Emergency Operations Planning: Dam Incident Planning Guide: Dam Safety Collaborative Technical Assistance

Emergency Operations Planning:
Dam Incident Planning Guide

Dam Safety Collaborative Technical Assistance
November 2019
FEMA Dam Incident Planning Guide
This guide provides Dam Safety Technical Assistance (TA) participants with
considerations for a Dam Incident Annex and the types of information often included in
such plans. The content in this document is not prescriptive. TA participants may
choose to use all, some, or none of the concepts as they develop annexes to their
Emergency Operations Plans (EOPs), Comprehensive Emergency Management
Plans, or other planning architectures.
2
Contents
1 Introduction ............................................................................................................................ 4
1.1 Purpose............................................................................................................................. 4
1.2 Background ...................................................................................................................... 4
1.3 Scope ................................................................................................................................ 6
2 Planning Principles ................................................................................................................ 8
2.1 Considerations to Inform the Six-Step Planning Process for Dam Incident Planning .....8
2.2 Roles and Responsibilities ............................................................................................. 11
Dam Owners and Operators ............................................................................... 13
Private Sector and Nongovernmental Organizations ......................................... 13
3 Key Concepts ....................................................................................................................... 14
3.1 Preventing and Mitigating a Dam Incident .................................................................... 14
3.2 Understanding a Dam Incident ...................................................................................... 14
Overview of Types of Dams .............................................................................. 15
Overview of Potential Dam Incidents ................................................................ 17
Notice Incidents vs. No-Notice Incidents .......................................................... 18
Gathering Information about the Dam ............................................................... 19
3.3 Planning Considerations ................................................................................................ 21
3.4 Instituting a Phased Approach to Dam Incidents ........................................................... 23
3.5 Triggers and Activation ................................................................................................. 26
3.6 Protective Actions by Dam Incident Type ..................................................................... 28
4 Developing an Evacuation Strategy ..................................................................................... 31
4.1 Phases of an Evacuation................................................................................................. 31
4.2 Evacuation Orders .......................................................................................................... 32
Delay Times ....................................................................................................... 33
Evacuation Zone Identification .......................................................................... 34
4.3 Recovery Factors for a Dam Incident ............................................................................ 35
Appendix A: Dam Incident Annex Template ............................................................................. 37
Appendix B: Planning Checklist ................................................................................................. 39
Appendix C: Glossary ................................................................................................................. 50
Appendix D: Acronym List ......................................................................................................... 53
Appendix E: References .............................................................................................................. 54
Appendix F: Resources ............................................................................................................... 57
3
1 Introduction
1.1 Purpose
The Federal Emergency Management Agency’s (FEMA) National Dam Safety Program (NDSP) offers a
Dam Safety Technical Assistance (TA) program. Through this program, emergency managers work
collaboratively with neighboring communities, agencies, and the private sector to gain a detailed
understanding of the risks they face from local and regional dams and how those risks can be addressed.
A key product of the TA program is a completed dam incident plan or annex, which this guide has been
produced to inform.
This Dam Incident Planning Guide supports state, local, tribal, and territorial emergency managers in
planning for dam incidents and failures by summarizing the concepts that a community should consider
when creating dam incident-specific elements of local emergency operations plans. This guide builds on
Comprehensive Preparedness Guide (CPG) 101: Developing and Maintaining Emergency Operations
Plans.1 It also provides guidance for dam owners and operators on how to engage with emergency
managers prior to an incident to ensure a well-coordinated response. Appendix A provides a general
template for a community dam incident plan that can be adapted to meet each community’s needs.
Some communities will choose to address dam incidents in an annex to their emergency operations plan
(EOP) or comprehensive emergency management plan or as an appendix to other base planning
products, or they will create a stand-alone dam incident plan. Emergency managers should choose the
option that aligns to their planning architecture. Plans or annexes produced using this guide are
intended to supplement, not replace, existing plans. In addition, dam incident plans should integrate
and be consistent with any existing evacuation and/or protective action plans. Preparedness is a shared
responsibility; it calls for the involvement of the whole community – not just the government – in
preparedness efforts. By working together, everyone can help in preventing dam failures and reducing
the impacts on lives and property that may be at risk from a dam failure.
1.2 Background
From January 2005 through June 2013, state dam safety programs reported 173 dam failures and 587
"incidents" — episodes that, without intervention, would likely have resulted in dam failure.2 This
document will use “dam incident” to refer to dam failures and other incidents that have the potential to
harm downstream populations and/or infrastructure. A dam incident is an impending or actual sudden
uncontrolled release or excessive controlled release of water from a dam breach or a failure of a critical
appurtenant structure that impounds water such as a saddle dam or spillway structure. The release may
be caused by damage to or failure of the structure, flood conditions unrelated to failure, or any condition
that could affect the safe operation of the dam. The release of water might endanger human life, down-
stream property, or the operation of the structure.3 All dam failures are “dam incidents”; however, not
all dam incidents are the result of failures. Figure 1 illustrates the relationship between these two terms.
1
FEMA (Federal Emergency Management Agency) (2010). Comprehensive Preparedness Guide 101: Developing
and Maintaining Emergency Operations Plans. Available at https://www.fema.gov/media-
library/assets/documents/25975, accessed February 27, 2019.
2
Association of State Dam Safety Officials (2019). Dam Failures and Incidents. Available at
https://damsafety.org/dam-failures, accessed February 27, 2019.
3
FEMA (2013a). Federal Guidelines for Emergency Action Planning for Dams. Available at
https://www.fema.gov/media-library/assets/documents/3357, accessed February 27, 2019.
4
Dam Incidents
Operational Malfunctions Low pool
Overtopping
Releases elevation
Dam Failures
Critical appurtenant
Dam breach
structure breach
Figure 1: Example Dam Incidents and Dam Failures
Dam safety experts recognize that there are degrees of failure and that any malfunction or abnormality
— outside of the design assumptions and parameters — which adversely affects a dam’s primary
function of impounding water is properly considered a failure. Such lesser failures could ultimately lead
to or heighten the risk of a catastrophic failure. They are, however, normally amendable to corrective
action.4 The failure of a dam may be one of rapid onset, as in the case of equipment failure or a
deliberate event; or of a long-developing situation preceded by prolonged heavy rain, snow melt and
runoff, debris build up, or cascading failure of upstream dams.5
A dam incident other than a failure is an emergency that threatens the integrity of the dam or its
components and could result in an increased risk to nearby populations. An incident includes
operational releases from the dam (e.g., principal spillway, emergency/auxiliary spillway) that can result
in flooded roads, homes, or businesses. Low pool elevations could also be considered a dam incident.
This type of incident could result in loss of the benefit that the dam provides to the community, such as
adverse impacts to shipping routes or reduced water or power availability.
Consequences of dam incidents require significant public-private collaboration with local, state, tribal,
territorial, and federal emergency management agencies, as well as private sector organizations, dam
owners, and operators. Prior to these incidents, emergency managers and dam owners and operators
should understand what impacts these incidents may have on local and regional populations and
infrastructure; what resources will be required to respond to and recover from these incidents; and how
and where emergency managers, dam owners, and operators should collaborate prior to, during, and
after a dam incident.
The coordination of protective actions for the public, such as evacuation and shelter-in-place orders, is
one of the most significant responsibilities for emergency managers during a dam incident. If
communities have an existing evacuation and/or protective action plan, their dam incident plan should
4
FEMA (2004a). Federal Guidelines for Dam Safety: Glossary of Terms. Available at
https://www.fema.gov/media-library-data/20130726-1516-20490-9730/fema-148.pdf, accessed February 27,
2019.
5
The term dam is used throughout this document; however, levees and other water control devices would also
be subject to many of the same hazards and protective actions.
5
be consistent with the concepts in

PLAN COORDINATION that plan. Other plans should also
Community EOPs and dam emergency action plans (EAPs) be reviewed to ensure
should be written and updated in close coordination to compatibility with the dam
ensure consistency and common understanding. incident plan. For example, other
Coordination points include addressing the following: plans should be reviewed to
• What incidents or potential problems necessitate ensure that evacuation shelters
heightened awareness? are not located within an
• At what point in a potential incident should the dam inundation area. If an evacuation
operators notify emergency managers? Who in each and/or protective action plan does
organization will be responsible for sending and not exist, community planners
receiving these notifications? should ensure that all evacuation
• Coordinated decision making on issuing community recommendations in this plan are
alerts and warnings consistent with evacuation and/or
• Coordination of protective actions such as protective action considerations in
evacuations as well as re-entry other plans. Community planners
• Joint understanding of evolving dependencies and should review and update this
interdependencies (see page 23 for more on this plan regularly to help ensure that
topic) it remains consistent with other
relevant plans.
Many dam owners and operators are required to create an Emergency Action Plan (EAP) to address how
they will conduct operations during a dam incident. Communities creating a dam incident plan should
ensure their planning efforts integrate the information in each dam’s EAP into the planning process.
Detailed information on dam emergency action planning can be found in the Federal Guidelines for Dam
Safety: Emergency Action Planning for Dams.6
1.3 Scope
This guide is intended to help community planners create a plan to respond to dam incidents that take
place in, or affect, their communities. Some communities will choose to address dam incidents in an
annex to their emergency operations plan (EOP) or comprehensive emergency management plan or as
an appendix to other base planning products, or they will create a stand-alone dam incident plan.
Emergency managers should choose the option that aligns to their planning architecture. During the
planning process, community planners should identify government agencies, nongovernmental
organizations (NGOs), private sector entities, and individuals who are directly responsible for emergency
response and support services during a dam incident. These entities should then be considered for
inclusion in the collaborative planning team and have clear roles and responsibilities in the plan. The
planning process should also result in a clear management structure for coordinating and deploying
essential resources.
The potential consequences from each dam incident vary by the dam type, downstream characteristics,
affected populations, infrastructure, and economies. Dam incident plans must be scalable and include
considerations for incident detection, evaluation, and emergency-level determination (i.e., severity of
the incident), as well as notification and communication processes, emergency actions, and post-
6
FEMA (2013a). Federal Guidelines for Dam Safety: Emergency Action Planning for Dams. Available at
6
incident recovery efforts. The plan should guide protective action decision-making when there is actual,
potential, or imminent threat to the health, safety, or welfare of persons or property.
Plans created using this guide will enhance a community’s ability to work collaboratively with dam
owners and operators, neighboring communities, private sector partners, and governmental agencies.
7
2 Planning Principles
The principles described in this section provide broad concepts to follow during the six-step planning
process. Planning partners should agree to adopt these principles and ensure that they are included in
all steps of the planning process.
The six-step planning process described in FEMA’s CPG 101 is shown in Figure 2.7
Figure 2: Six-Step Planning Process in FEMA’s CPG 101 (Source: FEMA 20107)
2.1 Considerations to Inform the Six-Step Planning Process for Dam

Incident Planning
The following concepts should be included within the six steps of the dam incident planning process.
Involve Defined Authorities on the Planning Team

Dam incident planning must be consistent with existing authorities, roles, and responsibilities, as
defined in current statutes, regulations, delegations of power, memoranda of understanding/agreement
(MOUs/MOAs), policies, and other guidance documents. The driving authority for the community dam
incident plan is usually the local agency that has authority to issue protective action or evacuation
orders. However, sometimes the authority is the governor’s office, a local dam safety official, the mayor,
a policy group, a county executive, the sheriff, a county judge, or others. If this is the case, the entity
with this authority should be involved in the planning process. It is also important to consider the
authorities and regulations under which each dam may operate. Some dams are privately owned, others
owned by local or state organizations, and some are federally owned.8 Each of these dam owners and
7
FEMA (2010). Comprehensive Preparedness Guide 101: Developing and Maintaining Emergency Operations
Plans. Available at https://www.fema.gov/media-library/assets/documents/25975, accessed February 27,
2019.
8
A comprehensive report of coordination between federal dam owners (e.g., U.S. Army Corps of Engineers
[USACE]) and state/local emergency managers during the 2010 Cumberland River Basin floods can be found
here: https://www.hsdl.org/?view&did=21310, accessed February 27, 2019.
8
operators will have some of their own unique requirements for dam safety planning. The community
dam incident plan must be informed by each local dam’s EAP.
Communities and private sector dam owners should create a memorandum of understanding to identify
specific roles, responsibilities, and equipment to be provided during an incident response.
Establish a Common Understanding

Establishing a common understanding of the plan’s objectives, strategies, and tactics is important to
overall coordination. Plans need to be viable for each community, as well as locally supportable, and
they need to be acceptable to the dam owner/operator.
Using familiar terms and strategies helps align planning concepts into one cohesive approach. For
example, if all-hazards or hazard-specific evacuation plans exist, those plans should be reviewed and
adapted for use during a dam incident. Planners should ensure that terminology is clearly defined and
consistent. Many dam-specific terms may not be familiar to emergency management personnel.
Employ Zone-Based Operational Strategies

