information being
presented. Where the consequences of the emergency conditions are similar,
it may even be appropriate to produce one inundation map for multiple
emergency condition scenarios.

9.6 Activation of EAPs

Timely activation of the EAP is critical for an effective response to a developing emergency
condition and preparation for a potential emergency event. The nature of operations under
an EAP will be dependent upon a number of factors including the perceived level of threat
but the key element is to take early action commensurate with that level of threat.

The timeframes involved for the activation of a dam owners EAP will be dependent on
several factors. These include consideration of:

(a) the rate of development of the emergency condition

(b) the time required to provide adequate notification to all stakeholders, and
(c) the time required for those notified to act effectively on the notification.

The levels of activation and the nature of operations for a dam owners EAP should be
consistent with the levels of activation applied by the relevant disaster management group.
They should be activated using an escalation model based on the following levels:

Alert A heightened level of vigilance due to the possibility of an event occurring. It will tend
to require increased monitoring with the frequency of monitoring being dependent on the rate
of development of the potential failure condition. During the ALERT level of EAP activation,
the need for and frequency of situational reports should be discussed with the relevant

- 20 -
disaster management group. No further action may be required. However, the situation may
need to be monitored by someone capable of assessing the potential of the threat.

Lean forward - An operational state characterised by a heightened level of situational

awareness of a potential disaster event and a state of operational readiness. It will require
increased monitoring with the frequency of monitoring being dependent on the rate of
development of the emergency condition. Situational reports to the relevant disaster
management group should continue as previously arranged or otherwise requested.
Personnel at dam are on standby; ready to move to the Stand-up level of activation in the
event of an emergency event occurring or to mitigate the consequences of such an event.

Stand up An operational state where resources are mobilised, personnel are activated and
operational activities commenced as part of the EAP activation in response to an emergency
event occurring or the need to mitigate the consequences of such an event occurring. Any
works that may become necessary at the dam site to minimise the risk of dam failure or
minimise the consequences of failure should be undertaken. Situational reports should be
provided to relevant disaster management group and the dam safety regulator according to
agreed timelines. Activation of this level of response will trigger the requirement to provide
emergency event report in accordance with the provision of the Act.

Stand down - Transition from responding to an event back to normal core business and/or
continuance of recovery operations. There is no longer a requirement to respond to the event
and the threat is decreasing.

The movement through this escalation phase may not necessarily be sequential, rather it is
based on flexibility and adaptability to the location and potential consequences of the event.
In general terms, however, movement up the levels of activation towards Stand-up will occur
while the threat is developing and movement down the levels of activation will occur while the
threat is easing.

The four levels of activation with suggested triggers, actions and communications for a range
of potential emergency events are shown in more detail in Appendix 1.

9.7 Implementing an EAP during an event

During an emergency event, the dam owner should respond and operate the referable dam
in accordance with the approved EAP.

During operational periods for the EAP, those relying on the EAP need to be aware they may
be the subject of only one of a number of issues being addressed by the wider overall
Disaster Management system to advise, alert, warn and support the community. It is not
reasonable to expect that an EAP will or should attempt to cover every element and
potentiality of an event and those at risk may need to be aware of what is occurring and
implement their own action plans.

Note that the dam owner should keep records of events during the activation of the EAP.
This should include records of phone calls and other communications to other parties, Such
records can then be referred to when assembling the Emergency Event Report. Refer to
Section 15 for further details of this requirement.

- 21 -
9.8 Notification of affected PAR during Emergency Events4
Time is of the essence for warnings to local residents who are immediately downstream of
the dam, so a short message giving a basic situation report is likely to be preferable. Those
recipients need less specific information than local disaster management groups, who
require fuller briefings on the current situation and any likely developments.

Dam owners are only expected to provide information as to timing and volume of dam
outflows. Predictions as to river heights or inundation areas are the responsibility of others
within the disaster management framework. It is the responsibility of residents close to the
dam to apprise themselves of how certain outflows will affect their property.

Different floods call for different frequency of communication. A slow rising flood may require
less frequent provision of information, while a rapid rise in flows may require very regular
communication. It would be appropriate for emergency action plans to contain guidelines to
staff at dams about the frequency of warnings that will be appropriate in different situations.
One way of doing that might be to link frequency of warning with rate of rise of the lake level.

It needs to be recognised that there is considerable uncertainty in the magnitude of dam

break breaches and the rate at which they can develop. This can have a significant impact
on the magnitude of the resultant discharge from the dam and may significantly vary the
number of people who have to be warned during any actual event. Care therefore may need
to be given as to how warning messages are prepared and given to those at risk to ensure
that those at risk understand the warnings for the event that is occurring.

The further downstream the PAR is from the dam, it is expected that they will be warned
through other less direct means than personal contact.

As indicated in Section 9.3 of these provisional guidelines, the Act requires the EAP, for each
emergency condition, to state when and how the owner of the dam must notify the relevant
entities of the emergency condition, if it happens, including the order of priority in which the
relevant entities are to be notified.

Special notification procedures will generally be required in these instances. This involves:

Development of range of scenarios for areas immediately downstream of the dam which
may be affected by significant releases or outflows (or changes of releases or outflows)
from the dam during floods.
Scenarios are to consider likely nature and timing of releases or outflows during
emergency events
The dam owner and the relevant disaster management group should develop an agreed
understanding of their respective roles in a flood event and the type and frequency of
information the dam owner will provide to the relevant disaster management group and
residents at risk from the emergency condition. This is of critical importance to help
ensure residents are notified in a timely manner and that they know from whom, and how,
to access information other than flow e.g. evacuation routes, flood height information.
The notification process should be agreed between the dam owner and relevant disaster
management group and will generally consist of the following:

4
Note that emergency events also include downstream release hazard outflows from dams (including
releases over spillways, through spillway gates or by other means) during the course of a flood where
the discharges will aggravate or cause impact on persons or property. Downstream release hazards
need to be identified in association with relevant disaster management groups.

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 o Agreed responsibilities between relevant disaster management groups or dam
owners for notifications/warnings to those at risk from the emergency
condition.
o Agreed frequency and circumstances in which warnings are issued
o Agreed warning content for each circumstance.
o Where large urban or suburban inundated areas are inundated that cannot be
reliably notified otherwise, annual review of people in need of additional
warnings separate to those available through the emergency management
system, with notification process to comprise:
Annual public invitation for residents identified through scenario
process to be included in dam owner notification lists. Where the only
persons or property at risk are those on the property where the dam is
located, it is not necessary to undertake a public invitation process.
Applications only accepted from residents in areas where there is
insufficient time for normal emergency management system
notification processes to operate.
Applicants to indicate preferred communication channels for
notification.
If the dam owner considers it is necessary to personally contact a
particular person, agree with him or her, a mode for that
communication.
Where appropriate notifications should be pre- prepared in association with the relevant
disaster management group and issued using currently approved Disaster Management
standards i.e. Standard Emergency Warning Signal, Emergency Alert etc.
Dam owner to provide to any person on the notification list, on request, an explanation of
the arrangements as to the type and frequency of communications required by the EAP.
The definition of who may be covered by the term immediately downstream from the
dam is a matter that requires negotiation and resolution by the dam owner and the
relevant disaster management group. However, as an indicative example, the Emergency
Management Australia (Manual 23) Emergency Management Planning for Floods
Affected by Dams, page 18 notes:
Warning time for evacuation needs to be considered in time blocks of not less than
one hour to ensure that action plans can be realistically implemented.
Given this comment, it may be reasonable for the dam owner and the relevant disaster
management group to consider a distance of one hours flood wave travel time for any
resultant flood downstream from the dam as the cut-off for notification by dam owners.
However, resolution of this timeline will depend on careful consideration of the controlling
criteria set out earlier:
o the rate of development of the emergency condition,
o the time required to provide adequate notification to all stakeholders, and
o the time required for those notified to act effectively on the notification.