Plans should articulate operational strategies and support decisions to promote phased, zone-based
evacuation or other protective actions for notice and no-notice incidents. This process should be
informed by detailed analysis of populations at risk.
Planners should identify specific evacuation zones for areas potentially affected by a dam incident or
adapt evacuation zones created for response to other hazards (e.g., hurricanes). Planners may also
identify zones as areas nearest the dam (i.e., those immediately downstream) or areas downstream of a
dam that are lowest lying and most vulnerable to inundation. Protective action decisions that include
evacuation orders or shelter-in-place direction should clearly state that the decision applies only to the
specific zones that need evacuating or sheltering.
In the case of dam incidents, the option of “vertical evacuation” should be considered. This concept is
most commonly seen when describing evacuations from tsunamis. In that context, a vertical evacuation
refuge is defined as “a building or earthen mound that has
sufficient height to elevate evacuees above the level of Communities should reference
tsunami inundation, and is designed and constructed with inundation maps and other dam
the strength and resiliency needed to resist the effects of incident modeling tools to
9
tsunami waves.” In the context of dam incidents, vertical understand what populations,
evacuation includes moving to higher, unaffected ground infrastructure, and organizations
nearby (instead of driving far out of the affected area), or could be affected during an
higher in a building that is built to building codes that incident.
ensure safety during the incident.
Similar to the concept of evacuation to higher ground during hazards such as tsunamis, some
populations evacuating during a dam incident may need only to move to nearby higher ground instead
of driving entirely out of the impact area. Planners should consult inundation mapping products,
population locations and types,10 and local topography to understand if this option is feasible.
9
FEMA (2012). Guidelines for Design of Structures for Vertical Evacuation from Tsunamis. Available at
10
Individuals with disabilities and others with access and functional needs, for example, may have a more difficult
time evacuating quickly to higher ground.
9
Implement a Unified Coordination Process and Command

Most communities identify the need for specific coordination protocols across jurisdictional and
organizational boundaries. When no one community, agency, or organization has primary authority
and/or the resources on its own to manage an incident, unified command should be established. In
unified command, there is no single incident commander. Instead, the unified command manages the
incident using jointly approved objectives, which are often carried out through the unified coordination
staff and incident management and support professionals. A unified command allows the participating
organizations to retain their own authorities and control their own resources while addressing issues,
such as overlapping and competing authorities, jurisdictional boundaries, and resource ownership, in
order to navigate setting clear objectives and strategies for an incident. The resulting unity of effort
allows resources to be applied regardless of ownership or location. Unified command does not affect
individual agency authority, responsibility, or accountability.11
During a dam incident, the dam owner and operator and any significantly affected private sector
organizations (such as utility companies) should be included in the unified command structure. Such
inclusion helps to ensure a common understanding of the evolving situation at the dam, resulting
consequences, and the response actions being taken (see the example in Figure 3).
Unified Command
Local officials, dam owners/operators,
other responsible party representatives
Command Staff
Liaison Officer
Safety Officer
Public Information
Finance and
Operations Planning Logistics
Administration
Figure 3: Notional Unified Command Structure
Communities downstream from the planning community’s dam(s) should also be included in the
planning process as they could experience consequences resulting from an upstream community’s dam
emergency.
Use a Public/Private Planning Approach

Local community planners should include a whole community approach in developing dam incident
plans, including dam owners and operators, other private sector stakeholders, and NGOs. To provide
perspective and solicit buy-in, community planners should engage these partners early and throughout
the planning process.
11
FEMA (2017). National Incident Management System: Third Edition. Available at https://www.fema.gov/media-
library-data/1508151197225-ced8c60378c3936adb92c1a3ee6f6564/FINAL_NIMS_2017.pdf, accessed
February 27, 2019.
10
Private and public sector stakeholders such as utility companies, water and wastewater plants, and local
businesses should be involved in dam incident planning efforts. This joint planning effort will help to
ensure that these private sector organizations understand the potential impacts to their properties and
employees, as well as provide them with opportunities to mitigate potential damage and provide
resources during a response. This collaboration also helps to ensure that planners understand potential
damage to, and restoration timelines for, the private sector and how those may affect the local
community during and after a dam incident.
These public and private stakeholders will have diverse needs during a dam incident. Accounting for the
characteristics and needs of the community, as well as the resources owned and operated by
nongovernmental entities, is vital to responding effectively to a dam incident. This response includes
providing for individuals with disabilities and/or access and functional needs, those without access to a
vehicle, and those with limited English proficiency (among others).
Articulate Planning Assumptions

Planners estimate potential parameters for an incident and use these assumptions as a context, basis, or
requirement for plan development. If one or more of these planning assumptions is not valid for a
specific incident’s circumstances, the plan might not lead
Models should not be used as to a successful response.12 Assumptions are used to
specific maps of how an incident will enable planning in the absence of actual situational
unfold, as assumptions used during awareness. The assumptions must be clearly documented
modeling will likely not match actual in the plan. Communities should ensure that they have a
conditions during the incident. clear understanding of assumptions made in dam incident
modeling products, such as in inundation maps, and how
changes in those assumptions would affect response requirements. Actions in the plan should be
adjusted to the incident as it unfolds.
2.2 Roles and Responsibilities

When mitigating, planning for, and responding to dam incidents, the many of the roles and
responsibilities lie with the dam owner/operator and the emergency manager. Figure 4 lays out the
major areas of responsibility for these two groups.13 The following sections describe the actions of
governments, dam owners and operators, and the private sector prior to, during, and following a dam
incident.
12
FEMA (2010). Developing and Maintaining Emergency Operations Plans: Comprehensive Preparedness
Guide 101. https://www.fema.gov/media-library-data/20130726-1828-25045-
0014/cpg_101_comprehensive_preparedness_guide_developing_and_maintaining_emergency_operations_pla
ns_2010.pdf, accessed February 28, 2019.
11
Figure 4: Collaboration between Dam Owners and Emergency Managers, Federal, State, Local,
and Tribal Governments
Coordination between all levels of government is important to help ensure consistency in guidance and
response actions. A plan should comply with state emergency planning, evacuation, and general
emergency management guidance. For dam incidents, government agencies must coordinate with dam
owners and operators to ensure ongoing mutual understanding. During an incident, stakeholders should
have a shared understanding of the situation at the dam, current and potential future impacts, and the
incident timeline.
Considerations for evacuation plans include:

• Issuance of evacuation orders
• Identification and communication of identified evacuation routes
• Management of traffic flow
• Identification of disability-related and access and functional needs
• Identification and communication of the location of shelters for those displaced
In addition, a community should plan for disruptions to government operations and ensure they have
continuity of operations and continuity of government plans in place. These plans activate in the event
of government disruption and/or government relocation from an impacted area.
Dam owners and operators and emergency management officials should ensure that individuals and
families who live within a dam’s inundation zone understand both their risk and their potential
evacuation and sheltering arrangement. Officials must also take steps to educate individuals and families
12
so that they will quickly respond to protective-action messaging. Officials may do this through
community engagement offices or dam-specific programs that communicate individual and family roles
and responsibilities. As part of their general emergency or disaster preparedness activities, individuals
and families should discuss plans for evacuating their homes in the event of a dam incident. For more
information, please consult FEMA’s Planning Considerations for Evacuation and Shelter-in-Place.14
Significant incidents could require assistance from FEMA or other federal agencies. If unified command
decides that federal resources such as FEMA urban search and rescue teams (including swiftwater
rescue teams) are necessary, they should work through their established state coordination mechanism
(such as a state emergency operations center) to request those resources.
Dam Owners and Operators
Dams can be owned by various entities, including federal and local governments and private sector
agencies such as corporations and homeowners’ associations. Dam owners and operators should work
with emergency managers as a part of the collaborative
planning team. Sharing information and plans (such as EAPs) Communities should work with
can, in turn, inform community emergency plans and create dam owners and operators to
distinct lines of communication. These plans should be understand all purposes of local
exercised regularly to ensure clear coordination during dams in order to plan for impacts
emergencies. to their communities beyond
flooding damage. This effort may
If dams are used for purposes beyond water retention, such include, for example, reduced
as power generation, water supply, or recreation, dam power or water generation or loss
owners and operators should discuss how loss of those of recreational areas.
services during a dam incident would affect the community.
Private Sector and Nongovernmental Organizations
Private sector entities, not including those who are dam owners (whose responsibilities are discussed
above), with locations in the inundation zone also play an important role in dam incident response.
Involving these entities in the planning process will provide them with an opportunity to plan for the
evacuation or sheltering in place of employees, implement mitigation measures to prevent or lessen
damage from a dam incident, and share resources with local communities to assist in dam incident
response operations.
NGOs could have locations in the inundation zone and should be included in planning, as well. They are
also a rich resource for community support during an incident, including by providing food and shelter
for those affected.
Communities should collaborate with private sector partners and NGOs to develop a shared
understanding of protective-action concepts, plans, terminology, and roles. Communities should also
work with these partners in the planning process to identify resources available to them that could
facilitate a large-scale evacuation. From the private sector, this support could include resources such as
buses or vans for transportation or retail store parking lots as evacuation points, and mass care supplies
such as food and water for evacuees. For NGOs, this support could include services such as sheltering
and animal care.
14
FEMA (2018a). Planning Considerations: Evacuation and Shelter in Place. Available at
13
3 Key Concepts
The following key concepts serve as a foundation for successful dam incident planning. These concepts
include developing a thorough understanding of the dam(s) in question, identifying potential mitigation
and preventative measures, and identifying opportunities for emergency managers to collaborate with
dam owners and operators prior to a dam incident. These activities are supported by a detailed analysis
of potential dam incident consequences for downstream populations and infrastructure.
3.1 Preventing and Mitigating a Dam Incident

Preventative measures, such as the maintaining of effective operation, maintenance, and inspection
programs by dam owners and operators, are crucial to avoiding a dam incident. These programs allow
dam owners and operators to detect unusual or changing conditions that may lead to or signal a dam
incident. Dam owners and operators should be encouraged to share their findings regularly with
emergency management officials, so that their community is always aware of any potential issues that
could lead to an incident.15 Emergency management officials should also communicate regularly with
the dam owners and operators. Suggestions for fostering these relationships include by:
• Hosting regular meetings of the collaborative planning team, including private and public-sector
partners, to understand current and future dam operations; and
• Engaging in exercises that examine how staff in emergency operations centers (EOCs) would
support or coordinate response to a dam incident and how they would obtain information that
triggers protective-action decisions from the dam owners and operators.
Mitigation measures are also important to consider when developing a dam incident plan. Community
planners should consider both structural changes (e.g., vegetative buffers) and nonstructural changes
(e.g., insurance, zoning, building codes) that can reduce or eliminate potential effects from a dam
incident.
3.2 Understanding a Dam Incident

Prior to a dam incident, jurisdictions should work closely with dam owners and operators to ensure that
personnel have a thorough understanding of the dams in or impacting their community, what types of
incidents may occur, the potential consequences of such incidents, what measures can be taken for
different types of emergencies, and when they should be taken. EAPs, which are often created by dam
owners and operators, are an important source for developing dam incident plans. If a dam owner or
operator does not have an EAP or has an outdated one, involving the owner/operator in the dam
incident planning process could provide an impetus for addressing that gap.
EAPs typically include the following information:
• Actions that the dam owner will take to moderate or alleviate a problem at the dam.
• Actions the dam owner will take in coordination with emergency management authorities to
respond to incidents or emergencies related to the dam.
• Procedures that dam owners will follow to issue warning and notification messages to
downstream emergency management authorities.
15
Montana Department of Natural Resources and Conservation (2016). Dam Owner Emergency Intervention
Toolbox. Available at
https://damsafety.org/sites/default/files/files/MDNRC%20Dam%20Owner%20Emergency%20Intervention%20
Toolbox_Final.pdf, accessed February 28, 2019.
14
• Inundation maps to help dam owners and emergency management authorities identify critical
infrastructure and population-at-risk sites that require protective measures, warning, and
evacuation planning.
• Responsibilities of all those involved in managing an incident or emergency and how the
responsibilities should be coordinated.
• Authority and procedure for issuing evacuations.
• Communication strategy and toolkit for both governments and the public.
KEY TAKEAWAY
Emergency management officials must understand the impact that a dam incident could have on
life and property. Being able both to recognize the dam hazard potential classification and
understand potential failure modes provides officials with a better understanding of the potential
severity of an incident.
Overview of Types of Dams

Dam incidents vary depending on several factors, including the kind of dam. Understanding common
kinds of dams will help scope initial estimates as to the scoping necessary for a community’s dam
incident plan. A simple overview of the most common kinds of dams can be found on FEMA’s website in
Types of Dams and Failure Modes.16 Descriptions can also be found in FEMA P-956, Living with Dams:
Know Your Risks.17
Generally, a dam has a principal (or “service”) spillway and a drawdown facility. Some dams also have
auxiliary spillways to handle extremely high water levels. A spillway is a structure that water flows over
or through to be discharged into a reservoir. Figure 5 shows some general elements of dams.
Figure 5: Parts of a Dam (Source: FEMA 201317)
16
FEMA (2019a). Types of Dams and Failure Modes. Available at https://www.fema.gov/types-dams-and-failure-
modes, accessed February 28, 2019.
17
FEMA (2013c). Living with Dams: Know Your Risks. Available at https://www.fema.gov/media-library-
data/20130726-1845-25045-7939/fema_p_956_living_with_dams.pdf, accessed February 28, 2019.
15
Figure 618 shows another perspective on dam elements, including principal and auxiliary spillways.
Figure 6: Typical Embankment Dam Elements (Source: FEMA 201618)
FEMA’s Hazard Potential Classification System19 describes a system for determining and communicating
a dam’s hazard potential. The classification levels build upon one another.
1. Low Hazard Potential: Dams where failure or mis-operation results in no probable loss of human
life and low economic and/or environmental losses. Losses are principally limited to an owner’s
property.
2. Significant Hazard Potential: Dams where failure or mis-operation results in no probable loss of
human life but can cause economic loss, environmental damage, and/or disruption of lifeline
facilities or can affect other concerns. Significant hazard potential classification dams are often
located in predominantly rural or agricultural areas but could be located in areas with population
and significant infrastructure.
3. High Hazard Potential: Dams where failure or mis-operation will likely cause loss of human life.
18
FEMA (2016). Pocket Safety Guide for Dams and Impoundments, P-911. Available at
https://www.fema.gov/media-library-data/1478633654726-9b1587e1cbe6898d38ba92c95dbf6f16/FEMAP-
911.pdf, accessed February 28, 2019.
19
FEMA (2004b). Federal Guidelines for Dam Safety: Hazard Potential Classification System for Dams.
https://fema.gov/media-library-data/20130726-1516-20490-7951/fema-333.pdf, accessed February 28, 2019.
16
According to the FEMA definition, more than 27,000 dams in the United States are considered to have
high or significant hazard potential. Thus, their failure by any means, including a terrorist attack, could
result in loss of life, significant property damage, lifeline20 disruption, and environmental damage.21
Overview of Potential Dam Incidents
KEY TAKEAWAY
Understanding the various types of incidents and their potential impacts is important to creating
a relevant and useful plan.
A dam incident can occur for many reasons, including as a result of natural hazards (e.g., floods,
earthquakes, excessive rainfall) or man-made hazards (i.e., deliberate or negligent human actions).
Emergency managers should understand the various types of dam incidents and the impact each type
has on the downstream community.
The operators of many dams have conducted a “potential failure mode analysis” (PFMA) to understand
the potential causes and effects of incidents or failures of the dam. A “potential failure mode” is defined
as a specific chain of events leading to a dam failure.22 The results of the PFMA should be summarized
and presented in a way to effectively communicate with stakeholders including non-technical audiences.
Reviewing the PFMA provides emergency managers with an understanding of the ways in which a
particular dam might fail and what downstream impacts may be seen. PFMAs, however, are not
comprehensive analyses of all potential failures and impacts. They should be used to inform dam
incident plans and should be included as one of many data sources.
Dams can fail for one, or a combination of, the following reasons:23
• Overtopping caused by floods that exceed the capacity of the dam;

• Structural failure of a dam or of materials used in dam construction;
• Spillway deficiency;
• Movement and/or failure of the foundation supporting the dam;
• Settlement and cracking of concrete or embankment dams;
• Piping and internal erosion of soil in embankment dams;
20
A lifeline provides indispensable service that enables the continuous operation of critical business and
government functions, and is critical to human health and safety or to economic security. See:
21
The State of California has adopted a fourth category: “Extremely High,” which is defined as affecting highly
populated areas or critical infrastructure, or having short evacuation warning times. See: State of California
Division of Safety of Dams (2017). Dams Within Jurisdiction of the State of California. Available at
http://www.water.ca.gov/damsafety/docs/Dams%20by%20Dam%20Name_Sept%202017.pdf, accessed
February 28, 2019.
22
FERC (Federal Energy Regulatory Commission) (2017). Identifying, Describing, and Classifying Potential Failure
Modes. Available at
https://www.ferc.gov/industries/hydropower/safety/initiatives/pfms/pfms.pdf?csrt=17541142006781503552,
accessed February 28, 2019.
23
FEMA (2019b). Why Dams Fail. Available at https://fema.gov/why-dams-fail, accessed February 28, 2019.
17
• Mis-operation of the dam;

• Inadequate maintenance and upkeep; and/or
• Deliberate acts of sabotage.
Notice Incidents vs. No-Notice Incidents

A dam incident can be a notice or no-notice incident. A notice incident is one in which things like
advanced weather forecasts, regular inspection of the dam, or intelligence on threats to a particular
dam can give emergency management officials some advanced warning that an incident is about to
occur. Alternatively, a no-notice incident is one in which there is no lead time to alert emergency
management officials (or affected populations) to an incident.
Communities, along with dam owners and operators, should prepare for a no-notice incident as a worst-
case scenario. However, regular inspection and maintenance of the dam can help prevent many no-
notice incidents from occurring. Man-made incidents, such as hostile actors attacking a dam, are an
example of a no-notice incident that regular inspections would not prevent.
When determining the types of protective actions to order, emergency managers should consider the
time before impact. While a no-notice incident will always be a surprise, a notice incident that involves
forecasted heavy rainfall may provide days or more of advanced notice. The time available before
impact is a key factor in decision-making. It might not be reasonable to order a full evacuation of a
population if that population has only 20 minutes to flee. Depending on the situation, a phased-
evacuation order—in which certain zones adopt a shelter-in-place position until it is safe for them to
evacuate—may be preferable.
Table 1 identifies common types of dam incidents based on Sections 3.2.2 and 3.2.3.24
Table 1 – Common Types and Descriptions of Dam Incidents
Notice or
Incident Type Incident Description
No-Notice Incident
Damage, Signs of Observations of damage, signs of distress, or Notice incident
Distress, Instability instability of the dam appurtenant structures.
Dam Breach Any incident resulting in the breach of a dam (partial Either
or complete).
Controlled Breach Planned (non-emergency, non-incident-initiated) Notice Incident
breach of the dam. Possibly carried out to remove
the dam from service, to make major repairs, or as
an interim risk reduction measure.
Downstream Release -- Uncontrolled releases from the reservoir Notice Incident
Controlled or (e.g., appurtenant structure mis-operation), or
Uncontrolled controlled releases that result in downstream
damage.
Mis-operation, Mis-operation of appurtenant structures (e.g., failing Either
Operator Error to comply with the project rule curve).
24
Stanford University National Performance of Dams Program (undated). What is a Dam Incident? Available at
http://npdp.stanford.edu/node/41/ , accessed February 28, 2019.
18
Notice or
Incident Type Incident Description
No-Notice Incident
Equipment Failure Failure of mechanical or electrical equipment to Either
perform the dam safety functions for which they were
intended.
Deterioration Deterioration of concrete, steel, or timber structures Either

that jeopardize the structural/functional integrity of
the dam or appurtenant structures.
Inflow Flood Inflow incidents that: Notice Incident

• Fill the emergency spillway half-full or more.
• Damage or fail any part of the dam system.
Landslide or Rockfall Landslides or rockfalls that: No-Notice Incident

• Affect the reservoir operation of a dam or cause
damage to elements of the dam system.
• Produce wave action that affects the operation
of a dam or causes damage to the elements of
the dam system.
Wind Waves Wave action that affects the operation of the dam Notice Incident
system and causes damage to elements of the dam
system.
High Winds Winds that affect the operation of the dam system Notice Incident
and cause damage to elements of the dam system.
Terrorist Attack Any man-made event or attack on the dam that could No-Notice Incident
cause damage or failure.
Water Pollution Harmful or toxic substances (e.g., chemicals or Either
(e.g., toxic biological organisms) that contaminate a body of
contaminants released water, degrade water quality, and render water toxic
upstream, harmful algal to humans and/or the environment.
blooms)
Ice Loading or Icing Icing that affects the operation of the dam system Notice Incident
and causes damage to elements of the dam system.
Gathering Information about the Dam
KEY TAKEAWAY
Understanding a dam owner and operator’s analysis products will help to ensure that emergency
managers know the potential impacts on their communities. Regular communication with dam
owners and operators will help emergency management officials keep their plans and dam fact
sheets up to date.
Emergency management officials should work with dam owners and operators and the state dam safety
office and/or other appropriate state dam regulatory agencies to compile and maintain (i.e., update at
least annually) dam fact sheets highlighting site-specific information about the dams, including what
resources are needed when responding to a dam incident.
19
Understanding a dam and its infrastructure is important for responding effectively to an incident.
Emergency managers should collect information from dam owners and operators’ EAPs to incorporate
into the community EOP.
Details about the EAP can be found in FEMA’s MODELING CAUTIONS

P-64, Federal Guidelines for Dam Safety: • Make certain that scenarios used for
Emergency Action Planning for Dams. 25 modeling are credible for the individual
dam.
Important information to include in a dam fact • Do not assume flow from a dam incident
sheet includes these points: will be water only; consider debris flow as
well.
1. The type of dam (high hazard vs. low • Models are based on assumptions that
hazard).26 may not hold true for an actual incident.
2. The location of all dam infrastructure This uncertainty could mean that impacts
(main spillway, auxiliary spillway, etc.). will differ slightly or significantly from
those predicted by the models.
3. Contact information for the dam owner
and operator.
4. Historical information about the dam.
5. Information about any current work or improvements to the dam.
6. Inventories of any supplies or materials kept on-site for use in a dam incident.
7. Inventories of any locally available supplies or materials that could be used in a dam incident.
8. Inventories of potentially toxic chemicals or other substances (e.g., if a water treatment plant is
located at the dam site, there could be chlorine or other chemicals housed at the facility).
9. Inundation mapping and dam breach scenarios based on PFMA.
FLOOD HAZARD MAPPING

Through FEMA’s flood hazard mapping program, Risk Mapping, Assessment, and Planning
(RiskMAP), FEMA identifies flood hazards, assesses flood risks, and partners with states
and communities to provide accurate flood hazard and risk data to guide them to mitigation
actions. Flood hazard mapping is an important part of the National Flood Insurance Program
(NFIP), as it is the basis of the NFIP regulations and flood insurance requirements. FEMA
maintains and updates data through Flood Insurance Rate Maps (FIRMs) and risk
assessments. FIRMs include statistical information such as data for river flow, storm tides,
hydrologic/hydraulic analyses, and rainfall and topographic surveys.
25
FEMA (2013a). Federal Guidelines for Dam Safety: Emergency Action Planning for Dams (FEMA 64). Available at
26
For more information on the Hazard Potential Classification System for Dams, see: FEMA (2004b): Federal
Guidelines for Dam Safety: Hazard Classification System for Dams (FEMA 333). https://fema.gov/media-library-
data/20130726-1516-20490-7951/fema-333.pdf, accessed February 28, 2019.
20
3.3 Planning Considerations

Planning considerations provide context for planning efforts and operations. The following are examples
of planning considerations that should be used during the dam incident planning process.
Lead time: Lead time for dam incident response operations vary based on the type of incident and
factors such as the population of zones affected, time of day, and roadway capacity. For notice
incidents, depending on the lead time available, decisions and requests for resources may be made
several days in advance, so resources can be mobilized and in position before the arrival of the threat
and prior to the start of an evacuation. This lead time helps to ensure that resources are in place to
minimize the damage caused by a dam failure and to support the evacuation once the order is given.
No-notice incident considerations: Incidents that occur with no notice present significant complications
and resource challenges. During a no-notice incident, actions to stabilize the dam and evacuation and
shelter-in-place operations occur concurrently. Local officials must also assume that state and federal
support may be unable to mobilize significant resources quickly enough to provide immediate
assistance.
Protective-action decision prioritization: In determining the types of protective actions to take, dam
owners and operators and emergency management and response personnel should prioritize the
actions that will provide for the safety and security of the majority of the population downstream of the
dam, protect property and the environment, and stabilize the situation. Emergency managers should
work with relevant support agencies to make appropriate protective-action decisions. Priority should
then shift to those actions that will prevent further damage or recurrence of the incident, and then to
bringing the dam back to operational status as quickly as possible.
Weather forecasting limitations: For notice incidents, communities should include meteorological
information from trusted sources such as the National Weather Service (NWS), and pre-existing weather
conditions in evacuation and stabilization decisions. The variables in forecasting, such as duration, storm
track, wind intensity, and onset timing, make it difficult to determine exactly when a weather-related
dam incident will occur. The NWS provides ongoing hydrologic forecasts during flooding events.
Emergency managers should work with their local NWS office to understand how to access and use
these forecasts during incident response operations.
Zones for evacuation/shelter-in-place orders: Community officials must be able to clearly identify and
easily communicate zones to people within those zones. Defining zones based on recognizable
landmarks or boundaries, such as known neighborhoods or major roads, helps with this process.
Community recognition of zones is essential to reducing confusion during an evacuation and, ultimately,
promoting life safety. The method of zone delineation could vary across the region but should remain
consistent within a particular community. If zones already exist for other hazards (e.g., hurricanes,
wildfires), those zones should be used for dam incident evacuation zones whenever possible.
21
Public messaging: Issuing clear and consistent public messages is essential. Emergency messages should
include five essential elements:27
1. Source – Say who the message is from.