For an emergency condition under an EAP, relevant entities who need to be notified include
the following

(a) the relevant disaster management groups for the plan;

(b) the persons whose safety or property may be threatened by the emergency condition;
Examples of such persons might include
(c) the occupiers of parcels of farm land adjacent to the dam
(d) the residents of a township
(e) each local government whose local government area may be affected by the
emergency condition;
(f) the chief executive of DEWS;

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 (g) any other entity the owner of the dam considers appropriate to notify of the condition.
(such as the Queensland Police Service)
The priority of the notification of each entity may vary with each emergency condition and
should be discussed with the relevant disaster management groups.

The Queensland Floods Commission of Inquiry made a number of relevant

recommendations in its Interim Report (QFCoI, 2011) about the notification of people at risk
from emergency conditions. These included recommendations 4.16, 4.17, 4.18, 4.20, 4.22,
4.23 and 4.24. How they might be implemented in dam owners EAP is discussed further in
Appendix 3 of these provisional guidelines.

A key issue that needs to be resolved in consultation with the relevant disaster management
group is who takes on the role of notifying those nearest to the dam? The following notes
are relevant:

(a) The aim of notifications is to maximise the available warning time

(b) It is most important to notify those with least warning time first
(c) The choice of the most appropriate notification agency might depend on the responses to
the following questions:
What existing notification processes/systems exist?
How effective are they likely to be for dam emergency conditions?
Who would those at risk normally look to for the provision of flood warnings?
What is the incremental impact of the emergency condition at the dam?
Who is best positioned to issue such warnings and whether there is sufficient
time for normal emergency management system warning processes to
operate.
Will it depend on the timing that the notification might have to be issued?
How reliably can notifications be issued?
What warning time is likely to be available for the emergency condition?

(d) Because it may take time to mobilise the relevant disaster management group, the dam
owner is required to notify those immediately at risk downstream of the dam. As
discussed above, the limits as to who notifies whom further downstream will need to be
decided on a case by case basis.
(e) In order to maximise preparedness it will usually be highly desirable to issue Alert
notifications to make those at risk aware there may be a problem and for them to prepare

Consideration should be given in association with the relevant disaster management group
as to how those messages should be given.

The mode of issuing EAP messages should be appropriate to ensure maximum coverage in
the impacted areas, Depending on the location and extent of the impacted area and the
number of notifications that may need to be issued; the issuing of notifications should always
consider a combination of the effectiveness of:

(a) word of mouth or personal visits

(b) personalised phone or SMS contacts
(c) local mass communications media
(d) sirens or other direct means of localised warnings

In all likelihood, multiple means of communications may be required in order to maximise the
chance of the notification being received in sufficient time to adequately respond.

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It may be in the dam owners interest to maintain an awareness of developments in
communications which might assist them in fulfilling their responsibilities in this regard.

The frequency and content of notifications will depend on the emergency condition identified
and the way it develops with time. The notification messages should be consistent with the
approved disaster management standards and local disaster management plan. Some
indicative examples are given in the following Table 2:

Table 2: Examples of notification messages during emergency conditions

Potential notifications (as pre-

Emergency Developing flood in the
determined with the relevant
condition LEVEL dam catchment
disaster group)

Significant rainfall in
Perhaps just notifications to
catchment with lake levels
relevant disaster management
ALERT rising towards FSL and a
group alerting them to the
spillway discharge
situation
expected.

Update notifications to those

who received previous
Spillway flows increasing notifications plus notifications to
LEAN FORWARD but as yet are unlikely to those who might be impacted by
impact on downstream PAR increasing spillway discharges.

24hr or more frequent updates

Notifications to all relevant

Example A

entities. Updates to be provided

Spillway discharge
increasing with flows that
STAND-UP
are likely to impact on
downstream PAR
at least every 24 hours but also
when benchmark lake levels or
discharge are being reached
such as:
discharges likely to close critical
roads and other infrastructure.
record flood levels are occurring
in the dam

dam crest is being reached or is

being overtopped

dam failure is initiated

Flood receding with lake

levels dropping back
Issue a final notification advising
STAND-DOWN towards FSL and dam
the end of the emergency event.
releases are unlikely to
impact on others

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 Progressive internal
erosion of the
Emergency embankment or Potential notifications (as pre-
condition foundation to form an determined with the relevant
LEVEL open conduit or pipe with disaster group)
no PAR in immediate
vicinity.

Perhaps just notifications to

New or increased seepage
relevant disaster management
ALERT areas identified in dam
group and chief executive
embankment
alerting them to the situation

Update notifications to those

who received previous
Pipe beginning to form with notifications plus notifications to
LEAN
dirty water and fines flowing those who might be impacted by
FORWARD
from seepage
Example B

a dam failure.

24hr or more frequent updates

Notifications to all relevant

entities. Updates to be provided
at least every 24 hours but also
when benchmark discharges
are being reached such as:
STAND-UP Piping failure developing
discharges likely to close critical
roads and other infrastructure.

dam failure is initiated

Failure occurs and the

reservoir drains or it is
STAND- determined seepage is Issue a final notification advising
DOWN manageable and is not the end of the emergency event.
going to develop into a
failure condition.

9.9 Special provisions for dams having low PAR

No distinction is currently made in the legislation between private owners of small dams (with
limited PAR) and owners of medium to large dams. Owners of all dams are required to
submit their EAP to the relevant disaster management group for comment. In the case of
small dams, early consultation with third parties likely to be directly affected is critical.

While Appendix 2 details the typical requirements for an EAP for a major dam, the
consequences of emergency events for smaller dams with limited PAR will generally be far
less than those for medium to larger dams and this may enable significantly simpler EAPs.

Simplifications might include:

(a) Simpler layout and content of the EAP to suit the hazard;

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(b) Simplified mapping, perhaps in the form of mud maps indicating which dwellings might
be a risk;
(c) Simpler notifications during various levels of activation of EAPs. It may even be
appropriate for some notifications to be verbal;
(d) Reduced number of emergency conditions with perhaps consideration of just:
a single flood failure condition which might just start to impact downstream
PAR
a sunny day failure condition
a single downstream release hazard for say inundation of a downstream road
crossing.

The degree of simplification will depend on the proximity of the dam to the PAR.