2. Threat – Describe the dam incident and its impact.
3. Location – State the impact area boundaries in a way that can be easily understood
(use street names, landmarks, and natural features).
4. Guidance/Time – Tell people what protective action to take, when to do it, how to
accomplish it, and how doing it reduces impacts.
5. Expiration Time – Tell people when the alert/warning expires and/or when new
information will be provided. (This is most likely to be used in the case of severe
weather warnings or watches that might only last a specific length of time.)
Social media is also an effective tool for communicating with the public through coordinated messages.
It can be useful throughout evacuation operations to provide and collect information. For more
information on public messaging, please refer to the U.S. Army Corps of Engineers’ (USACE’s) A Guide to
Public Alerts and Warnings for Dam and Levee Emergencies.28
Security concerns: A dam incident plan could contain proprietary or other sensitive or protected
information. While it is important that emergency management officials have access to the plans and
review them on a regular basis, community planners must ensure that only those with a need to know
view the sensitive or protected portions of these plans.
Recovery time: Recovery from a dam incident could take months or years, depending on the severity of
the incident, its impact on survivors, the infrastructure impacted, and the magnitude of damage to the
dam’s structure and/or equipment.
Re-entry timeline: The length of time before affected populations can safely re-enter the affected
zone/region is unpredictable. Emergency managers should coordinate with dam owners and operators
to understand when the dam and resulting incident have been stabilized and jointly determine when it
is safe for re-entry. In extreme cases, survivors may never be able to return to their homes. Allowing re-
entry could have limitations: a population could be allowed to return to their homes to pick up clothes
or other items, but this population may not be allowed to reoccupy their homes permanently. For more
information on access and re-entry considerations, see the U.S. Department of Homeland Security (DHS)
publication, Crisis Event Response and Recovery Access Framework.29
Economic impacts: A dam incident can have long-term economic impacts on a community. To minimize
these impacts, strategies to mitigate economic impacts should be developed during the planning
process. For example, one year after Hurricane Katrina, employment was still more than 30 percent
27
USACE (2015). A Guide to Public Alerts and Warnings for Dam and Levee Emergencies.
https://silverjackets.nfrmp.us/Portals/0/doc/WarningGuidebook_USACE.pdf?ver=2015-08-10-213008-520,
28
Ibid.
29
DHS (2018). Crisis Event Response and Recovery Access Framework.
https://www.dhs.gov/sites/default/files/publications/Crisis%20Event%20Response%20and%20Recovery%20Ac
cess%20%28CERRA%29%20Framework.pdf, accessed February 28, 2019.
22
lower than before the storm. The oil companies located in the Gulf took more than a year to reach pre-
Katrina production levels.
Dependencies and interdependencies: A dam incident may affect other critical infrastructure in ways
that have a compounding effect on the incident. For example, an incident at a dam that provides water
for a community could cause the entire community to lose water service, affecting a population far
larger than just those downstream of the dam. This loss of water service may also affect power plants
that rely on that water service. Alternatively, a loss of power which affects a dam can cause or
exacerbate a dam incident. Planners should consider these critical infrastructure dependencies and
interdependencies when planning for dam incidents.
Four “classes” of interdependencies should be considered when analyzing a dam30:
• Physical: Operations depend on material output(s) of other infrastructure through a functional

and structural linkage of the two assets. For examples, a dam uses power from a local power
plant to operate. The dam provides water service to a local community.
• Cyber: Operations depend on information and data transmitted through the information
infrastructure. Outputs from the information infrastructure serve as inputs to other
infrastructure. For examples, the dam uses a supervisory control and data acquisition (SCADA)
system for many operations. The power generation element of a dam uses information from the
dam’s information technology (IT) systems to run the power generation facility.
• Geographic: Operations depend on the local environment, where an event can trigger changes
in the state of operations in multiple infrastructure assets or systems. For example, an
earthquake may cause a catastrophic failure at an upstream dam, which causes water to rise
rapidly and debris to affect a downstream dam, which may cause damage.
• Logical: Operations depend on the state of other infrastructure via connections other than
physical, cyber, or geographical. These interdependencies are attributable to human decisions
and actions and are not the result of physical or cyber processes. For example, state-level water
conservation policies may affect the water level of a recreational reservoir.
3.4 Instituting a Phased Approach to Dam Incidents

A dam incident plan should incorporate the concepts and requirements found in federal, state, and local
laws, regulations, and guidelines including the National Response Framework (NRF)31 and National
Incident Management System (NIMS).32 The plan should also build on the principles and goals stated
above to describe dam incident-specific protective actions in the community. The plan identifies the
30
Petit, F., et al. (2015). Analysis of Critical Infrastructure Dependencies and Interdependencies.
https://publications.anl.gov/anlpubs/2015/06/111906.pdf, accessed February 28, 2019.
31
FEMA (2013d). National Response Framework: Second Edition. Available at https://www.fema.gov/media-
library-data/20130726-1914-25045-1246/final_national_response_framework_20130501.pdf, accessed
February 28, 2019.
32
FEMA (2019c). National Incident Management System (Main Page). https://www.fema.gov/national-incident-
management-system, accessed February 28, 2019.
23
responsibilities and actions required to protect lives and property, protect the environment, and
stabilize lifeline services through dam incident response.
Incidents in a community typically begin and end locally. They are managed daily at the lowest possible
geographical, organizational, and jurisdictional level consistent with law, policy, and agreements. When
additional or different resources are required, emergency managers often depend on neighboring
communities, the private sector, not-for-profit organizations, and the state for support. State Dam
safety offices can be tremendous resources in dam incidents and may have already been in contact with
dam owners providing resources.
Assuming a notice incident, Table 2 outlines activities involved in a phased approach to operations.
Table 2 – Phased Operational Approach
Phase Status Key Activities Relevant Goals

Normal Operations Normal Condition Monitor the dam Maintain operational status
of the dam
Mobilization Phase Elevated Threat Continue monitoring, Prevent loss of life, maintain
activate EOC, operational status of the
draft potential public dam, prevent dam from
messages failing (where possible)
Impact Phase Imminent Threat Issue protective action Prevent loss of life, prevent
guidance, monitor from the dam from failing (where
EOC possible)
Zero Hour (dam Imminent Threat Continue to issue Prevent loss of life, protect
breach/uncontrolled protective action decisions, property and the
release) monitor the dam environment, stabilize the
situation, and bring dam
back to operational status
as fast as possible
Re-Entry Normal Condition Implement recovery Implement recovery plans,
operations such as clean- allow population to re-enter
up of the site or movement the area
of people
The four emergency level categories listed in Table 3 are recommended in FEMA’s Federal Guidelines for
Dam Safety (FEMA 64).33 However, dam owners, in coordination with emergency management
authorities, should determine the appropriate number of emergency levels required for each dam on a
case-by-case basis.
Table 3 – Emergency Level Categories
Emergency Level Category Description

High Flow The High Flow emergency level indicates that flooding is occurring
on the river system, but there is no apparent threat to the integrity of
the dam. The High Flow emergency level is used by the dam owner
to convey to outside agencies that downstream areas may be
affected by the dam’s release. Although the amount of flooding may
be beyond the control of the dam owner, information on the timing
33
FEMA (2013a). Federal Guidelines for Dam Safety: Emergency Action Planning for Dams (FEMA 64). Available at
24
and amount of release from the dam may be helpful to authorities in

making decisions regarding warnings and evacuations.
Non-Failure The Non-Failure emergency level applies to an event at a dam that
will not, by itself, lead to a failure but requires investigation and
notification of internal and/or external personnel. Examples are
(1) new seepage or leakage on the downstream side of the dam,
and (2) malfunction of a gate. Some incidents, such as new
seepage, may only require an internal response from the dam
owner. Others, such a gate malfunction, may lead to unexpected
high releases that could pose a hazard to the downstream public
and would require the notification of outside agencies.
Potential Failure The Potential Failure emergency level indicates that conditions are
developing at the dam that could lead to a dam failure.
Imminent Failure The Imminent Failure emergency level indicates that time has run
out, and the dam has failed, is failing, or is about to fail. Imminent
Failure typically involves a continuing and progressive loss of
material from the dam. It is not usually possible to determine how
long a complete breach of a dam will take. Therefore, once a
decision is made that there is no time to prevent failure, the
Imminent Failure warning must be issued. For purposes of
evacuation, emergency management authorities may assume the
worst-case condition that failure has already occurred.
After an emergency is detected and confirmed, the dam owner should categorize the condition of the
incident by a warning level based on the severity of the initiating condition or triggering events. Both the
dam owner and emergency management authorities should understand and agree on the use of the
warning level categories. The warning level categories should trigger the appropriate response activities
delineated in the owner’s EAP and the emergency management authorities’ EOP. Maintaining the
consistency of the warning level categories is essential to eliminate confusion for emergency responders
whose community contains multiple dams and dam owners.
A community might have its own dam incident warning levels which differ from other local EOCs or
those used by the USACE, FERC or FEMA P-64. Table 4 provides a template to assist in reconciling
leveling system terminology. The USACE leveling system appears in the first column, the corresponding
FERC level appears in the second column (note that FERC does not include a level III equivalent level;
therefore it is blank), the third column the corresponding FEMA P-65 levels, and a blank fourth column is
included for communities to include their own equivalent leveling terminology. Planners should review
the definitions and associated actions for each USACE and FERC level in the footnoted documents and
ensure community warning levels are comparable.
25
Table 4 – Warning Level Integration Matrix
USACE34 FERC*35 FEMA P_6436 Community

Level IV (highest) Imminent Threat Alert (highest) Imminent Failure
Level III – Potential Failure
Level II Elevated Threat Alert Non-failure
Level I Normal Condition High Flow
*Aligns with DHS guidelines on National Terrorism Advisory System (NTAS).
KEY TAKEAWAY
Develop thresholds that will trigger specific response actions. When time is of the essence,
knowing exactly which protective action to order can save lives.
3.5 Triggers and Activation

Dam owners and operators should be involved in helping emergency managers determine the
conditions that will trigger a specific protective action.
Communities should develop triggers to activate the dam incident plan when an incident meets, or is
expected to meet, at least one of the following conditions:
• Requires protective action orders and/or a local emergency declaration from the authority
having jurisdiction to access needed funding and resources to support the mission;
• Requires activation of the Multi-Agency Coordination (MAC) group37 to address the needs of the
incident, including accessing significant or unusual resources and coordinating continued
operations of the dam;
• Anticipates or experiences impacts that exceed the capability or capacity of the community and
requires assistance from other communities, the state, and/or the federal government;
• Requires citizens to evacuate from their homes;
• Covers large geographic areas that will require extensive internal and external jurisdictional
coordination; and
• Affects large numbers of people and requires mass care and human services missions and life
sustainment missions for those sheltering in place.
34
USACE (2018). Guidance for Emergency Action Plans, Incident Management and Reporting, and Inundation
Maps for Dams and Levee Systems. Available at
https://www.publications.usace.army.mil/Portals/76/Publications/EngineerCirculars/EC_1110-2-6074.pdf,
35
FERC (2016). FERC Security Program for Hydropower Projects: Revision 3A. Division of Dam Safety and
Inspections. Available at https://ferc.gov/industries/hydropower/safety/guidelines/security/security.pdf,
36
FEMA P-64 (2013). Federal Guidelines for Emergency Action Planning for Dams. Available at
https://www.fema.gov/media-library/assets/documents/3357 accessed September 26, 2019.
37
FEMA (2017). National Incident Management System: Third Edition, p. 40. Available at
https://www.fema.gov/media-library-data/1508151197225-
ced8c60378c3936adb92c1a3ee6f6564/FINAL_NIMS_2017.pdf, accessed February 28, 2019.
26
The USACE’s A Guide to Public Alerts and Warnings for Dam and Levee Emergencies38 recommends
developing assumptions based on a cooperative process between the dam owner and operator and
local emergency managers. Table 5 highlights example physical observations that can serve as triggers
for protective issues and actions during a dam breach incident. Table 6 highlights flood threats, their
designated threat levels, and sample protective actions. Table 7 highlights example physical
observations that can trigger specific protective actions during a levee incident.
Table 5 – Example Triggers, Threat Level Designation, and Protective Action Decisions
for a Dam Breach Incident39
USACE Threat Level

Physical Observations Flood Threat Protective Action Options
Designation
Water flowing through Level IV Dam Imminent or in Evacuate by vehicle
breach in embankment breaching or progress Evacuate on foot
breached Evacuate to higher ground
Evacuate to safer structure
Expedite protection of people
Avoid area
Rapidly enlarging Level III Dam breach Very likely Evacuate by vehicle
sinkhole very likely Expedite protection of
possessions
Avoid area
New seepage areas with Level II Conditions at Possible but Expedient protection of
cloudy discharge or dam may or may not not certain possessions
increasing flow rate lead to breach Seek or monitor information
Prepare to evacuate
New seepage areas in or Level I Safety issues Potential Seek or monitor information
near the dam being investigated being
determined
Table 6 – Example Threat vs. Public Actions for Controlled Dam Releases 40
USACE Threat Level

Flood Threat Protective Action Options
Designation
Level III: Releases exceed or Significant for some occupied Evacuate by vehicle
are forecasted to exceed [xx] structures and evacuation routes Evacuate on foot
cfs Expedite protection of
structures
Expedite protection of
possessions
38
USACE (2015). A Guide to Public Alerts and Warnings for Dam and Levee Emergencies. Available at
39
Ibid.
40
27
Avoid area
Level II: Releases exceed or Some near river in unoccupied Evacuate on foot
are forecasted to exceed [yy] areas Seek or monitor information
cfs Avoid area
Prepare to evacuate
Level I: Releases less than None outside of channel Evacuate on foot if in or on
[zz] cfs water
Avoid area (water)
Continue normal activities
Table 7 – Example Threat vs. Public Actions for Levee Breaches and Overtopping41
Threat Level
Physical Observations Flood Threat Protective Action Options
Designation
Water flowing through Level IV: Levee Imminent or in Evacuate by vehicle
breach in levee breached or progress Evacuate on foot
embankment overtopped Evacuate to higher ground
Evacuate to a safer structure
Expedite protection of people
structures
possessions
Avoid area
River level is forecasted Level III: Levee Very likely Evacuate by vehicle
to exceed top starting to breach Expedite protection of
of levee or overtop possessions
structures
Avoid area
Visual Level II: Conditions at Possible but Expedite protection of
movement/slippage levee may or may not not certain structures
of the embankment slope lead to flooding Expedite protection of
possessions
Seek or monitor information
Prepare to evacuate
New seepage areas Level I: Safety issues Potential Seek or monitor information
spotted in being investigated being
leveed area determined
3.6 Protective Actions by Dam Incident Type