EMQ suggest the inclusion of further information on the special provisions for small dams
with limited PAR to allow for appropriate advice to disaster management groups.

9.10 Special provisions for dams under construction

Dams under construction can be particularly vulnerable to failure during flood events and an
EAP should be in place if the consequences of failure of the partially completed structure
would put population at risk.

It is important to cover the range of risks that might evolve during the construction of the dam
and plan accordingly. For instance, the risk of the following additional modes of failure will
vary depending on how much of the dam has been constructed:

(a) Overtopping of the partially constructed works by incoming floods5

(b) Failure of diversion structures such as coffer dams etc.
(c) The failure of temporary protective works leading to more significant failures

Such risks can generally be minimised by careful construction planning. Such planning can
minimise the risks by:

(a) Avoiding construction during the wet season;

(b) Not constructing the dam above elevations where failure would put people at risk until the
wet season is over;
(c) Providing adequate diversion capacity to safely bypass floods through the partially
constructed works;
(d) Preparing the partially constructed dam for potential overtopping by protecting or
reinforcing embankments against overtopping

9.11 Disaster management input and review of plan

All EAPs need to be developed by the referable dam owner in conjunction with the relevant
disaster management group.

Queensland Disaster Management Arrangements require that risk owners (or owners of
assets that may generate a community risk) engage and consult with the disaster
management system. The process for development of an acceptable EAP will be best

5
The risk of overtopping could be exacerbated by blockage of diversion works and spillways by
construction or other debris.

- 27 -
managed by early consultation and engagement with the relevant disaster management
groups.

The Queensland Floods Commission of Inquiry made a number of recommendations in their

Interim Report in August 2011 which affect a dam owners relationship with their relevant
disaster management group and those who would be impacted by releases of water from
referable dams. These recommendations are detailed further in Appendix 3.

Section 352G of the Act requires referable dam owners, before they submit the EAP to the
chief executive for approval, to give a copy of the EAP to the chairperson of the relevant
disaster management group to enable the chairperson to review the plan for consistency with
the relevant disaster management plan.

If the chairperson reviews the EAP, the chairperson must give the owner of the dam a
disaster management review report of the review within 10 business days after receiving the
EAP.

If the chairperson gives the owner of the dam a disaster management review report, the
owner of the dam may prepare a written response and attach it to the report. Under section
352H (Content of plan), when the dam owner gives the EAP to the chief executive for
approval, the plan must be accompanied by chairpersons report.

9.12 Consistency with the Local/District Disaster Management Plan

The dam owners EAP should be consistent with the relevant disaster management groups
disaster management plan for the area impacted by discharges from the dam.

Whilst the relevant disaster management group, for an EAP, is defined in the Act to be:

(a) if only one local disaster area could potentially be affected by an emergency condition
identified in the plan - the local group for the area; or
(b) otherwise - the district group for each disaster district that could potentially be affected by
an emergency condition identified in the plan.
Note: In some circumstances, it may be appropriate and necessary to ensure engagement
with multiple LDMGs and/or DDMGs to ensure consistency with more than one LDMP.

The function of the Chief Executive of the Department of Community Safety in Queensland is
to ensure that disaster management and disaster operations in the State are consistent with
the following:

(i) the State groups strategic policy framework for disaster management for the
State;
(ii) the State disaster management plan;
(iii) any disaster management guidelines;
If an emergency occurs with a dam which will constitute a disaster or if there are to be
significant changes to releases or outflows from the dam during floods which will become
downstream release hazards, the relevant disaster management groups local disaster
management plan (LDMP) will apply and the dam owners EAP should be consistent with this
plan.

The Queensland Police Service will generally make decisions about necessary evacuations
based on advice from relevant authorities. These evacuations will be supported by local
councils, the State Emergency Service and other agencies if specifically requested. The EAP
prepared for each dam should be linked to the Local Disaster Management Plans (LDMPs).

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Dam owners should consult with the relevant disaster management group and the affected
community when preparing their EAPs.

In accordance with section 57 (2) of the DM Act, a LDMP must include provisions for the
following:

(a) The State group's strategic policy framework for disaster management for the State,
and the local government's policies for disaster management;
(b) The roles and responsibilities of entities involved in disaster operations and disaster
management in the area;
(c) The coordination of disaster operations and activities relating to disaster management
performed by the entities mentioned in paragraph (b);
(d) Events that are likely to happen in the area;
(e) Strategies and priorities for disaster management for the area;
(f) The matters stated in the disaster management guidelines as matters to be included
in the plan; (refer to: Queensland Local Disaster Management Guidelines)
(g) Other matters about disaster management in the area the local government considers
appropriate.
Where possible, the terminology used in the dam owners EAP should be consistent with the
terminology used in the relevant LDMP.

10 Preparing for Implementation of EAPs

Dam owners should train their personnel in the use of the EAP and periodically exercise the
implementation of their EAPs to ensure that:

(a) EAPs are kept up to date and effective

(b) EAPs are consistent with the disaster management plan for the relevant disaster
management group
(c) Those involved in the implementation of the EAP are familiar with the EAP and they
are capable of effectively implementing the EAP.
Training and exercises are essential components of disaster preparedness and
should be used by the dam owner and the relevant disaster management group to
enhance capacity and capability, and contribute towards continuous improvement.
Ideally training and awareness sessions should be linked to the all hazards training
Community Education activities in the area.
The conduct of an exercise is one mechanism the group may use to meet this
requirement. Dam owners should develop an exercise program to reinforce training
and maintain their EAP implementation capabilities.
The Queensland Local Disaster Management Guidelines (EMQ, 2012) provide more
information on exercising and testing emergency plans.
(d) Testing
o EAP should be tested periodically by conducting a drill simulating emergency
conditions and downstream release hazard outflows (exercises). Such tests can be
either field or desk top exercises and are used to refresh and train those likely to be
involved if an event occurs.
o Operational staff at dams should participate in exercises to test the preparedness of
the EAP periodically. The frequency and complexity of exercises will depend on:
(a) the magnitude of consequences of emergency events.
(b) the condition of the dam and known deficiencies
(c) the period since the EAP was last activated

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 (d) staff turnover
o Dam owners should also participate in larger scale exercises involving coordination
between the disaster management agencies and other authorities whenever
requested. Such exercises are typically conducted every five years or so.
(e) Updating the EAP
o The EAP must be reviewed before 1 October each year and notice must be provided
to the chief executive stating whether or not the dam owner proposes an amendment
of the EAP because of the review.
o This periodic review of the overall plan should be conducted to assess its workability
and efficiency (that is, timeliness), and to plan for the improvement of weak areas.
o If the owner proposes an amendment a copy of the EAP including the proposed
amendment must be submitted at the same time.
(f) Planning an exercise
EMQ provides an annual program of major exercises across the Queensland where it
works with DDMGs and regional EMQ staff to facilitate large scale and/or more complex
exercises. Dam owners may be provided the opportunity to participate in these
exercises, or may wish to conduct their own exercises. However, it should also be noted
that frequent, smaller exercises can be as effective as conducting one large exercise.
In planning an exercise, the dam owner should consider the following:
What is the need for exercising?
What is the aim of the exercise?
What are the objectives to be achieved as a result of the exercise?
What style of exercise is most appropriate?
What resources will be required to develop, conduct and evaluate the exercise?
(g) Conducting the exercise
The dam owner should consider exercising:
processes within the EAP (e.g. activation, communications, decision making);
disaster management activities (e.g. coordination centre management, resupply,
evacuation);
interactions between the dam owner and the relevant disaster management group;
interactions with the dam owners engineers who can provide technical advice on their
dam
Exercises can be conducted using the following styles:
Discussion exercises (desktop exercises) can be used by participants to think through
scenarios or plans, talk through issues and discuss possible solutions.
Functional exercises are conducted in an operational environment with participants
performing their individual role and functions. They may be used to practice or
evaluate procedures or decision making, or assess interaction of groups, for example
coordination centres with field units.
Field exercises involve the scalable mobilisation of personnel and/or resources to a
simulated incident. They are the most labour and planning intensive, however allow
participants to be tested under a degree of realistic operational stress in a controlled
environment.

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(h) Evaluating the exercise
In determining whether an exercise achieved its original aim, it is important to evaluate
to what extent the exercise objectives were met and how the exercise was conducted
generally.
At the conclusion of an exercise it is also important that debriefs are conducted to
capture issues and areas for improvement. It is recommended that the LDMG consider
the use of hot debriefs, conducted immediately following participants involvement in the
exercise; and a more detailed After Action Review conducted within a few days of the
exercise, to allow participants time to provide a more considered view of the exercise.
When feedback is being collected it is important to consider issues and action items in
two separate categories:
Exercise design and conduct issues and feedback relating to the exercise
format, design and conduct. This feedback will help to inform the design and
conduct of future exercises.
Achievement of exercise objectives the exercise evaluation process should
examine to what extent the exercise objectives were achieved. Any gaps or
issues identified during this process can be reported as findings. Tabling
these findings allows for the development of appropriate treatment options
designed to address identified gaps and issues. Exercise findings and
treatment options should then be captured in a wider Post-Exercise Report.
If amendments are identified as being necessary for the proper functioning of the EAP,
approval of these amendments will need to be sought from the chief executive before
they can be implemented.
Further detail on the planning and implementation of emergency exercises can be found in
the EMA Handbook 3.

11 Approval of EAPs
11.1 Submission of EAP for Approval
EAPs and the associated necessary documentation can be submitted to the chief executive
either by mailing the EAP with the associated documentation to:

Director Dam Safety

Queensland Water Supply Regulator
Department of Energy and Water Supply
PO Box 15456, City East QLD 4002

Or by emailing the same documentation to: EWSWSSSOWSR.Corro@dews.qld.gov.au

Irrespective of this, because the chief executive is required to distribute approved copies of
the EAP to the chief executive of Emergency Management Queensland (EMQ), EAPs should
ideally be submitted at least in a digital format such as MS WORD, or Abobe (pdf), with
preferably at least one hard copy.

If the dam owner does not have the ability to provide it in one of these formats, a hardcopy
paper version should be submitted and the chief executive will scan the document to enable
digital distribution of the document.

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11.2 Approval of new EAPs
Section 352E of the Water Supply (Safety and Reliability) Act 2008 (the Act) requires the
owners of referable dams to have an approved EAP for their dam.

As indicated in Section 9.11 of these provisional guidelines, the Act requires referable dam
owners, before they submit the EAP to the chief executive for approval, to give a copy of the
EAP to the chairperson of the relevant disaster management group to enable the chairperson
to review the plan for consistency with the relevant disaster management plan.

If the chairperson reviews the plan, he or she must complete the review within 10 business
days of receiving the plan and give the dam owner a report (a disaster management review
report) of the review.

In turn, the dam owner may prepare a written response to the chairpersons report and attach
it to the report. Under section 352H of the Act (Content of plan), when the dam owner
submits the EAP to the chief executive for approval, the EAP must be accompanied by
chairpersons report.

The chief executive must consider the EAP given to the chief executive for approval and
decide whether to approve it or refuse to approve it. In making this decision, the chief
executive must have regard to any disaster management review report if provided or disaster
management review response accompanying the plan. The chief executive may also get
advice from the emergency management chief executive or an advisory council.

11.3 Agreement to non-substantive amendment of EAPs

Where the proposed amendments to an existing approved EAP are considered as not being
changes of substance a simpler approval process of amending an EAP by agreement
applies to amended EAPs. This is detailed in section 352Q of the Act. This section might
cover such amendments as:

(a) The correction of minor errors

(b) The amendment of contact details for people to be contacted during emergency
events
(c) Minor variations to procedures which dont affect the overall intent of the procedures
(d) Other similar type of amendments which dont alter the risk profile for people at risk
as a result of emergency events

When submitting such amendments to existing approved EAPs to the chief executive for
approval, dam owners should:

(a) Clearly identify the proposed amendments and detail why the amendments are
needed.
(b) Indicate whether the proposed amendments should be considered as substantive
amendments or whether they should be considered as not changes of substance and
provide reasons for each case.

If the chief executive agrees the amendments are not changes of substance and gives the
owner notice of the agreement, the amended EAP is taken to be the approved EAP for the
dam.

If the chief executive does not agree that the amendment is non-substantive, it is treated as
a substantive amendment to the EAP which is considered under section 352R(2)(c) of the

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Act. Under this provision if the owner proposes to include the amendment in the emergency
action plan, the owner must prepare a new emergency action plan including the amendment
under subdivision 3 and give it to the chief executive.

11.4 Approval of substantive amendment of EAPs

If a referable dam owner proposes a non-substantive amendment to the EAP for the dam
and gives the chief executive a copy of the plan including the proposed amendment and the
chief executive considers the proposed amendment is a change of substance the process
detailed in section 352R of the Act applies.

This effectively involves the chief executive giving the owner of the dam a notice stating that
the proposed amendment is considered a change of substance and providing the reasons
the chief executive considers the proposed amendment is a change of substance. This
notice will also indicate that, if the owner proposes to include the amendment in the EAP, the
owner must prepare a new EAP including the amendment and submit it to the chairperson of
the relevant disaster management groups for review before resubmitting the new EAP to the
chief executive for approval (as detailed in section 11.1 above) .

11.5 Publication of approved EAPs

Because it is essential that all people using an EAP have access to the same EAP, it is
important that they all have access to the current version of the EAP.

Under the provisions of the Act, the chief executive must publish the approved plan in a
register of approved EAPs. This register may be kept in the form, including electronic form,
the chief executive considers appropriate.

The chief executive must also make information in the register available to the public on the
departments website. However, the publicly available part of the register must not include
the name, address and contact details of an individual.

11.6 Who should be provided copies of EAPs

Aside from the copies made available by the chief executive, the owner of a referable dam
must maintain a copy of the approved EAP for the dam and make it provide it to any
individual/entity who is responsible for particular actions under the EAP.