The first steps in the response process include incident detection, evaluation, and emergency level
determination. This phase of response is intended to lead to the proper protective action decisions and
subsequent issuing of protective action orders or messages. Emergency management officials need to
work closely with the dam owners and operators to make the most appropriate and effective protective
action decisions.
41
Ibid.
28
Notification and communication (both official communications to the public and unofficial
communication among emergency management officials and dam owners and operators) must be based
on the dam incident type and severity. Making protective action decisions and announcements quickly
maximizes available response time. Dam owners and operators are responsible for notifying and
providing status updates to the emergency management officials when dam incidents occur or threaten.
The protective action decisions for dam incidents are normally based on the rate of water being
released from a dam. In a severe rainfall event in which the dam is expected to overtop due to excess
water, the time available to order a protective action decision, such as an evacuation, can be
predictable. However, if a dam incident involves failing or damaged infrastructure, decisions should be
based on the likelihood of dam breach, an assumption dam owners and operators can help emergency
management officials make.42
Table 8 categorizes some of the most common dam hazards and the protective action decisions
recommended for that type of incident. Again, the community should work with the dam owner and
operator to populate this list with actions specific to the community.
Table 8 – Common Hazards That Lead to Dam Failure, Sample Threat Level Designations,
and Common Protective Actions
Incident Type Cause Potential Protective Actions

Overtopping Excessive flooding/rainfall • Controlled release of the spillway
where applicable
• Debris removal from clogged channels
or culverts downstream
• Evacuation where flooding may occur
• Sandbag placement where flooding
may occur
Structural/Infrastructure Bad design/poor • Evacuation
Failure maintenance/natural or man- • Seeking or monitoring of information
made hazard • Sandbag placement where flooding
may occur
Soil Erosion/Piping/Sand Bad design/poor • Seeking or monitoring of information
Boil maintenance/natural or man- • Access provided to construction
made hazard material
• Evacuation
Water Leakage Bad design/poor • Seeking or monitoring of information
maintenance/natural or man-
made hazard
Turbine Failure due to Lack Electric power outage • Evacuation where lack of power could
of Back-up Power cause the dam to fail
Water Pollution Release of contaminant(s) • Treatment to remove toxins
into the water or excessive • Drinking water health advisory
growth of toxin-releasing • Recreational water use restrictions
biological organisms (swimming, fishing, boating)
(e.g., harmful algal blooms)
42
29
30
4 Developing an Evacuation Strategy

The following section provides basic considerations for developing an evacuation strategy for a dam
incident. This section of the dam incident plan should build on existing community evacuation guidance.
For more information, officials should consult FEMA’s Planning Considerations: Evacuation and Shelter-
In-Place.43
Evacuations and the incidents that trigger them can affect multiple geographic regions and have both
short- and long-term social, political, and economic impacts. A cooperative, whole community approach
supports and helps to enable the safe and efficient movement of individuals and animals from an
impacted or potentially impacted area, as well as the return of evacuees to the area once it is safe.
Evacuations can begin with the spontaneous movement of people or an official evacuation order. They
can occur before, during, and/or after an incident. In the case of dam incidents, evacuating to nearby
higher ground or higher level, known as “vertical evacuation,” could be the best option. Emergency
managers should look at updated inundation mapping and topography to determine whether this might
be an appropriate option. During an event, there is often very little time for planning; consequently, it is
critical that a community’s evacuation strategy be determined in advance.
The duration of an evacuation is incident-dependent and varies depending on community size, location,
and resources. The best evacuation strategy is to move as few people as possible the shortest distance
to safety. Planning evacuation operations to meet this goal also helps reduce resource burdens,
facilitate a more efficient re-entry, and more quickly move a community toward recovery.
Planners will need to consider concepts such as roadway capacity, characteristics of the evacuating
population, and effective evacuation communications.
It is important for emergency managers and dam owners to identify areas where warning time is critical
and develop a strategy to address time sensitive areas. Strategies should include early warning systems,
as well as proactive outreach and risk communication to the population at risk.
4.1 Phases of an Evacuation

Evacuation response operations occur in five phases—mobilization, evacuation, impact, mass care, and
re-entry. Phases, used in conjunction with evacuation zones, provide a construct to move people to
safety. These phases help community’s plan, organize, respond to, and delegate evacuation strategies,
messages, tasks, and decisions. Phases differ across zones that face unique hazards and considerations,
may not occur at all, or occur in any order based on the incident.
43
FEMA (2018b). Planning Considerations: Evacuation and Shelter in Place. Available at
31
Figure 7: Phases of Evacuation
4.2 Protective Action Orders

KEY TAKEAWAY
When writing public messaging, use clear messages, know the audience, and consider the
context.
The protective action order must be concise, accurate, accessible, and understandable. The public does
not use the same jargon that emergency management professionals are familiar with and may interpret
terms and instructions quite differently than intended (e.g., mandatory, voluntary, recommended,
forced, phased, zoned).
For each protective action described in the dam incident plan, community planners should create clear
and accessible messaging, and have it approved by leadership prior to any dam incident. Doing so ahead
of time allows messages to be pushed to the public quickly when an incident occurs. Pre-approved
messages can be modified to include information specific to the current dam incident (e.g., anticipated
flooding, drinking water health advisories, recreational usage bans).
Community planners should ensure that the messages provide a clear explanation of the need for an
immediate response. Messages should be tailored to the audience. For example, to stress the
importance of evacuating right away, a communication could compare a significant rainfall event that
would overtop levees in Houston or New Orleans to Hurricanes Harvey or Katrina, respectively.
32
Delay Times
Officials must consider delay time when determining how and when to issue public messages. According
to USACE’s A Guide to Public Alerts and Warnings for Dam and Levee Emergencies,44 the warning and
protective action process is divided into three time periods (illustrated in Figure 7):
1. Warning delay time: The period between when a threat is first detected, or an emergency
manager is first notified of the threat, and when an emergency manager with the proper
authority issues a first alert/warning.
2. Warning diffusion time: The period after the first alert/warning is issued and the time that
people receive that alert/warning.
3. Protective action initiation time: The period after people receive the first alert/warning and
when they initiate protective action. During this time, most people do several things to prepare
to implement a protective action. People may also receive subsequent warning messages during
this time.
Figure 8: USACE Warning and Protective Action Timeline (Source: USACE 201543)
To reduce the delay between when the incident is first noticed and when emergency management
officials issue alerts or warnings, having messaging that is ready to be sent out when an incident occurs
is extremely important.
The “Triggers and Activation” section of the community’s dam incident plan should define what events
or conditions trigger a warning message (see Section 3.5).
44
33
Evacuation Zone Identification
KEY TAKEAWAY
Do not expect the population to know their evacuation zone. Zone identification is important and
can be utilized by both emergency management officials and the public, alike, but only if
everyone understands how to determine their zone.
To communicate evacuation and other protective actions quickly and effectively, communities should
identify zones based on when dam incident impacts are likely to arrive and then identify the zones
specified in the plan by using a graphic, if possible.
When determining evacuation zones, communities should use geographic information systems (GIS)
data layers that provide a visualization and analysis capability. Refer to a dam owner’s inundation
mapping products, if they are available, to determine zones and the most likely affected populations.
Inundation mapping products and modeling tools provide important insight into the potential impacts of
a dam incident. These tools are scenario-based and provide information for specific situations such as
sunny or rainy-day conditions, full or partial dam failure, and day or night downstream populations. An
actual incident will likely not evolve exactly as the models have predicted as the basic assumptions will
differ; therefore, maps and models should be used to inform planning but should not be consulted as
predictions of how an actual incident will unfold. With these scenario-specific considerations in mind,
these tools can help answer questions such as:
• Where will the water go?

• When will the water get there?
• How long will the water stay there?
• How deep will the water be?
• What facilities, homes, businesses, and critical infrastructure (power plants, fire stations,
hazardous materials plants, etc.) will be underwater?
Inundation maps should not be used as the single input for evacuation planning. They should be used in
conjunction with other analysis of the potential impacts of a dam incident, including population-at-risk
analysis, infrastructure-at-risk analysis, transportation network analysis, traffic flow analysis, and PFMA
to develop an evacuation plan.
The creation of evacuation zones is especially key if a dam failure will require the ordering of
evacuations. Zone definition allows for zone-based evacuation, which targets the most vulnerable areas,
while also limiting the need for evacuating large areas that are not under threat. Having defined zones
helps communities understand shelter demand, evacuation clearance times, participation rates, and
lead and lag times and thus develop facts and assumptions for planning.
34
Other data elements for establishing zone boundaries include:
• U.S. Census Blocks,45

• U.S. Census Tracts,46
• Neighborhood boundaries,
• Topographic data,
• School districts,
• Fire/police districts,
• Zip codes, and
• Existing preparedness plans and documentation (e.g., existing evacuation plans).
Communities may need additional information to establish zone boundaries. Additional evacuation and
shelter-in-place zone research sources include:
• Real Time Evacuation Planning Model;47

• State departments of transportation;
• State and community evacuation plans and other related plans;
• Hurricane Evacuation Studies;
• HAZUS-MH;48
• Hurricane Evacuation (HURREVAC);49 and
• Sea, Lake, and Overland Surges from Hurricanes (SLOSH) Model.
Zone identification is only useful if those who are in an impacted zone understand the threats they face.
Many emergency management agencies have rolled out “Know Your Zone” campaigns,50,51 through
which they provide public outreach and educational materials to their communities.
4.3 Recovery Factors for a Dam Incident

As noted in the planning considerations section, recovery efforts may take anywhere from weeks to
years depending on the severity of the incident (i.e., in the case of a total dam failure). Like a riverine
flood, hurricane, or earthquake, a dam incident may result in impacts to people, infrastructure, housing,
the economy, and the natural environment. Recovery from a dam incident may therefore require
addressing any or all of these impacts. The recovery process is locally executed, typically with leadership
45
U.S. Census (2013a). 2010 Census – Census Block Maps. Available at https://www.census.gov/geo/maps-
data/maps/block/2010/, accessed February 28, 2019.
46
U.S, Census (2013b). 2010 Census – Census Tract Reference Maps. Available at
https://www.census.gov/geo/maps-data/maps/2010tract.html, accessed February 28, 2019.
47
Old Dominion University (2013). Real Time Evacuation Planning Model. Available at
http://rtepm.vmasc.odu.edu/, accessed February 28, 2019.
48
FEMA (2019d). HAZUS (Main Page). Available at https://www.fema.gov/hazus, accessed February 28, 2019.
49
Sea Island Software, Inc. (undated). HURREVAC. Available at http://www.hurrevac.com/, accessed February 28,
2019.
50
Virginia Department of Emergency Management (undated). Tiered Evacuation and Know Your Zone FAQs.
Available at https://www.vaemergency.gov/wp-
content/uploads/drupal/assetdownload/KnowYourZoneFAQs.pdf, accessed February 28, 2019.
51
Maryland Emergency Management Agency (undated). Know Your Zone. Available at
https://mema.maryland.gov/Pages/know-your-zone-md.aspx, accessed February 28, 2019.
35
and support from states, and when the capacity of local and state government is exceeded, with support
from the federal government. It also requires partnerships with the whole community, including
individuals and families, the private sector, not-for-profits, and other stakeholders. While a dam incident
annex may not incorporate all principles of recovery, where feasible it should integrate key concepts
from the jurisdiction’s recovery plan.
The prompt and accurate assessment of damage to public and private property following a disaster will
be of vital concern to local officials. The assessment will guide recovery planning in the community.
Local officials must work with dam owners to assess lifeline52 restoration and determine the time it will
take to restore services lost, environmental impacts, economic impacts, and the timeline and cost to
restore or remove the dam. Local official should work with an interagency, interjurisdictional team that
includes dam owner/operators to set recovery priorities and find resources for and complete recovery
projects.
The community should work together with local officials to develop a shared message so stakeholders
have accurate and consistent information about what is happening; when residents, businesses owners,
and other stakeholders can return to their homes/structures;53 when infrastructure will be replaced; and
when and how homes will be replaced.
The National Disaster Recovery Framework (NDRF) provides key planning considerations for a
comprehensive, whole community approach to recovery from natural or man-made incidents. States
and local jurisdictions may also have developed pre-disaster recovery plans that guide jurisdictional
efforts following an incident, including through:
• Identification of a recovery leadership team, as well as roles and responsibilities;

• The assessment of disaster impacts and needs;
• The development of a cohesive recovery vision and goals;
• The identification of recovery strategies, as well as the resources needed to execute those
strategies;
• Engagement of the whole community throughout the recovery process; and
• The implementation of the recovery vision, goals, and strategies.
52
FEMA (2018b). Revised Community Lifelines Information Sheet. Available at https://www.fema.gov/media-
library/assets/documents/175116, accessed February 28, 2019.
53
DHS (2018). Crisis Event Response and Recovery Access (CERRA) Framework. Available at
https://www.dhs.gov/publication/crisis-event-response-and-recovery-access, accessed February 28, 2019.
36
Appendix A: Dam Incident Annex Template