Those who might have a role under the plan might include:

(i) The operators of the dam

(ii) The relevant disaster management groups
(iii) Relevant local governments
Those who might be required to be personally notified of an emergency condition might
include those immediately downstream from the dam who need to be warned by the dam
owner

It is expected that most members of the general public downstream of referable dams will be
able to access the current version of the EAP with personal information redacted from the
DEWS website.

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11.7 Transitional arrangements for existing Referable Dams
Chapter 10, Part 5, s645 of the Act provides transitional arrangements for EAPs to existing
referable dams.

For owners of existing referable dams, an EAP must be submitted to the chief executive for
approval by 1 October 2013. The Act provisions for emergency event reporting apply from
the date the EAP is approved.

If the owner of a referable dam complies with the obligation to prepare and submit an
emergency action plan under the provisions of the Act, the dam owner will be taken to have
complied with the equivalent plan preparation safety condition for the preparation and
submission of the emergency action plan.

However, until an EAP is formally approved in accordance with the provisions of the Act, the
previous EAP submitted as required by the dam safety condition applied to the referable dam
will continue to apply.

12 Reviewing an existing EAP

EAPs need to be reviewed from time to time to determine whether they need amending to
ensure that they deal effectively with emergency situations that could occur at referable
dams. Such reviews are required to be conducted on a regular basis but can also be either
initiated by the dam owner or the chief executive.

12.1 Review of EAP triggered by dam owner

While the dam owner can review their EAP at any time, the dam owner must, in accordance
with s.352P of the Act, at least review the EAP before 1 October each year. Such reviews should
at least:

(a) update all references to relevant entities in the EAP

(b) update all contact details of relevant entities in the EAP
(c) amend the EAP to address relevant legislative amendments
(d) amend the EAP to address changes to the disaster management plan of the relevant
disaster management group
(e) amend the EAP to address deficiencies identified in the EAP up to that time or to
improve the efficiency and the effectiveness of the EAP.

Once reviewed, the dam owner shall give the chief executive

(i) a notice stating whether or not the owner proposes an amendment of the plan
because of the review; and
(ii) if the owner proposes an amendmenta copy of the plan including the proposed
amendment.
If the owner proposes to amend the EAP, the chief executive will need to decide whether to
approve the amended EAP as detailed in Sections 11.3 and 11.4 of these provisional
guidelines.

12.2 Review of EAP triggered by the chief executive

The chief executive does have the power to direct a referable dam owner to review the EAP
for their dam. The chief executive may do this at any time if it is considered the EAP no

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longer deals effectively with an emergency condition or the chief executive reasonably
considers the content of the EAP has the potential to affect the safe operation of the dam.

This might occur, for instance if an emergency event report recommends a change to the
plan or, say, the chairperson of the relevant disaster management group for the plan advises
that the plan needs amendment to make it consistent with the disaster management plan for
the group.

If the chief executive considers an approved EAP no longer effectively deals with an
emergency condition, the chief executive can give the owner of the dam a notice stating the
reasons the chief executive considers the plan no longer effectively deals with the
emergency condition and the timeline by which a new EAP6, that effectively deals with the
emergency condition must be submitted.

If the dam owner proposes to amend the EAP, the chief executive will need to decide
whether to approve the amended EAP as detailed in Sections 11.3 and 11.4 of these
provisional guidelines.

13 Amending an existing approved EAP

From time to time it may become apparent that an urgent amendment to an EAP is required
for operational effectiveness. When this occurs, it is important that such amendments be
reviewed and, when approved, implemented expeditiously.

Proposed amendments to an existing EAP can be either substantive amendments or not

changes of substance. The mechanisms for the review and approval of such amendments in
covered in Sections 11.3 and 11.4 of this provisional guideline.

The requirement to review an existing approved EAP and submit it to the chief executive at
least month prior to the expiry of the approval period is covered in Section 7.2 of this
guideline.

14 Limitations to adequacy of dam owners EAPs

It is worth mentioning that the latest EAP requirements are primarily targeted at providing
warnings to people who can be reasonably expected to be living and working in premises
downstream of the dam. It is not required to explicitly cover itinerant persons downstream of
a dam although such warnings are highly desirable timing permitting. As such, it may not
necessarily include people, who might unexpectedly be in the area at the time of failure.
Similar provisions might apply to people using a downstream road.

As already indicated, the effectiveness of EAP provisions will be dependent on (amongst

other things) the magnitude and timing of breach, coincident flows, accuracy of terrain
models. While EAPs can be subject to continuous improvement to deal with ever changing
local circumstances etc, they can never be expected it to be perfect.

As already indicated, Emergency Action Planning should be viewed as an ongoing continued

improvement process that incorporates detailed disaster risk management principles and
aligns with Local Disaster Management Plans (LDMPs).

6
The timeline that the dam owner must submit the EAP will be stated on the notice but must be a
period of at least 30 business days

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15 Emergency event reporting
EAP should be activated with various degree of emergency actions for alert, lean forward,
stand up, stand down levels of the emergency. The requirement for the dam owner to submit
an emergency event report is triggered at the stand up level.

Emergency event reports provide important feedback to the chief executive about the
adequacy and effectiveness of operations during such events. Under the Act, the
requirement for an emergency event report is triggered whenever an emergency an event
relating to a referable dam happens. The stand-up level of the EAP is activated when the
emergency event happens.

The Act requires an emergency event report to be prepared by dam owners and submitted to
the chief executive within 30 business days after the end of an event. An emergency event
ends:

(a) if the event is a dam failure hazard that has happenedwhen the owner of the dam
reasonably considers the hazard no longer poses a risk to the dam and Stand down
is activated; or
(b) if the event is a downstream release hazard that has happenedwhen the owner of
the dam reasonably considers the hazard no longer poses a risk to the safety of
persons or property.

Dam owners can request an extension to this period if they considers it impracticable to
deliver the emergency event report within the 30 business day period. In such a case, the
dam owner must submit to the chief executive a request seeking an extension of time for
submission of the emergency event report, and, if the chief executive agrees to that request,
then the emergency event report must be submitted to the chief executive within such time
period as advised by the chief executive.

For prolonged events which the chief executive considers likely to continue for at least 1
month, the chief executive may give the dam owner a notice requiring the dam owner to
provide the chief executive an emergency event interim report.

The provisions of the Act require such emergency event reports to:

(a) describe the emergency event to which the report relates; and
(b) describe the implementation of the approved emergency action plan for the dam in
relation to the emergency event, including relevant details of
(i) communications made and actions taken in response to the emergency event;
and
(ii) monitoring of the dam and the area affected or potentially affected by the
emergency event; and
(c) describe any damage to the dam, including by reference to photographs of the
damage; and
(d) state whether and to what extent any damage to the dam has been caused or
contributed to by the emergency event; and
(e) include an assessment of whether and to what extent the approved emergency action
plan effectively dealt with the emergency event; and
(f) recommend any changes to the approved emergency action plan that would allow the
plan to deal with a similar emergency event more effectively; and
(g) include details of any other matter that is relevant to the emergency event or how it
was dealt with under the emergency action plan; and
(h) include any other relevant matter prescribed under a regulation.

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Dam owners have the responsibility for implementing the recommendations contained in the
emergency event report. Comprehensive inspections, and audits undertaken by the
regulator, will be used by the Dam Safety Regulator to evaluate the dam owners response to
emergency event reports.

Where the chief executive agrees, the dam owner can submit an emergency event report
covering 2 or more emergency events. This might typically be considered where, for
instance, where one emergency event has been caused or contributed to another emergency
event or the 2 emergency events that happen at the same time.

16 References and further reading

1. QFCoI, 2012: Queensland Floods Commission of Inquiry, Final Report, March 2012
2. QFCoI, 2011: Queensland Floods Commission of Inquiry, Interim Report, August
2011
3. EMQ Queensland Local Disaster Management Guidelines, Emergency Management
Queensland, September 2012.
4. EMA, 2009, Emergency Management Planning for Floods Affected by Dams, Manual
23 of Australian Emergency Manual Series
5. Water Supply (Safety and Reliability) Act 2008 Water Supply (Safety and Reliability)
Act 2008
6. Queensland Dam Safety Management Guidelines

Appendix 1: Modes of dam failure and probable

emergency response
This list of dam failure mechanisms and the associated EAP responses is not to be
considered complete or exhaustive. It is primarily intended as a guide to the type of response
that may be required in order to minimise the risk of dam safety incidents developing to dam
failure and the uncontrolled release of the dam contents.

The dam owners response may vary depending on the particular circumstances of the dam,
the type of dam, the proximity of the PAR and the consequences of failure. For instance, the
closer the PAR is to the dam, the earlier the issuing of warnings may have to be.

The following levels of EAP activation are consistent with the Queensland Disaster
Management Arrangements.

Alert A heightened level of vigilance due to the possibility of an event occurring. It will tend
to require increased monitoring with the frequency of monitoring being dependent on the rate
of development of the potential failure condition. While an ALERT level of activation may not
trigger Situational Reports, this should be discussed with the relevant disaster management
group. No further action may be required, however the situation should be monitored by
someone capable of assessing the potential of the threat. Moving to an Alert level indicates
the dam owner is getting ready to activate the lean forward level of the EAP if the situation
deteriorates.

Lean forward - An operational state characterised by a heightened level of situational

awareness of an impending disaster event and a state of operational readiness. Disaster
coordination centres are on stand by and prepared but not activated. Situational reports to
the relevant disaster management group should begin as arranged.

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Stand up An operational state where resources are mobilised, personnel are activated and
operational activities commenced. Disaster coordination centres are activated. Situational
reports to the relevant disaster management group should continue according to agreed
timelines. The dam owner needs to provide emergency event report in accordance with the
provision of the Act.

Stand down - Transition from responding to an event back to normal core business and/or
continuance of recovery operations. There is no longer a requirement to respond to the event
and the threat is no longer present.

The movement of dam owners through these levels of activation is not necessarily
sequential. It should be applied with flexibility and adaptability and be tailored to the location
and event.

Triggering of one of these levels of activation may not necessarily mean a similar activation
of relevant disaster management groups. However, the provision of information to relevant
group members regarding the risks associated with a pending hazard impact should still
occur.

Potential Activation General When and what to check

Problem level see 9.5 characteristics

Flooding Issues

Flooding Alert Storage full and water During periods of excessive

level rising rainfallundertake visual
inspection and monitoring of
any instrumentation and
check water levels and rates
of rise of water level

Lean Spillway discharging Continue monitoring and

Forward inspections

Stand-up Downstream release Continue monitoring and

hazard flows inspections.
anticipated OR
Undertake remedial works if
Highest recorded safe to do so.
flood levels in dam
anticipated or
occurring OR

Overtopping imminent
or high risk of failure
initiating

Stand-down Lake levels dropping Prepare EER. Check for

to FSL damage and undertake
special inspection and
remedial works as necessary.

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 Potential Activation General When and what to check
Problem level see 9.5 characteristics

Scouring of or Alert Significant Monitor extent of scour or

severe damage to scouring/damage damage and take steps to
spillway identified not yet remediate problem if
endangering the dam practical.

Lean Significant Monitor extent of scour or

Forward erosion/damage damage and take steps to
identified which could remediate problem if
progress to failure of practical.
the dam

Stand-up Scouring progressing Monitor extent of scour or

to state where the damage and upgrade efforts
safety of the dam is to remediate problem if
significantly impaired practical

Stand-down Risk of dam failure Prepare EER. Routine dam

diminished to safety inspections
tolerable levels

Embankment Scouring Issues

Wave scour Alert Identification of Inspect affected area of

on crest due scouring or gullying of embankment to watch for
to wind and embankment notching signs of scouring
wave action of the upstream face progressing.
of embankments by
Embankment waves Undertake remedial action if
toe or practical.
abutment
groin scour Lean Cause of scour Continue monitoring.
due to Forward continuing and Upgrade efforts at remedial
spillway or erosion becoming works if practical.
outlet significant.
discharges
Stand-up Scouring progressing Upgrade efforts at remedial
Gullying of to state where the works if practical.
embankment safety of the dam is
due to rainfall significantly impaired Continue monitoring of dam.
or overtopping Issue notifications as
required

Stand-down Cause of erosion Prepare EER. Remedial

abates and risk of works are undertaken to
failure drops significantly mitigate risk.
significantly

Embankment Stability Issues

Signs of Alert Identification during Inspect affected area of

distress in routine inspection of embankment to watch for
initial signs of signs of cracking progressing

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 Potential Activation General When and what to check
Problem level see 9.5 characteristics

embankment embankment distress or deformation increasing.

such as such as cracks or
cracking or scarps near the crest Undertake remedial action if
deformation/ and bulges at the toe. practical.
sliding
Lean Cause of scour Continue monitoring.
Abnormal Forward continuing and Upgrade efforts at remedial
instrumentatio erosion becoming works or load reduction if
n readings significant to the point practical.
where stability may be
Earthquake starting to be
impaired.
Differential
movements of Stand-up Loads on Upgrade efforts at remedial
walls etc. embankment works or the reductions of
increasing or embankment loads if
cracking/ deformation practical.
increasing to state
where the safety of Continue monitoring of dam.
the dam is Issue notifications as
significantly impaired required

Stand-down Remedial works Prepare EER. Remedial

completed and risk of works are undertaken to
failure drops significantly mitigate risk.
significantly

Seepage Related Issues

Seepage Alert Identification of new Look for source of seepage

erosion or areas of seepage of ,,, environmental changes
piping growth in existing such as vegetation damage,
areas of seepage salt scalds, etc.
New springs,
seeps or boggy Lean Detection of signs of Continue monitoring
areas Forward cloudy water in undertake remedial works if
seepage - look for the practical. Reduce lake level if
Increase in source of cloudy possible.
seepage along water
outlet conduit
Stand-up Seepage developing Continue monitoring.
Rapid increases further. Discharge is
or cloudy clouding and
appearance of increasing (piping
seepage failure has started)

Increase in Progressive internal

gallery seepage erosion of the
embankment or
foundation to form an
open conduit or pipe

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 Potential Activation General When and what to check
Problem level see 9.5 characteristics

Stand-down Remedial works Prepare EER. Continue

completed or cause of routing monitoring
seepage removed.