The following template is designed for an Emergency Operations Plan (EOP) Dam Incident and Failure
Annex. If a community chooses to create a stand-alone dam incident plan, the content suggested here is
still pertinent; however, planners should refer to the Federal Emergency Management Agency’s
(FEMA’s) Comprehensive Preparedness Guide (CPG) 101 for plan format options.
A.1 Purpose
Define the purpose of this annex.
A.2 Background
Detail any background information about the dam and its relationship to this plan. Have any dam
incidents occurred already?
A.3 Scope
Define the types of dam incidents this plan addresses. Is this dam incident plan only for overtopping? Can
it be used in case of a breach?
A.4 Relationship to Other Plans

Explain how this plan fits into the community’s current emergency operations plans. Are there parts of
existing EOPs that would also be relevant to this plan? Ensure that this plan aligns with local dam
emergency action plans (EAPs).
A.5 Roles and Responsibilities

Define the roles and responsibilities in a dam incident. Do not forget to outline the roles and
responsibilities of nongovernmental parties, such as the dam owner and operator, private sector entities
that the community may need to rely on for supplies or other support, and the population.
A.6 Evacuation Guidance

Authority - Describe the thresholds that need to be met before the community will give an order to
evacuate and who in the community has that authority to order the evacuation.
Evacuation zones – If the community has already defined evacuation zones, include maps or images that
illustrate those zones here. If the community has not defined evacuation zones, detail the steps the
community needs to take to create those zones. If the community does not want to use evacuation
zones, detail instead how the community will issue evacuation orders (i.e., by subdivision; using street
names; by other district boundaries [e.g., school district])?
Evacuation education – If the community currently has defined evacuation zones, define how the
population will learn what zone they are in. Explain how emergency officials will communicate zone
information to the public
Incident-specific public messaging – Define as much of the public messaging ahead of time as possible.
Explain how those messages be communicated to the population including those with access and
functional needs and those with limited English proficiency.
A.7 Triggers and Activation

Define, as clearly as possible, the triggers that will cause (1) an activation of the EOC; and (2) specific
protective action decisions to be ordered.
Notice Incident
37
Detail the contact information for the dam owners and operators as well as contact information for the
EOC.
Notification roles and responsibilities

Define who will notify the community of an impending dam incident and what the thresholds for
notification are. Define clear roles and responsibilities for their communication.
Potential Protective Actions

Include a list or table of the protective action decisions specific to the dam and the thresholds that must
be met to trigger those actions.
Consider:
• Avoiding the area
• Evacuations
• Shelter in place
No-Notice Incident
Define default public messaging and the protective action decisions that will be used in a no-notice
incident
A.8 Dam Fact Sheet(s)

Maintain regularly updated documentation of information for each dam.
1. The type of dam (high hazard vs. low hazard).54

2. The location of all dam infrastructure (main spillway, auxiliary spillway, etc.).
3. Contact information for the dam owner and operator.
4. Historical information about the dam.
5. Current information about any current work or improvements to the dam.
6. Inventories of any supplies or materials kept onsite for use in a dam incident.
7. Inventories of any locally available supplies or materials that could be used in a dam incident.
8. Inventories of potentially toxic chemicals or other substances (e.g., if there is a water treatment
plant located at the dam site, there may be chlorine or other chemicals housed at the facility)
9. Inundation mapping and potential failure mode analysis for a dam breach scenario (for more
information on inundation mapping, see the section titled “Zone Identification”).
a. How is the dam expected to perform under certain loads?
b. What are the differences between an overtopping event and a breach event?
54
For more information on the Hazard Potential Classification System for Dams, see: https://fema.gov/media-
library-data/20130726-1516-20490-7951/fema-333.pdf, accessed February 28, 2019.
38
Appendix B: Planning Checklist

The following pages can stimulate actions to take and information to obtain when a jurisdiction is
developing its dam incident planning guide.
Planning
□ Contact the dam owner(s)/operator(s), obtain a copy of their emergency action plan (EAP), and
establish a communication plan with the owner/operator.
□ Coordinate with the applicable state and federal dam regulatory agencies.
□ Ensure that the occupants of the area downstream are kept informed regarding the dam hazard.
□ Coordinate with the dam owner(s)/operator(s) for timely information affecting local
communities.
□ Coordinate with schools, daycare centers, hospitals, etc., in the downstream area concerning
proper precautions and emergency actions prior to a potential dam failure.
□ Coordinate with local planning boards and inspections departments regarding building codes
and code enforcement to minimize damages downstream.
□ Coordinate the establishment of local laws to prohibit or minimize construction in known
floodplains or near spillways.
□ Form a collaborative planning team to create and maintain dam incident plans or annexes for
dams within your community.
□ Consider representatives from the following function areas as core planning team members
(Note: If multiple communities comprise the planning area, consider 5–6 key members from the
following listing to represent your community in a multijurisdictional planning effort):
o Jurisdiction chief executive (or representative)
o Emergency management
o Dam owners/operators from within your community
o Law enforcement
o Fire services
o Emergency medical services (EMS)
o Public health
o Hospitals and healthcare facilities
o Public works
o Transportation
o Social services
o Key private-sector representatives
o Volunteer organizations (Red Cross, Salvation Army, amateur radio, etc.)
o School systems representatives
o Key utilities representatives
o Hazard mitigation representatives
o National Weather Service (NWS)
o Appropriate regional, state, and/or federal representatives where required
□ Conduct research to understand the threat (Note: much of this information may be available
from the state agency that has regulatory/oversight responsibility for dams):
o Total number of dams within your community
o Owners/operators of all dams
o Total number of high-hazard dams (terminology may vary from state to state)
o Total number of significant-hazard dams (terminology may vary from state to state)
39
o Total number of low-hazard dams (terminology may vary from state to state)
o Types of dams (public water supply, energy producing, recreational, etc.)
o Condition of dams (inspection reports and schedule of inspections for each)
o Total volume of water impounded by each dam
o Potential inundation area with geographical boundaries should total failure of the dam
occur
▪ Determine the projected total impact on the inundation area, the communities
therein, and the jurisdiction in general, including damage to private and public
property, possible loss of life/injury, economic loss, and damage to the
environmental based on current response capabilities.
o Historical climatological data that could affect the dam or its integrity
o Past earthquake activity or susceptibility
□ Analyze the information.

o Based on the projected inundation area mapping:
▪ Identify houses, apartments, multiple dwelling, parks/campgrounds, businesses,
and industry that would be affected.
▪ Identify critical facilities, such as hospital, schools, nursing homes,
prisons/detention centers, shopping malls, government-owned facilities, etc.,
that would be affected.
▪ Identify critical infrastructure, such as water treatment, wastewater treatment,
electric and gas generation/transmission facilities, communications facilities,
airports, railroad, major highway, major bridges, etc., that would be affected.
▪ Determine total estimated population that could be affected.
▪ Identify concentrated population areas.
▪ Identify special needs populations.
o Using a total failure of the dam as the scenario, identify downstream water arrival times
(when the water from the failure will arrive in areas downstream of the dam) and
maximum water depths (how deep will the water get in areas downstream of the dam),
especially for homes, businesses, and essential facilities closest to the dam. These water
arrival/depth estimates should be analyzed for downstream locations, especially
locations with concentrated populations of people.
o Based on water arrival times/depths, determine the lead warning times for the selected
downstream locations to successfully perform evacuation.
o Identify warning/notification systems already in place that could be used for alerting the
population in the inundation area (sirens, reverse 9-1-1 capabilities, tone alert radios,
etc.).
o Identify primary road/highways that could be used for evacuation.
o Identify all facilities outside of the inundation area that could be used for shelters.
o Identify transportation resources available to supplement evacuation, especially for
those without personal transportation.
o Identify medical resources within the community that can be implemented/used if
required.
o Identify the perimeter area that would need to be secured to prevent unnecessary entry
into the possible inundation area.
o Determine the projected total impact on the inundation area, the communities therein,
and the jurisdiction in general, including damage to private and public property, possible
loss of life/injury, economic loss, and damage to the environment based on current
response capabilities.
40
□ Determine dam incident response goals and objectives (possibly use a dam failure scenario and
related consequences). These may include the following:
o The development of a positive working/coordination relationship with the dam
owners/operators
o Timely warning/notification of the affected populace of a dam failure
o Expedient, orderly, and complete evacuation of the inundation area
o The provision of expedient medical care services where required
o The provision of shelter/mass care services for those who could be affected
o The development of a recovery process
□ Develop a draft plan.

o Develop and analyze courses of action and operation tasks.
o Develop procedures for possible event detection, including the following:
▪ Establishment of responsibilities for the dam owner/operator to inspect, monitor,
and evaluate the condition of the dam.
▪ Enhanced monitoring/evaluation during periods of extremely wet weather, heavy
rainfall/snowfall, etc.
▪ Observations by law enforcement patrol for any changes in dam status or possible
suspicious activity.
▪ Inspection/monitoring following seismic activity.
o Identify primary and secondary communications/notifications channels between the dam
owner/operator and the designated 24/7 community warning point or other designated
locations.
o Develop emergency levels for classifying various stages of possible dam emergency/failure.
▪ Based on these levels, develop communication/notification procedures for each
level, as well as appropriate immediate response actions.
o Divide the inundation area into zones for planning purposes.
o Develop a notification flowchart that identifies all local, state, tribal, and federal agencies
and specific personnel who require notification of a dam emergency.
o Based on current warning capabilities, identify the percentage of the total population within
the inundation area that can receive immediate warning to evacuate or take protective
action.
o Identify gaps in warning capabilities.
o Begin development of a plan to bridge warning gaps and ensure that all residents can
receive emergency warnings pertaining to dam emergencies. This notification effort would
include using the following warning systems:
▪ NWS Weather Radio
▪ Emergency Alert System (EAS)
▪ Sirens
▪ Direct dial systems
▪ Reverse 9-1-1
▪ State police information networks
▪ Door-to-door notifications
o Identify potential command post locations.
▪ If the inundation area or the planning area in general involves multiple jurisdictions,
jointly identify possible locations for the establishment of a Unified Command.
• If possible, include the incorporation of the dam management team (or
their representative) with the Unified Command.
41
▪ If area commands are envisioned, identify areas by geographical boundaries.

o Establish pre-designated communication channels/groups to provide effective command
and control, as well as tactical operations.
▪ If multiple communities are involved, identify communications interoperability
linkages, if required.
o Identify community emergency operations center (EOC)/multiagency coordination (MAC)
group and possible backups.
o Identify the operational periods that will be used (most likely 12-hour periods).
o Identify primary response staging areas and staging area managers.
o Pre-identify who has the authority to order evacuation and the basis for ordering such
evacuation. This designated authority could include the following:
▪ Chief executive of the jurisdiction
▪ Law enforcement official
▪ Fire official
▪ Emergency manager
▪ Possibly dam owner/operator in some circumstances (these need to be detailed)
o Based on identified evacuation zones, identify primary and secondary evacuation routes to
safety.
o Identify assembly points for evacuation where required.
o Based on identified planning zones and designated evacuation routes, identify the location
of shelters to be used to accommodate the population from the evacuated inundation area.
o Working with the Red Cross and other shelter/mass care organizations, identify shelter
support requirements and ensure that they are in place. This effort includes the following:
▪ Shelter agreements (if Red Cross has not already developed them)
▪ Shelter managers and staffs
▪ Adequate parking
▪ Toilet facilities
▪ Feeding capabilities
▪ Water
▪ Pet accommodations
▪ Sleeping accommodations
▪ Provisions for special needs individuals
o Identify points of distribution (PODs) and develop plans for their operation and staffing.
o Develop procedures for disaster victim registration, family reunification, and addressing
inquiries by families of disaster victims.
o Based on identified planning zones, identify hospitals to which the injured are to be
transported.
o Identify lead/support law enforcement agencies for this plan.
o Identify lead/support fire services for this plan.
o Identify lead/support EMS for this plan.
o Identify lead/support agencies for public health issues.
▪ Identify the lead/support agencies for mental health issues, including the provision
of crisis counseling services.
o Identify lead/support transportation services agencies/organizations for this plan.
o Identify the lead/support agencies for public works issues, including debris removal, as well
as water/wastewater issues.
o Identify the lead/support agencies for resource management and ensure that emergency
procurement procedures are in place.
42
o Identify all search and rescue capabilities with an emphasis on structural and swift water
capabilities.
o Identify a jurisdictional agency to serve as the primary liaison to energy utilities that service
the area.
o Identify the lead/support agencies for fatality issues, including disaster mortuary operations,
victim identification, and the processing of human remains.
o Develop procedures for establishing the perimeter and traffic control points to prevent
unauthorized entry into possible dangerous areas.
o Identify lead agencies and develop procedures for conducting an expedient damage
assessment following the recession of flood waters. This effort will include the following:
▪ Damage to private and publicly owned buildings, facilities, and equipment
▪ Damage to critical facilities (hospitals, schools, nursing homes, etc.)
▪ Damage to critical infrastructure (roadways, bridges, railways, water/wastewater
systems, energy generation and transmission systems, etc.)
▪ Economic loss
▪ Environmental impact
▪ Public health issues
o Develop a public information program to raise the public’s awareness of the potential for
emergencies involving dams and the actions that they can take to protect their lives and the
lives of their loved ones.
o Develop pre-scripted warning messages for use during and after a dam emergency.
o Identify volunteer organizations and their capabilities.
o Identify key private-sector organizations that can provide supplemental assistance if
required.
o Coordinate with the local military representatives to incorporate their response capabilities
into this plan.
□ Identify resources available, as well as shortfalls/gaps, to address issues.

o Transportation:
▪ School buses
▪ Municipal transportation assets
▪ Privately owned assets (charter companies, etc.)
▪ Four-wheel drive vehicles
▪ High-wheeled clearance–type vehicles
▪ Boats and specialized water rescue equipment
▪ Vehicles that could be used for medical transport
▪ Helicopters and fixed-wing aircraft for transport and reconnaissance
▪ Portable traffic information signs
▪ Drivers/operators for all equipment
o Communications:
▪ Interoperable communications systems and equipment
▪ Satellite communications
▪ Cellular phones
▪ High-frequency radios
▪ Hard-line telephone
▪ Internet capabilities
▪ Amateur Radio
▪ Portable communications integration equipment (with operators)
43
o Public Works:
▪ Dump trucks
▪ Road closure barriers
▪ Front-end loaders, bulldozers, and other types of heavy equipment
▪ Portable generators
▪ Portable lighting equipment
▪ Power saws and hand tools
▪ Enough drivers/operators for all equipment above
o Firefighting:
▪ Hazardous materials response equipment
▪ First response medical capabilities
▪ Water rescue equipment (ropes, boats, life preservers, etc.)
o Emergency Management:
▪ Mobile command vehicles
▪ Supplemental communications
▪ Volunteers
▪ Trained damage assessment personnel (for individual and public damages)
▪ Coordination channels for access to supplemental resources from other
jurisdictions, as well as regional and state resources, mutual aid, memorandums of
agreement (MOAs), and memorandums of understanding (MOUs)
o Mass Care/Shelter:
▪ Enough shelters (including special needs shelters)
▪ Shelter managers
▪ Food
▪ Water
▪ Clothing
▪ Translators
▪ Sleeping accommodations
o Public Health and Medical:
▪ EMS personnel
▪ Ambulances and medical transport
▪ Hospitals (or other medical care facilities, clinics, etc.)
▪ Nursing home services
▪ Disaster mental health services
▪ Public health and disease outbreak services
o Search and Rescue:
▪ Boats
▪ Swift water rescue personnel and equipment
▪ Structural rescue personnel and equipment
▪ Hovercraft capabilities
o Hazardous Materials:
▪ Booms
▪ Containment equipment and supplies
▪ Hazardous materials response equipment
▪ Environmental monitoring equipment
o Agriculture/Natural Resources:
▪ Local farm equipment and personnel to assist where required
▪ Veterinary medical response teams
▪ Personnel for pet assistance at shelters
44
▪ Wildlife rescue capabilities

o Energy:
▪ Heavy equipment
▪ Generators
▪ Portable light sets
o Law Enforcement:
▪ Personnel and equipment for maintaining law and order, traffic control, evacuation,
perimeter establishment, and identification check points
▪ Possible search-and-rescue resources
▪ Communications resources
o Public Information:
▪ Established coordination channels with printed and electronic media
▪ Pre-established warning, evacuation, and public information/public protection
messages, etc.
□ Establish a resource management section.

o Begin the acquisition of needed resources based on the local community’s internal and/or
purchasing capabilities.
o Identify resources available from the private sector.
□ Work with emergency management in establishing mutual aid agreements and MOUs/MOAs with
other communities and levels of government for the provision of resources.
o Determine the information and intelligence needs necessary to provide efficient direction
and control of the event.
o If your community uses virtual EOC–type software, it should be detailed in the plan as a
method of information and intelligence collection and dissemination.
o Develop procedures for the following:
▪ Determining the most significantly affected/potentially affected areas in the
community and initiating warning and evacuations, if required
▪ Rapidly establishing a community and county-wide direction and control
organization
▪ Identifying immediate needs pertaining to life-saving, life-safety, and life
sustainment
▪ Determining response priorities
▪ Determining critical infrastructure remaining to support the response effort
▪ Identifying all other critical needs
▪ Developing and maintaining a common operating procedure (COP); at a minimum
the COP should contain information pertaining to the following:
• Casualties (injuries and fatalities)
• Search-and-rescue requirements, actions, and capabilities
• Communications status (public safety radio, cellular, landline, satellite,
Internet, amateur radio)
• Hospital/healthcare status
• EMS status, response capabilities, and actions
• Fire status, response capabilities, and actions
• Law enforcement status, response capabilities, and actions
• Direction and control capabilities and status
• Damage to private property (homes, apartments, and businesses)
45
• School system status

• Water system/facilities status
• Wastewater system/facilities status
• Energy system status (natural gas, propane, oil, electric)
• Transportation system status (roads, air, rail, water)
• Hazardous materials issues
• Mass care status, requirements, and capabilities
• Public information dissemination status and capabilities (commercial, cable,
satellite radio and television, and Internet)
□ Allow the planning team to review the draft plan when it is complete and to make suggestions for
revisions and improvements.
□ Finalize the plan, gain approvals, and disseminate it.

o Incorporate all suggested changes/revisions made by the planning team and produce a final
copy of the plan.
o Provide a copy of the plan to all required signatories or conduct a seminar to introduce and
explain the plan to them.
o Obtain approvals of the plan by all signatories.
▪ Signatories should include chief elected official; heads of all local, regional, state,
and/or federal departments with a role in the plan; key voluntary
agencies/organizations; and key private sector representatives
o Make a controlled distribution of the plan with each copy being numbered.
□ Conduct training necessary to implement plan.

o Identify and disseminate all National Incident Management System (NIMS) training
requirements to all departments and agencies that have a role in the plan.
o Conduct all specialized training courses as required, such as the following:
▪ Search and rescue
▪ Communication protocols
▪ Shelter operations
▪ Mass casualties
▪ Mass fatalities
□ Exercise the plan, evaluate its effectiveness, and make changes as appropriate.
o Follow the Homeland Security Exercise and Evaluation Program (HSEEP) methodology to
conduct a capabilities-based exercise program that includes the following:
▪ Seminars
▪ Workshops
▪ Tabletop exercises
▪ Games
▪ Drills
▪ Functional exercises
▪ Full-scale exercises
o Following the HSEEP methodology, conduct exercise evaluation, develop after-action
reports and improvement plans, and incorporate changes to the plan as required.
□ Maintain the plan in a constant state of readiness.
46
□ Review the entire plan at least annually and make changes, additions, and deletions as appropriate.
o Distribute changes, additions, and deletions to all holders of the plan (refer to the
distribution list showing holders of all numbered copies of the plan).
o Make corrections to key documents, such as the notification flow chart, and distribute to
key notification stakeholders at least quarterly, if not more often. This action can be
accomplished electronically, making distribution very easy.
o Reprint and redistribute the entire plan every five years.
Response
□ Based on threat verification, initiate actions to protect life and safety, including warning and the
issuance of an evacuation order.
□ Establish incident command.
□ Establish command posts as needed.
□ Establish communication with the dam owner/operator.
□ Identify immediate action or response requirements.
□ Activate or augment the EOC as appropriate.
□ Establish communication with responding agencies.
□ Through communication with responding agencies, determine the following as quickly as
possible:
o Number of casualties (injured and killed)
o General boundary of the affected area
o The general extent of damages
o The general extent of power or other utility disruption
o Immediate needs of response forces
o Evacuation status
□ Evaluate the overall community situation.

□ Establish communication with the state.
□ Establish communication with and request a liaison from electric and gas utilities.
□ Establish ongoing reporting from the response forces services, private agencies, and utilities.
□ Initiate the incident action planning process.
□ Coordinate with Red Cross (or the designated lead agency) the opening of an appropriate
number of shelters in the appropriate areas, based on the shelter procedure.
□ Conduct the first staff briefing as soon as practical after EOC activation.
□ Activate or establish rumor control through the public information officer (PIO).
□ Establish a schedule for briefings.
□ Brief city/county agency and utility executives.
□ Activate the joint information center (JIC).
□ Provide the PIO with updated information.
□ Provide response forces with updated information.
□ Release public information via the PIO as soon as practical.
□ Issue public action guidance as appropriate.
□ Establish a 24/7 duty roster for the EOC and/or command post.
□ Develop and post any required maps or diagrams.
□ Activate an events log.
□ Review and follow the resource procurement procedure.
□ Inventory additional resources that may be used or called on for use.
47
□ Activate a formal resource request procedure and resource tracking, including required mutual
aid assistance, activation of MOUs/MOAs, etc.
□ Coordinate all resource requests being forwarded to the state.
□ Activate the financial tracking plan coordinated by the finance officer.
□ Activate damage assessment teams and follow the damage assessment procedure.
□ Develop a 12-hour incident action plan (IAP) outlining actions that must be accomplished in the
next 12 hours.
□ Conduct a second shift/relieving shift briefing.
□ Discuss with and present to your relief the IAP for the next 12 hours.
□ Develop re-entry procedures.
□ Develop a transition plan to the recovery phase.
□ Initiate demobilization procedures, including a debriefing process.
Recovery
□ Gather damage assessment information (public, housing, business) from damage assessment
teams.
□ Obtain information from the Red Cross or other organizations responsible for managing shelters
regarding number of shelterees and support necessary for continued operation.
□ Obtain information from the dam owner/operator and/or U.S. Army Corps of Engineers (USACE)
regarding safety, etc.
□ Assess citizen/community needs for individual assistance and/or public assistance if applicable.
□ Activate a local unmet needs committee if appropriate.
□ Gather financial information for the finance officer.
□ As appropriate, gather the following additional information:
o Personnel who responded and the time involved in the response
o Timesheets or time logs
o Supplies used
o Contracts issued
o Purchase orders issued
o Any other expenditures
o Damages to public buildings, equipment, utilities, etc.
o Loss of life of any public servant
o Documents regarding economic impact
□ Develop or generate reports for the following, as appropriate:

o Federal Emergency Management Agency (FEMA)
o State
o Local elected officials
o County/city/town managers
o Others requiring or requesting reports
□ Coordinate recovery organizations, including federal and state agencies and private or volunteer
relief organizations.
□ Establish donated goods management based on policy and procedure.
□ If a Presidential disaster declaration is made, file a “Request for Public Assistance” form to apply
for assistance as soon as possible with the proper state or federal agency.
□ Ensure that public officials are made aware of the assistance application process, if applicable.
48
□ Ensure that the public is made aware, through the PIO, of the assistance application process, if
applicable.
□ Perform a formal incident critique as soon as possible with all possible response organizations.
□ Review agency and self-performance.
□ Review the strengths and needs of the plan.
□ Develop a process for updating the plan.
□ Correct weaknesses.
□ Implement or modify a hazard mitigation plan accordingly.
□ Brief elected officials with updated information and disaster recovery progress.
49
Appendix C: Glossary
Information in this appendix was obtained from FEMA P-148, Federal Guidelines for Dam Safety:
Glossary of Terms.55
Appurtenant Structures
Ancillary features of a dam such as outlets, spillways, powerplants, tunnels, etc.
Auxiliary/Emergency Spillway
Any secondary spillway that is designed to be operated infrequently, possibly in anticipation of some
degree of structural damage or erosion to the spillway that would occur during operation.
Breach
An opening through a dam that allows the uncontrolled draining of a reservoir. A controlled breach is a
constructed opening. An uncontrolled breach is an unintentional opening caused by discharge from the
reservoir. A breach is generally associated with the partial or total failure of the dam.
Consequences
Potential loss of life or property damage downstream of a dam caused by floodwaters released at the
dam or by waters released by partial or complete failure of the dam. Also, effects of landslides upstream
of the dam on property located around the reservoir.
Dam
An artificial barrier that has the ability to impound water, wastewater, or any liquid-borne material, for
the purpose of storage or control of water.
Dam Failure
Catastrophic type of failure characterized by the sudden, rapid, and uncontrolled release of impounded
water or the likelihood of such an uncontrolled release. It is recognized that there are lesser degrees of
failure and that any malfunction or abnormality outside the design assumptions and parameters that
adversely affect a dam’s primary function of impounding water is properly considered a failure. These
lesser degrees of failure can progressively lead to or heighten the risk of a catastrophic failure. They are,
however, normally amenable to corrective action.
Dam Incident
An emergency situation that threatens the integrity of the dam, or its components, that could result in
an increased risk to the population but does not result in the catastrophic failure of the dam. An incident
may also include operational releases from the dam (e.g., principal spillway, emergency spillway) that
may result in flooding major roads, homes, or businesses.
Dam Safety
Dam safety is the art and science of ensuring the integrity and viability of dams such that they do not
present unacceptable risks to the public, property, and the environment. It requires the collective
application of engineering principles and experience, and a philosophy of risk management that
recognizes that a dam is a structure whose safe function is not explicitly determined by its original
design and construction. It also includes all actions taken to identify or predict deficiencies and
55
Interagency Committee on Dam Safety (2003). Federal Guidelines for Dam Safety: Glossary of Terms
(FEMA 148). https://www.fema.gov/media-library/assets/documents/3904, accessed February 28, 2019.
50
consequences related to failure, and to document, publicize, and reduce, eliminate, or remediate to the
extent reasonably possible any unacceptable risks.
Emergency Action Plan (EAP)