Flow slide Collapse and flow of During routine inspection and

soil around the especially with
storage periphery sedimentary/colluvial soils
look for material
displacement around the
storage rim.

Landslide Mass movement of During routine inspection

soil or rock from look for material
slopes and valley displacement.
walls around the
storage

Movement or Failure of mechanical During routine inspection or

cracking in components such as when mechanical problems
structural pipes, gates etc such as a burst pipe or a
concrete work jammed gate occurlook for
any movement or cracking of
the structural concrete work
to determine the cause.

Failure of Loss of ability to After detecting an operational

appurtenant supply water or anomalyidentify and
structures or discharge floods investigate the cause.
operating safely
equipment such
as abnormal
operations of
gates and valves
or failure of
components of
the dam

Abnormal A sudden change in On detectioncheck for

instrument the values of equipment malfunction and
readings (if instrument readings investigate the cause.
installed)

Others as may be
relevant to the
particular dam

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Appendix 2: Contents of an EAP for major dams
The issues to be included in an EAP should be as follows:

1. Distribution control sheet (which is page 1)

Details of the parties to whom the EAP is issued should be listed on the distribution control
sheet. After approval by the chief executive, it is important that the current EAP is issued by
the dam owner to a number of parties including
dam operator
specific dam personnel with roles in EAP
relevant disaster management group(s)
local governments which may be affected by the emergency or significant changes in
releases or outflows from dams during floods.
Note that the chief executive is responsible for issuing a copy of the approved EAP to the
chief executive of Emergency Management Queensland.

2. Title page/Cover sheet

The coversheet should detail the version of the EAP and the date that it was approved by the
chief executive. If should also detail the approvals from the dam owner or the dam owners
organisation.

3. Table of contents

4. Dam Details
A general description of the dam is required. Such a description should include, amongst
other relevant information:
Description and drawings of general arrangement of dam including storage
capacities, height, length and type of embankments, details and locations of any
saddle dams.
Referable dam category and the PAR for different failure scenarios
Description of spillway adequacy including details of the maximum flood the current
5. Notification listing or flowchart
Two notification listings or flowcharts should be developed - one for emergencies at the dam
and one for significant changes in releases or outflows from the dam during floods.
(Alternative approaches that achieve the same outcome could also be used.) These listings
or flow charts should clearly summarise the following:
Who is responsible for notifying each dam owner representative(s) and/or emergency
management official(s) and others (for example, residents located immediately
downstream of a dam)?
What is the prioritised order in which individuals are to be notified?
Who is to be notified?
As the persons to be notified of significant changes in releases or outflows from dams during
floods will vary depending on the nature and timing of the release or outflow, various
scenarios may need to be developed, and answers to the above dot points will vary for each
scenario.
A listing or flowchart should include current individual names, position titles, office and home
telephone numbers, alternative contacts and means of communication. Radio frequencies
and call signs should be detailed where applicable.

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The number of persons to be notified by each responsible individual in an EAP should be
governed by what other responsibilities the person has been assigned. It is usually
recommended that any one individual not be responsible for contacting more than three or
four other parties.
The following parties should be considered for inclusion in the notification listing or flowchart:
dam owner
local emergency management officials (such as LDMG) and other organisations
appropriate state emergency management agencies
residents and property owners located immediately downstream of the dam within the
boundary of potential inundation where available warning time is very limited
local governments which may be affected
chief executive (Director Dam Safety, DEWS)
operators of other dams or water retention facilities which may be affected
managers and operators of recreation facilities which may be affected
Bureau of Meteorology.
The decision as to who needs to be contacted will depend on the scale and timing of the
potential impacts.
6. Roles and responsibilities
The responsibilities of the following parties should be specified:
dam owner
dam operator
other dam personnel with a role to play in the EAP (including standby officers where
appropriate).
Specific roles, which should be addressed in terms of responsibilities, include:
EAP activation and stand down
notification of the relevant disaster management group and, where necessary,
dissemination of information to the media and public
warning of the occurrence of an emergency condition (for example, in the case of a
resident located just downstream of the dam, the dam owner may need to warn/notify
that person directly)7
on-site monitoring of the situation at the dam and keeping parties informed of
developing conditions at the dam from time to time
maintaining an incident and communication log including visual inspection of the dam
and the monitoring of instrumentation during the emergency event
other actions (for example, opening of the gates etc where appropriate)
follow-up evaluation after the emergency event
preparing and submitting an emergency event report to Director Dam Safety, DEWS
Preparation and dissemination of information to the media and public needs in
conjunction with the relevant DM group
7. Area map
This map should show all access routes to the storage during fair and adverse weather
conditions, identifying travel times and distances.

7
Decisions as to whether the dam owner or the relevant disaster management group provide
warnings to PAR need to be made in consultation with the relevant disaster management group. Note
that a dam owner does not have the power to require the evacuation of people at risk. That power can
only be exercised by the Queensland Police Service.

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8. Drawing of the storage catchment area
9. Emergency events and action list
Each EAP will need to be tailored to suit the individual referable dam under consideration.
Embankment dams will tend to have different dam failure emergency conditions to concrete
dams. Downstream release emergency conditions to be considered will be very dependent
on the consequences of those releases.
In the event of emergency conditions developing, it may be appropriate for more detailed
inspections to be undertaken by properly qualified and experienced dam engineers. If the
problems are likely to cause failure of the dam and loss of storage, the EAP should be
activated to the stand up level of activation.
Further information on the types of emergency conditions to be considered is provided in
Appendix 1 of these provisional guidelines.
10. Dam release hazard and dam failure hazard inundation information
The detail and precision required for all mapping will depend on the particular circumstances
of hazard or consequences associated with failure or flood operation of the dam, the
concurrent flooding circumstances, and what is a reasonable expectation in those
circumstances.
In general, however:
Refer also to Section 9.5 of these provisional guidelines
Dam failure inundation maps should be developed at a scale sufficient to be used for
identifying downstream premises within the area subject to possible danger.
Inundated areas should be clearly identified for the various dam failure scenarios and
for significant downstream release scenarios.
It may be appropriate to supplement the inundation on the maps with water surface
profiles showing the elevation before failure, the peak water surface elevation after
failure, and the location of structure at critical locations.
A narrative description of the areas affected by the dam can be included to clarify
unusual conditions.
The best available topographic map should be used. The expected inundation
following the assumed failure should be delineated on the map.
The accuracy and limitation of the information supplied on the inundation maps and
how best to use the maps should be described.
Inundation maps should be updated periodically to reflect changes in impacted
downstream areas.
Include any other pertinent information as a result of coordination with the appropriate
emergency management authorities.
11. Any other charts, rating tables, considered by the dam owner as necessary
Other charts and rating tables may include charts developed in the hydrological analysis for
the dam or during spillway design. It should include storage capacity data and spillway rating
information. They should include any material necessary to adequately specify outcomes
from dam operations or operations under the EAP.