A plan of action to be taken to reduce the potential for property damage and loss of life in an area
affected by a dam failure or large flood.
Flood
A temporary rise in water surface elevation resulting in inundation of areas not normally covered by
water. Hypothetical floods may be expressed in terms of average probability of exceedance per year
such as one-percent-chance flood or expressed as a fraction of the probable maximum flood or other
reference flood.
Floodplain
An area adjoining a body of water or natural stream that may be covered by floodwater. Also, the
downstream area that would be inundated or otherwise affected by the failure of a dam or by large
flood flows. The area of the flood plain is generally delineated by a frequency (or size) of flood.
Hazard
A situation that creates the potential for adverse consequences such as loss of life, property damage, or
other adverse impacts.
Inundation Map
A map showing areas that would be affected by flooding from releases from a dam’s reservoir. The
flooding may be from either controlled or uncontrolled releases or as a result of a dam failure. A series
of maps for a dam could show the incremental areas flooded by larger flood releases.
Notification
To inform appropriate individuals about an emergency condition so they can take appropriate action.
Peak Flow
The maximum instantaneous discharge that occurs during a flood. It is coincident with the peak of a
flood hydrograph.
Piping
The progressive development of internal erosion by seepage.
Principal Spillway
A spillway that is designed to provide continuous or frequent regulated or unregulated releases from a
reservoir, without significant damage to either the dam or its appurtenant structures. This structure is
also referred to as service spillway.
Reservoir
A body of water impounded by a dam and in which water can be stored.
51
Seepage
The internal movement of water that may take place through the dam, the foundation, or the
abutments.
Shelter-In-Place
The use of a structure to temporarily separate individuals from a hazard or threat. Sheltering in place is
the primary protective action in many cases. Often it is safer for individuals to shelter-in-place than to
try to evacuate. Sheltering in place is appropriate when conditions necessitate that individuals seek
protection in their home, place of employment or other location when disaster strikes.
Spillway
A structure over or through which flow is discharged from a reservoir. If the rate of flow is controlled by
mechanical means, such as gates, it is considered a controlled spillway. If the geometry of the spillway is
the only control, it is considered an uncontrolled spillway.
Toe of the Dam

The junction of the downstream slope or face of a dam with the ground surface; also referred to as the
downstream toe. The junction of the upstream slope with ground surface is called the heel or the
upstream toe.
Whole Community
Preparedness is a shared responsibility; it calls for the involvement of everyone – not just the
government – in preparedness efforts. By working together, everyone can help keep the nation safe
from harm and help keep it resilient when struck by hazards, such as natural disasters, acts of terrorism,
and pandemics.
Whole Community includes:

• Individuals and families, including those with access and functional needs
• Businesses
• Faith-based and community organizations
• Nonprofit groups
• Schools and academia
• Media outlets
• All levels of government, including state, local, tribal, territorial, and federal partners
52
Appendix D: Acronym List

CPG Comprehensive Preparedness Guide
DHS U.S. Department of Homeland Security
EAP Emergency Action Plan

EMS Emergency Medical Services
EOC Emergency Operations Center
EOP Emergency Operations Plan
FEMA Federal Emergency Management Agency

FERC Federal Energy Regulatory Commission
GIS Geographic Information System
HSEEP Homeland Security Exercise and Evaluation Program
IAP Incident Action Plan
MAC Multi-agency Group

MOA Memorandum of Agreement
MOU Memorandum of Understanding
NGO Nongovernmental Organization

NIMS National Incident Management System
NWS National Weather Service
PFMA Potential Failure Mode Analysis

PIO Public Information Officer
TA Technical Assistance
USACE U.S. Army Corps of Engineers
53
Appendix E: References
Association of State Dam Safety Officials (2019). Dam Failures and Incidents. Available at
https://damsafety.org/dam-failures, accessed February 27, 2019.
DHS (U.S. Department of Homeland Security) (2018). Crisis Event Response and Recovery Access (CERRA)
Framework. Available at https://www.dhs.gov/publication/crisis-event-response-and-recovery-access,
FEMA (Federal Emergency Management Agency) (2004a). Federal Guidelines for Dam Safety: Glossary of
Terms (FEMA 148). Available at https://fema.gov/media-library-data/20130726-1516-20490-9730/fema-
FEMA (2004b). Federal Guidelines for Dam Safety: Hazard Classification System for Dams (FEMA 333).
Available at https://fema.gov/media-library-data/20130726-1516-20490-7951/fema-333.pdf, accessed
February 28, 2019.
FEMA (2010). Comprehensive Preparedness Guide 101: Developing and Maintaining Emergency
Operations Plans. Available at https://www.fema.gov/media-library/assets/documents/25975, accessed
February 27, 2019.
FEMA (2012). Guidelines for Design of Structures for Vertical Evacuation from Tsunamis. Available at
FEMA (2013a). Federal Guidelines for Dam Safety: Emergency Action Planning for Dams (FEMA 64).
Available at https://www.fema.gov/media-library/assets/documents/3357, accessed February 28, 2019.
FEMA (2013c). Living with Dams: Know Your Risks (FEMA P-956). Available at
FEMA (2013d). National Response Framework: Second Edition. Available at

https://www.fema.gov/media-library-data/20130726-1914-25045-
1246/final_national_response_framework_20130501.pdf, accessed February 28, 2019.
FEMA (2014). Geospatial Dam Break, Rapid EAP, Consequence and Hazards GIS Toolkit (DVD). Available
at https://www.fema.gov/media-library/assets/documents/94670, accessed February 28, 2019.
FEMA (2016). Pocket Safety Guide for Dams and Impoundments, P-911. Available at
9b1587e1cbe6898d38ba92c95dbf6f16/FEMAP-911.pdf, accessed February 28, 2019.
FEMA (2017). National Incident Management System: Third Edition. Available at

ced8c60378c3936adb92c1a3ee6f6564/FINAL_NIMS_2017.pdf, accessed February 27, 2019.
54
FEMA (2018a). Planning Considerations: Evacuation and Shelter in Place. Available at

FEMA (2018b). Revised Community Lifelines Information Sheet. Available at

FEMA (2019a). Types of Dams and Failures. https://www.fema.gov/types-dams-and-failure-modes,

FEMA (2019b). Why Dams Fail. https://fema.gov/why-dams-fail, accessed February 28, 2019.
FEMA (2019c). National Incident Management System Main Page. https://www.fema.gov/national-

incident-management-system, accessed February 28, 2019.
FEMA (2019d). HAZUS (Main Page). Available at https://www.fema.gov/hazus, accessed February 28,
2019.
FERC (Federal Energy Regulatory Commission) Division of Dam Safety and Inspections (2016). FERC
Security Program for Hydropower Projects: Revision 3A. Available at
https://ferc.gov/industries/hydropower/safety/guidelines/security/security.pdf
FERC (2017). Identifying, Describing, and Classifying Potential Failure Modes. Available at
https://www.ferc.gov/industries/hydropower/safety/initiatives/pfms/pfms.pdf?csrt=175411420067815
03552, accessed February 28, 2019.
Maryland Emergency Management Agency (undated). Know Your Zone. Available at

https://mema.maryland.gov/Pages/know-your-zone-md.aspx, accessed February 28, 2019.
Montana Department of Natural Resources and Conservation (2016). Dam Owner Intervention Toolbox.
Available at
https://damsafety.org/sites/default/files/files/MDNRC%20Dam%20Owner%20Emergency%20Interventi
on%20Toolbox_Final.pdf, accessed February 28, 2019.
Old Dominion University (2013). Real Time Evacuation Planning Model. Available at
http://rtepm.vmasc.odu.edu/, accessed February 28, 2019.
Petit, F., et al. (2015). Analysis of Critical Infrastructure Dependencies and Interdependencies.
https://publications.anl.gov/anlpubs/2015/06/111906.pdf, accessed February 28, 2019.
Sea Island Software, Inc. (undated). HURREVAC. Available at http://www.hurrevac.com/, accessed

February 28, 2019.
Stanford University National Performance of Dams Program (undated). What Is A Dam Incident?
Available at https://npdp.stanford.edu/node/41/
55
U.S. Census (2013). 2010 Census – Census Block Maps. Available at https://www.census.gov/geo/maps-
data/maps/block/2010/, accessed February 28, 2019.
U.S. Census (2013). 2010 Census – Census Tract Reference Maps. Available at
https://www.census.gov/geo/maps-data/maps/2010tract.html, accessed February 28, 2019.
USACE (U.S. Army Corps of Engineers) (2010). May 2010 Flood Event Cumberland River Basin: 1-3 May.
Great Lakes and Ohio River Division. Available at https://www.hsdl.org/?view&did=21310, accessed
February 27, 2019.
https://silverjackets.nfrmp.us/Portals/0/doc/WarningGuidebook_USACE.pdf?ver=2015-08-10-213008-
520, accessed February 28, 2019.
USACE (2018). Guidance for Emergency Action Plans, Incident Management and Reporting, and
Inundation Maps for Dams and Levee Systems. Available at
https://www.publications.usace.army.mil/Portals/76/Publications/EngineerCirculars/EC_1110-2-
Virginia Department of Emergency Management (undated). Tiered Evacuation and Know Your Zone
FAQs. Available at https://www.vaemergency.gov/wp-
content/uploads/drupal/assetdownload/KnowYourZoneFAQs.pdf, accessed February 28, 2019.
56
Appendix F: Resources
This list includes items not directly referenced in this document, but which may be useful in the planning
process.
FEMA (2007). Emergency Action Planning for State Regulated High-Hazard Potential Dams: Findings,
Recommendations and Strategies (FEMA 608). Available at https://www.fema.gov/media-
library/assets/documents/12720
FEMA (2008). National Response Framework—Mass Evacuation Incident Annex. Available at

https://www.fema.gov/media-library-data/20130726-1825-25045-
6500/mass_evacuation_incident_annex_2008.pdf
FEMA (2013). Federal Guidelines for Inundation Mapping of Flood Risks Associated with Dam Incidents
and Failures (FEMA P-946). Available at https://fema.gov/media-library-
data/96171edb98e3f51ff9684a8d1f034d97/Dam_Guidance_508.pdf
FEMA (2015). Federal Guidelines for Dam Safety Risk Management (FEMA P-1025). Available at
https://fema.gov/media-library-data/1423661058965-58dfcecc8d8d18b7e9b2a79ce1e83c96/FEMAP-
1025.pdf
FEMA (2016). National Response Framework: Third Edition. Available at https://www.fema.gov/media-

library/assets/documents/117791
FERC (Federal Energy Regulatory Commission) (2015). Potential Failure Modes (PFMs). Available at
https://www.ferc.gov/industries/hydropower/safety/initiatives/pfms.asp
U.S. Department of the Interior, Bureau of Reclamation (2011). Dam Safety Public Protection Guidelines.
Available at https://usbr.gov/ssle/damsafety/documents/PPG201108.pdf
57

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Emergency Operations Planning:

Dam Incident Planning Guide

Figure 1: Example Dam Incidents and Dam Failures

be consistent with the concepts in

2.1 Considerations to Inform the Six-Step Planning Process for Dam

Involve Defined Authorities on the Planning Team

Establish a Common Understanding

Employ Zone-Based Operational Strategies

Implement a Unified Coordination Process and Command

Figure 3: Notional Unified Command Structure

Use a Public/Private Planning Approach

Articulate Planning Assumptions

2.2 Roles and Responsibilities

Considerations for evacuation plans include:

3.1 Preventing and Mitigating a Dam Incident

3.2 Understanding a Dam Incident

EAPs typically include the following information:

Overview of Types of Dams

Figure 5: Parts of a Dam (Source: FEMA 201317)

Figure 6: Typical Embankment Dam Elements (Source: FEMA 201618)

Overview of Potential Dam Incidents

• Overtopping caused by floods that exceed the capacity of the dam;

• Mis-operation of the dam;

Notice Incidents vs. No-Notice Incidents

Table 1 – Common Types and Descriptions of Dam Incidents

Deterioration Deterioration of concrete, steel, or timber structures Either

Inflow Flood Inflow incidents that: Notice Incident

Landslide or Rockfall Landslides or rockfalls that: No-Notice Incident

Gathering Information about the Dam

Details about the EAP can be found in FEMA’s MODELING CAUTIONS

FLOOD HAZARD MAPPING

3.3 Planning Considerations

1. Source – Say who the message is from.

Four “classes” of interdependencies should be considered when analyzing a dam30:

• Physical: Operations depend on material output(s) of other infrastructure through a functional

3.4 Instituting a Phased Approach to Dam Incidents

Table 2 – Phased Operational Approach

Phase Status Key Activities Relevant Goals

Table 3 – Emergency Level Categories

Emergency Level Category Description

and amount of release from the dam may be helpful to authorities in

Table 4 – Warning Level Integration Matrix

USACE34 FERC*35 FEMA P_6436 Community

3.5 Triggers and Activation

USACE Threat Level

USACE Threat Level

3.6 Protective Actions by Dam Incident Type

Incident Type Cause Potential Protective Actions

4 Developing an Evacuation Strategy

4.1 Phases of an Evacuation

Figure 7: Phases of Evacuation

4.2 Protective Action Orders

Evacuation Zone Identification

• Where will the water go?

Other data elements for establishing zone boundaries include:

• U.S. Census Blocks,45

• Real Time Evacuation Planning Model;47

4.3 Recovery Factors for a Dam Incident

• Identification of a recovery leadership team, as well as roles and responsibilities;