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Appendix 3: Compliance with Queensland Floods
commission of Inquiry Interim Report
recommendations
The Queensland Floods Commission of Inquiry made a number of recommendations in their
Interim Report (QFCoI, 2011) which related to Emergency Action Planning for referable
dams and the interaction of dam owners with emergency action planners and those at risk
downstream of their dams.

These recommendations and the comment on how they are to be implemented are detailed
below.

Recommendation 4.15: Each local disaster management group should include in its
meetings a representative of the operator of any dam upstream of its region which
contributes water to flooding.

While this is at the discretion of the relevant disaster management group, attendance is
recommended and should reflect the potential consequences and the likelihood of an
emergency event. For example, where a major town would be inundated threatening many
thousands of PAR, it might be expected that the dam owner might be represented at most
relevant disaster management group meetings. However, where the consequences are lower
such as just a few PAR, it might be appropriate that the dam owner simply make the relevant
disaster management group aware of the consequences of emergency events occurring at
their dam.

Recommendation 4.16: Dam operators should plan to contact people identified by their
emergency action plans about dam outflow in sufficient time for them to be able to respond to
the information.

It needs to be recognised that some emergency events at referable dams can occur very
quickly without much forewarning. In such events the available warning might be very limited.

When dam outflow occurs and has the potential for downstream hazards, warning signs
should be heeded and the opportunity taken to progressively put downstream PAR on Alert
and progressively build up this level of warning as the event develops. Further information on
activation triggers for the EAP is given in Appendix 1 of these provisional guidelines.

Recommendation 4.17: Dam operators should ensure each emergency action plan includes
a clear statement as to the frequency of, and circumstances in which, warnings will be issued
to people listed in the emergency action plan.

The warning messages issued to downstream PAR need to be considered and developed
prior to any emergency event occurring so that they can be easily understood by those at
risk.

The messages should be clear and simple to understand.

Consideration should be given in association with the relevant disaster management group
as to how those messages should be given. Consideration should also be given as to
whether those nearest to the dam should be messaged first to maximise their available
warning time.

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Recommendation 4.18: Dam operators should assess the effectiveness of using SMS and/or
email as a bulk instantaneous communication to all people on the notification list while
individually contacting those whom it is essential to inform immediately.

The mode of issuing EAP messages should be appropriate to ensure maximum coverage in
the impacted areas, Depending on the location and extent of the impacted area, the issuing
of warnings could be by way of:

(a) word of mouth

(b) personalised phone contacts
(c) local mass communications media
(d) sirens or other direct means of localised warnings
(e) a combination of all the above

It is important to note that not all forms of communication are available at all locations.

Recommendation 4.20: The operator of each dam should, upon request, provide to any
person on the notification list in the emergency action plan an explanation of the
arrangements as to the type and frequency of communications required by that plan.

This should be determined in association with the relevant disaster management group.

Recommendation 4.22: Operators should include in their emergency action plan a

description of the type of information that will be provided to those on the notification list.

This should be determined in association with the relevant disaster management group.

Recommendation 4.23: Operators of dams should publicise, in a newspaper circulating in the

local area and by posting a notice on its website every year before the wet season, the
opportunity for local residents immediately downstream of a dam to be included on the
existing notification list, and:

consider whether an applicant for notification is so close to the dam that the warning time
before water from the dam affects them is less than that available through the emergency
management system

consider whether they can be effectively notified by SMS or email

if it is necessary to contact the applicant personally, agree with him or her a mode for that
communication.

This should be determined in association with the relevant disaster management group.

Recommendation 4.24: The operator of any referable dam and the local disaster
management group should develop a common understanding as to their respective roles in a
flood event and the type and frequency of information the dam operator will provide to it and
local residents

This should be determined in association with the relevant disaster management group.

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Draft Appendix for inclusion in Local and District
Disaster Management Guidelines
Following the floods of 2010-11, the Queensland Government established the Queensland
Floods Commission of Inquiry (QFCoI) to inquire into several matters including preparation
and planning for flooding by governments at all levels, and compliance with, and the
suitability of, dam operational procedures for safety and flood mitigation.

The QFCoI Interim Report was released in August 2011 stating in recommendation 4.24,
(T)he operator of any referable dam and the local disaster management group should
develop a common understanding as to their respective roles in a flood event and the type
and frequency of information the dam operator will provide to it and local residents.

The Final Report released in March 2012 further stated in recommendation 17.31, (T)he
Queensland Government should legislate to obligate each owner of a referable dam to have
an emergency action plan approved by the appropriate Queensland Government agency,
and that such plans should be reviewed periodically. This has been reflected in the
amendment to the Water Supply (Safety and Reliability) Act 2008, (the Water Supply Act) in
s352E requirement for approved emergency action plan (EAP).

At s. 352G(a) of the Water Supply Act, the owner of a referable dam must give a copy of the
EAP to the chairperson of the relevant disaster management group who may review the plan
to assess the its consistency with the disaster management plan for the group. If the
chairperson decides to review the EAP, they must give the owner a disaster management
review report within 10 business days after receiving the plan. In cases where a potential
inundation or other impact from dam failure would affect a single local government area, the
relevant disaster management group would be the Local Disaster Management Group
(LDMG). However, in situations where the area affected would cover more than one local
government area, the relevant group would be the District Disaster Management Group
(DDMG). In this case, chairpersons of DDMGs should liaise with the chairpersons of the
potentially affected LDMGs to determine if a review of an EAP is required, and facilitate the
disaster management review report with input from the relevant chairpersons.

Relevant disaster management groups may wish to engage with referable dam owners on
the development of EAPs to ensure their consistency with disaster management plans, and
also may wish to include planning for dam failure in their own disaster management plans.
Referable dam owners may also call on disaster management groups to provide information,
advice and products, for example flood mapping information, to inform the development of
the EAP. The level of engagement and inclusions in plans should be relative to the level of
risk identified by the group. Engagement may include regular consultation, invitation to
meetings of the group, or appointment as an advisor to the group as deemed appropriate.

Disaster management groups may also wish to engage with referable dam owners to ensure
that all persons potentially affected by an emergency condition at a dam are provided with
appropriate information, notifications and warnings.

For further information on EAPs and implications for disaster management groups can be
found in the Water Supply Act and the Department of Energy and Water Supply Emergency
Action Planning Guide for dam owners available at [web address when determined].

Disaster management groups EAP checklist:

Local and district disaster management groups should:

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 Identify if there are any referable dams in their area or that could impact their area
Consult with the referable dam owner to:
understand the risk of an emergency event at the dam on the community
identify the need for alignment across EAP and disaster management plans.
This should particularly consider: warnings / notifications, evacuation routes (if
applicable), inundation levels and predicted impact areas based on flood
mapping, key decision-making timeframes and triggers.
Identify the appropriate LDMG members who should be involved in a review of EAPs (if
applicable)
Consider including referable dam scenarios / serials in disaster management exercises.

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Telephone enquiries
Water: 13 QGOV (13 74 68) business hours

Energy: 13 43 87 business hours

Visit: www.dews.qld.gov.au